Personnel Appraisals and Documentation- Dos and Donts

Presented To: Audubon Area Community Services Presented By: Susan Sears, Esq. Dinsmore and Shohl, LLP

The Big Three Absenteeism and Tardiness Performance Deficiencies Misconduct and Rule/Policy Violations

Absenteeism and Tardiness

absenteeism and tardiness are tremendous problems for employers. Accurate record-keeping and consistent and fair administration of an absenteeism policy is important in maintaining an efficient workplace.
- Unjustified

Performance Deficiencies
- If

accurate documentation regarding deficient performance is maintained, it will be much easier to sustain any discipline levied as a result of poor performance.

Misconduct and Rule/Policy Violations

- When an employee

engages in misconduct or violates work rules, the incident should be discussed with the employee and documented by the supervisor. The supervisor should also document the fact that he or she discussed the incident with the employee.

Performance Appraisals Why are they so important?

- Performance reviews are an integral part of

the employees on the job experience. - When fair, accurate and conducted on a regular basis appraisals can stimulate employee morale, which can lead to more efficient business operations and discourage litigation. - When performance reviews are not fair and reasonable, generating inaccurate or incomplete appraisals, they can have the opposite effect.

Performance Appraisals Possible Legal Consequences

-The accuracy or inaccuracy of the performance appraisal can become a focal point in litigation. -Employers must regularly explain why they made a decision to terminate a particular employee, why they promoted one employee instead of another, or why they gave one employee a higher pay increase or bonus than that which they gave another employee. -

Performance Appraisals
Possible Legal Consequences, ctd.
-Performance evaluations can make or break a case brought by an employee on the basis of discrimination, retaliation, harassment, wrongful termination, etc. -Proper documentation of employee performance can help protect against employer loses in these areas.

Performance Appraisals Best Practices

A Model Policy . . .
- Explains the importance of the

evaluation process. -Clarifies whether the company will consider the evaluations in compensation decisions. -Advises managers of their responsibilities regarding employee development and performance improvement plans.

A Model Policy, ctd.

-A model policy should explain: - How and when to evaluate
subordinates. -How to complete the evaluation form. -How the performance rating system works. -Whether you should first ask subordinates to provide a selfevaluation. -What role goal and objective setting plays in the process.

Year-Round Process
-Continually evaluate. -Address successes and deficiencies as they occur. -Counsel employees as performance issues arise. -Record your thoughts and observations about employees, both positive and negative, throughout the year so that the annual performance appraisal will not simply focus on the previous few weeks or months. -Evaluate only the current year or performance. Dont be influenced by past performance.

Tips For Being an Appraisal Pro

-Dont skirt the issues. -Dont overstate good results. -Be careful with language. -Be consistent. -Think outside the boxes elaborate on marks given. -Share you appraisal with the employee and ask for comment. -Confront problems as they arise.

Performance Appraisals How to Document

Facts vs. Editorializing Avoid reciting secondhand information. Use only first hand knowledge. Draft documents so that a third party who knows nothing about the situation will be able to understand what happened. Be honest and dont embellish. Include any past history needed to understand event.

Performance Appraisals How to Document, ctd.

Be Specific and Objective Avoid using generalizations- for example, words like typically, or usually The document should be dated contemporaneously with the event. Draft as soon as possible. If there are eyewitnesses, name them. Specify exactly which work rule has been violated. Avoid legal conclusions, which are likely to be misconstrued.

Performance Evaluations How to Document, ctd.

Be Consistent and Neutral Always have the employee sign the letter, or note if they refuse to do so. Always make sure the document is signed by the person preparing it. Dont over-document or over-distribute. If employee requests to add their own side of the story to the document, accommodate that request. Avoid unnecessary commentary and admissions or confessions.

Handling the Tough Appraisal

Consider Asking for assistance- better safe than sorry! Beware of any retaliation claim that may have been filed by the employee. If you are the subject of the complaint, have someone else complete the evaluation. Scrutinize the evaluation to make sure it is objective and complete.

Steps for Success with a Tough Appraisal

1. Review notes made during year. Look at objectives met and not met. 2. Analyze failures and what could have been done differently. 3. Review emails and internal memos from others concerning the employees performance. 4. Consider attendance record. Highlight strengths and weaknesses.

Steps for Success with a Tough Appraisal, ctd

5. Look at criticisms and make sure they are consistent with those throughout your department. 6. Analyze specific problem areas, feedback from others, and how the employee failed to meet standards. 7. Meet with employee to discuss review and methods of improvement.

Questions?