Performance AppraisalPerformance Appraisal

The LawThe Law

Considering the legal aspectsConsidering the legal aspects

An exhaustive analysis of the legal An exhaustive analysis of the legal implications of performance implications of performance appraisal would be difficult, if not appraisal would be difficult, if not impossible, due to variation in impossible, due to variation in jurisdiction. jurisdiction.

There are however, principles of There are however, principles of equity and fairness that should be equity and fairness that should be upheld in any evaluation process. upheld in any evaluation process.

Punitive Action or RetaliationPunitive Action or Retaliation

Performance appraisals should not be Performance appraisals should not be used in a punitive or retaliatory fashion. used in a punitive or retaliatory fashion.

It is grossly unprofessional for a It is grossly unprofessional for a manager or supervisor to use the manager or supervisor to use the appraisal process to 'get even' with an appraisal process to 'get even' with an employee who has displeased or upset employee who has displeased or upset them in some way.them in some way.

DiscriminationDiscrimination

Appraisals should not be used to discriminate Appraisals should not be used to discriminate against employees on the basis of against employees on the basis of RaceRace ReligionReligion AgeAge GenderGender DisabilityDisability Marital statusMarital status Pregnancy, or Pregnancy, or Sexual PreferenceSexual Preference

Fair and AccurateFair and Accurate

Performance appraisal results should be fair, Performance appraisal results should be fair, accurate and supported by evidence and accurate and supported by evidence and examples. examples.

For example – For example – if an employee has poor interpersonal skills and is if an employee has poor interpersonal skills and is

harming morale, the supervisor might keep a log of harming morale, the supervisor might keep a log of incidents. Co-workers may be interviewed and incidents. Co-workers may be interviewed and recorded. recorded.

The nature and effects of the employee's The nature and effects of the employee's behavior should be documented. behavior should be documented.

A chance to respondA chance to respond

An employee should have the An employee should have the opportunity to comment on their opportunity to comment on their appraisal result, to express their appraisal result, to express their agreement or otherwise, and to agreement or otherwise, and to appeal the result or at least request appeal the result or at least request a review by supervisors.a review by supervisors.

The good and the badThe good and the bad

Appraisals should be balanced, Appraisals should be balanced, recording information on both the good recording information on both the good and the bad aspects of an employee's and the bad aspects of an employee's performance.performance.

As long as feasible.As long as feasible.

No stand alone useNo stand alone use

Appraisal results should not be used as Appraisal results should not be used as the sole basis for promotion, the sole basis for promotion, remuneration or termination decisions. remuneration or termination decisions.

A broad range of information should be A broad range of information should be considered, in which the employee's considered, in which the employee's appraisal results may be significant but appraisal results may be significant but not necessarily conclusive.not necessarily conclusive.

Opportunity to improveOpportunity to improve

Employees who receive a poor performance Employees who receive a poor performance appraisal result should be given a reasonable appraisal result should be given a reasonable chance to improve. chance to improve.

In general, it is a bad idea to dismiss, demote In general, it is a bad idea to dismiss, demote or otherwise penalize an employee because of or otherwise penalize an employee because of a single adverse appraisal result.a single adverse appraisal result.

Considering the nature and seriousness of Considering the nature and seriousness of the conduct that underlies the poor result.the conduct that underlies the poor result.

Timely feedbackTimely feedback

Provide timely feedback, especially Provide timely feedback, especially to marginal or poor performers.to marginal or poor performers.

It is not fair to offer no feedback to a It is not fair to offer no feedback to a poor performer for 12 months and poor performer for 12 months and then present them with a bad then present them with a bad appraisal. appraisal.

Be willing to offer more frequent Be willing to offer more frequent feedback and guidance. feedback and guidance.

DocumentDocument

Retain records. Retain records.

If an employee believes they have been If an employee believes they have been dealt with unfairly, they may have rights dealt with unfairly, they may have rights to instigate legal action years later. to instigate legal action years later.

In the case of poor performers, or persons In the case of poor performers, or persons dismissed or demoted, or those who resign dismissed or demoted, or those who resign or leave in less than happy circumstances, or leave in less than happy circumstances, records should be archived records should be archived indefinitelyindefinitely. .

Get a 2Get a 2ndnd opinion opinion

If an appraisal result is poor, If an appraisal result is poor, controversial or provocative ask an controversial or provocative ask an objective third party for their views on objective third party for their views on whether the appraisal result seems fair whether the appraisal result seems fair and reasonable. and reasonable.

Be prepared to modify your position if the Be prepared to modify your position if the 22ndnd opinion is not supportive of the result. opinion is not supportive of the result.

Watch your languageWatch your language

Appraisals should avoid inflammatory Appraisals should avoid inflammatory and emotive language. and emotive language.

Ensure that criticisms relate to actual Ensure that criticisms relate to actual job requirements and are not based on job requirements and are not based on personal or other irrelevant issues that personal or other irrelevant issues that have little or no connection with actual have little or no connection with actual job requirements. job requirements.

TrainingTraining

Managers and supervisors required to Managers and supervisors required to conduct staff appraisals should be conduct staff appraisals should be trained in appraisal principles and trained in appraisal principles and techniques. techniques.

ConfidentialConfidential

Appraisal results should be treated as Appraisal results should be treated as private and confidential information. private and confidential information.

Record storage should be secure Record storage should be secure and controlled. and controlled.

Only people with an approved need Only people with an approved need to know should have access to an to know should have access to an employee's performance appraisal employee's performance appraisal information. information.

ConsequencesConsequences

Conducting performance appraisals Conducting performance appraisals is one of the most demanding of all is one of the most demanding of all supervisory activities. supervisory activities.

It can be a sensitive and It can be a sensitive and controversial task which, if controversial task which, if mishandled, can cause serious mishandled, can cause serious damage to employee relations and damage to employee relations and morale. morale.