Perf App and Doc

8/6/2019 Perf App and Doc

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Personnel Appraisals and

Documentation- Dos and Donts

Presented To:

Audubon Area

Community Services

Presented By:

Susan Sears, Esq.

Dinsmore and Shohl, LLP


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The Big Three

Absenteeism and Tardiness

Performance Deficiencies Misconduct and Rule/Policy

Violations


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Absenteeism and Tardiness

-Unjustified absenteeism

and tardiness are

tremendous problems foremployers. Accurate

record-keeping and

consistent and fair

administration of an

absenteeism policy is

important in maintaining

an efficient workplace.


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Performance Deficiencies

- If accurate

documentation

regarding deficient

performance is

maintained, it will be

much easier to sustain

any discipline leviedas a result of poor

performance.


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- When an employeeengages inmisconduct orviolates work rules,the incident should bediscussed with theemployee anddocumented by the

supervisor. Thesupervisor should alsodocument the fact thathe or she discussed

the incident with theemployee.

Misconduct and Rule/Policy

Violations


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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.


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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.


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Performance Appraisals Best

Practices


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AModel Policy . . .

- Explains the importance of the

evaluation process.

-Clarifies whether the companywill consider the evaluations in

compensation decisions.

-Advises managers of theirresponsibilities regarding

employee development and

performance improvement plans.


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AModel Policy, ctd.

-A model policy should explain:

- How and when to evaluatesubordinates.

-How to complete the evaluationform.

-How the performance rating

system works.

-Whether you should first ask

subordinates to provide a self-

evaluation.

-What role goal and objective

setting plays in the process.


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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.


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Tips For Being an Appraisal

Pro

-Dont skirt the issues.

-Dont overstate goodresults.

-Be careful withlanguage.

-Be consistent.

-Think outside theboxes elaborate onmarks given.-Share you appraisalwith the employee andask for comment.

-Confront problems asthey arise.


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Facts vs. Editorializing-

Avoid reciting secondhandinformation. Use only first hand

knowledge.

Draft documents so that a thirdparty who knows nothing aboutthe situation will be able to

understand what happened. Be honest and dont embellish.

Include any past history needed tounderstand event.

Performance Appraisals How

to Document


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Be Specific and Objective-

Avoid using generalizations- for example,words like typically, or usually

The document should be datedcontemporaneously with the event. Draftas soon as possible.

If there are eyewitnesses, name them.

Specify exactly which work rule has beenviolated.

Avoid legal conclusions, which are likelyto be misconstrued.

Performance Appraisals How

to Document, ctd.


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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 bythe 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.

Performance Evaluations

How to Document, ctd.


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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 theevaluation.

Scrutinize the evaluation to

make sure it is objective

and complete.

Handling the Tough Appraisal


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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.


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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 meetstandards.

7.Meet with employee to

discuss review and

methods of improvement.


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Documents

Perf App and Doc