The Performance Appraisal Handbook-Lega lPractical Rules for Managers

8/8/2019 The Performance Appraisal Handbook-Lega lPractical Rules for Managers

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2nd edition

The Performance

Appraisal Handbook

Legal & Practical Rules for Managers

by Amy DelPo
http://www.nolo.com/


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second edton march 2007

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Acwlegmets

I woud ke to thank the foowng peope who heped make ths book possbe:

My wonderfu edtor on the irst edton of ths book, Stephane Bornsten,

whose ega experence, hard work, and attenton to deta made the inshed book

words better than the draft I handed her at the begnnng of the process. More m-

portant, her sense of humor and constant support kept me sane.

Thanks aso to my edtor on the second edton, Lsa Guern, for beng her usu-

a eficent, professona, and easy-gong sef. Ive been wrtng and edtng books

wth Lsa snce 2001, and ts aways a peasure.

MndSoves Dan Boccabea and Jeff Lyons, who came to Noo and me search-

ng for a way to serve ther customers even better. Ther desre to provde the best

and most compete nformaton to MndSove users was the nspraton for ths

book, and ther nput has heped make t an nvauabe too for frontne managers

everywhere.

Noos Sgrd Metson, whose enthusasm for ths project never waned, even

when mne dd. Wthout her vson and busness savvy, ths book never woud

have seen the ght of day. Anyone wth so much energy and so many deas s

surey a natona treasure.

The members of the advsory board: Harod Fethe, Een Loprest, Greg Lynn,

Jeff Lyons, Marge Mader-Cark, and Sgrd Metson. I cannot thank them enough

for ther nsghtfu comments and vauabe suggestons on the irst edton of ths

book. They generousy gave me the beneit of ther human resources and manage-

ment experence to make a strong book even stronger. They are eaders n ther

ieds, and I am honored to have gotten the chance to work wth them.

To Marge Mader-Cark, a crackerjack human resources expert, a gratefu thanks

for addng her voce, and thoughts, to the CD-ROM at the back of ths book. And

speakng of the CD, thanks to Rch Stm for hs expertse and sk n puttng t a

together for me.

Researcher Stan Jacobson, who haunted countess brares searchng out every

book and artce that I requestedand who dd t a wth a sme.

Proofreader Susan Carson Greene, whose carefu eyes kept many errors out of

the inshed product.

Susan Putney for a wonderfu cover desgn. She had the unenvabe task of

takng my vague deas and turnng them nto somethng reaand terric.

Terr Hearsh for desgnng the book.

AndinayId ke to dedcate ths book to my son, Chare, who was born

just before I started work on ths project. Hs sme ghts up the word.


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Abut the Auth

Attorney Amy DePo brngs more than sx years of crmna and cv tgaton

experence to her work at Noo, havng tgated cases n a eves of state and

federa courts, ncudng the Caforna Supreme Court and the U.S. Supreme Court.

Before jonng Noos staff n January 2000, DePo specazed n empoyment

aw, handng a wde varety of dsputes between empoyers and empoyees,

ncudng sexua harassment, dscrmnaton, and wage-and-hour ssues. DePo has

wrtten and edted numerous empoyoment aw ttes for Noo, ncudngDealing

With Problem Employees(coauthor) and Create Your Own Employee Handbook

(coauthor). DePo receved her aw degree wth honors from the Unversty of

North Carona at Chape H. She ves n Denver, Coorado, wth her husband

and two chdren.
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Abut the Avsy Ba

Hal Fethe

Harod Fethe served as Senor Vce Presdent at ALZA Corporaton, a eadng pro-

vder of drug devery technooges, ocated n Scon Vaey. In hs 30 years at

ALZA, Mr. Fethe managed more than 20 annua performance apprasa cyces that

produced more than 30,000 ndvdua revews. Durng ths tme, the companys

empoyment counse rated the company best managed among ts many Bay

Area cents. Mr. Fethe aso heped deveop and patent an onne user nterface

for performance feedback, whch formed the bass for MndSove Technooges,

an entrepreneura performance management company now n ts eghth year of

doube-dgt growth.

Elle Lest

Een Loprest s the drector of executve performance management for Capgemn

(formery Ernst & Young), one of the words eadng provders of consutng,

technoogy, and outsourcng servces. In her 12 years wth the company, she has

been the drvng force behnd the desgn and mpementaton of hghy effectve

performance management processes affectng thousands of empoyees, wth a fo-

cus on dentfyng and deveopng hgh-potenta eaders. Ms. Loprest aso worked

as a human resources consutant for both the U.S. Department of Heath and

Human Servces and the Hay Group. She hods a masters degree n ndustra/

organzatona psychoogy from the Unversty of Batmore and a bacheors

degree n psychoogy and busness from Ithaca Coege.

Geg Ly

Greg Lynn serves as the manager of performance management for JEA n

Jacksonve, Forda, one of the argest muncpa uttes n the Unted States.

In hs 25 years wth JEA, Mr. Lynn has hed a varety of strategc postons, ncud-

ng drector of empoyee and organzatona deveopment, drector of tranng and

safety, and manager of quaty contro. He has worked to deveop systems to

empower empoyees and measure performance feedback and reward structures.

Mr. Lynn hods a bacheors degree n ndustra management from the Georga

Insttute of Technoogy.


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Jeff Lys

Jeff Lyons n one of the foundng prncpas of MndSove Technooges and

codesgner of MndSoves ndustry-eadng software sute, MndSove Vsua

Performance (MVP). Mr. Lyons serves as the companys Chef Cent Oficer(CCO)the buck-stops-here pont person for MndSoves customers and a

key factator and advser from the earest stages of cent reatonshps. In hs

10 years of experence wth enterprse-eve performance systems, Mr. Lyons has

consuted n the desgn, mpementaton, and admnstraton of onne performance

assessment and deveopment processes for a dverse, wordwde cent base,

ncudng Pizer, Schroder Investment Management, Sonoco Products, and

Capgemn.

Mage Mae-ClaMarge Mader-Cark has spent more than 16 years n the ied of human resources,

durng whch she has hed executve and senor management postons n

numerous natona and goba enterprses, ncudng Vontu, Hyperon Soutons,

mypay (BMG Records), Amerca OnLne, Netscape Communcatons, DataFex,

and Network Equpment Technooges. Ms. Mader-Cark has served as a consutant

for start-up and mdszed companes, specazng n organzatona effectveness,

change ntatves, and eadershp coachng. She s the author of Noos The Job

Description Handbook. In addton, she serves on the board of the nternatona

charty Gfts-n-Knd, Inc.

Sg Mets

Sgrd Metson has hed senor management postons at eadng pubshers

ncudng Noo, West, Bancroft-Whtney (the Thomson Corporaton), CareThere,

and Reference Software. Wth expertse n budng hgh-performance teams

and process reengneerng, she has ntroduced more than 30 nformaton-based

products to market. Ms. Metson aso payed eadershp roes n the acqustons

and ntegratons of Lega Soutons, The Rutter Group, Barcays, and West

Pubshng. In addton, she has edted severa ttes hersef, ncudng Secrets of

Successful Writing(RSI).

Cag Vc

Crag Vck has worked n the ied of human resources for 14 years, durng whch

he hed executve postons at Owens and Mnor Medca, Inc. and Chowan
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Coege, where he aso served as adjunct facuty. Mr. Vcks expertse ncudes

tranng and empoyee deveopment, preventve abor reatons, strategc pannng,

and performance management. He has aso served on the boards of the Urban

League of Greater Rchmond and the Natona Industry Lason Group, and

currenty serves as the board charperson of the Rchmond Industry Lason Group.

Mr. Vck hods both a masters degree n educaton and a bacheors degree n

busness admnstraton from East Carona Unversty.


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Table f Ctets

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d h d ..........................................................................31

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Ituct

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THE pErForMAnCE ApprAISAL HAndBook

If you are ke most managers, conductng performance evauatons s a reguar

part of your job. A too often, however, managers are tod to do performance

evauatons wthout recevng gudance on how to do them we. Ths book

is that vod, provdng you wth the nformaton and toos you need to make your

companys performance apprasa process worthwhe, effectve, and even peasant

for your staff and you. Ths book aso does somethng that s a too rare n a how-to

book for managers: It educates you about empoyment aw so that you can avod ega

troube for your company and yoursef whe usng your ega knowedge to manage

your workforce more effectvey.

Ths book provdes you wth the most cuttng edge technques for conductng

effectve performance revews. Usng the gudenes presented here w ensure that

you contnuousy mprove the performance of your staff and your department each

and every day. Indeed, theres no better way to keep your team performng at ts

peakand to keep your company at the top of ts game.

The Value f pefmace Evaluats

If youve been tod to conduct performance evauatons, ts because the peope

who run your company reaze that a performance evauaton system can dever

mportant beneits and mprove the success of each empoyee, each department,

and, utmatey, your entre company. And, ts no wonder why. If done propery,

performance apprasas can: motvate empoyees to perform better and produce more

hep you dentfy deveopment and tranng needs

hep empoyees understand how they can deveop and grow

ncrease empoyee morae

mprove the respect empoyees have for ther managers and senor

management

foster good communcaton between your staff and you

dentfy poor performers and hep them get on track, and

ay the groundwork to ire poor performers awfuy and fary f they dontmprove.


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InTrodUCTIon

The Value f Legal kwlege

As you may have been tod, conductng a shoddy performance apprasa can get

your companyand younto ega troube. Theres no pont n sugarcoatng t for

you: Wrtng the wrong thngs on a performance apprasa or dong the apprasa

unfary or mpropery can have devastatng consequences f you are sued by an

empoyee. Avodabe mstakes can cost your company a ot of money and cost you

a ot of tme and seepand even your job or reputaton.

It behooves you, then, to gan a basc understandng of the ega prncpes that

appy to performance apprasas so that you can avod such mstakes. Ths book

presents, n pan Engsh, everythng you need to know about the aw as t appes

to performance apprasas. Armed wth ths knowedge, you can conduct effectve

performance evauatons wth conidence that you are on safe ega ground.

Wh Wte Ths B

The peope who created ths book are not academcsthey are empoyment

awyers, frontne managers, and human resource professonas. They know about

performance apprasas from years of rea-word experence. They brng a varety

of perspectves to the nformaton presented here.

Author Amy DePo s an attorney who has represented empoyees n awsuts

aganst ther empoyers and managers. In case after case, the performance

evauatons payed a pvota roe, ether nocuatng the company from abty

because the manager dd such an effectve and far jobor bowng the case wde

open because the manager dd somethng wrong. In addton to ths experence,

DePo has spent countess hours speakng wth empoyees, managers, and

busness owners and educatng hersef about the atest research on performance

apprasa. She has wrtten ive books and numerous artces n the ieds of

empoyment aw and human resources. In ths, her atest book, DePo appes her

expert knowedge of performance apprasa systems to gude managers through

what works, what doesnt, and what w ether hep or hurt f an empoyee

decdes to sue.

Ths book was revewed by an advsory board made up of human resources

professonas and managers who have desgned and mpemented performance

evauaton systems n companes of a types and szes. The advsory board

members have earned through tra and error how to run apprasa systems

that are as effectve as they are egay sound. The board contrbuted vauabe

suggestons to the content of ths book.


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Wh Shul rea Ths B

Ths book s for anyone who evauates empoyee performance: managers,

supervsors, executves, and human resources professonas. It tes you how to

conduct performance apprasas that are effectve and egay sound, wthn your

companys exstng systems.

Ths book s for peope who work n prvate workpaces. Empoyment aw

operates sghty dfferenty n government workpaces, and those dfferences are

beyond the scope of ths book.

If the empoyees of your company beong to one or more unons, much n ths

book w be usefu to you. Be aware, however, that any coectve barganng

agreement between a unon and your company may change some of the

ega rghts and obgatons descrbed here and may requre your performance

evauaton system to dffer from the one presented n ths book. Do not rey on

ths book to nterpret your coectve barganng agreement.

Hw t Use Ths B

Thnk of ths book as a companon to your companys performance apprasa

system. Here you have the practca and ega gudance you need to work wthn

your system and the aw.

If ths book ever conlcts wth your system, you shoud foow your system and

consut your human resources manager.

In each chapter, you w ind severa checksts to hep you remember the

mportant practca and ega prncpes nvoved n the task at hand. You can

ind tear-out versons of a the checksts and forms n Appendx B and on the

CD-ROM at the back of the book. The CD aso ncudes an ntervew wth the

author and a speca bonus ntervew wth Marge Mader-Cark, author ofThe Job

Description Handbook, on usng job descrptons as a performance management

too.

Ths book uses a mode performance evauaton system, compete wth forms

and sampes. If your company does not have a system n pace, then you are free

to use the forms we provde. If your company does have a system, however, you

shoud use your companys forms.


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InTrodUCTIon

Ics Use Ths B

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Chate 1

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rp f epy .......................................................................................... 13

F F..................................................................................................... 15

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d, d, d .......................................................................... 16

Y r ............................................................................................................................ 17

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CHApTEr 1: An oVErVIEW oF pErForMAnCE ApprAISAL

Its a common msconcepton that performance apprasa entas smpy ing out

an evauaton formanswerng prefabrcated questons and checkng boxes. If

ths were the case, you woudnt need an entre book to hep you do t rght, and

your evauaton woudnt be worth the paper you wrote t on.

When done correcty, performance apprasa s a process, not a documentt s a

way of structurng your reatonshp wth your empoyees. A good apprasa system

ncudes observaton, documentaton, and communcaton. It envsons a workpace

n whch supervsors know what s happenng n ther departments (who s dong

what and how we) and document empoyee performance as t occurs. Supervsors

and ther empoyees shoud have open nes of communcaton. Empoyees shoud

know how they are dong so they can make adjustments when they veer off

track. Supervsors shoud know what obstaces get n the way of ther empoyees

performance so they can remove those obstaces as they arse.

Performance evauatons provde vauabe contnuty n a word where empoyees

can change departments and managers durng the course of a year. Often, a manager

doesnt have the beneit of havng observed an empoyee for the entre apprasa

perod. If every manager documents empoyee performance on an ongong bass, the

new manager can more easy pck up where the od manager eft off.

Proper performance evauatons aso provde mportant ega protecton for

your company and you. Sooner or ater, despte your best efforts, you are bound to

have dficutes wth an empoyee. When ths happens, an effectve, egay sound

performance evauaton system can serve as your irst ne of defense. Not ony w

t hep you dentfy and dea wth most empoyee probems before they rage out

of contro, t w aso ay the groundwork for dscpne and, f necessary, egay

defensbe termnaton when probems cannot be resoved.

Most awsuts arse from the emotona state of the empoyee. Empoyees who fee

treated unfary or who are surprsed by an unfavorabe management decson are

more key to compan and to sue. Performance evauatons make the workpace

more far and predctabe, thereby reducng the chances of dsgruntedand,

therefore, tgousempoyees.

Ths chapter provdes an overvew of performance evauaton systems by exporng

ther beneits, consderng the quates shared by effectve systems, and ntroducng

you to the steps n the mode system ths book presents.


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10 THE pErForMAnCE ApprAISAL HAndBook


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CHApTEr 1: An oVErVIEW oF pErForMAnCE ApprAISAL 11

The Beeits f a pefmace Evaluat System

Most successfu supervsors share common goas and chaenges, ncudng how

to tap nto the potenta of each empoyee. You understand that your company

beneits when empoyees fee ke part of a teamoya to ther coworkers, ther

company, and you (ther manager). As you know, ts sound pocy to reward good

empoyees, encourage productve empoyees to strve for more, and hep wayward

empoyees get back on track. And, on occason, you w need to et go of probem

empoyees who, despte a efforts, cannot or w not do ther jobs satsfactory.

An effectve performance apprasa system w hep you acheve a of these

endsand moreby provdng a sod foundaton for a aspects of the empoyer/

empoyee reatonshp. Such a system can hep you:

determne how the job of each empoyee can further the overa goas of the

organzaton

examne each empoyee as an ndvdua to evauate the empoyees

strengths and weaknesses

dentfy and reward good empoyees, n order to foster oyaty and motvate

empoyees to contnue to acheve

keep empoyee morae hgh through contnuous feedback

stay on top of the needs of your workforce to ensure empoyee retenton

and ncrease productvty and nnovaton

reduce the rsk of compants and tgaton by ensurng that empoyees fee

treated fary and are not surprsed by management decsons, and

dentfy and dea wth probem empoyees to ether turn those empoyees

nto vauabe, productve workers or ay the groundwork for dscpne and,

f necessary, termnaton.

A of ths transates nto better empoyee performance, whch eads to better

departmenta performance, whch eads to a more successfu company. Indeed, an

entre body of current research connects performance evauaton systems ke the

one descrbed n ths book to mproved empoyeeand companyperformance.

Ths book often revsts the beneits you can gan from an effectve performance

evauaton system. The rues ths book presents are desgned to ensure that you

reap a of these beneits from your own system.


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29/224


The Elemets f a Effectve System

Ths book s desgned to compement the performance apprasa system aready

n pace at your company. These systems have an ninte number of varatons, so

the dscusson here wont aways match what you ind n your companys system.

For exampe, the terms used here may not match the terms your company uses, or

your company may requre coordnaton wth your human resources department,

somethng ths book does not dscuss. Your company may have a snge pace

for storng performance records, whereas the system descrbed here assumes that

managers keep ther own ies.

Athough you shoud pay attenton to these dfferencesand foow your

companys ruesknow that most of these varatons are cosmetc. A effectve

performance apprasa systems share the same basc quates, and those are the

themes that you shoud take away from ths book and appy to the system n pace

at your company.

Ths secton dscusses some specic quates that a effectve performance

evauaton systems share, payng partcuar attenton to those that you as a

manager can contro.

A Fa a Cmmucatve Evmet

The most effectve performance apprasa systems pace concern for the empoyee

at ther core. The reaty s that you cannot contro your empoyees behavorony they contro how they perform ther jobs. Research has shown, however, that

the majorty of empoyees want to perform we; the key s to provde them wth

the rght envronment n whch to do so. Such an envronment ncudes support,

communcaton, coaboraton, and far treatmentthe very quates created by

effectve performance apprasa systems. In addton, a far and communcatve

envronment buds empoyee morae.

resect f the Emlyee

You can foow every step n ths book, but f you dont demonstrate afundamenta respect for your empoyees, you w fa. Ths respect s the

foundaton for any effectve performance evauaton system. Empoyees who fee

respected are more key to buy nto the apprasa systemto partcpate fuy and

sncerey n settng goas and to strve hard to perform to the standards you set.

On the other hand, empoyees who dont fee respected w show that same ack

of respect for you and your efforts to mprove ther performance.


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Mey, Mey, Mey

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Fcus the Futue

If, at ts heart, a performance apprasa process s desgned to mprove empoyee

performance, then a manager shoud emphasze what the empoyee can do gong

forward, not how the empoyee dd n the past. The past can nform your deasabout the future, but t shoudnt be the soe focus of the apprasa process.

Ths means that you shoud spend the buk of the apprasa meetng on

dentfyng goas for the next year and takng about how the empoyee can

acheve them. It aso means that your feedback throughout the year shoud not

punsh or shame empoyees for bad performance, but hep empoyees see when

ther performance s sppng and strategze wth them on how to mprove. Ths

doesnt mean that ookng at past performance has no pace n the process;

ndeed, at each evauaton you shoud dscuss whether and how the empoyee met

the goas set at the prevous evauaton. But you shoud ook to the past wth thegoa of earnng from t, so that the ook backward s deveopmenta and hepfu to

the empoyee, rather than puntve.

Emlyee patcat

Another eement common to successfu performance evauaton systems s

empoyee partcpaton. Empoyees must pay a key roe, partcpatng n

everythng from wrtng job descrptons, to dentfyng ther own goas and

standards, to assessng how we they have performed.

You can ncrease empoyees job satsfacton and engender ther trust n the

apprasa system by brngng them nto the oop and gvng them power and

responsbty for drectng and assessng ther own performance. Ths satsfacton

and trust eads empoyees to accept the companys apprasa process and make a

commtment to ther own deveopment.

In addton, you need the nformaton that your empoyees can brng to the

tabe. Your empoyees are often n the best poston to answer the questons posed

durng the apprasa process; at the very east, they can provde some cruca

nsghts. These questons ncude:

How can they hep the company acheve ts goas?

How much can be expected from someone n a gven job?

Are there any organzatona mpedments to ther performance?

Is there anythng you can provde to hep them perform better?

How we have they acheved ther own goas?


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Research has shown that when empoyees are nvoved n goa settng, the

goas they set are hgher and more demandng than goas that managers set aone.

Empoyees w push the enveope, often demandng more of themseves than you

mght demand of them.

Empoyee partcpaton promotes teamwork. It gves the two of you the sense

of workng together rather than beng on opposte sdes of the fence. It aso

reduces the chances that you w mss out on mportant nformaton or nsghts

you coud share wth each other.

ogg Feebac

Gvng empoyees feedbackboth postve and negatveas crcumstances

warrant s another mportant feature of an effectve performance evauaton

system. If you te empoyees what you thnk of ther performance ony once ayear, youve wasted a ot of opportuntes throughout the year to encourage good

performance and to hep empoyees who are struggng get back on track.

Feedback aso heps empoyees adjust as crcumstances change throughout the

year. The mportance of certan goas may shft; obstaces may appear; empoyees

may ose motvaton or focus. Your feedback w te empoyees what s st

mportant, what s no onger mportant, and what they can do to acheve ther

goas n the face of these changes.

Studes have shown that wthout feedback, a performance apprasa system

aone w not mprove empoyee performance. Postve feedback, often partcuarynegected, s mportant: Provdng postve feedback whenever approprate gves

empoyees a sense of accompshment and apprecaton, whe hghghtng

standards for how they shoud contnue to perform.

dcumet, dcumet, dcumet

Ongong and accurate documentaton s the crux of a good performance apprasa

system. Documentaton spannng the entre apprasa perod ensures that your

revew w be far and accurate and gves you rock-sod support n case of a

awsut. Wthout good documentaton of an empoyees performance throughout

the year, a you have are memores and gut feengs, nether of whch are

reabe or egay safe.

In addton, good documentaton provdes contnuty shoud the empoyee

change departments or managers. If the od manager propery documented the


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empoyees performance, the new manager can take over more easy than f no

record exsted.

Ths book provdes you wth a method for documentng empoyee performance

throughout the year that does not requre too much tme or effort. In fact,

foowng the suggested methods n ths book w actuay save you tme and

make the apprasa process easer n the ong run. Wth proper documentaton,

you can avod once and for a the horrbe feeng of havng to wrte a year-end

apprasa for an empoyee whose performance you can barey reca.

Yu rle

Performance apprasa s not a human resources ssue; ts a management ssue.

For that reason, youas the managerare the key to ts success. You must buynto the process and commt to t. Your roe n the process ncudes, of course,

foowng any steps requred by your companys system. Regardess of the system

your company uses, to do ths we you must set standards and goas, observe and

document performance, gve feedback, and conduct apprasa meetngs.

Your roe goes beyond these dutes, however. As a manager responsbe for

mpementng the performance evauaton system, you are ke a brdge between

the company and the empoyee. You must be frend to both, aways mndfu of

the companys overa needs and strategc pan whe at the same tme actng

as somethng of an advocate for your empoyees. Athough ths s trcky andsomewhat controversa, ts mportant, because both your company and your team

need you. You shoud work to create an envronment n whch your empoyees

and the company as a whoecan perform at ther best.

As such, your atttude s key to the success of the process. If you thnk that

performance apprasa s an annoyng waste of tme, your empoyees w, too. If,

on the other hand, you are enthusastc and optmstc about the chance to work

wth your empoyees to mprove ther performance and ther experences at work,

many of your empoyees w share n your enthusasm. If you thnk the apprasa

system s worthwhe, so w they. If you commt yoursef to t, you ncrease thekehood that they w, too. Your stye and vson n ayng the proper foundaton

for performance management w determne n arge part whether the system

succeeds or fas.

To motvate your empoyees to perform we, you must do more than just

provde an encouragng word here or there (though encouragng words certany

hep). For empoyees to commt to ther jobs and have the desre to perform we,

some or a of the foowng must occur:


34/224


They must fee that ther jobs gve them the opportunty to accompsh

somethng that s mportant or worthwhe.

They must have the resources they need to do ther jobs and meet ther

standards and goas.

They must receve feedback so that they aways know what s expected of

them and whether they are meetng those expectatons.

They must receve recognton for what they do. Athough ths recognton

shoud ncude rases and bonuses, ts just as mportant to recognze

empoyees n nonmonetary waysfor exampe, through a postve wrte-up

n the company newsetter, a memo commendng the empoyee on a job

we done that you copy to company hgher-ups, or an announcement of

prase at a company meetng.

They must be gven the opportunty to grow and deveop. They shoud not

be asked to do thngs they smpy cannot do (because, for exampe, they

dont have the sks or the resources), but they shoud be chaenged by

ther jobs and asked to do more and dfferent thngs. They must fee a

comfortabe stretch when accompshng some of ther tasks.

They must gan autonomy and responsbty as they demonstrate ther

abtes.

They must fee free to express ther opnons and deas about ther jobs, any

obstaces to performance, and how the company can run better.

Management must sten to them.

They must fee ke an mportant part of the companys success.

Obvousy, you arent n contro of a of these factors, but you are n contro

of a number of them. For exampe, you can gve recognton and you can, and

shoud, sten. You can aso work hard to get the resources your empoyees need.

Athough you cant change job descrptons fundamentay, you can ncrease a

persons responsbty as that person demonstrates an abty and desre to take on

new responsbtes. For exampe, are there thngs on your own to-do st that you

coud assgn to an empoyee you supervse nstead of dong yoursef?

Mel Aasal System

Ths book gudes you through a mode performance apprasa system, devotng a

chapter to each step you shoud take aong the way. The system at your workpace

may not exacty match the one presented n ths book. Vrtuay a apprasa

systems, however, w contan some or a of the steps that ths book dscusses:


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ressbltes a pefmace Aasal System

t py c p

P pp

t i jb q

ob py

pf

P fbk py

P pp

t

py

fy jb

c p f w

q

e b py

pf

t py fbk f

Pf by q

P fbk b

wk

Work wth empoyees to set job-reated goas and standards for ther

performance. Chapter 3 shows you how.

Reguary observe and document empoyee performance n reaton to these

goas and standards. Chapter 4 gves you the toos you need.

Meet wth empoyees perodcay to dscuss ther performance and to

redeine ther goas, f necessary. Chapters 4 and 5 expan how.

Conduct a forma performance apprasa at the end of each year. Chapter 6

covers ths step.

Before movng nto a dscusson of each step you shoud take, Chapter 2 pauses

to expan the ega consequences of performance evauatons and common ega

traps that youand your companycan avod.


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Test Yu kwlege

Quests

1. The wrtten, year-end evauaton s the most mportant aspect

of a performance apprasa system.

True Fase

2. You are n contro of your empoyees performance. True Fase

3. Your prmary focus n dong a performance evauaton s to

revew each task an empoyee dd n the past year to assess

how we he or she performed.

True Fase

4. Empoyee nvovement n a performance evauaton s mted

to stenng to what you have to say and foowng your

nstructons.

True Fase

5. Empoyees often know more than you do about ther jobs

and how we they have performed them.

True Fase

6. If you aow empoyees to partcpate n settng ther own

performance goas, they w set easer goas for themseves

than you woud set for them.

True Fase

7. You shoud gve empoyees feedback throughout the year, not

just at forma, year-end revews.

True Fase

8. If you have a good memory, documentaton s a waste of

tme.

True Fase

9. Documentaton can hep you n case of a awsut. True Fase

10. If your companys system snt the same as the one descrbed

n ths book, the book w be useess to you.

True Fase


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Aswes

1. False. Performance apprasa s a process, not a pece of paper. No part of the

process s the most mportant; a aspects of the system work together.

. False. You can gude empoyees and contro many of the crcumstances theyencounter, but utmatey, ony empoyees contro how they perform.

. False.You shoud ook toward the future, not dwe on the past. You and the

empoyee can earn from what happened over the past year, but focusng on t

too much destroys the evauatons use as a deveopmenta too.

. False. Empoyees shoud, of course, sten and foow nstructons, but ther

roe n performance apprasa s much broader. Each empoyee shoud pay an

ntegra roe n hs or her own performance evauaton process, from settng

goas to assessng hs or her own performance.

. Tue. Empoyees are often on the front ne of your busness. You can earn

a ot from them about what happens n your workpace, what obstaces they

face, and how they are performng.

6. False. In a workpace that uses an effectve performance evauaton system,

empoyees tend to set hgher goas for themseves than ther managers woud

set for them.

7. Tue. Ongong feedback, both postve and negatve, s an mportant aspect of

a successfu performance evauaton system.

. False. No matter how good your memory, documentng empoyee performance

as t occurs w gve you a much more detaed, accurate, and reabe

pcture of an empoyees performance over the course of an entre year. Aso,

documentaton s necessary to create a record that supports your actons n

case of a awsut.

. Tue. If someone sues your company, what you say wont be worth much

f you dont have evdence to back t up; documentaton can provde that

evdence. A cear, wrtten record that supports your statements and expansyour actons can go a ong way toward protectng your companyand youf

an empoyee sues.

10. False. A effectve apprasa systems share some or a of the steps, and

most of the prncpes, dscussed n ths book. Understandng the mode

performance apprasa system presented here w make you a better manager

and a better partcpant n your companys performance evauaton process.n


38/224


39/224

Chate

Legal Tas

d dy a-W rp ........................................................................ 26

d u P t .................................................................... 28

d h d ......................................................................................... 31

d r ................................................................................................................... 37

d F d .............................................................................................. 37

ck: a tb ............................................................................ 38


40/224


cp h

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41/224

CHApTEr : LEGAL TrApS

In any wrongfu termnaton or empoyment dscrmnaton awsut, one of the

irst thngs the empoyees attorney w ask for are the empoyees performance

evauatons. The attorney s dggng for the pece of evdence that w prove

the empoyees case or dsprove the empoyers caseand n many stuatons, thats

exacty what the attorney w ind. Its amazng how many evauatons contan the

proverba smokng gun that makes an empoyees case. Perhaps the evauaton uses

raca surs or stereotypes, or maybe t drecty contradcts the reasons the company

now asserts for termnatng the empoyee. Whatever the ega gaffe, a manager wth a

basc understandng of the aw woud not have faen nto the same trap.

The good news s that you dont have to do a ot of extra work just to safeguard

aganst the reatvey rare event of a awsut. Many of the rues you must foow to keep

your apprasas wthn the bounds of the aw are the same rues ths book descrbes

for effectve performance apprasa. Thus, you can k two brds wth one stone, so to

speak, by foowng the practces descrbed n ths book. Specicay:

You must communcate honesty wth your empoyees.

You must provde your empoyees wth reguar feedback.

Your evauatons must be accurate and precse.

You must document everythng you say and concude.

A of your statements must be reated to the job the empoyee performs.

You must aways treat empoyees wth consderaton and respect.

As you contnue to read ths book, you w earn more about these rues and how

they hep make performance evauatons effectve, far, and, as a bonus, awfu.

For an added measure of securty, ths chapter aerts you to the most common

ega traps you face when wrtng performance evauatonsand tes you how to avod

them. Armed wth ths knowedge and wth the gudenes provded throughout the

remander of ths book, your company and you w be on safe ega ground when

conductng performance apprasas.

The truth s, however, that awsuts are reatvey rare. Dont get too wrapped up n

worryng about preventng them. As ong as you foow good management practces

to create a good and postve work envronment for your empoyees, and you keep n

mnd the tps n ths chapter, you be just ine.

dt ueme yu evew evew stuats. t p

y pf p: w

y- . B y y pf

w py, f , y b w f

p. F xp, py-p p w y y b

p b w b w pf


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pb. Y w f bw f y pf

w f py k b y w py

b y w y. e wy, y bkp f y w. ow, y

b py y.

dt desty the At-Wll relatsh

Most of the empoyees who work for you do so on an at-w bass. Ths

means that nether they, nor the company, are bound to any sort of empoyment

contract, and, when you termnate them, you do not have to worry about havng

any specic justicaton to do so. At-w empoyees can qut at any tme for any

reason, and you can ire them at any tme for any reason that snt ega. Reasons

for termnatng empoyees that are not ega ncude, for exampe, irng empoyees

because of ther race or age or because they refused to work n hazardous

condtons or off the cock.

Instead of havng an at-w reatonshp wth ts empoyees, a company can

create a stuaton n whch t can ony ire the empoyee for just cause. Ths

means that the empoyer must have a egtmate busness-reated reason for irng

the empoyee, such as poor performance, ow productvty, voent behavor, or a

egtmate ayoff or downszng.

The defaut empoyment status of most workers s at-w. To change t, the

empoyer must create a contract, ether by somethng t wrtes or somethng t

says (through ts executves and managers) that mpes that the empoyees job s

secure.

If yu ee me fmat. F p f py-

w py,

f , -w py, py ,

Dealing With Problem Employees, by ay dP g (n).

At-w empoyees are easer to ire because you dont have to prove that youhad just cause for the irng. You can ire at-w empoyees for any reason that snt

egafor exampe, you dont thnk they contrbute much or they are mean to

ther coworkersor for no reason at a. The ony thng you need to consder and

prepare for before irng an at-w empoyee s how to counter any cam that the

irng was ega.
http://www.nolo.com/product.cfm/ObjectID/E428892F-049F-4218-B97D42120F8CBC76/111/259/http://www.nolo.com/product.cfm/ObjectID/E428892F-049F-4218-B97D42120F8CBC76/111/259/http://www.nolo.com/product.cfm/ObjectID/E428892F-049F-4218-B97D42120F8CBC76/111/259/


43/224

CHApTEr : LEGAL TrApS 7

Ths rght to termnate empoyees wthout havng to prove just cause s an

mportant one, and t can make the dfference between wnnng and osng a

wrongfu termnaton awsut. Prudent empoyersand ther managersguard the

at-w status of ther empoyees carefuy.

Unfortunatey for empoyers, an empoyment contract destroyng the at-w

reatonshp doesnt have to be sgned by the empoyer, or even wrtten on a

pece of paper. Managers can create such an empoyment contract unntentonay

through the thngs they say to empoyeesthngs that mpy a promse of

contnued empoyment. If you make statements to an empoyee, ether verbay

or by wrtng them n a performance evauaton, that contradct the no-strngs-

attached terms of an at-w reatonshp, you may create an empoyment contract

that destroys the at-w reatonshp, even though you dont ntend to. You coud

create such an mped contract f, for exampe, you te an empoyee somethng

ke, For as ong as I run ths department, there w be a job for you here.

Performance apprasa s one stuaton n whch managers can destroy the at-

w reatonshp wthout meanng to. In a we-meanng but msguded attempt

to compment the empoyee or to convey how mportant the empoyee s to

the company, the manager mght make promses or use anguage that mpes a

commtment beyond the at-w reatonshp that currenty exsts.

Consder the foowng statements made by managers durng performance

evauatons. The anguage n tacs s partcuary probematc and coud destroy

the at-w reatonshp:

Paus work s consstenty exceent.He has a bright future at this company.

Jane recorded hgher-than-expected saes for the fourth consecutve quarter.

If she contnues to perform at these eves,she could be senior vice president

for sales within the next two years.

For as ong as Mya contnues to perform at these eves, she will have a job

in this company.

As usua, Sara ddnt dsappont durng ths revew perod.If she continues

on this performance trajectory,theres no telling how far she will go in this

company.

Omar s a peasure to work wth.I hope that he remains at this company for

a long time.

A of Juans coworkers ove workng wth hm. We hope he makes this

company his professional home for the rest of his career.

Ly seems unsure about her future here.I reassured her that her job was

secure.


44/224


Beyond the ega mpcatons of undermnng the at-w reatonshp, on a

persona eve ts unfar and unknd to gve empoyees a fase sense of securty.

Athough ts approprate and even mandatory for you to prase an empoyee for a

job we done, dont add a promse to the prase; that way, everyone understands

the rues of the reatonshp and a ired empoyee w be ess key to brng a

wrongfu termnaton awsut. Even f you mean what you say, you dont have a

crysta ba. You cant know that the reatonshp wont go sour, that the empoyee

wont deveop troubng work habts, or that the company wont someday need to

trm ts workforce. If you stck to takng about the empoyees performancethat

s, how the empoyee has performed n the past and what goas and requrements

you expect the empoyee to meet n the futureyour evauatons w not destroy

the at-w reatonshp.

dt Ueme ptetal Temats

If you ire an empoyee, the empoyees performance evauatons must supportor

at the very east not contradctthe reasons you gve for the irng. And, because

you cant go back and create evauatons after someone s ired, you must wrte

evauatons wth ths rue n mnd, even f you have no current pans to termnate

the empoyee.

Consder the foowng exampesa taken from rea-fe casesn whch

performance evauatons payed a sgnicant roe.

EXAMpLE 1: A hospta ires an Afrcan-Amercan doctor. She does not have

an empoyment contract, so the hospta does not need just cause to ire her.

Nonetheess, the doctor ies a wrongfu termnaton awsut, camng that

she was ired because of her race. When she ies her awsut, she has no

rea evdence of raca dscrmnaton; her case s based on her beef that

she was aways treated more harshy than her coworkers, most of whom

were whte men. The hospta responds by assertng that she was ired

because of her poor dagnostc sks and her nabty to get aong wth her

coworkers. Her attorney requests her performance evauatons.

Unfortunatey for the hospta, the doctors evauatons a gve her good

marks for dagnostc sksnot the hghest ratngs, but certany acceptabe

onesand none of them mentons personaty dficutes. In fact, one

specicay prases the doctor for how we she works wth the nurses and

staff. Even though the doctor st has no proof of raca dscrmnaton, she


45/224


now has evdence that makes hospta management ook ke ts yng about

why t ired her. And the argument her attorney w make to a jury s that

the ony reason to e s to cover up ega motves for the termnaton, such

as raca dscrmnaton. The hospta knows a osng case when t sees one

and settes the case before tra.

EXAMpLE : A company ires a computer programmer, camng that he has

a dficut and dsruptve personaty. The programmer beeves he was ired

because he companed to superors about the companys ega practce

of usng copyrghted software wthout a cense. Athough the programmer

was an at-w empoyee, he ies a wrongfu termnaton case because

he beeves he was ired for an ega reason (hs compant about the

companys ega conduct). The programmers performance evauatons do

not prase hs personaty, but none of them menton any dficutes.The case goes to tra, and the programmers attorney asks the jury to

consder the obvous queston: If the company had a probem wth the

programmers personaty, why ddnt ths ssue show up on any of hs

evauatons? The answer, the attorney suggests, s that the company s yng

to cover up ts ega motves for the termnaton. The jury s convnced, and

the programmer wns the case.

EXAMpLE : A doctors ofice ires a nurse, camng that she s often ate,

doesnt carry her share of the workoad, and s rude to patents. The nurse,

who has an empoyment contract that says she cannot be ired wthout just

cause, sues. Athough a of the reasons asserted by the ofice consttute

just cause, the ofice must now prove them n the awsut. The nurses

performance evauatons are sent on a of the reevant ssues and are, n

fact, generay postve about her medca sks. The doctors ofice does,

however, have other evdence of the nurses tardnessher tmesheetsand

has some wrtten compants from patents to support ts cam that she was

rude. Regardess, the fact that her performance evauatons were sent on

these ssues presents a hurde the doctors ofice must overcome.

In the end, the ofice decdes to sette the case, feeng nsecure about

whether t can convnce a jury of ts poston n ght of what t dd not

ncude n the nurses performance evauatons.


46/224


In each of these cases, and hundreds more ke them each year, the empoyees

performance evauatons sunk the company for one of two reasons: They ether

(1) drecty contradcted the companys asserted reasons for irng the empoyee,

or (2) were sent on the subject of the companys asserted reasons for irng the

empoyee.

Each of these cases woud key have swung the other way f ony the

manager conductng the empoyees evauatons had done a better job. Who

knows why the evauatons n these cases ddnt support the companys stated

reasons for irng the empoyee? Perhaps the manager was tryng to be knd and

spare the empoyees feengs, or perhaps the manager ddnt have a good grasp

of the empoyees performance probems or was never traned propery on the

mportance of effectve performance apprasa.

Whatever the reason, the essons are cear:

Tell the tuth. A performance evauaton s not the pace to spare an

empoyees feengs or gnore poor conduct just because you want to avod

confrontaton. Theres no need to use harsh anguage or be crue, but you

must be cear, precse, and frank about the empoyees performance. Ths s

an mportant part of your job as a manager or supervsor. If you goss over

the negatve and emphasze the postve because you want to be nce, you

w do more damage n the ong run and compromse your abty to ire

the empoyee shoud the need arse.

Be thugh. The performance apprasa process s not the tme to take

shortcuts. Coect your thoughts and documentaton before you st down to

wrte the evauaton. (Chapter 4 tes you how to document, and Chapter

6 gudes you through the process of wrtng an evauaton.) After you are

done wrtng, read through the evauaton to make sure that you have

covered a aspects of the empoyees performance and ncuded anythng

you thnk shoud be documented.

Atcate tuble. If an empoyee s becomng a probem and you thnk a

termnaton s on the horzon, ay the groundwork for irng the empoyee

n the evauaton. Obvousy, you shoud never e or embesh the truth n

dong ths. But you shoud make sure that the thngs that make you thnk

a termnaton s key are relected n the evauaton and supported by

documentaton.

Of course, f there s nothng wrong wth the empoyees performance, then

ts ine to have a revew that s entrey postve. Just make sure that the postve

revew s earned and not a product of your gossng over poor performance.


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dt Haass dscmate

A varety of federa and state aws prohbts dscrmnaton and harassment n

empoyment. Dscrmnaton occurs when you treat someone dfferenty on the

bass of some characterstc, such as race, gender, dsabty, and so on. It may be

perfecty ega to treat peope dfferenty based on some characterstcs, but not

based on others. If a characterstc s specicay sted n an antdscrmnaton

aw, then t s ega to dscrmnate aganst someone on the bass of that

characterstc. These are caed protected characterstcs.

Federa aw prohbts dscrmnaton on the bass of race, gender (ncudng

pregnancy), natona orgn (ncudng afiaton wth a Natve Amercan trbe),

regon, dsabty, and age (f the person s at east 40 years od). (To earn more

about federa antdscrmnaton aws, see Appendx C.)

State and oca aws often prohbt addtona types of dscrmnaton, ncudng

dscrmnaton on the bass of marta status, sexua orentaton, and weght. (To

ind out what forms of dscrmnaton are ega n your state, see State Laws

Prohbtng Dscrmnaton n Prvate Empoyment n Appendx C.)

Harassment s a type of dscrmnaton. The same aws that prohbt

dscrmnaton on the bass of protected characterstcs aso prohbt harassment

on the bass of those characterstcs. Harassment occurs when an empoyee or

group of empoyees must endure a work envronment that s hoste, offensve,

or ntmdatng to them because they have a protected characterstc. Sexua

harassment s probaby the best-known type of harassment, but workers can be

harassed on the bass of whatever makes them dfferent, ncudng race, regon,

or sexua orentaton.

Thngs that coud consttute harassment ncude, for exampe, epthets or surs,

mockery, demeanng jokes and cartoons, extreme unwarranted crtcsm, mped

or expct threats of voence, or requrng an empoyee to do somethng n return

for favorabe (or not unfavorabe) treatment. Whe harassment often nvoves

raca epthets or sexua nnuendos, t does not have to do so to be ega. Treatng

empoyees n a generay hoste or demeanng way smpy because of ther

protected characterstc s aso harassmentfor exampe, a supervsor constanty

crtczng, demeanng, or requrng more from hs ony Afrcan-Amercan

empoyee whe beng supportve and hepfu to whte empoyees.

It shoud go wthout sayng (but unfortunatey t does not): Do not use any

anguage that coud be consdered harassng or dscrmnatory n performance

evauatons. Obvousy, ths means not to use any raca surs or sexua anguage;


48/224


do not, n fact, menton any protected characterstc, such as the empoyees age,

gender, race, natona orgn, dsabty, sexua orentaton, and so on uness you

have a good busness-reated reason for dong so.

But even beyond ths, you must avod subte anguage or concusons that

mght appear to be based on stereotypes about peope who share a protected

characterstc. Even f you do not ntend to dscrmnate or harass, you may be

accused of t f you dont choose your words wth care.

Some words that seem nnocuous can actuay be code words that coud

ndcate bas. For exampe, sometmes when peope say an empoyee s dfferent

or doesnt it n, they mean that the empoyee s dfferent because of a protected

characterstc. Smary, when managers say that an empoyee makes coworkers

uncomfortabe, sometmes what they reay mean s that the coworkers dont ke

workng wth someone of a dfferent race, gender, regon, or background. Ths s

a probem, because dfferences based on protected characterstcs shoud not enter

nto your thnkng. Aways be specic enough n your feedback that you spe out

a job-reated probem: The fact that someone s dfferent or does thngs dfferenty

doesnt dentfy a probem wth the persons work.

The chart beow offers some exampes of anguage that coud be construed as

dscrmnatory and how to rewrte t to focus on job-reated, rather than persona,

characterstcs.

The comments sted n the chart may not be terrby shockng, but each

coud create probems f the empoyee brngs a dscrmnaton case aganst your

company. When revewng empoyee performance, thnk freey; before you wrte

your deas down or dscuss them wth the empoyee, however, thnk carefuy.

If your irst thought s, for exampe, Davd doesnt it n here, dentfy why you

thnk that before you wrte t down. Is t because Davd s dfferent from hs

coworkers based on a protected characterstc (for exampe, he s an Afrcan-

Amercan person among mosty whte peope), or because of a job-reated

characterstc (for exampe, he s not good at pubc speakng, somethng that s a

bg part of hs job)? If t s the former, you cannot crtcze hm for not ittng n

soey because he s of a dfferent race; not ony s t unfar and entrey unreated

to hs job performance, but t s ega. If t s the atter, then be specic n your

feedback. Focus on the job-reated behavor or trats, not the characterstc.

To steer cear of ega troube, observe the foowng gudenes:

Do not focus on the fact that someone s dfferent because of a protected

characterstc.


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Chse Yu Ws Caefully:pblematc phases a Hw t Fx Them

dt Say d Say

J y k wy.

y w k.

Issue: Age scmat

J pf f

p p

p y p

p w

p.

my f p w y

k y

y pp.

Issue: Age scmat

my k

b w .

F p f k

p w my .

p ff w

k. f p w

kp, w

p b.

Issue: Gee scmat

pj p,

pf w w

.

mq y

y . h

b p.

Issue: Age scmat

mq py pp

ff y, by

p.

k p. n

f pp

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yf pp. ty k

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b .

Issue: Age scmat

p by

.

a b f j

p

py p y

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ab jb w, b

wk w w f

. s k f

w b f y.

Issue: Gee scmat

ab p pp

w wk by wk

w .


50/224


Chse Yu Ws Caefully:pblematc phases a Hw t Fx Them (ct)

dt Say d Say

B b b

b y w

pj. s

f p f pk p

, b f

.

Issue: Gee scmat

B pk p

, b f

.

sb . t f

y b pp

b y.Issue: Gee scmat

sb p

w wk.

J py. s b

wk f bw by .

Issue: Gee scmat

J py

k y

b.

Pk i f w

b.

Issue: race atal g

scmat

Pk

fw q w k

y

m k wk

fb i

.

Issue: race atal g

scmat

m fw

fw

wk p

ay bk k

.

Issue: race atal g

scmat

W fw

p b ay

B f m bf,

w z w

b. t ff b.

Issue: relgus scmat

m b w.

s k b ff

p.


51/224


Never ever use surs or demeanng anguage n performance evauatons

even f you thnk you are beng funny.

Do not menton protected characterstcs.

Do not make assumptons about empoyees that are based on stereotypes

about protected characterstcs.

Avod vague anguage that stresses that an empoyee s dfferentthat he or

she doesnt it n or snt one of us.

State facts, not concusons. For exampe, ts ine to say that someone s

not productve or not performng we, but do not gve an expanaton

that touches on a protected characterstcfor exampe, because of the

empoyees age or dsabty.

Be specic. If you ncude documented detas, peope w have more

dficuty attrbutng your statements to dscrmnaton or harassment.

Stck to statements that are reated to the job. Ths w ensure that you

dont veer nto ega terrtory. For exampe, f a femae empoyee s aways

ate, ts ine to state that, but dont add your rreevant beef that she s ate

because she has chdren.

If coworkers or customers dont ke an empoyee because of a protected

characterstc, the probem es wth the coworkers or customers, not the

empoyee. You shoud not crtcze the empoyee for an nabty to get aong

wth those coworkers or customers.

Focus on behavor, not the person. Dscrmnatory bas s about who peope

are, not what they do. If you focus on actons, you steer cear of hdden

bases.

Even the most we-ntentoned managers can fa prey to hdden bases, ones

even they may not be aware exst. When conductng performance apprasas, be

carefu not to judge empoyees ke you (or empoyees you ke) more favoraby, to

judge empoyees dfferent from you (or empoyees you dske) ess favoraby, or to

engage n stereotypng. Athough often dficut, beng honest wth yoursef about

bases can save your company and you money and headaches.


52/224


Secal rules regag dsabltes

s f w p f pp w b wk.

t w p w p py.F, py b py f

by. t fw pb by

, w fb f f ,

b x.

s, f py by jb w -

f y, y b p -

, b ,

f f py. a wk

p k jb wkp w b wk jb. F xp, py w f

kp wk w, p tdd p

qp f wk w p, p q, -

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dby w q p, kw w

by w yp f p q

y y, , qpp k. F y

pp, b w f y py pf ff

b f py pb, f py py pb y, ff y b y

w y p b

w .

f y kw p py y py -

by, p y p f

py bf y pf pp p b

bk. W y w pf py w

by, y y w y

p y y p-b p py.


53/224


dt retalate

When an empoyee compans about dscrmnaton, harassment, or another

voaton of a workpace aw (for exampe, heath and safety standards), or f an

empoyee backs up another empoyees compant, you must treat the empoyee

wth care. If you take any acton that the empoyee mght vew as punshment

or retrbuton for the compantncudng gvng the empoyee a negatve

performance evauaton because of the compantyou mght ind yoursef

on the wrong end of a awsut. It s ega to retaate aganst an empoyee for

companng about dscrmnaton or another voaton of a workpace aw to you,

someone ese n your company, or a government agency.

Ths does not mean that you cant gve an empoyee who compans or

supports another empoyees compant a negatve performance evauaton f the

empoyees job performance warrants t. It does mean, however, that you must

be extra prepared to back up your negatve evauaton wth documents and

evdence n case the empoyee cams that your rea motve was to retaate for the

compant.

dt Fget t dcumet

Ths book suggests procedures that w ensure you document an empoyees

performance throughout the year. If you foow these procedures, you w have

documentaton to back up everythng you say n the performance evauaton. Ths

s very mportant, because you may want to use your performance evauaton as

evdence n your favor f you become embroed n an empoyee awsutand the

evauaton w ony be as good as the documentaton on whch t s based.

In addton, documentaton can hep you counter cams of bas. For exampe,

magne that you evauate an empoyee negatvey on productvty, and the

empoyee cams that you dd so because of raca bas. You have documents that

show that the empoyees saes dropped sgnicanty n the past year and that the

empoyee has the worst saes record n your department. Your documentaton

provdes proof that your opnon s based on objectve, job-reated facts, not

dscrmnatory bas.

Checlst: Avg Legal Tuble. u fw k k

y p p. Y i

py f k appx B cd-rom bk f

bk.


54/224


ck:Avg Legal Tuble

a y p i pf pp, w fw . f y y y f w y, y

y pp p. , f

p p .

pf :

k y p b py f

py.

p py py.

py jb .

p w ky py w

p.

f y f py

pf b l.

f y b w f

py b .

p py f by w-

py pb.

w b y w py pf,

p.

f k y i py y,

l b .

py ff .

k y x .

k jk.

y py y z py f b

ff f (f xp, py i )

piy jb pf.


55/224


f py p ,

().

b y y yp b py b py p ().

a f fbk pi

py jb.

f py py p,

w py bf

p .

f py p b , ,

f wkp w, pp pyp, b y f y fbk

. py fy

fbk j bk py f p.

f w q b y ,

pp y w .


56/224


Test Yu kwlege

Quests

1. A empoyees are at-w empoyees. True Fase

2. I can ire at-w empoyees for any reason. True Fase

3. The ony way to form a contract wth an empoyee s through

a wrtten document sgned by the empoyee and the CEO.

True Fase

4. Nothng I say n a performance apprasa can destroy an at-

w empoyment reatonshp.

True Fase

5. Its ega to reassure empoyees that ther jobs are secure. True Fase

6. If I want to termnate an empoyee, the fact that my reasons

are not relected n the empoyees performance evauatons

may hurt my company f the empoyee sues.

True Fase

7. Performance evauatons cant be used as evdence n

an empoyees wrongfu termnaton awsut aganst my

company.

True Fase

8. Offensve words aonewthout some other dscrmnatory

actoncannot get me nto ega troube.

True Fase

9. If an empoyees physca or menta mparment s preventng

the empoyee from performng we, ts the empoyees

probem, not mne.

True Fase

10. I cannot use the performance evauaton process as a way of

gettng back at empoyees who compan about me.

True Fase


57/224


Aswes

1. False. Empoyees who have an empoyment contract statng that they can ony

be ired for just cause are not at-w empoyees. Athough you can create the

contract wth a forma document, you can aso create t just through the thngsthat you say to the empoyee.

. False. You can ire at-w empoyees for any reason that snt ega.

Termnatng someone because of a protected characterstc (for exampe, race,

gender, natona orgn, regon, age, or dsabty) s ega, as s termnatng

someone for companng about ega conduct.

. False. A member of management can create a contract wth an empoyee

through spoken promses or assurances or through statements made to the

empoyee n a performance evauaton. . False. If, n a performance evauaton, you make promses or gve assurances

about an empoyees job securty or future at the company, you can destroy

the at-w empoyment reatonshp.

. Tue. Its certany ega to reassure empoyeesbut youd better mean t,

because some courts may vew those assurances as bndng contracts.

6. Tue. A wse manager makes sure that a performance probems are relected

n a performance evauaton so that, f the tme comes to ire the empoyee,

the probems have been documented and the reasonng s there.

7. False. Performance evauatons are often the key evdence n a wrongfu

termnaton awsut.

. False. Harassment s a form of dscrmnaton; f your words are offensve

enough, they aone coud form the bass of a dscrmnaton awsut.

. False. If you know that an empoyees dsabty s posng an obstace, and f

you can make a reasonabe accommodaton, then you are egay requred to

do so.

10. Tue. The aw prohbts you from retaatng aganst empoyees for

companng about voatons of workpace aw, ncudng dscrmnaton.

n


58/224


59/224

Chate

pefmace objectves

fy Jb rq ........................................................................................ 46

typ f Jb rq ........................................................................................ 46

r f fy Jb rq ......................................................... 47

Jb rq m B Jb-r ................................................................. 48

Jb rq m B spi ........................................................................ 48

ck: fy Jb rq ................................................................ 50

fy g ............................................................................................................... 51

s g W epy .................................................................................... 51

ck: Pp epy f g s .............................................. 53

g f eff g s ...................................................................... 54

ck: fy g ...................................................................................... 59

W s Pf obj .......................................................................... 60

W rq g .................................................................................. 60

ck: W Pf obj ........................................................... 62


60/224


cp h

dp pf bj f py bp bw py y. t, y py

bj py w f pp

p (w y y).

Jb q b w py p jb

p w py pf wk.

Jb q ppy jb f w pf .

fy jb q bf py jb.

c xp jb q py

fbk x jb q f py y- . (F w py, y jb q

w py i .)

g b y py w k py

p by jb q.

t py , b py

wk.

mk b, , , pi, b (f

pb), jb, w y py

p.

hp py pz pf bj.

hp y pf bj py y

pf, p .

d k p py b w w pp f y

pf w. f y , y p , y

py -w py .

W , y py py. F

w y py , w y . d yp py w fy .

f w f y k py ,

p py i w by p.

W pf bj f . u ,

b pi, ( p) b.


61/224

CHApTEr : pErForMAnCE oBJECTIVES

The foundaton of any performance evauaton system s a set of performance

objectves n whch you dentfy what your company and you expect of an

empoyee. Indvduazed performance objectves gve empoyees somethng

to strve fora target on the horzon to aways keep n sght. As the year progresses,

empoyees can reine and adjust ther work to make sure they are on track wth

ther objectves. You may even ind that, wth we-deined performance objectves,

empoyees w exceed your (and ther) expectatons.

In your companys performance apprasa system, objectves may be caed any

number of thngs: responsbtes, accountabtes, dutes, resuts, outputs, targets,

and so on. Regardess of what you ca them, however, a performance objectves are

essentay the same thng: a way to deine what you expect from an empoyee and

measure how we the empoyee meets those expectatons. Ths book uses the terms

requrements and goas when referrng to an empoyees performance objectves,

but the gudenes t presents w be usefu to you no matter what terms your company

uses.

A surprsng number of empoyees are n the dark about the performance objectves

for ther jobs. For exampe, the November/December 2005 ssue ofCompensation

and Benefits Reviewstates that roughy haf of those respondng to a recent survey

camed that they dd not know what ther supervsors expected of them. But research

has shown that settng effectve performance objectves s nvauabe for mprovng

empoyee performance. It can aso ead to hgher job satsfacton and greater respect

for the apprasa process among empoyees. Why such resuts? Because settng cear

objectves cues empoyees n to w

Documents

The Performance Appraisal Handbook-Lega lPractical Rules for Managers