What Guidelines Do Performance Appraisals Have to Meet in Order to Be Legally Defensible?

• Performance appraisals ratings should not be a surprise to the employee.boss and secretary image by Valentin Mosichev from Fotolia.com
  
  Though performance appraisals alone may not form the basis of legal proceedings, they often feature in them. Many employers are aware of their responsibilities in interviewing and hiring, but sometimes overlook the importance of having a watertight process when it comes to appraising the performance of their staff. In the interest of fairness and as a measure of protection for themselves, employers should follow specific procedures. Performance appraisals should be based on a job description and regular feedback between the manager and the employee. Obtain legal advice from an employment lawyer or the human resources department of your company if you are unsure of how to proceed with a performance appraisal.
  
  

Job Related

• The employee should feel able to express his views.impiegato image by haruspex from Fotolia.com
  
  The focus of the performance appraisal must be the job and not personalities. The manager should not surprise the employee with an aspect of work that is unsatisfactory. Deal with issues as they occur during the rating period. The employee should feel that the appraisal is an opportunity to express any particular workplace concerns in a non-judgmental environment.
  
  

Standardized

• Employers should have a standardized system for appraisals. This reduces the likelihood of claims from employees who feel that they are being treated unfairly. The appraisal should be carried out annually and in writing. When a new employee is hired, a standardized form describing specific job duties and expectations should be presented and signed as a common practice.
  
  

Discrimination

• Discrimination is illegal as a result of Title VII of the Civil Rights Act of 1964, which protects employees from unfair treatment based on such characteristics as age, race, gender and a number of others (see the Resource section). Having a standardized appraisal system in place helps to prevent the perception of discrimination and a legal defense to these types of accusations.
  
  

Action Plan

• Each appraisal should set a number of goals for the coming year. At the next report period, those goals form the basis of the discussion. If they have not been met, examine why and how the goals may be reevaluated. It may be that time was not given to the employee to meet identified training needs. If that is the case, address this. Specify when you will meet again during the rating period to give the employee feedback on the status of performance improvement.
  
  

Documentation

• Ask the employee to sign the appraisal at the end of the meeting. If the employee refuses, document this on the review form, give the employee a copy and place it in the personnel file. Signing the appraisal does not indicate agreement, it means only that it was discussed with the employee. In a legal proceeding, the appraisal may be used to show that the employee was formally made aware of unsatisfactory performance and the goals that needed to be met in order to retain the job.