1. Performance Appraisal The Law

2. Considering the legal aspects An exhaustive analysis of the legal implications of performance appraisal would be difficult, if not impossible, due to variation in jurisdiction. An exhaustive analysis of the legal implications of performance appraisal would be difficult, if not impossible, due to variation in jurisdiction. There are however, principles of equity and fairness that should be upheld in any evaluation process. There are however, principles of equity and fairness that should be upheld in any evaluation process.

3. Punitive Action or Retaliation Performance appraisals should not be used in a punitive or retaliatory fashion. Performance appraisals should not be used in a punitive or retaliatory fashion. It is grossly unprofessional for a manager or supervisor to use the appraisal process to 'get even' with an employee who has displeased or upset them in some way. It is grossly unprofessional for a manager or supervisor to use the appraisal process to 'get even' with an employee who has displeased or upset them in some way.

4. Discrimination Appraisals should not be used to discriminate against employees on the basis of Appraisals should not be used to discriminate against employees on the basis of Race Race Religion Religion Age Age Gender Gender Disability Disability Marital status Marital status Pregnancy, or Pregnancy, or Sexual Preference Sexual Preference

5. Fair and Accurate Performance appraisal results should be fair, accurate and supported by evidence and examples. Performance appraisal results should be fair, accurate and supported by evidence and examples. For example – For example – if an employee has poor interpersonal skills and is harming morale, the supervisor might keep a log of incidents. Co-workers may be interviewed and recorded. if an employee has poor interpersonal skills and is harming morale, the supervisor might keep a log of incidents. Co-workers may be interviewed and recorded. The nature and effects of the employee's behavior should be documented. The nature and effects of the employee's behavior should be documented.

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

7. The good and the bad Appraisals should be balanced, recording information on both the good and the bad aspects of an employee's performance. Appraisals should be balanced, recording information on both the good and the bad aspects of an employee's performance. As long as feasible. As long as feasible.

8. No stand alone use Appraisal results should not be used as the sole basis for promotion, remuneration or termination decisions. Appraisal results should not be used as the sole basis for promotion, remuneration or termination decisions. A broad range of information should be considered, in which the employee's appraisal results may be significant but not necessarily conclusive. A broad range of information should be considered, in which the employee's appraisal results may be significant but not necessarily conclusive.

9. Opportunity to improve Employees who receive a poor performance appraisal result should be given a reasonable chance to improve. Employees who receive a poor performance appraisal result should be given a reasonable chance to improve. In general, it is a bad idea to dismiss, demote or otherwise penalize an employee because of a single adverse appraisal result. In general, it is a bad idea to dismiss, demote or otherwise penalize an employee because of a single adverse appraisal result. Considering the nature and seriousness of the conduct that underlies the poor result. Considering the nature and seriousness of the conduct that underlies the poor result.

10. Timely feedback Provide timely feedback, especially to marginal or poor performers. Provide timely feedback, especially to marginal or poor performers. It is not fair to offer no feedback to a poor performer for 12 months and then present them with a bad appraisal. It is not fair to offer no feedback to a poor performer for 12 months and then present them with a bad appraisal. Be willing to offer more frequent feedback and guidance. Be willing to offer more frequent feedback and guidance.

11. Document Retain records. Retain records. If an employee believes they have been dealt with unfairly, they may have rights to instigate legal action years later. If an employee believes they have been dealt with unfairly, they may have rights to instigate legal action years later. In the case of poor performers, or persons dismissed or demoted, or those who resign or leave in less than happy circumstances, records should be archived indefinitely. In the case of poor performers, or persons dismissed or demoted, or those who resign or leave in less than happy circumstances, records should be archived indefinitely.

12. Get a 2 nd opinion If an appraisal result is poor, controversial or provocative ask an objective third party for their views on whether the appraisal result seems fair and reasonable. If an appraisal result is poor, controversial or provocative ask an objective third party for their views on whether the appraisal result seems fair and reasonable. Be prepared to modify your position if the 2 nd opinion is not supportive of the result. Be prepared to modify your position if the 2 nd opinion is not supportive of the result.

13. Watch your language Appraisals should avoid inflammatory and emotive language. Appraisals should avoid inflammatory and emotive language. Ensure that criticisms relate to actual job requirements and are not based on personal or other irrelevant issues that have little or no connection with actual job requirements. Ensure that criticisms relate to actual job requirements and are not based on personal or other irrelevant issues that have little or no connection with actual job requirements.

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

15. Confidential Appraisal results should be treated as private and confidential information. Appraisal results should be treated as private and confidential information. Record storage should be secure and controlled. Record storage should be secure and controlled. Only people with an approved need to know should have access to an employee's performance appraisal information. Only people with an approved need to know should have access to an employee's performance appraisal information.

16. Consequences Conducting performance appraisals is one of the most demanding of all supervisory activities. Conducting performance appraisals is one of the most demanding of all supervisory activities. It can be a sensitive and controversial task which, if mishandled, can cause serious damage to employee relations and morale. It can be a sensitive and controversial task which, if mishandled, can cause serious damage to employee relations and morale.