Beruflich Dokumente
Kultur Dokumente
Introduction
I. PART ONE - Labor and Employment Laws
a. Overview of Federal and State labor and employment laws
i. Federal laws
1. FLSA - Fair Labor Standards Act
2. Form I-9 - Immigration Reform & Control Act
3. OSHA - Occupational Safety & Health Act
4. ADA - Americans with Disabilities Act
5. ADAAA - Americans with Disabilities Act Amendment Act
6. ADEA - Age Discrimination in Employment Act
7. EPA - Equal Pay Act/Lilly Ledbetter Act
8. FMLA - Family and Medical Leave Act
9. HIPAA - Health Insurance Portability Accountability Act
10. Title VII of the Civil Rights Act
11. COBRA - Consolidated Omnibus Budget Reconciliation
Act
12. USERRA - Uniformed Services Employment and
Reemployment Rights Act
13. EPPA - Employee Polygraph Protection Act
14. FCRA – Fair Credit Reporting Act
15. NLRA – National Labor Relations Act
ii. Florida – State Laws
1. Florida Civil Rights Act of 1992 & Equal Pay Act
2. Florida Whistle Blower Protection Act
3. Florida Minimum Wage Act & Child Labor laws
4. Right to work & employment at will
Lawyer as Employer
Summary of Course Content
2
S CHWARZBERG Attorney
ASSOCIATES
AT T O R N E Y S AT
E XPERIENCED RESPONSIVE STRATEGIC
L AW Profile
Steven L. Schwarzberg Areas of Experience
• General representation of clients • Complex
E-mail: steve@schwarzberglaw.com
Commercial, Corporate and Partnership litigation
Steven L. Schwarzberg, AV-rated by Martindale Hubbell, • Employment Law, defense of FLSA overtime
has served as counsel for a number of corporate and compensation claims • Probate and Trust litigation
individual clients for more than 30 years. He specializes in • Real Estate, Land-use and Environmental litigation
handling litigation and trials in the areas of employment • Trademark and Copyright litigation • Intellectual
law as well as commercial, probate, intellectual property, Property • Internet-related matters • Health Care
• Business Torts • Bankruptcy litigation • Insurance
corporate and real estate law. Steve regularly represents
litigation • Appeals • Administrative Law
a broad spectrum of clients, private and public, in both • Alternative Dispute Resolution
Federal and State courts around the country, in the
trial and appellate levels as well as before administrative
agencies, arbitration panels, mediators and other alternative dispute forums.
Admitted to Practice
He works closely with clients, general counsel, HR Directors and corporate Florida
management to find strategic and cost-effective solutions to avoid disputes, if United States District Courts, including Southern,
possible, or conclude litigation successfully, when necessary. Middle and Northern Districts of Florida
Steve is the founder and managing member of Schwarzberg & Associates, a United States Bankruptcy Court
litigation boutique specializing in employment law compliance and defense United States Circuit Court of Appeals
and commercial litigation. for the Eleventh and Fifth Circuits
Education
Notables and Accomplishments
J.D., cum laude, University of Miami
• Panelist on the Daily Business Review’s Employment Law Roundtable School of Law, 1980
• Runner up for the South Florida Business Journal’s Key Partner Award B.A., magna cum laude, Government,
• N
amed one of Florida Trend’s Magazine’s 2007 Florida Legal Elite for Labor Harvard University, 1976
& Employment Law
Professional and Community Involvement
• F
eatured speaker, Schwarzberg Spector Duke & Rogers Employment Law
Breakfast Series, 2006 and 2007 Member, Florida Bar
• F
eatured speaker, Employment Law for Law Firms Seminar, 2006 and Member, Palm Beach County Bar Association
2007 University of Miami School of Law,
Former Instructor, Legal Research and Writing
• Featured speaker, Employment Law for Non-Profits, 2007
Barry University and Nova University, Former
• L
ecturer on various Employment Law-related topics before Chain Restaurant Paralegal Instructor
Compensation Association, Worth Avenue Merchants Association and other
Anti-Defamation League, National
organizations
Executive Committee
• P
rovided in-house seminars on employment-related matters for bank, retail
Forum Club of the Palm Beaches, Board Member
chain and other similar clients
President B’Nai B’Rith Justice Unit
• F
eatured in American Bar Association article “Suing The State,” June, 1984. of the Palm Beaches
United States Holocaust Memorial Museum,
Esperanté Building
Palm Beach County Board
222 Lakeview Avenue - Suite 210
West Palm Beach, FL 33401 Harvard Club of the Palm Beaches
Phone: (561) 659-3300 University of Miami Law Alumni Association
Fax: (561) 659-1911 Board Member and Co-Founder
Richard David Kann Melanoma Foundation
Please visit us online at www.schwarzberglaw.com
Judith D. Equels
Occupation Director, The Florida Bar’s Law Office Management Assistance Service
(LOMAS), 2009 – present
Expertise Law office business and workflow process evaluation and development; risk
management assessment, planning, marketing, retreats, structure and governance,
law firm accounting procedures and budgeting, compensation systems, training,
support staff delivery systems, staffing requirements, systems, space utilization, office
build-outs, office remodeling and office moves; law firm mergers and lateral
acquisitions; law firm mergers, lateral acquisitions and firm dissolutions.
Previous Employment:
Senior Practice Management Advisor, The Florida Bar’s Law Office Management
Assistance Service (LOMAS) 2000-2009
Management Consultant: Hildebrandt International, Naples, FL 1998-1999
Office Manager: Greenberg Traurig, West Palm Beach & Boca Raton, FL 1991-1998
Administrator: Shapiro & Bregman, West Palm Beach, FL 1988-1991
(acquired by Greenberg Traurig in February 1991).
Office Manager: Wolf Block Schorr & Solis-Cohen, West Palm Beach, FL 1986-1988
(a Philadelphia-based law firm; the Florida offices became Shapiro & Bregman)
Administrator: Roberts Baggett LaFace & Richard, Tallahassee, FL 1980-1986
(acquired by Greenberg Traurig in December 1991).
Speaker/Lecturer:
(Representative Listing)
• Upcoming: “Trust Me: It’s Not Your Money,” Association of Legal Administrators Annual
Conference, Boston, May 3, 2010
• Upcoming: “Everything You Need to Know about Being a Successful Lawyer You Learned in
Kindergarten” annual conference of The Florida Bar’s General Practice Solo & Small Firm
Section. Present the law practice management and trust accounting segments. March 26, 2010.
• “Practicing with Professionalism” present the law practice management segment for this on-
going seminar series for The Florida Bar’s Young Lawyers Division
• “Ethical Considerations in Electronic Records Management, EDD & Metadata,” 2008
Environmental & Land Use Update, Amelia Island, FL
• “Avoiding Stress & Developing Strategies to Balance Your Life & Practice,”, AFELA –
Academy of Florida Elder Law Attorneys Annual Meeting, December 2007, Orlando, FL
• “Essential Competencies for Legal Administrators” (ECLA) Orlando, FL, Human Resources
segment, November, 2007, for the Association of Legal Administrators (ALA National -
Chicago, IL)
Resume of Judith D. Equels
Page 2
• “Business Continuity Planning,” January, 2007, State Bar of South Carolina Annual Meeting,
Charleston, SC
• “When What If Becomes What Now,” December, 2006, Chicago Title, New Orleans; October
2006, Illinois State Bar Association, Chicago, IL
• “Risk Management” February 2006, American Bankruptcy Institute Caribbean Symposium,
Miami, FL; April 2006 Florida Bar Environmental Section; August 2006 Chicago Title, October
2006 ISBA Mutual Insurance Company.
• “Maintaining a Trustworthy Trust Account” December 2003, Old Republic Title, Columbia,
South Carolina; and July 2003, South Carolina Bar Annual Meeting.
• “Managing and Growing an Entertainment, Arts or Sports Law Practice,”
The Florida Bar’s EASL Section, January 17, 2003.
• “Professionalism and You” 19th Judicial Circuit Bench-Bar/Pro Bono
Committee & The Florida Rural Legal Services October, 2002.
• “Trust Accounting” ALA National, Financial Section, Chicago, November 2004; and in Region
II, ALA Regional Conference, September 2002.
• “Records Management,” and “The Budgeting Process,” The Florida Bar Elder Law Section
Retreat, August 2002.
• “Best Practices of Governmental Law Offices” Florida Association of County Attorneys Annual
Meeting, June 2002.
• “Avoiding Stress & Taking Control of Your Practice,” Tampa Bay Inn of Court, June 2002.
• “Red Hot Marketing Tips,” Annual Meeting of the Georgia State Bar, June 2000, Florida
Association of Women Lawyers March 2003, Indian River County Bar Association February
2003.
• “Law Office Management – Soup to Nuts,” The Florida Bar Business Law Section Annual
Retreat, Naples, Florida, September, 2000.
• “Improving Attorney Efficiency,” Aegon Group, Legal Department Annual Conference 1999
(Clearwater, Florida).
• “Changing Role of the Legal Secretary,” Annual Conference, Office of the General Counsel,
United Services Automobile Association (USAA), 1998, San Antonio, TX.
• “Disaster Preparedness,” Annual Conference, Office of the General Counsel, United Services
Automobile Association (USAA), 1998, San Antonio, TX.
• “Disaster Preparedness,” Economic Council of Palm Beach County, Florida, 1996.
• “Cost Containment for Law Firms,” The Association of Legal Administrators International
Annual Educational Conference, Toronto, Canada, May, 1990.
Authored Works
for The Florida Bar:
• “Sprinting Towards a Brick Wall: Retirement & Succession Planning for Lawyers
and Law Firms” 2008
• “When ‘What If?’ Becomes ‘What Now!?’ ” 2007
• “Your Law Firm’s Annual Checkup” 2004
• “Why Rainmaking Ability is Important for Small Firm Associates” 2002
• “Trends in Partnership Criteria” 2002
• “New Practice Checklist – Are You Ready?” 2001
• “To Merge or Not To Merge: Pre-Merger Discussion & Action Plan” 2001
• “The Seven Business Processes” – LOMAS 2001
LAWYER AS
EMPLOYER
Considerations of Human
Resources Administration
Lawyer as Employer
The Florida Bar's
LOMAS 1
THE FLORIDA BAR
LOMA.B 2
THE FLORIDA BAR
Foundational Concepts
1:1 Flarlda is an " At Will State"
o Em ployee versus Independent Contractor
1:1 Criteria to Determine Classifi cat ion
o COmply with Employment Law Requirements
• emplo yee Hacd llOok
• Implement ira -nir g
• PoII0 es and ::>r:xedIJres mlJst be :n place
Foundational Concepts
o Disparate Impact
• N eutra rpoll cy Or cracuee wLth ~ disc, Im in Cl torv resu rtDr I m pact
• R i~ '.I De5teli/no
D DIsparate Treatme nt
• In~~ nt IOrlal d j S ~ ri m l "" at lor..
• Su bject to bUrde r'P-~h , ft , n9 (."'1:!>Otli?eU Dol,.g liH ccro. 01, G"e~)
o Retaliatlon (Generally)
• E n'l O( O"~ eng3::l€ S In a protected ~et J"" lty
• Em ~o~ee expe riences adve rse emp loym ent act ion
• A ca -.J:sal con necnon exists between the two
• Bu ling ton Northe,"n& Sal1ta Fe Raf,Fway Compaf1y' v.
r . Whj~
LOMAS
FLSA, coot.
o MonttOr meal breaks (no work performedl)
o Beware: Non-exempt employees working from
home and/or "off the clock"
oJ -year Statute ot limitations· willful Violations
o Liquidated (double) damages available for
successful plaintiff/employee
• ExceptiOn - act in good faith :
D comDlyingw j ~h a ",r~ttenQdmfn l$t:rali'Vere.9ula~ lon, Order/
ruling Or
Interpretat 1or,cf DOL 3cm inistratlvesxact1ceJporicy
l:I
FLSA, coot.
o Willful violations
• Civil fines up to $1 ,000 per v iola tion,
• Cnrrunatfmes of up to $10.000, and
• I mpris onm ent ler up to six month. fer repeat offend ers
IJ Record keeping requirements - burden is on
employer to keep accurate time records
c Beware of state and federal child labor laws
a Avoid improper pay deductions
IJ Include all compensation in overtime calculation
o Statutory attcrnevs fees - platnt: ff L1..QI
defendant
O¥q ~.,.,. cw«." '~ r-~"" , ,,",," SJ"' '':oQ QVl tQlI' l ' ~ 1 11 $ 1
'=-1;.'-->"" ., ,:rSpt"IM'C".
Uatlo-. , ~~ ~ ())· 'I'f't..- .:.o ~~, ~ :"'f ....et • • !-J ·,, ~·s ~ ~ r!-Y . $ 1 ' .~
~'1c-m11ona Ily. OJlC ~N1 ; ~ ...,.,~ ·. -.j ~' )l , .soo.
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\..L.ItII ., tI~, I'1-'!O
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--
~lI) l r COo1lpoJlf" ' ,*, :!. " :l : ~ J "'f' ~. I ;;!~ VT' CI'o:."!",,," "
r,ClOO ' klrvs..","""'ICo 'lt S114..5IU -","--, ~.n. "-: Lrn4:
Mod~. \CIfY ..." ..
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LOMAS 4
THE FLORIDA BAR
environment
o Recordkeeping requirements
o Posting requirements
[J Examples of violatio ns in the law office
LOMAS 5
THE FLORIDA BAR
ADAcont.
o Recordkeeping and confidential ity
a Agencies who enforce the ADA
• EEOC
• DOL
• State/Local Agencies
a understanding "reasonable
accom m oda tlon"
o Interactive process
o Common violations
LOMAS 6
THE FLORIDA BAR
Age Discrimination in
Employment Act of 1967 (ADEA)
c About the Act
n Who must comply
• 20 Or more em ploy ees
C ADEA rnineflelds
• Appl ies to both emp loyee. and Job appl icant.
c Common violations
[] Gross v. FBL Fmsnaet Services, Supreme Court
June 18, 2009
• age was the 'bu t -tor' cause 01 the employer'. adverse
action
C r-laterlal can be obtained at:
• http:.llwww.eeoc.goy/typcs/age.html
LOMAS 7
THE FLORIDA BAR
Commission (EEOC)
LOMAS 8
THE FLORIDA BAR
LOMAS 9
THE FLORIDA BAR
COBRA-ARRA
opportunities
LOMAS to
a rei" l est t fln;J l !"o lJr.y prO!~~nil or to' ~ '!ro ~ n~ !In.,. ""9~'~! ~. EW;'
Reouifemen:o;s:
o Not ice
• Must display the EPPApost er
a The fmploym e,t St anda rds Ad minist rat ion's Wac;e ar.d Hour
Div ision IWHO ) w ,th,n tne U.S. D"l'''rt mentof Labo"(DOl)
eo~or(e'S th e EPPA
Employee T ermination
backgroun d check
LOMAS II
THE FLORIDA BAR
Recruiting Minefields
c Social network ing sues - legal risk s
• 0e4 amatlcn
• first Ame n<:ment - PUDI ~C SectCr
• T,: Je VII ar.d other protected classes
• In .... astc n of prtvacv
o Why use these sites when recruit ing?
• Obtain! confirm bac 'cproond Inform ! tton
e ove- <4 0 % cr l'Ipplir;.a nts. ue.,:;":I:Jt wc:rk hl:slc ry
1::1 Ov er ~ O % of ~ppUc a n ts. lie O!I >OI,Jteducatioa al t:ISCC :V
CI Over 20 % 'Of appUcan.u (~ ' S l (led Inrormat JoCl
o 8ackg rOUnd c ecks
o Fair Credit Report ing Act Compliance
o fACTA otsnosa t Rule (2005)
Background Checks
c Why conduct them?
• Av oid costly hiring mistakes
• Applicants who will have nexus to the firm's money
• Ne<;II,gent h r. r1 ~ decls,on s
1:1 Hlst¥Y or rnert, viclence, abuse, naressment.etc
o Practice lips
• Stale on employment applicati on what will be che<'<ed
• Use on all applicants for ell classes of employees
• Use of a thlrd-partv, out side agency
• Document the background checks
LOMAS 12
LOMAS 13
LOMAS 14
LOM AS 15
THE FLORIDA BAR
LOMAS 16
Lawyer as Employer
PRESENTED BY STEVEN L. SCHWARZBERG
steve@sd1warzbel"glaw.com
LOMAS 17
PART II
LAWYER AS EMPLOYER
Practical and Ethical Considerations
of Human Resources Administration
in Law Practice Management
Lawyer as Employer
PRESENTED BY:
(LO~1AS)
800-730-2020
PART II
The Roleot
LQPAAS
What we will cover
• What is human resources management
• Policies, Processes and Procedures
• Handbooks
• Manuals
• Training Programs
• Employee Recruitment, Hiring,
Orientation and Training
• Job Descriptions
A few words . . ,
• LOMAS cannot teach you everyth ing you
need to know about HR in thls one session.
• This QE-DVD is intended to address what
you need to know and how to find resources.
• Managing personnel will tI)' every maternal,
•.O~'Yo.S
2
Human Resources Management
• HR polides must reflect a firm's mission and
goals.
• Nature or the work and dients
• Never try to circumvent laws and regulations
• What is the spirit 0; the law/regulation?
• Legislative intent
• Always have reasons for the firm's policies,
processes and procedures and communicate
them to the firm's employees .
• BU ilds trust
Three to remember
l.AmJree to be managed.
2.ItIlsinlB'O'9{JJtlt to bel ieve that you can
supervise people when you do not
know what it is that they do.
3.~llTMtlt is a support function.
• Being in control for control's sake Is not
management.
Administrator's Role in HR
• Risk management
• Recruitment, Selection, Train ing,
Supervision, Evaluation/Compensation
• A supervisor administers the policies
and processes of the firm's owners .
• Recommends policy
• Only th e owners approve and direct the
enforcement of office policies
3
Law Office Policy Manuals
tOWS
"
Managing Change
• Using surveys to determine trends.
• ALA, ABA, TFB
• According to widely used personality tests
(1'-1yers Briggs; Keirsey), most peopledislike
change, and many people will actively resist
change.
• Managers must communicate that
• Change is part of thejob,
LOMAS
"
4
Who and what are we managing?
• "4-Gen" in the Workplace.
• TradiUonals (Mostly retired),
Boomers (Senior Tsunami),
Gen-X (Sa ndwichiCa' eglVer Generation),
Gert-Y (Ec 0 Boomers).
• Changing nature of the "job."
• Flextime, Job-sharing
• Shift work, part-timers
• V,rtual office
• Independent contractors
• Shrinking labor pool
• Aging of the Profession
is
51% of all la",,!ers 44% of all 1a\\~-er5 33% of all Ia",yer s -18 '>b
under 40 under 40 under 40
370/.: of .lllawye<S 46% of .11 lawyers 56% of all lawyers +19 0/,
40 &.over 40 8< over 40 & o\'er
5
What Gen-Y is up to
• ~EchoW Boomers
H
• "The Millennium Generation
• Born 1981-1995
• Job-hopping not a bad word
• Technology skills out the whazoo
• 3 out 4 has a working mother
• lout of 3 Is non-Caucasian
• lout of 4 live in a single parent household
• They have already begun graduating law
school
"
Manuals
"
let-lAS I.
6
Protecting Employees
"
Policy Manuals
• Must emphasize manuals are not
employment contracts.
• Alwars- have an HR specialist or labor &
employment lawyer review the manua l.
• Review the manual every year to determine
relevancy to operations and compliance with
the law.
• There are several excellent form manuals in
the legal marketplace to help you get started.
• ABA, legaI publishers.
• Canbe edited to fit your f irm and orcurnstances,
7
TRAINING
COMAS
Training
l OM.loS
8
Get a grip on technology
• Define purpose of the software/equipment,
how your firm intends to use the technology
before developing a traIning checklist
• Technology comprising up 6% to 15% of a law
firm's gross revenues.
• Firms who are not properly training employees
on the proper use of valuable technology are
wasting resources.
• TlClining, Training and more Training
EMPLOYEE RECRUITMENT,
HIRING, ORIENTATION
AND TRAINING
Classification of Positions
• Exempt
• Non-Exempt
• Independent contractor
• co you have a contract?
• where to find help:
• www.irs.gov
• www.dol.qov
9
Classification of Employees
• Exempt
• Th ree-pron~ rest
• August 2004overhaul of the "",ge & bour laws
• Non-exem pt
• AlIOid unbidden overume
• IndependentContractors
• Efflav:oral Control, Finanaal ContrQ!,Relationship of the
parties
• Extensi,e instruction. must be trai~ in workplace
procedures, work dependent,,?
• Con susl<lin a profit or loss
• Sigr.lficant rl/lancial investment (tools of the trade)
• Receiving ber.efits, perks
ae
Classification of Employees
• Three-prong test
• 1. Does the employee supervi se someone
else?
• 2. Is the employee directly or indirectly
involved in the hiring and firing of other
employees?
.3. Does the employee work independently?
10
Attendance Recordkeeping
• Must keep attendance on a 40 hour work
week within the same time increment
accuracy as you pay overt ime (e.g., 15
minutes)
• Why keep attendance records on
everyone
• Exempt job status is challenged
• Off-site worker's comp claim
• The receptionist needs to know where
people are!
Job Advertisements
Job Advertisements
• SOurces for job postlngs
• School placement offices
• Search firms
• Request a replacement guarantee
• Job fairs & open houses
• Professional associations
• On-line recruiting
• Your existing staff
• The goals of a good job advertisement are
to generate good candidates as well as to
screen out unqualified candidates
LC .......
11
This is a real j ob posting
LEGA,LSECRETARY: &J s; ness l .wyerl~ '"e'\era tle firm,Cf-.:l ,.,, 1
sweett<!artof . guy, seeksreplacementror disl:»BI I€l; ' secretor/who Is
QUttin9 just becauseshe's mO'iingto S,lacauga, Already had ~I en:y 01
aPQIicato1Sfrom candJdates who ',,""Id l ke::> CClTleln a liC e earl. strol
tne halls, cnat 1"1111 frioonds, trO'l It", Intetl' et , <no::k OJt a ccco'e 01
doaJmentsrelyingt otally on SpelCheci<, ..d tneo s., eak :x.(a Iinle "'c',
:0 get the toes dcne. One of us oeedste ha-,e scbsta , ti<llt!>'.P"'ierxe ,n
,ve rd, Ex:elaodo:heroomputer D<OQ'<l ms, 3Ild i~ ~ no: gcing tc be
me. Preferred::3ndJtlates will have been considereda geek In EfY,llish
d . ss, "- mace ~ to llle fit1a1 ~ nd in the61 h grade Sl'!iling bee,
CO"15lj ,,:he Je::pard,. c 'Je<.llOnStDceasy, and Jo:)~ back foodlyon
c!>Opl:1ng wood .v. ,y moming befcre m i'kJog lhe ccws. ExcerJent
ber etits, If plannit\gl or ",cmess ,death, dlsaOlI.:y&o1d age happens to
"PI'6' 1to j'OU. II you know lhe di/lerence ~ "a/lect "and "elfea"
and are reaC,to ...-or1c, ;>easerepl,' tc:
Interview techniques
• Prompting questions
• Avoid questions that requi re a yes or no
• " Tell us how yOU . . • "
• Behavior oriented questions
• Scenarios
• Get the deal breakers out of the way
first
• Do not take notes on the resum e
• What else?
LOMAS
Interview Techniques
• Traits of gooo mt erview ers
• Puts interviewee at ease
• I s o~iectiYe ; keeps personat feelings in
dled<
• Stru<bJring Interviews
• Rappo rt
• Em pathy
• Perspective on applicant backgmu r.d
• Details on applicant background,
ThD Fb uh e,."
12
Interview Techniques
Interviewi ng:
as
13
Don't Ask
• National origin
• Mantel status, cruldren
• Religlon/ <reed
• Race/color
• Nuclear family and family planning details
• Arrest reco rei
• can ask' haveyou everbeen COIWicted of a rome?" -I t 1115
reievant to the jOb
• Photograph
• Age, birth date
• Ouzenshp
• exc..pt rc, proofof elg,b·1 it)' to wor!< fn I"" ccun!l)'
eu
Don't Ask
• Mother tongue, first language, native
language
• Except Job-related requrernents, e.g.,how fluent
are you In German; 1'1111 you take a test forus'
• Travel
• cannot ask if travel will conflict with personal life
• Can ask if applicant can travel; be prepared to
discuss how much lravei
• Clubs or associations
• Rentjownjor who lives with you
• Gender related
Job Application
Lew.:;
14
Job Descriptions
'. or.'AS
Job Descriptions
• Job descriptions help cure problems with
other HR management issues
• Employees not knowing what their job
responsibilities are
• Overlapping responsibilities
• Cross-training and the Silo effect
• Loopholes
• When to hand off to another employee
• Chain of ccmmand re latlonshlps
lO '-"'"
Job Descriptions
• Properly developed job descriptions help
with recruitment and management
efforts.
• Interviews
• Performance standards
• Training and Coaching
• Discipl ine
• Setting Limits & Boundaries
15
Job Descriptions
• Developed from the bottom up
• What does everyone need to know how
to do?
• Software
• Equipment
• Systems
• Processes, procedures
• Skills, education, certifications necessary
LC·.·:·..·
Job Descriptions
• Job Title
• Organizational unit
• Reporting accountability
• Job summary
• Direct Duties and Related Duties
• Prerequisites
"
LO'MS
16
What's in Your Personnel Folders?
lcM4S .,
Personnel Folders
• Contents
• Employment application
• Other skdls, but ot needed now
• Pre-employment tests
• Reference checks
• Or,entation checklist
• Policy manual receipt
• Emeq;ency cootact Information
• History of evaluations, coaching, training
• Continuing education ecorns
Lor""'';
Personnel Folders
• Keep In separate group files:
• Health insurance information
• 1-9'5
• Performance evaluation forms
• Resumes
• Tax forms - withholding informauon
• Know when employees have a right to
review for accuracy.
ro......
"
17
Progressive Discipline
• Florida is an at-will employment state
• If you Involve me firm in progressive discipline,
you must administer the policy equally among
all employees
• Progressive discipline actions could void the
firm's at-will protection.
• No dtsdpllnary forms or memos - UNTIL the
employee has read & discussed the disciplinary
action with supervlsons),
Performance Appraisals
Appraisals
Gathering Information
• Performance evaluations
• Self Review
• Review from someone other than primary grcup
• Administrator's review
• Primary reviewer
• Avoid line item rankings, however overall
ranking can help bring closure to the form
18
Conducting the Appraisal
• Positive atmosphere
• Start with positive feedback
• Be sensitive
• Ask for solutions, Offer solutions
• Concentrate on future actions
• What the firm needs
• Allow the employee to discuss feelings
• Listen
• Gain agreement future goals
" )"'AS
Terminations
l O",,"
19
Terminations
• Document, document, document.
• Review the termination checklist.
• Review all documentation with the firm's
managing partner.
• Consider consulting an employment law
attorney.
• Do not terminate an employee in a private
office, select neutral space such as a
conference room.
Terminations
• Face-to-face meeting
• Never terminate by phone, letter, e-mail.
• Second person (witness) present
• Be brief
• Details in writing, if warranted
• Expect emotion
• Insist on helping employee collect his/her
belongings
Terminations
• Terrmnatton checklist
• LOMAS can provide a sample
• Near the top of the list should be steps taken to
safeguard the security of the fi rm:
• Fiml employees
• Firm clients
• Firm data
• Give all money due
• 5everar,ce vs, wages in lIeu of nonce
• Accrued vacation. sick, ether leave
LOMAS
20
SUPPORT STAFF
LOMAS
"
Compensation Systems
• Remember: You Get What You Reward
• 8enchmark against competing firms
• What compensation frills and add-ens can your
firm prov ide that other fir s are not in your
locale?
• Be prepared to discuss t he entire
compensation package and provide written
documentation
• Beyond wages or salary
• Showme tne money?
• Additional motivators beyond money?
Compensation Systems
• Tools to plan
• Compensable factors
• Compensatio n philosophy
• Mar1<et survey data
• Joo "wo rth"
• Mario:.et value appecacn
• Internalvalueapprcacn - ranklngs
• Payranges and caps
• Raises and bonuses
• Permitted DiSparity
• Consideration for spedllQJlar Irnl ivid~ a ls
• Pitfalls
21
What is your firm's
Compensation Policy
OJ
to.."'" .
22
Compensable Factors
• Education • Accountability
• Experience • Loyalty
• Job Complexity • Dependability
• Supervision • Years in service
required
• Training completion
• Accuracy/Quality
• Output/Quantity • Mentoring/helping
others
• Potential
lOtJAS
"
LCI.A,l:.S
LO:-..v..s
23
•
•
•
Is your plan working?
Perception of fairness @))
In line with firm's financial health
Everyone understands the system
• Pay is relative to job importance
• Competitiveenough that you are not cherry
picked to death
• Compliant with laws
• FleXible enough to attract special talent
LO ~ S
"
Non-monetary Rewards
Employee Motivation
Conflict Mediation
L::ttM
24
Conflict Mediation v! •
25
Minefields
• Feedback relationship
• Facilitate; don't get caught in the middle of a
contllcr between a lawyer and his/her immediate
staff
• Halo/Horns Effect
• Lawyer loves paralegal today; hates tomorrow
• Resources for lawyers
• 00 not confront lawyers in crisis
• Provide resources and a plan for the partners to tleal
with their brethren
LOOAS ,.
Leadership
in Human Resources
Management
LC.t.1AS
Becoming An Extraordinary
HR Leader
101.u.s
26
Have you been tra ined
to manage others?
• Do you have t he skills and tr aining to
properly manage oth er people?
• If not, learn how to supervise others
• Where to get help and training
• American Management Assodedon
• Society for H!.Jman Resources Management
• Chamber of Commerce
• Communrty Co/lege, Universtr';'
• S!d!!patl1.com
• ABA-I.PM Section Bookstore
• The florida Bar's LOMASProgram
LOMAS
Assistance Service
850-561-5616
27
Bar Journal Article
Home
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Page 69
You love that your secretary Betty plows through lunch to get your letters done and out to the client,
taking bites of her turkey on rye in between keystrokes. You empathize with summer associate Joe,
working until midnight, zealously getting your research done, and think back to your own days of late
nights and flash a knowing smile. You’re grateful for your paralegal Sue, who is always willing to take
work home with her to make sure she gets it done.
The problem is, while you are loving, empathizing, and being grateful, you are potentially violating the
overtime compensation provisions of the Fair Labor Standards Act (FLSA). 1 You also just might be on
the receiving end of a not-so-nice lawsuit from lovely Betty, helpful Joe, and super Sue as a result.
The FLSA presents just one (albeit a large) part of the employment law quagmires facing the
uneducated employer, and law firms are certainly not immune. As lawyers we are often so busy
advising others how to stay out of legal predicaments that we may forget to keep our own house in
order. This article offers some of the housekeeping tips law firms can use to make sure they are
meeting their own obligations as employers.
• Remember Michael Brown, the former FEMA director who gained prominence during the inquiries
about the inadequate Hurricane Katrina relief efforts? Apparently his FindLaw.com profile boasted he
was an “outstanding political science professor” at Central State University. This was not true,
according to a Time magazine investigation, which found he was only a student there. 2
• According to a USA Today article in February 2006, Radio Shack Chief Executive Officer David
Edmonson lied on his resume, claiming to have a four-year degree when he didn’t. 3
• More than 50 percent of all resumes are bound to have some form of inaccuracies, ranging from
falsified exam results and exaggerated work experience to blatant lies or omissions.4
It’s not enough to take Bar passage at face value, either. Go ahead and hire an attorney without
confirming he or she is actually licensed by The Florida Bar and let the billing begin. Once it is
discovered that person has been engaging in the unlicensed practice of law, you can take the time to
refund all of those billables, and endure the embarrassment of having to do so. Afterward, you can
reflect on the fact that it all could have been avoided with a 60-second visit to the Bar’s Web site or a
call to its office.5 When hiring recent graduates, ask to see a copy of their Florida Board of Bar
Examiners letter confirming passage of the exam once the results are out, and verify its authenticity.
The due diligence does not stop with attorneys, of course. Support staff and others are also part of the
interviewing and hiring process. Confirming claims on resumes regarding everything from typing speeds
to employment history will help you to gauge a person’s true level of competency and lets you know
you are getting a person whose experience in reality mirrors what is on paper.
On the nuts and bolts side, some of the interview dos and don’ts bear repeating:
• Pregnancy: Off limits. Do not ask questions about family planning, number of children, etc.
• Religion: Avoid commenting on a job candidate’s cross, Star of David, or hex sign, for example. It
may be viewed as if you have issues with those items — and the person. If the candidate is not hired,
it then can become an issue for you.
• Criminal Record: It is permissible to ask if someone has ever been convicted of a crime. Don’t ask if
he or she has ever been arrested.
• Citizenship: Stick to the tried and true: “Are you able to work in this country?”
First, the Rules Regulating The Florida Bar apply. Rule 4-5.8 6 details the responsibilities for lawyers
and law firms when a lawyer leaves a firm. Among the first questions that come to mind: Who gets to
notify the clients about the attorney’s departure? If you want ultimate control over who gets to pick up
the phone and tell the client, put it in an employment or operating agreement. The Florida Bar has
explicitly said such agreements control the issue.
Absent a specific agreement, the lawyer leaving is not permitted to unilaterally notify clients. The
lawyer and the law firm must work together to develop a joint notice that goes to that client. If you
cannot work out a joint response, then the departing lawyer and the firm are allowed to unilaterally
contact clients. Certain things must be addressed when you make that notification:
• Advise the client he or she has the right to stay with the firm, go with the departing lawyer, or pick
an entirely new lawyer/firm.
• Advise the client if he or she leaves, the client is still obligated to pay the firm’s fees and costs that
existed as of that date.
Also, when it comes to client notification of an attorney’s departure, it doesn’t matter if the person is
an associate or a partner. As in the practice of law in general, it’s all about the relationship the lawyer
has developed with that client. That relationship triggers the notice that must be given following the
rule.
Furthermore, a firm cannot restrict a lawyer’s ability to practice law after his or her termination. The
Florida Bar, in Ethics Opinion No. 93-4,7 found that an employment agreement that 1) prohibited an
associate during the two years following the associate’s departure from the firm from soliciting the
firm’s clients and inducing the firm’s employees to quit; and 2) required that if the associate did solicit
a firm client and the client followed the associate, the associate was required to pay the firm 50
percent of any fees generated, violated Rule 4-5.6(a), which prohibits agreements that restrict the
rights of a lawyer to practice after the termination of the relationship.8
Rule 4-5.6 states that you cannot enter into an agreement with a lawyer that restricts the lawyer’s
ability to practice law after his or her termination. As a result, it is very clear that non-compete
agreements between attorneys are unenforceable. The Bar’s Ethics Department also advised restrictions
on attorneys’ fees are also impermissible, because they unfairly interfere with the attorney-client
relationship.9
They Can Leave, But They Can’t Always Take It With Them
Removal of client files is often another area of contention when an attorney departs a firm. Here the
answer is clear, courtesy of The Florida Bar Ethics Opinion 69-1. In the absence of controlling
governance language in a partnership or operating agreement, the files belong to the firm. A departing
lawyer cannot take those files, absent the client’s express consent.
One area of perceived ambiguity often arises over clients who’ve not paid their bills. Here, too,
however, the answer is clear. A law firm cannot hold the client’s file hostage in an attempt to get the
client to pay its bill. Doing so interferes with the client’s new lawyer’s ability to effectively represent
the client, and you run the risk of a Bar grievance.
Attorneys (especially partners) also need to be mindful of their fiduciary duties to their firms, and the
applicability of the Uniform Trade Secrets Act (UTSA), which has been adopted in Florida.10 Such
things as a firm’s business plan, financial information, and client list are generally protected under the
UTSA. If an attorney decides to take such information on his way out the door, UTSA offers the firm
an avenue for enforcement, including injunctive relief.
Overtime
Now that you’ve worked through some of the issues involved in the arrival and departure of your
attorneys and staff, let’s contend with a critical day-to-day concern: the hours your non-exempt
employees work, and how you pay them for that work — notably, the hours beyond the standard work
week. A law office generally does not keep “banker’s hours.” Indeed, many attorneys and staff get to
work early or stay late every day (often both), and staff — especially paralegals, interns, and law
clerks — may join attorneys in working some hours on the weekends. Given the more professional
rather than clerical nature of their work, the temptation to classify paralegals, interns, and/or law
clerks as exempt employees may be appealing, but firms must avoid the temptation of doing so.
Under the FLSA, wage and overtime exemptions exist for bona fide executive, administrative, or
professional employees.11 The professional and administrative exemptions each require that the
employee be paid a salary of at least $455 per week in order to apply. However, this salary threshold
is just one requirement. Even assuming that the salary requirement is met, paralegals, interns, and
law clerks may not fall within these exemptions. A closer look is needed.
Paralegals. The skill sets, backgrounds, and experience levels of paralegals may vary considerably,
fueling a desire to claim a professional exemption where the qualities lie on the high end of the
spectrum. For example, Paralegal A has a four-year college degree and 10 years of experience, reviews
and assesses documents, prepares draft discovery requests and responses, as well as pleadings —
everything up through the final approval and signature of the attorney. Paralegal B, on the other hand,
may have a high school diploma and perform slightly more than secretarial tasks.
Despite those glaring differences in our sample paralegals’ skill sets, Paralegal A is not exempt from
overtime. The Department of Labor has addressed this issue, consistently finding that paralegals do not
fall within the most applicable exemptions — administrative and professional. 12 Most paralegal
positions do not require a prolonged course of advanced study in the field of science or learning
required for the professional exemption. 13 Further, because the paralegal is subject to the final
approval and review of an attorney, the paralegal position does not require the requisite level of
independent discretion and judgment to qualify under the professional or the administrative
exemption. 14 If the paralegal’s work is being billed to a client, he or she is probably a production
employee, and, thus, ineligible for the administrative exemption in any event.
Of course, as with most things in the law, there are exceptions: If a paralegal has an advanced degree
in a field other than law, and uses that advanced degree in the performance of his or her duties, the
paralegal may be exempt. For instance, if a paralegal has an engineering degree and uses it to advise
an attorney on an application for a patent, then that paralegal may be exempt under the FLSA. 15
Interns. It is important to know the difference between a volunteer (or perhaps unpaid internship) and
an intern. You may be approached by a bright-eyed, first-year law student who wants to come to your
firm over the summer for the experience and work for free. It is a very nice offer from your
perspective. However, the Department of Labor and the courts don’t recognize a volunteer relationship
for private, for-profit companies. 16 So what you may have is an employee who needs to be paid
minimum wage and overtime.
There are certain criteria which must exist in order to have a bona fide internship.17 Essentially, the
internship should focus on the training and educational type instruction that is for the benefit of the
intern. If the internship relationship offers a material benefit to the employer (such as being able to bill
clients for a substantial portion of the intern’s work), chances are it may not be a bona fide internship.
In such instances, the intern may be considered an employee and firms must pay them at least the
minimum wage and overtime.
Some colleges and law schools have a clinical program with a curriculum and a lot of oversight. Such
programs probably do qualify as internships. However, for the intern recruited through a nonschool-
sanctioned program, firms need to be very cautious about how they compensate interns. The
conservative, perhaps safer, approach is to consider them nonexempt employees, and pay them at
least the minimum wage and overtime.18
Law Clerks. FLSA exemptions for law clerks can be a tricky business. Some law firms treat law clerks
as exempt under the FLSA, typically relying on the professional exemption. Although the professional
exemption can apply to licensed attorneys who have achieved their juris doctorate, law students do not
yet have their license or degree, nor are they allowed to actually practice law (subject to limited
exceptions).
Employers have to keep a close eye on the type of work law clerks are doing. For example, if clerks
spend a lot of time doing clerical or other administrative work, they may not qualify for an exemption.
Moreover, if the law clerk is really acting as a paralegal, he or she may not be exempt as set forth
above. Thus, in light of the uncertainty surrounding law clerk exemptions, the safest approach may be
to treat them as nonexempt employees, in which case they would be entitled to overtime compensation
as well.
Time Management
Once you determine whether an employee is exempt or nonexempt, you have a baseline to determine
who is entitled to overtime. Then it becomes a matter of managing that overtime through the policies
you implement.
Under the FLSA, the employer has the burden to show that its time and pay records are reliable. 19
These records will have to overcome an employee’s verbal claim of working off the clock, through
lunch, or at home. If you let an employee take work home, what mechanism do you have in place to
show that he or she worked one hour as opposed to six hours? If you allow employees to work through
lunch or on weekends, how will you prove you paid them for all hours worked?
For nonexempt employees, firms should consider having a rule against working unauthorized overtime.
While you have to pay an employee for any overtime worked — even unauthorized overtime (if they
work it, they get paid for it), an employer can discipline an employee for any unauthorized overtime.
Some firms also require that employees review and sign their time and pay records and have a policy
in place that instructs employees to notify their supervisor if they believe their pay or time records are
not accurate.
Although you do not have to pay your independent contractors and exempt employees overtime under
the FLSA, you must also be careful as to both.
Independent Contractors. If you have true independent contractors, they are not employees, and as a
consequence, you don’t have to pay them overtime.20 However, just calling someone an independent
contractor doesn’t make it so, nor does just having a contract with them. 21 The Department of Labor
and the courts look at the economic reality of the situation, and have actually laid out a number of
factors to consider as part of a fact-intensive test. 22
For example, if a firm hires a lawyer and calls him an independent contractor, but controls the work he
or she does, how and when it is done, assigns staff to that person, and reimburses the individual for
any costs incurred, chances are the so-called independent contractor is actually an employee. So if the
individual is paid hourly, he pr she needs to be paid overtime because, as stated above, to qualify
under these exemptions the employee must be paid a bona fide salary. If you lose the salary
component, you most likely lose the exemption.
For exempt employees, an area of concern is not doing anything to jeopardize their exemption. If you
start making improper deductions from an employee’s salary based on the amount of hours worked,
this may no longer be considered a true salary — at which point you may lose exempt status.23
So what is a proper pay deduction? 24 A basic example includes when an exempt employee misses or
is absent from work for one or more full days for a personal reason other than sickness or disability, or
an employee takes an unpaid leave of absence under the Family Medical Leave Act of 1993 (FMLA). 25
An isolated mistake is not necessarily going to cost an employee’s exempt status. However, if the
employee can show a common practice in which every time an exempt employee works a half-day, the
employer makes a pay deduction, it is likely to support a finding that the employee lost his or her
exempt status. 26
Thankfully, the FLSA has a safe harbor provision to protect an employer from losing the employee’s
exempt status. There are three factors an employer must satisfy to benefit from the provision:
• Have a policy in place, preferably in writing, that is given to employees and specifies the employer
will not make improper pay deductions and provides a complaint mechanism;
• Do not make any willful violation or continued violation of the improper pay deduction once the
employer or other employees complain about improper pay deductions. 27
To minimize the risks of running afoul of the FLSA, firms should ensure that their employees are
properly classified as exempt or nonexempt, keep accurate time and pay records, have appropriate
policies in place, and protect the exempt status of their exempt employees.
2 Daren Fonda & Rita Healy, How Reliable Is Brown’s Resume?, Time (Sept. 8, 2005), available at
http://www.time.com/time/nation/article/0,8599,1103003,00.html.
3 RadioShack CEO Lied on Resume, USA Today (Feb. 16, 2006), available at
http://www.usatoday.com/money/companies/management/2006-02-16-lying-exec_x.htm.
4 Steve Boggan, Nice CV, Shame About the Lies, The Guardian (UK) (October 10, 2006), available at
http://www.guardian.co.uk/money/2006/oct/10/workandcareers.g2.
5 The Florida Bar, Find a Lawyer, http://www.floridabar.org, click on “Find a Lawyer,” or call (850)
561-5832.
8 See id.
9 See id.
11 29 U.S.C. §213; see also 29 C.F.R. Part 541. (For administrative exemption, see 29 C.F.R.
§541.200-§541.204; for professional exemption, see 29 C.F.R. §541.300-§541.301).
12 See DOL Wage and Hour Opinion Letter, 2005 WL 3638473 (December 16, 2005); DOL Opinion
Letter, 2006 WL 2792441 (July 24, 2006).
13 29 C.F.R. §541.301(e)(7).
14 See DOL Wage and Hour Opinion Letter, 2005 WL 3638473 (December 16, 2005); DOL Opinion
Letter, 2006 WL 2792441 (July 24, 2006).
15 29 C.F.R. §541.301(e)(7).
17 See DOLWage and Hour Opinion Letter, 2006 WL 1094598 (April 6, 2006).
18 Note that under 29 C.F.R. §541.304(c), employees engaged in internships, whether licensed prior to
the commencement of the programs, qualify as exempt professionals if they enter such program after
earning the appropriate degree.
20 See Dole v. Shell, 875 F.2d 802, 804-805 (10th Cir. 1989).
23 29 C.F.R. §541.603(a).
25 29 U.S.C. 2601, et seq. Unpaid FMLA leave is designated as appropriate under the FLSA in DOL
regulations, 29 C.F.R. §541.602(b).
26 29 C.F.R. §541.603(b)-(c)
27 20 C.F.R. §541.603(d).
Steven L. Schwarzberg, Kerry A. Raleigh, and Larry A. Strauss of Schwarzberg & Associates, and
David I. Spector, Christopher S. Duke, Lorraine O’Hanlon Rogers, Arlene K. Kline, and Scott W.
Atherton of Akerman Senterfitt, all collaborated on the CLE presentation that formed the basis for this
article. Rogers and Strauss edited the article.
This column is submitted on behalf of the Labor and Employment Law Section, Eric James Holshouser,
chair, and Frank E. Brown, editor.
The Questions
A large part of a client's impression, of your law firm will come from the actions of your
staff. It is critical to your success that your staff is well trained and motivated to
provide excellent service to the firm's clients. Check your policies and procedures
against the following list of questions:
The lawyers in the office must recognize the critical functions performed by staff in the
office and acknowledge that this expertise is a necessary ingredient in the law firm's
ability to serve its clients. Some lawyers who have never been law office employees
themselves have difficulty supervising and motivating staff because they do not know
how to look at issues from an employee's point of view. This makes it even more
important to learn to listen to what the law firm staff is saying.
Documenting expectations and communicating how the firm runs the practice, and the
business, accomplishes many positive things in a law office. Here again, the
Communication Process interrelates with another important business process, the
Personnel Management Process. Law office employees must have recent, written
instructions about how their jobs will be performed and management performance
expectations.
job done. What if the new employee’s last place of employment was an
office of chaos?
• Limits and boundaries (No matter how much the support staff members
have learned by experience, they are not the firm’s lawyers).
• Standards and conventions. Is there is consistency in what things, actions
and functions are called, many tasks are made easier (e.g., records
management, document management, staff training, etc.)
• Example: If an attorney is looking for a particular motion for
summary judgment on the firm’s computer, will s/he have to look
once for “motion for summary judgment” or will s/he have to
conduct several searches: “MSJ,” “Mtn S/J,” “summary judgment
motion,” etc. If there is consistency in our procedures, less time is
wasted.
• How will the support staff will be trained and cross-trained? Cross-training is a
critical on-going need for small to mid-size law firms that do not have “depth” in
support staff ranks (e.g., both bookkeepers are unexpectedly unable to come to
work).
• What is the culture of the office?
• What potential is there for promotion? (be honest)
• Support staff personnel should not be placed in the position of prioritizing
attorney work product. To do so is very stressful to the employee, moreover,
the attorneys involved in such a situation are “asking for trouble.”
• A common complaint from support staff is, “I don’t know what to do next
because it all needs doing.” Many people will not work (for too long) under
these conditions.
• Lawyers should, as a matter of policy, discuss workloads, deadlines, and new
assignments at daily or weekly meetings with their team members.
• The importance of documenting workflow and business processes is discussed on
the DVD. How well does your office document the way the office works and is
management accomplishing two important objectives:
• When support staff are absent, written procedures can act as a checklist
ensuring that lawyers, substitute, on-call or temporary staff do not overlook
duties that are normally handled by the absent staff person; and
• Written procedures enable new employees and temporary support staff
personnel (who may have office experience, just not in your office) to be
more useful, sooner.
• “It is arrogant to believe we can supervise others if we do not know what it is
they do.” Attorneys should have a general working knowledge (not be an
expert!) of all the staff duties and responsibilities in the law office.
• Performance Evaluations. How will management conduct performance reviews?
What are the measurement criteria? How the support staff will be compensated?
The Florida Bar’s Law Office Management Assistance Service (LOMAS)
Staff Management Self Audit Questionnaire
Page 4
INTRODUCTION
• Monitors, and often maintains, the attorney and/or paralegal calendars on cases
and other legal matters.
• Manages attorney calendars of non-client, but firm-related activities.
• Manages task lists and contact databases to avoid duplication of entries.
• Arranges courthouse appearances, meetings, mediations, arbitrations,
depositions, and other client matter related activities and creates a reminder
scheme for same.
PARALEGAL
Paralegals have specialized legal training above that of the Legal Assistant or Legal
Secretary. Paralegals are expected to assist the attorney in:
Identify positive job behaviors, which contribute to overall job performance. If a pre-selected behavior listed below
is not applicable to this position, please indicate such by utilizing “N/A”.
List additional success factors that you believe are important in the space designated “Other.” Discuss each
relevant job behavior, specifying both areas of strength and, if applicable, areas for individual and team
improvement.
Demonstrated Strengths:
Using the following descriptions, please evaluate the overall job performance, selecting the description that most
closely identifies the overall performance:
_____ Exceeds Expectations: Performance and results frequently exceeded the position’s requirements and
expectations. Written objectives were achieved. The employee’s efforts and contributions enhanced or improved
the effectiveness of the team and the firm.
_____ Achieves Expectations: Performance and results meet all position requirements and expectations. Written
objectives were achieved within acceptable firm standards. There may have been some accomplishments that
exceeded expectations and some areas where results did not fully meet expectations. Similarly, the performance
behavior is generally consistent with position description for this job. On balance, this is a good performer.
_____ Needs Improvement: Performance and results met some, but not all the job requirements and
expectations. The need for further development and/or improvement is recognizable. Sustained progress and
improvement are required.
_____ Unacceptable: Performance and results are not acceptable. The position’s requirements and expectations
have not been met. Performance must improve to an acceptable level or additional corrective action will be taken,
up to and including possible discharge.
PART FOUR: INDIVIDUAL DEVELOPMENT PLAN
In conjunction with the support staff member, outline any necessary plan for additional training or performance
improvement by acquiring new skills or new performance levels. Provide a timeline. Personal development and
performance enhancement activities may include firm-sponsored in-house training and seminars, and may include
on-the-job assignments, and employee self-development activities, etc. Be certain to take into consideration
areas of demonstrated strengths and areas for improvement (Overall Performance) when developing this plan.
Development Plan:
Employee Comments:
APPROVALS
REVIEWED BY: TITLE: DATE:
(EMPLOYEE’S SIGNATURE DOES NOT NECESSARILY CONSTITUTE AGREEMENT WITH THIS EVALUATION)