Guide to Successful Associate Evaluations
By Amy Jo Ehman
It’s that time of year again. No, not taxes, or a trip to the dentist, or the insurance bill. It’s time for the annual employee evaluation, when partners sit down with associates and tell them what’s been good – and not so good – with their performance over the past year. No one likes to be the bearer of bad news, and no one likes to hear it, so why are employee evaluations becoming an integral annual event in many law firms across the country?
Left to the last minute (like taxes) associate evaluations can be slap-dash and stressful. Done without ‘pain avoidance’ (as no dentist would do) they can lead to hurt feelings, defensive rebuttals and strained relations in the office. Yet, (like insurance) they are ignored at your peril.
Yearly staff evaluations, already entrenched in the corporate world, are finding a valued place in the management of an effective and – yes – happy law firm. Partners and associates benefit from a well-planned, forward thinking and mutually beneficial evaluation process. But that doesn’t make it easy.
Who’s Stressed Out?
Most likely, you both are. Employee evaluations can be stressful for both the associate under scrutiny and for the partner assigned to the task. For the associate, a lot is riding on a good performance evaluation—job satisfaction, salary and even future employment.
For the partner, the annual evaluation may be seen as a necessary evil—a task to be undertaken with grit not glee.
"The stress exists on both sides," says Janet Dean, a human resources consultant to the legal profession and President of Advance Corporate Training of Vancouver. "It’s one of the reasons why performance evaluations don’t get done, or get done like you’re being shot in front of the firing squad."
In truth, most associate evaluations fall somewhere between painful and wonderful. But a successful outcome shouldn’t be left to chance. Thoughtful planning can make the difference between the good, the bad and the ugly performance review. The goal is to assist lawyers to get better, not bitter.
"Don’t focus on blame, because that often gets a defensive response. Talk proactively about what can be done differently next time," says Dean. "Make it a discussion between two people, rather than one who is being judged from on high."
Two Law Firm Examples
No two firms are the same, so the style and content of associate performance reviews will differ depending on a firm’s culture, values, and priorities. At Foster Hennessey MacKenzie in Charlottetown, associate evaluations are informal and ad hoc.
"If we notice a problem, we deal with it at the time. And if we notice things going well, we compliment it at the time," says partner Donald MacKenzie. With just two associates in the office, he believes there is plenty of opportunity for ongoing evaluation.
Performance reviews are much more formal at Lavery, de Billy in Montreal. The process starts in December when associates fill out a questionnaire on their own performance. They answer about 15 questions on topics such as their satisfaction with the work, their desire for specific development, and their paraprofessional activities.
At the same time, the partners are asked to evaluate the associates with whom they worked in the past year. Both documents are given to a two-partner team that assesses the information and gives each associate a grade of A, B or C. In their first year, the associates’ grades are biased toward their knowledge of the law, but within five years the grade shifts to become more client-focused.
In February, the two-partner team meets with the associate to review the conclusions. The evaluation focuses on constructive comments and any deficiencies are matched with remedial goals for the coming year.
"When we detect a problem we sometimes set a mid-term evaluation in the summer," says Odette Jobin-Laberge, the partner who oversees the evaluation process at Lavery, de Billy.
She says the formal nature of the process, and the clear delineation of goals and expectations, reduces the stress of the evaluation. Most associates, she says, come into the meeting with an accurate assessment of their strengths and weaknesses.
"They know how it works, that it’s done seriously and that they will have, as we say in French, l’heure juste, an honest appreciation of what they’ve done," she says.
"It is a stressful process but it’s constructive," says Sébastien Guénette, an associate at Lavery, de Billy who has undergone three performance reviews. He says the evaluation is a two-way conversation in which associates also have their say.
"On one side it’s a sales pitch, because you want to show the firm you did well. On the other side, you have a chance to explain what went wrong. You’ve got to be honest with yourself," he says.
The Case for Associate Evaluations
On the surface, the performance review is an opportunity to praise and critique. But if that’s all it is to your firm, you’re missing an even greater opportunity to nurture your most valuable asset – a dedicated employee. In a profession that is keenly focused on the client, this is the time to focus on the associate’s needs and goals.
"Performance evaluations are incredibly important, but not something that comes naturally to us,” says John Fraser of Catalyst Consulting in Toronto. “As professionals, we’re very time focused, problem solving, driven, analytical people. Dealing with people issues isn’t always our strong point."
What are the goals of the associate evaluation? In practical terms, it may help your firm set pay increases. It is a time to point out troubling behavior before it becomes entrenched. It is also a chance to reiterate the goals and expectations of the firm, so that everyone is on the same page.
Associates should see the evaluation as a chance to ask questions and to outline personal goals. Overall, the goal of the evaluation is to establish a roadmap for the coming year that will help the associate grow as a lawyer and as a valuable asset in your firm.
"The experience should be a motivating one. The point is to make the best use of your human resource asset, and to do that you need to motivate," says Lori Brazier, also of Catalyst Consulting in Toronto.
Here are some keys to a successful evaluation, from both the partner and associate perspectives:
The Partner Perspective: Keys to Conducting a Successful Performance Review
1 – Start a year ahead
Today’s performance review should be based on goals and expectations articulated a year ago, so associates know the benchmark against which they will be held accountable. This also assures that associates at the same level will be evaluated on the same well-understood criteria.
2 – Evaluate a range a skills
Technical skills and knowledge of the law are primary, but they are not the only skills that make a good lawyer. Define the attributes essential for partnership in your firm. Design evaluation questions that touch on each skill you expect in a future colleague.
3 – Start with the strengths
Tell associates what they are doing right and what impressed the partners. This smoothes the way for the constructive criticism that will follow.
4 – Criticize the behavior, not the person
Effective criticism focuses on a behavior that can be changed. For example, a behavioral criticism would state: “At your level, we expect you to bill this many hours. How can you get there?” A personal criticism of the same problem would state: “You’re not billing enough hours. Why?”
"That becomes like an attack, and the only response you can get is either a defense or an acceptance," says Dean. "Individual judgments are known not to influence behavior. If you want a behavioral change you have to give behavioral direction. Then you get the buy in. You get the commitment to change. The long term benefit is loyalty."
5 – Focus on the whole year
It’s human nature to remember the most recent setback and forget all the good work that came before.
6 – Set future goals
Don’t leave the meeting in the past. Both partners and associates should have clear actions for education and improvement in the year to come.
7 – Write it down
Before you go into the meeting, record the points you wish to make. Record the outcome. Not only is this essential for assessing performance next time, but it is valuable paperwork should you feel compelled to terminate employment.
8 – Listen
As any lawyer knows, there are two sides to every story. If the associate has reasons (not excuses) for falling short of expectations, give it a fair hearing. Then ask the associate how he or she will overcome the shortfalls in the future. Remember that associates may have goals of their own that require your assistance. If the evaluation is truly a two-way process, you may leave the meeting with a to-do list of your
own.
9 – Devote adequate time
It is not sufficient to review the employee’s efforts an hour before the evaluation meeting. That will give you just enough time to remember everything that went wrong, and not what went right. Assign this task to partners who have the time and inclination to do a thorough job.
10 – Choose the right person for the job
Don’t hand the task to the most hard-nosed person in the office. On the flip side, don’t choose the most easy-going partner either. The former may not care about the associate’s feelings, and the latter may care too much. The right person is thoughtful, fair minded, approachable, and remembers what it was like to be an associate!
11 – No surprises
Don’t let the axe fall during the evaluation meeting. Problems should be dealt with through the year as they emerge. If the prep work has been done, if the goals and expectations were clearly stated, and if the associate has made an honest personal appraisal – there should be no surprises in the performance review.
"The best evaluation occurs in real time throughout the year, project by project. When it comes down to the evaluation meeting, both the partner and the associate should have a pretty good idea how things have been going," says Fraser.
12 – Be prepared for appeals
No evaluation is flawless and nothing is written in stone. If the associate thinks the evaluation was unfair, and has prepared a reasoned argument, hear it out. It might not change your assessment, but it may prompt you to set clearer performance goals and to review the situation before another year is out.
The Associate Perspective: Keys to a Receiving a Favorable Performance Review
1 – Do your homework
Evaluate your own performance of the past year. Where did you fall short of expectations and where did you exceed them? How can you improve? What personal development do you require? Go into the evaluation prepared.
2 – Don’t focus on recent setbacks
The evaluation covers a whole year, and recent setbacks should not diminish your self-confidence. Keep a log if you have trouble remembering how you felt about a project 12 months ago.
"Human nature forgets," says Sébastien Guénette, an associate at Lavery, de Billy in Montreal. "Maybe you had a great year, but in the last month you had difficulties. You can’t focus on certain moments."
3 – Be honest
Broaching your own shortcomings takes the pressure off the evaluator to do the ‘dirty’ work and shows that you have the savvy to see things clearly. But don’t broach any shortcoming without first thinking of steps for improvement.
4 – Accept criticism with courage
Anything less may be a sign you haven’t got the thick skin to be a lawyer. Remember, you don’t come out of law school knowing everything, and every associate makes mistakes.
"You’ll be evaluated throughout your legal career. Your clients will evaluate you. Even the partners at our firm are evaluated by the managing partners. We have a job in which we have to be able to face criticism at all times," says Guénette.
5 – Don’t get defensive
If you don’t like what you’re hearing, turn it into a positive question. Rather than stating, “That’s not true”, ask, “How can I change that perception?”
6 – Stand up for yourself
If you feel the evaluation was unfair, prepare your case. But be sure to take a day or two to let your emotions settle, so that you can broach the subject with the same calm and thoughtfulness you would give to an argument in court.
7 – Know what you want
The evaluation is a chance for you to state your goals as a lawyer, and to ask for the support you need to get there.
How to Fix a Bad Evaluation
Was the partner a brute? Was the associate defensive? If either of you leave the evaluation seething, don’t let the dispute simmer. Ignoring it won’t make it go away.
Once tempers have calmed, call another meeting to mitigate the tension. Focus on ‘I feel’ statements, not ‘you’ statements that point the finger. If the evaluator was insensitive, the associate has reason to expect better.
"They’re a person with dignity and they deserve to be treated with respect. They should not accept an abusive situation. It’s important to push back," advises Fraser.
Adds the associate Guénette: “If you feel you’ve been treated unfairly, you’ve got to state it. Otherwise, you’ll be mad and just stay in your corner.”
Starting an Evaluation Process from Scratch
If your firm does not have an associate evaluation process, but would like to implement one, start by evaluating the firm internally. What are your priorities? What is your office culture? For example, does your firm put more emphasis on client development or on billing hours? What do you expect from associates in each of their first five years? Clearly articulate the goals and expectations.
Sit down with associates and map out a plan for meeting these goals. Define the yardstick by which their performance will be measured in the first evaluation in one year’s time.
There must be a firm-wide belief, from senior partners on down, that this is a worthwhile expense of time. The partner or partners who take on this job will have a great influence on the future success and job satisfaction of the young lawyers in your office. Consider hiring a human resources consultant to help design the process and the evaluation forms.
Equally Important in Mid-Size and Small Firms
According to the professionals, size doesn’t matter – an annual associate evaluation is beneficial no matter how large or small the firm. But mid-size and smaller firms have unique challenges.
There may already be a culture of ongoing feedback – until it gets too hectic to make the time. In that situation, feedback may come only when there’s a problem, without the parallel track of professional development. And if partners are busy meeting client needs and keeping the firm afloat, they may forgo the administration of a formal assessment unless the mechanism is set in place.
It is no less important in a small or mid-size firm to prepare associates for their future role as partners. An effective evaluation process plays a role in associate job satisfaction, and therefore their longevity with the firm.
Says Brazier: "In a smaller firm, the associate is brought in to be a pair of helping hands and it can be sink or swim. So, it’s really important to focus on how you want them to keep growing in the firm. It will help keep people around for more than a couple of years."
Additional Resources
Sample Associate Evaluation Form
Comprehensive form for partners conducting evaluations, developed by Altman Weil, Inc.
New Lawyer’s Survival Guide: Evaluations
Developed by the Virginia State Bar Association, this Guide provides advice for the associate preparing for a performance review.
Amy Jo Ehman is a freelance writer in Saskatoon.
Neither the author nor the CBA should be construed as endorsing any product or website listed in this article. The views expressed in this article are those of the author and do not necessarily reflect the views of the CBA.
In this document, any reference to "jurist" or "lawyer" includes, where appropriate, "Québec notary". |
