Stay out of Trouble with Written Documentation

David Noland, J.D.—President, HRCentral Corporation

Document (noun): any writing that memorializes a particular event, accomplishment or other fact for the purpose of historical reference or proof that the event, accomplishment or other fact actually occurred.

Legal dramas on television rely heavily on compelling eye witness accounts and testimony to prove a defendant’s guilt or innocence, depending on whether the show’s main character is a defense attorney or prosecutor. This makes for good TV, but in reality most cases come down to the paper trail.

The paper trail – documents that demonstrate the organizations policies and actions – is what wins the case, or at least significantly reduces the organizations liability. Unfortunately, most managers, and organizations as a whole, do not take the time to thoroughly document employment policies and employee interactions.

Employment policies can be easily documented in a Personnel Policies Manual and an Employee Handbook. These written policies, designed to cover most circumstances relating to employment with the organization, provide clear understanding of the expectations the employer has for its employees and the expectations the employee has for the employer. These documents should be reviewed at least annually and updated as needed. Employees should be strongly encouraged to read through these documents and ask questions about any policy or procedure that they do not understand. In this way, expectations on both sides have been clearly defined.

Employee interactions are a little tougher to document, but no less important. In addition to providing protection from legal proceedings, proper documentation – recorded at the time or shortly after the occurrence - of employee interactions provide a record of what actually happened. The farther away from the occurrence that the recording is made, the less accurate it will be.

Thorough documentation is also good at preventing misunderstandings that can be detrimental to the your relationship with your employees. It will help with your credibility, reduce allegations of favoritism and discrimination, give employees advance notice of consequences and help deter poor behavior.

A common question about documentation is, “What should I document?” HRCentral recommends that managers err on the side of caution and document both positive and negative conduct issues; performance issues, as they relate to the employee’s job description; attendance and leaves of absence; job changes such as promotions, transfers, etc.; complaints and commendations.

As stated above, documentation should occur as close to the actual interaction as possible. The quicker you document the event, the more credible your information and subsequent document will appear. For formal events, such as performance reviews and disciplinary action, the document can be prepared ahead of time. For interactions that cannot be documented ahead of time and where it is impossible to sit down and formally document the incident right away, jot down notes immediately and prepare the formal document within one or two days of the event.

The components that should be included in every document, related to employee interaction, are:

• The facts – record the who, what, where, why and when of the interaction;
• The purpose – describe the reason you are documenting the event;
• Your actions – describe what you said or did during the interaction and your response to the facts;
• Consequences – if the interaction is the result of negative behavior, be sure to include measurable resolution (e.g., 25% increase in production within three months) and consequences for failure to correct the behavior or performance; and
• Signature and date – you should always sign and date your document and provide the employee and, where appropriate, a witness should sign as well.

Before you or your employee signs the document, take a step back. Let the document sit, saved on your computer or locked in a drawer, for an hour or so before you come back to it. Reread the document and consider the following: is it fair? Is it honest? Is it consistent? Is the document objective? Have another manager, or HRCentral, review your document. Once you are satisfied, take it to your employee and allow him the opportunity to comment. Remind your employee that his signature on the document does not mean he agrees with you, only that he had the opportunity to discuss it with you (this is where a witness is helpful). If he refuses to sign, make a note on the document.

Remember, snazzy lawyers and witty testimony may look good on TV, but it’s what you memorialize on paper that is going to keep you out of trouble.