Documentation Training for Supervisors

Presenter’s Name • Date

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Introduction

The goal of good documentation is to create a record of employment, including facts of incidences and the steps and actions by the employer in an employment matter. Effective documentation serves as an aid to future managers and HR professionals for historical perspective, audits, and legal claims.

There are many employment matters employers need to document. Some of these include discipline, medical leave such as FMLA, accommodations such as ADA, performance feedback, harassment claims, layoffs, work/life balance matters, training and career development, pay practices, and recruiting practices.

This sample presentation is intended for presentation to supervisors and other individuals who manage employees. It is designed to be presented by an individual who is knowledgeable in both proper documentation and the employer’s policy and practices. This is a sample presentation that must be customized to include and match the employer’s own policies and practices.

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Objectives

At the close of this session, you will be able to:

1. Explain what types of documentation are the supervisor/manager’s responsibility.

2. Cite the reasons documentation is important.

3. Discuss implications of NOT documenting.

4. List employment matters that call for documentation.

5. Identify when to discuss documentation with HR.

6. Describe how to document effectively.

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What Documentation Is Supervisor/Manager Responsibility?

• Hand-written or typed notes from coaching and counseling sessions with employees. Good documentation answers these questions:

> Who> What> Where> When> NOT why, unless employee gives their own explanation.

• Written comments including specific examples in performance reviews.

• Disciplinary actions, such as warning documents with specific examples and consequences.

• Hand-written or typed explanations with business reasons for employment actions such as demotions, promotions, layoffs.

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Questions? Comments?

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Why Documentation Is Important

• It establishes a record of employment actions taken and the reasons for the actions. Memories fail, managers move on and other circumstances change.

• It informs employees of what is expected of them and the consequences if they don’t meet expectations. Employees should never be surprised when they are in a termination meeting.

• From a performance management standpoint, it serves as a written record to guide both the employer’s and the employee’s future behavior. It gives the employee the opportunity to improve.

• It serves as evidence of the employer’s business reasons for actions taken, in the event an employee takes formal or informal steps with a claim against a manager or employer.

• It brings about fair and equitable treatment. No one wants to be blindsided or treated differently than other employees.

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Questions? Comments?

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Implications of NOT Documenting

• Performance or attendance doesn’t improve, and there are negative impacts to business, morale, and eventually the manager’s own performance.

• Increased frustration by manager and co-workers.• Misunderstandings on interpretation of discussion.• Employees not equitably treated; may have discrimination

claim.• Employees not treated fairly; may have wrongful termination

claim.• Lack of documented formal evidence for defense in the event of

legal claims.

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Questions? Comments?

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What Employment Actions Call for Documentation by Supervisor/Manager?

• Setting and revising annual performance goals and objectives.

• Mid-year and annual performance reviews.• Violation of company policy, procedure, practice, or code

of conduct.• Attendance issues.• Poor performance.• Demotions.• Promotions.• Change in job duties.• Training needs and accomplishments.• Bonus and merit increase decisions.

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Questions? Comments?

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When to Consult with HR on Documentation

• Accommodations – religious and medical.• FMLA – serious health condition for employee or spouse, child

or parent, birth or adoption of child, qualified exigency and servicemember caregiver leave.

• Significant changes to job duties.• Demotions.• Promotions.• Work/life balance matters, such as telecommuting.• Harassment claims.• Final Written Warning.• Egregious code of conduct or policy violations.• Layoffs. • Terminations.

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Questions? Comments?

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How to Document

Attendance, Performance, and Policy Violations:

• Follow the company discipline policy.• Start early. Make it a habit to discuss all employees’ performance with

the employee continuously as part of the performance management process. This includes positive and negative feedback.

• Don’t wait, hoping issues will improve. They usually won’t.• Document only the facts, not subjective judgments or conclusions.• Be thorough. Ask yourself, if someone outside the organization read the

documentation, would they understand the situation and the impact it had to other employees or the company? Or is there too much company jargon and too many assumptions in your documentation?

• Make notes in writing. Include when (date and time), who was present, what was discussed, the employee’s response, and the outcome, including a date for a follow-up meeting.

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How to Document (cont’d)

Formal Written Warnings:

• Use company warning templates.• Cite examples of how the employee has not met performance or

attendance expectations.• Give specific guidance for improving performance or

attendance.• Have face-to-face discussion (whenever possible) with

employee and review warning document in detail.• Ask employee to sign warning indicating they have had the

discussion, received a copy, and understand the document.• Give copy of warning document to HR.• Document the discussion from the discipline meeting in writing. • Discuss any issues that came up during the discipline meeting

with HR.

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Questions? Comments?

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Summary

Documentation is important for both the employer and the employee.

Good documentation answers the questions Who, What, Where, and When.

Document early. Don’t wait.

Discussion without documentation equals misunderstandings.

Discuss and document only the facts.

Give specific examples for how employee is not meeting expectations and specific guidance for how employee can improve.

Always consult with HR about matters concerning FMLA, ADA, work/life, harassment claims, final warnings, and terminations.

Ask employee to sign documentation of disciplinary actions.

Give copy of disciplinary action to HR and employee.

Discuss any issues arising from meeting with HR.

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Course Evaluation

Please be sure to complete and leave the evaluation sheet you received with your handouts.

Thank you for your attention and interest.