Excerpted from Utah Employment Law Letter, written by attorneys at the law firm Wood Crapo LLC
Whenever you go to a program on employment law, the presenters probably emphasizes the importance of documentation, but you need to know when and how to document.
Employers need to do a better job of training supervisors in the proper documentation of workplace events. Also, well-advised employers should have simple and easy-to-use tools to assist in documentation.
One of my clients has a form that can be used by supervisors to document. It is preprinted in triplicate so that a supervisor can write down what occurred and can provide a copy to the employee, another to human resources, and keep a copy in the supervisor's file. The form is called an Event Record and has a place to check for positive or negative events, to write a brief description of the event, and for the supervisor and the employee to sign.
This simple tool makes documentation a less daunting task. The following is a brief summary of why and how to document using such a tool.
Daily.
Or as often as necessary. Documentation should not be reserved for culminating events that lead to firing or other discipline. Instead, it should be made as often as necessary for a supervisor to stay on top of minor problems in the workplace that, if not corrected, could lead to a significant problem. For example, employees who are consistently a few minutes late to work or back from lunch or breaks or leave early may not initially appear to have a problem. But if a supervisor monitors those small problems, she can help the employee correct tardiness issues early before they become a burden on the employer or a basis for firing.
Cumulative. Documentation should be cumulative. Often, supervisors wait until their patience is tried before issuing any form of discipline. Regular documentation that establishes a pattern of conduct, such as absenteeism, tardiness, barely missing productivity guidelines, and so forth, may not seem important in an isolated incident but can be shown to be significant if documented on a regular basis. Similarly, employees who are quiet but regularly assist others, are timely, and conscientious, may be overlooked for workplace awards or other recognition, but their consistent pattern of productive behavior should be noted in their files and be available when it comes time for employee evaluations or a promotion.
Uplifting and positive as well as negative. Documentation should be uplifting and positive, as well as negative. A supervisor who sees and acknowledges good, consistent performance will have a better workforce. Many times, supervisors are so busy with the few bad apples that they forget about the good ones. Regular acknowledgment of good behavior reinforces that behavior in the entire work group.
Management tool. Documentation is primarily a management tool. Often when documentation is discussed, it is in the context of defending an adverse employment action or in a lawsuit. While good documentation certainly assists employers in defending their job actions, that is not the primary reason for regular documentation. The primary reason for documentation is to manage and direct positive employee conduct and correct misconduct.
Evaluation. Regular, consistent documentation is an outstanding tool for annual employee evaluations or performance appraisals. Too often, annual appraisals are done based on the last event that the supervisor remembers because he hasn't kept sufficient records to review an employee's performance over an entire year. If a supervisor has kept effective documentation of an employee's performance, he is better able to prepare an accurate evaluation to justify the evaluation that the employee receives.
Notice. Regular documentation that is shared in the manner suggested by this article provides notice to the employee of conduct in the workplace that has both a positive or negative impact on co-workers. To the extent that the documentation points out negative behaviors, early identification and notice to the employee that behaviors need to be corrected will cause a conscientious employee to improve her behaviors and will identify employees who are not willing to change negative behavior.
Truthful. Documentation is not helpful unless it is truthful. It also needs to be factual and accurate. Supervisors should describe the behavior but not draw conclusions. For example, if a cashier's till was short $10 on a given day, the documentation should state "cash drawer short $10," not "this employee is a thief." Supervisors should practice unemotionally describing the positive or negative events that occur and any impact on the work group, while avoiding inflammatory language or exaggeration. For example, it is much better to state that the employee was 10 minutes tardy on identified dates than to say that the employee is always late or doesn't care about his job or the impact of the tardiness on the work group.
Consistent, regular, factual documentation is an important management tool to direct workplace behavior as well as a significant resource should the employer face litigation.
Copyright © 2006 M. Lee Smith Publishers LLC. The above article was contributed by UTAH EMPLOYMENT LAW LETTER. Click here to read more about the print newsletter and its editors. The contents of Utah Employment Law Letter are intended for general information purposes only and should not be construed or relied upon as legal advice or a legal opinion on any specific facts or circumstances. Anyone needing specific legal advice should consult an attorney.
