Documentation. It should be one of management’s easiest tasks, yet it’s often done poorly or not at all. And there’s nothing like inadequate documentation to derail the defense in an employee lawsuit.
Attorney Allison West shared her seven principles for bulletproof documentation during a recent BLR® audio conference. West is a principal with Employment Practices Specialists in Pacifica, California.
Bulletproofing Step #1—Describe Company Expectations
Make sure employees know when the workday starts, how to answer the phone, how to submit expenses, and so on. And be specific, West says. For example, these are not enough:
“Show up on time.”
“Turn your reports in on time.”
These aren’t spelling out company expectations in a clear way. Better responses would be:
“Our attendance policy states that XYZ Corp. workday begins at 9:00 a.m.”
“Per the attached e-mail, I requested that you provide me the report at 4:00 p.m. on Monday.”
West notes that many managers and supervisors have trouble starting documentation. Tell them to start with an expectation from a policy, job description, etc.
Bulletproofing Step #2—Describe the Behavior That Must Change
In accomplishing this step, describe the conduct, not the individual. Keep observations job-related and use objective criteria.
Describe the impact on others, both positive and negative. Guilt may help, West notes. Some people live in a bubble. You can tell the person, “When you do X, co-workers are afraid of you and don’t want to work with you.”
Be specific and give detailed examples, West says.
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Bulletproofing Step #3—Include the Employee’s Explanation of Why Expectations Are Not Being Met
It’s important to include the employee’s explanations in your documentation. You’ll typically hear something like this, says West:
“I didn’t know the policy meant all types of alcohol were prohibited at work.”
“I didn’t realize I had to get approval for a flexible schedule.”
“I didn’t know my practicing the Heimlich maneuver on my co-workers could be offensive and unwelcome.”
Including the employee’s explanation does several things:
First, it ties the employee to his or her “story.” From a legal perspective, that’s important.
Second, it shows two-way communication. It indicates that you want to find out if there’s something you can do.
Third, getting the employee’s side demonstrates an element of fairness.
Fourth, sometimes you may be surprised at what you learn. For example, circumstances may be out of the employee’s control. Maybe he or she runs out of parts at the end of the month. So hearing the employee’s explanation also provides an opportunity for the manager to help the employee correct performance.
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West gives this illustration:
Manager: “I have to fire an employee who just transferred into my department.”
West: “Really? What’s going on?”
Manager: “I told her I was very particular and very fanatical about people being on time. She’s been late three times in the last 2 weeks.”
West: “Did you ask her why she’s late?”
Manager: “Nope. I don’t care. She’s either on time or she’s not.”
West: “Please ask her.”
Manager (a few days later): “I’m really glad you made me ask her. In order for her to transfer to me, she had to agree to train a replacement in another building and she was coming in early to do that and then rushing over here.”
West: “So, are you going to fire her?”
Manager: “Are you kidding? Someone with that drive and initiative?”
By the way, says West, she could have been going for chemo. So be sure to ask.
“I can tell you that juries like this, that you showed you cared about why,” says West.
Bulletproofing Step #4—Detail the Action Plan and Goals
Detail what steps the employee will have to take to improve his or her performance or conduct. For example:
“Our expectation is that you will get in at 8 every morning.”
“You’ve been late on [x days].”
“You’ve explained that you either get in too early or a little late. It’s up to you to work it out so you’re there by 8.”
Also state what steps the manager or supervisor will take to assist the employee in achieving the desired results. Reach an agreement with the employee.
In tomorrow’s Advisor, we’ll cover the rest of West’s documentation tips and take a look at a new online training solution.
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