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HR Handled Right

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Managers often fail to utilize one of their best weapons against discipline-related lawsuits – the manager’s unofficial employee file. There are many reasons this happens – the matter seems trivial, the conversation was informal, or the manager is busy. Regardless, a failure to create a paper trail of significant interactions with an employee can come back to haunt us, particularly when it’s time to lower the boom on an unproductive or insubordinate employee.

The Employee File

Employee files should be kept on everyone a manager manages. This file should be kept in a locked cabinet in a supervisor’s office; if a manager uses a computer to type his/her notes, they should not be on a shared drive. These notes are for the supervisor’s eyes only.

These employee files are extremely beneficial for keeping information chronologically up to date. When counseling is necessary, or performance appraisals or due, we’ll have information at our fingertips and need not rely on our past memory. This can also help us avoid the recency effect, i.e., the tendency to rely only on the most recent information when giving a performance review.

How to Document a Conversation

Virtually all managers give their employees oral notice about poor performance or minor misconduct. This notice can range from correcting an employee’s performance to noting an employee was tardy to verbally “warning” an employee that certain conduct is inappropriate and will not be tolerated. These warnings, given contemporaneously can be very effective in showing performance problems because of their immediacy. In fact, in cases where a manager contends that an employee had “some type of performance problem almost every day,” documentation of exactly these kinds of problems can be the most useful evidence.

Effective managers use different formats when taking notes for their employee file. In addition to documenting specific conversations, some managers keep lists of critical incidents (good and bad) that happen – accomplishments and contributions, problem areas and errors, and strengths and weaknesses. It can also be useful to keep track of an employee’s stated goals, ambitions and aspirations.

Such documentation should:

  1. Be as close in timing to the incident as possible. Ideally conversations should be documented on the same day they occur.
  2. Create a context for your conversation. Include the date of the conversation, the manager’s name and title and the employee’s name and title.
  1. Stick to the facts. Write down exactly what you said and exactly what the employee said.
  2. Include the “take away.” State the action plan you told the employee, being clear about the expectations you set for the employee to follow.
  3. If the conversation is a verbal warning, document this. In particular, be sure that you make notes of conversations even when it involves a meeting in which you presented the employee with a written disciplinary document or action plan. The document you gave the employee does not reflect the entire conversation about the issues discussed.

Too Much of a Good Thing

While most managers err on the side of neglect when it comes to documentation, it is possible to err on the side of overkill. Here are three examples:

1. Focusing only on the negative. Managers are often taught that documentation is for problems and, as such, fail to keep track of the positive. Not only can this skew an employee’s performance appraisal, juries don’t like to think that a manager is gunning for an employee.

2. Exaggerating. In an effort to highlight their concerns, managers often use dramatic words such as “always” and “never,” when documenting performance concerns. However, in reality, these can undermine your credibility (the employee is sure to point out the one time s/he was on time or exceeded expectations) and hurt you in court. It’s much more effective to stick to the facts to get your point across (Joe was late by at least 15 minutes on 13 out of the past 14 work days).

3. Over-documenting. A manager who documents everything may be perceived as harassing an employee through micro-management. While this isn’t against the law, anyone reviewing a file that apparently documents every insignificant detail is more likely to conclude that the organization is not a nice place to work or that the documenter has a clear agenda. This is especially true when a manager has over-documented one employee’s performance, but has provided relatively little documentation regarding other employees.

The Bottom Line

HR managers can play a critical role in helping their managers develop a documentation system that includes informal conversations, contributions and problems. Obviously, no manager should document every conversation with an employee. But where a problem exists that would justify discipline if it was recurring, some type of written documentation is needed.

5 Responses to Helping Managers Develop a Bullet-Proof Employee File

  • 2. Exaggerating. In an effort to highlight their concerns, managers often use dramatic words such as “always” and “never,” when documenting performance concerns. However, in reality, these can undermine your credibility (the employee is sure to point out the one time s/he was on time or exceeded expectations) and hurt you in court. It’s much more effective to stick to the facts to get your point across (Joe was late by at least 15 minutes on 13 out of the past 14 work days).

  • Performance evaluations Employee performance evaluations and progressive discipline go hand in hand as tools supervisors and managers can successfully use to correct behavior, motivate employees, and set employee goals. Generally, most employers conduct written performance reviews annually or semi-annually. However, all companies should consider conducting unscheduled reviews if changes occur in an employee’s performance or duties.

  • 9. Giving Feedback: Express both good and bad input with judgment-free specificity so that it has a more positive, lasting impact on the employee. Old-school managers fold their arms across their chest, bark orders and tell workers what they’re doing wrong. With a perpetual scowl on their face, these managers point out every mistake but rarely dish out praise. Today’s more enlightened supervisors, by contrast, give feedback with an eye toward motivating employees. They treat feedback as a way to help fuel good performance, teach new skills and provide guidance that leads to improvement. Feedback is defined as the process of providing information to your employees about their past behavior in order to influence their future behavior. Effective feedback requires mutual understanding. Employees must understand that its purpose is to help them excel, not find fault or shake their confidence.

  • Successful performance management calls for clear and achievable expectations. It demands that managers understand the tasks as well as the abilities of those who will tackle them. As a strong manager or supervisor, performance must be measured, reviewed and adjusted in ways that work for the organization and for the employee.

  • The faster a manager can understand an employee, the more effective they can be in managing and coaching. Profiles International’s communication management tools offer insight for managers to quickly understand the strengths and core characteristics of their employees. Our solution arms managers with a custom “user guide” for every employee, providing knowledge about how they fit with their job and how managers can effectively work with employees and create positive team dynamics. This information results in concrete suggestions on how to manage employees to achieve the best performance.

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