A wide range of state and federal laws require employers to maintain employee records for specified periods of time. The gamut of federal laws extends from the Fair Labor Standards Act to Title VII of the Civil Rights Act. In addition to official records pertaining to matters such as wage and hour information, I-9 forms and employee payrolls, documentation concerning employee performance and communication with customers or suppliers are also essential, providing legal evidence in case of necessity.
Events that are not recorded will be regarded as non-events, as if they never occurred. Many employers do not realize that documentation is a necessity. Those that do grasp its importance do not always devote sufficient time towards maintaining documentation that will be adequate to defend themselves, should the need arise. Employers may find themselves in court, ardently stating that they spoke with their employee on several occasions, without any evidence to support their assertion. Time and effort devoted to proper documentation is a wise investment for any employer.
The Value of Documentation
Documentation provides protection to both companies and employees by presenting concrete evidence of data, facts and actions in the case of investigation, arbitration or litigation. Documentation provides proof that decisions concerning an employee’s status were entirely based on job performance and other related issues. Conversely, documentation protects employees from false claims maintained by managers or supervisors not performing their job properly.
What is documentation?
Documentation is the formal reporting of facts, incidents, evaluations and observations of any specific situation or communication. The most common form of documentation is the written word, but it may include videotapes, audio recordings and the like. Barring a specific request for an employee’s signature such as upon receipt of a handbook, training or possibly a disciplinary warning, documentation does not generally require an employee’s signature.
When to Document
Managers should ensure that they document as soon as feasibly possible following actual events. Studies indicate that as quickly as 15 minutes after an event occurs, a person’s memory begins to fade or change. Prompt documentation will be considered more credible and reliable.
Elements of Documentation
Documentation should include the full names and titles of the involved parties, the date the event occurred as well as the document writing date. Record the type of event observed or the violation witnessed, including specific details and photocopies of any evidence.
Objective and Specific
Be specific when recording your documentation, but remain completely objective, making sure to stick to the facts. Avoid stating “opinions” and steer clear of exaggerations. “Joe appeared to be deceiving me” would be considered an opinion lacking supportive evidence, whereas, “Joe avoided all eye contact during the meeting” is an objective behavioral observation.
In our next post, Employee Documentation: What to Do and What to Avoid, we will specify the circumstances which require documentation and identify common documentation errors worth avoiding.
The CPEhr Multiple Employer 401(k) Plan continues to experience substantial growth in assets and participants in spite of a volatile market. For the past nine years, Transamerica has been an excellent partner ensuring that CPEhr meets all its fiduciary responsibilities as Plan Sponsor. To further enhance plan administration, CPEhr is pleased to announce the addition of Morgan Stanley Smith Barney as a strategic partner.
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