By: Alan E. Seneczko, Esq.
"Lessons Learned" is a regular feature designed to provide employers with valuable tips to use when carrying out their day-to-day human resource functions and decision making.
"The importance of documentation" is an axiomatic, and almost trite, battle cry that human resource professionals constantly beat into the psyches of their supervisors - quite often to no avail. But what, really, is "documentation?" When do you do it? How do you do it? And, what, exactly, are you supposed to document? More importantly, have you ever conveyed this information to your supervisors?
Documentation serves many purposes. It can help prove an essential element of a claim such as "misconduct" in an unemployment claim, or a "legitimate business reason" in a discrimination claim. It can help defend a claim, confirming that certain action was taken, demonstrating that others were treated in the same manner, or preserving a record or history of prior events. Most importantly, it is the best evidence of events as they occurred - at a time when they are fresh in the individual's mind. This information generally constitutes the best evidence of what actually happened, and allows the individual to recall it in much greater detail several months, or even years later.
What to document? The simple answer is "whatever might become an issue later." Examples include: Attendance - reasons given for absences and tardiness; performance - significant incidents of inadequate job performance, violations of work rules, repeated unacceptable behavior, etc.; attitude - manifestations of inappropriate comments, gestures or actions not otherwise apparent; discipline - a contemporaneous record of verbal or written warnings for violations of work rules, including the employee's response and agreed-upon corrective action; complaints from co-workers - the name of the individual complaining, the date of the complaint and the nature of the complaint; receipt of information - confirm receipt of policies, work rules, etc.; training - confirm participation, subject matter and materials distributed or relied upon; investigations - record response to complaint, including action taken, information received, etc., to name a few.
How to document? Be specific - include date (with year), names and all relevant information. Do not assume anything is so obvious/easy that it will not be forgotten. Be detailed - use exact words, no matter how offensive or vulgar, and quotes whenever possible. Be accurate - do not omit relevant details, make assumptions or misrepresent what actually happened. Be smart - remember, what you write may someday constitute evidence in a legal proceeding. Your notes will thus help, or hurt, your case. Make it easy - prepare/use established forms, email, notes to self, or whatever it takes to be sure that the record is made. The more difficult or burdensome the requirement, the less likely it will happen.
Questions? Please contact WS Shareholder and Senior Attorney Alan E. Seneczko at (262) 560-9696, or alseneczko@wesselssherman.com.
