Documenting employee behavior, performance, and discipline is an essential task for any manager or HR professional. Proper documentation is critical for protecting both the organization and the employee, and it can also serve as a valuable tool for identifying areas for improvement and for making informed decisions about promotions, bonuses, and terminations. To help ensure that your documentation is accurate, effective, and legally defensible, here are some do's and don'ts to keep in mind: Do: Document everything in writing: When it comes to documenting employee behavior, performance, and discipline, it is crucial to have everything in writing. This includes any conversations, feedback, or disciplinary actions you take. Be specific and objective: Your documentation should be clear, specific, and objective. Avoid using vague or general statements, and stick to the facts. Use concrete examples: To support your documentation, use concrete examples of the employee's behavior, actions, or performance. This will help to provide a clear picture of the situation. Keep the documentation current: Make sure to document events as soon as they happen, while they are fresh in your mind. Waiting too long to document an event can result in inaccurate or incomplete information. Communicate with the employee: Be open and honest with the employee about your documentation. Let them know why you are documenting their behavior or performance and what they can do to improve. Don't: Use subjective language: Avoid using subjective language in your documentation. This includes words like "difficult," "lazy," or "uncooperative." Instead, stick to objective descriptions of the employee's behavior or performance. Rely on memory: It is essential to document everything in writing, rather than relying on memory. This can help to ensure that your documentation is accurate and complete. Assume anything: Don't make assumptions about the employee's behavior or performance. Stick to the facts and the specific incidents that you have witnessed. Use overly harsh language: Avoid using overly harsh or punitive language in your documentation. Stick to neutral language that accurately reflects the situation. Ignore legal considerations: Make sure to be aware of any legal considerations when documenting employee behavior, performance, or discipline. This includes avoiding discriminatory language and following any company policies or legal requirements. In summary, documenting employee behavior, performance, and discipline is an essential part of any manager or HR professional's job. By following these do's and don'ts, you can ensure that your documentation is accurate, effective, and legally defensible. Register Now, https://conferencepanel.com/conference/do-s-and-don-ts-of-documenting-employee-behavior-performance-and-discipline

1. Do’s & Don’ts of Documenting Employee
Performance, Behavior & Discipline
Speaker: Diane L. Dee, SHRM-SCP, SPHR, CPC, SDEI

2. The Importance of Documentation

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Documentation is essential for Managers & HR staff because they need to make a serious effort to record all of the
events in the employment history of their employees – both positive & negative.
Why Document?
1. Protects the Organization
2. Right thing to do for the Employee
3. Provides future managers with a record

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✓ Allows managers to organize their thoughts
✓ Provides a “script” for performance/behavioral
counseling meetings
✓ Assists employees in knowing what they need
to do
✓ Lessens confusion
✓ Allows the Organization’s business reasons to
stand up in court

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Effective Documentation
❑ Is the document understandable to a stranger?
❑ Does the document make it clear why the issue is
serious?
❑ Is the criticism obvious?
❑ If YOU received the document, would you be able to
create an action plan from it?

6. Example of Excellent Documentation
Memorandum
To: Joseph Hamilton
From: David Minucci
Date: April 10, 2022
Subject: Job Performance
Recently, several areas regarding your job performance have come to my attention. It is absolutely necessary that your performance in the areas outlined herein immediately
improve. This memo sets forth the specific problems, what affect they are having on the organization, and what you can do to correct the problems.
In your last performance appraisal of November 10, 2021, the appraisal noted several problems regarding your lack of effective communication. The appraisal specifically
mentioned customers complaining of how you treated them and problems getting along with several team members. You were rated “Fair” under the Communication category.
Since that time, I have spoken with you numerous times regarding communication problems, specifically on December 20, 2021, January 13, 2022 and February 28, 2022.
Unfortunately, I have not seen significant improvement in these areas and problems continue to arise.
On March 28, you took a call from Andrea Edwards, Assistant Vice President for Green Leaf Brands, Inc. Ms. Edwards requested that you send her information regarding the
product you were working on. Ms. Edwards indicated that you told her you were busy, that you did not have time to talk with her, that she would not understand the product
anyway, and that she should contact someone else. Then you hung up on her. Ms. Edwards indicated that she then left you three voice messages and two emails to which you
never replied.
After I received an irate call from Ms. Edwards on April 1, I spoke to you about it that same day. You indicated you had spoken with her on March 28, you did tell her you were busy
and that she probably should talk to someone in her department. You indicated you did not remember telling her that she would not understand the issue. You did remember
hanging up on her and not returning her voice messages or responding to her emails.
The company’s Employee Behavior policy (reference the Employee Handbook on page 28) states: “It is the Company’s policy that certain rules and regulations regarding
employee behavior are necessary for the efficient operation of the Company and for the benefit and protection of the rights and safety of all employees. Conduct that interferes with
operations or brings discredit to the Company will not be tolerated.”
Even assuming your version is correct, your actions are unacceptable and violated the Company’s Employee Behavior policy. All employees must support our customers. It is
extremely important that we give professional, courteous support to every customer. You admitted telling Ms. Edwards that you were too busy, hung up on her and did not return
her calls or respond to her emails. These are all examples of poor communication, poor customer service and such conduct clearly brought discredit to the Company.

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Effective Investigations
❑ Goals of an effective investigation
▪ Be fair & objective
▪ Come away with a written record that will support a later
decision to impose discipline
❑ Key elements
▪ Thorough documentation
▪ Timely notice & opportunity for employee to respond
▪ Appropriate level of discipline is employed
❑ Role of Human Resources
▪ View HR as an ally
▪ Consult HR early in the process
▪ Utilize HR’s expertise

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Effective Feedback
✓ Needs to be specific, timely & frequent
✓ Useful feedback focuses on a specific behavior, not the employee
✓ Best feedback is sincerely & honestly provided to help
✓ Successful feedback describes actions/behavior that the employee
can do something about
✓ Feedback involves what or how something was done, not why

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All employees are expected to meet performance
standards & behave appropriately in the workplace. The
goal of corrective action is to guide the employee to
correct performance or behavior by identifying the
problems, causes & solutions, not to punish the employee.

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➢ Sense of unfairness
➢ Surprise
➢ Hurt feelings
➢ Resentment
➢ Sense of injustice
➢ Revenge
Employee Reactions to Disciplinary Decisions

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Final Actions
➢ Termination should not come as a surprise
➢ Requires honest communications about deficiencies
➢ Complaints of misconduct/poor performance were investigated
promptly & thoroughly
➢ Correct action was imposed where misconduct/poor performance was
found
➢ Misconduct & poor performance were documented

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• Document accurately
• Document facts, not opinions or
interpretations of the employee’s actions
• Record direct observations of actions &
results
• Do not rely on memory
• Do not include documentation that is not
behavioral
• Be consistent

13. Thank you!

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Contact Us
708-288-7221
advantagehrconsulting.com
diane.dee@advantagehrconsulting.com
4740 North Cumberland Avenue
Suite 251
Chicago, IL 60656
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