Documentation Summary

Documentation is the foundation of protecting your company from claims to government agencies and court trials. Both are revenue consuming distractions.

Documentation consists of simple notes describing what was done, when it was done and why it was done. They can be electronic or handwritten. Keep your notes in a designated file.

Remember, your notes can be subpoenaed.

Document all employee transactions, especially discipline and terminations, any exceptions to existing practices, and and precedent setting events.

This is basic. For complicated issues, open a Trouble Ticket with Help Desk HR.

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Basic Tools (1c): Document Precedents

Every time you make a decision regarding employees, you have established a precedent, like it or not. This is very important in a legal sense because the precedent is the starting point for all employee related decisions.

Documenting precedents provides a written record of the date of the decision and the reason. This could possibly give you some flexibility in the future, but don't count on it.

In yesterday's example of granting one employee paid vacation in advance, that is the precedent. Then not granting the same thing to another employee runs a huge risk of being discriminatory.

So in addition to documenting, think through your employee related decisions, because they literally determine future actions and practices.

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Basic Tools (1b): Document Exceptions

Some companies have written policies and/or a handbook that describe employee transactions, compensation and benefits. If you do not, then the history and pattern of such practices become the established "policies."

Many employers make exceptions to either of the above for compassionate reasons or to retain valuable employees. While this resolves a short term issue, exceptions invariably grow into gnarly, unavoidable PRECEDENTS.

For example, your key Engineer requests an advance of paid vacation time. He has five days accrued and asks for an additional five in advance. You feel it is a good idea to grant the request to keep the Engineer happy. Immediately DOCUMENT your reasons for the decision, such as his request was to enable a visit to a sick relative offshore.

Three weeks later, a difficult to manage Clerk makes the same request and you think "no way." Her request was based on her simply wanting more paid time off than she had accrued. Again, DOCUMENT your decision as based on a non-compelling request for extra time off.

Keeping these kind of notes will be invaluable if the latter employee ever makes a claim of discrimination in not receiving the advanced paid vacation.

Tomorrow we will discuss precedents of all kinds and how they affect your ability to manage your business.

NOTE: In both example cases above, an option is to grant the extra time off as unpaid time off.

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Basic Tools (1a): Document Disciplinary Actions

Keep a record of every incident of employee discipline or corrective action.

This includes:
-description of the employee's behavior that necessitates the action and why the behavior requires correcting
-include all relevant dates and times
-describe the corrective action you take, usually either a verbal warning, written warning or suspension with or without pay

You can establish a period of time in which a recurrence of the behavior will result in another, often more serious disciplinary action. If you take this course, there is a reset after the period of time is completed.

I cautioned yesterday that these records can be subpoenaed, but while that is true they can also provide a rock solid defense for you and your company.

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Basic Tools (1): Document

I mean DOCUMENT EVERY significant employee interaction.

Make simple, descriptive notes about:
-disciplinary actions
-exception to any practice or policy
-precedents of any kind

These are key examples, not an exhaustive list.

Keep your notes in a file, paper or electronic.

Be aware that these notes can be subpoenaed in case of litigation or trial. So keep the notes factual and objective with no judgemental, snide or profane comments.

We will look at these individual examples to document this week.

Lance