Seven Steps For Documenting Employee Performance Problems

Joe has been your employee for two months, and things have not been going well. He’s come back late from his breaks several times, and last week he failed to complete several important store-closing tasks. You aren’t sure it’s going to work out and are wondering what to do.

You’ve probably heard this before, but documenting performance problems in real-time is critical for many reasons. First, it is important for coaching employees and giving them an opportunity to improve. Second, documentation protects the company in the event things don’t work out by demonstrating that disciplinary action is based on legitimate reasons, and not discrimination or retaliation.

Be sure to follow these 7 steps to make sure your documentation meets these goals: 

1. Document all performance counseling. This includes verbal counseling and coaching, which can be documented by making a dated, written note in the employee’s personnel file or sending an email to yourself or HR.
2. Create documentation ASAP. The more time that passes, the more likely you and the employee will forget the details, resulting in mistakes or oversights that can diminish the coaching value or credibility of the documentation. You can’t always drop everything and write a formal memo. Sending yourself an email or other time/date-stamped message can help preserve the information you need.
3. Be specific. State how the employee violated company policy or failed to meet expectations.  For example, “Company policy asks that employees return promptly from their meal and rest breaks. During the past two weeks, you returned 15 minutes late from your lunch break on the following dates:…, disrupting the break schedules for other employees. Additionally, on Thursday, you did not complete the following tasks for store closing, despite signing off that they were completed…”
4. Avoid vague statements, such as “You have a bad attitude.” Vague statements don’t give the employee guidance on what they did wrong or how to correct the problem.  Worse, they could cause the employee to believe the statement relates to a protected activity, such as raising a complaint about working conditions or using paid sick leave, or their membership in a protected class.
5. Get the employee’s feedback. You may find out the employee has a good reason for what happened. You may also learn about ways you can provide coaching or support to help the employee succeed. Maybe Joe needs more training on how to do the closing tasks, or didn’t fully understand the importance of returning from lunch on time, thinking it was ok because the time is unpaid.
6. Explain (in writing) the consequences if the employee fails to improve. Don’t assume that the employee understands the possibility of further discipline or termination of employment in the event of further violations or if improvement is not made.
7. Ask the employee to sign written counseling and warnings. If an employee objects to signing, don’t panic. You could allow the employee to write that they are signing to acknowledge receipt of the document, but do not agree with its contents. Alternatively, you (and a witness) can sign and date the document, indicating that the employee was provided a copy but refused to sign.

Performance management and related documentation can help turn things around for an employee who is performing poorly, and it can provide valuable evidence of the employer’s reasons for employment decisions in the event of a wrongful termination claim.

Have more questions? Our HR advisors are here to help. Visit us at employers.org or give us a call at 1-800-399-5331.