Create Bulletproof Documentation: Attorney’s 7 Key Steps 

With a new administration introducing significant policy shifts, the need for strong documentation is more critical than ever.

Having a paper trail is incredibly important, especially when it comes to protecting the company from future legal trouble. It can be “Exhibit A” at trial, says Allison West, Esq., Principal, Employment Practices Specialists, in a talk at a SHRM annual conference. 

West outlined the seven steps any solid documentation process needs to protect your company. 

Why Documentation is So Important

Documentation provides employers with concrete evidence for why decisions were made and certain actions were taken. It can:

• Create credibility
• Provide notice for employees, and
• Show consistency in the treatment of employees. 

Documentation should include contemporaneous documents – never any backdated documents – and, if possible, the employee’s signature to verify the discussion and goals. “We want to make sure that people understand what we’re documenting,” says West.

There are also some common pitfalls to avoid when it comes to documentation that can hurt credibility and lead to more problems down the road, like: 

• Expressing personal opinions, accusations or judgments
• Including generalities, overstatements and exaggerations, and
• Reaching conclusions without all the facts or reaching legal conclusions. 

Here’s a seven-step process laid out by West for bulletproof documentation every time.

1. Describe the Expectations

The first step to bulletproof documentation is to describe employee expectations. 

Expectations can be found “all over the place,” says West, including in:

• Performance standards, like job descriptions or manager/company/department goals
• Company standards such as ethics or values, and
• Policies andprocedures, including employee handbooks and applicable laws.

Expectations should be as specific as possible and cite policies. Instead of setting vague expectations such as “show up on time,” consider adding specifics, like: “Your shift begins at 8:00 am, at which time you should be at your desk ready to answer client calls.”

2. Describe Behavior or Performance That Must Change

It’s important to document problematic behaviors or performance issues and keep track of the positives, too. “It isn’t just, ‘Oh, I gotcha,’” says West. “We need to be able to show balance so that we don’t have bias.”

West outlined key steps to describe the issue at hand:

• Describe the conduct, not the individual
• Keep observations job-related and use objective criteria
• Describe the impact on others, both positive and negative, and
• Be specific and give detailed examples.

It’s also important to ensure that the expectations align with company policies or values. “Your managers have to be able to go back and articulate what is the standard that we’re using that we’re weighing everybody against,” says West. 

3. Include the Employee’s Explanation 

Getting the employee’s take on why expectations are not being met is a crucial step because it shows that there was two-way communication and fairness. 

It also allows managers to help employees correct their performance once they know what’s going on. Getting the employee’s side of the story may uncover a problem within management or leadership. “We ask what the explanation is because we want them to be honest with us, because maybe it’s us,” says West.

4. Detail the Action Plan and Goals

Once the problem is identified and there’s been a conversation between the employee and manager, the next step is to create an action plan going forward. 

It’s important to note that an action plan is not the same as or as detailed as a Performance Improvement Plan. A solid action plan includes:

• Steps employees will take to improve their performance or conduct, and
• Steps a manager will take to help employees reach their goals.

Once an action plan is created, it should be agreed upon by the employee and manager together to ensure the expectation is set.

5. Include the Time Expectations for Correcting Behavior or Performance

Once the action plan has been created, managers can develop a time frame for when it should be completed. It’s important to communicate with the employee about the time frame to ensure it’s reasonable.

West suggests treading carefully when it comes to including an exact time frame such as 30, 60 or 90 days. If you do, “You better follow up,” West says. “If you have timing in there, there’s going to be some accountability piece.”

6. Follow Up

Following up is an essential part of the documentation process, especially if specific time frames were set. “It’s critical to the fairness piece of documentation,” says West.

The documentation should state what will happen when you follow up, including: 

• What part of the performance will be reviewed
• What specific improvements are expected
• Any additional training, and
• Further discipline if necessary.

When follow-ups are completed, you should amend documentation when necessary and detail what happened during the follow-up.

7. Describe the Consequences if Outlined Problems Continue

The final step is to detail what happens if the issue does not improve. “Use [consequences] deliberately, but use them very sparingly,” advises West. For example, consequences aren’t usually appropriate when it comes to performance issues, especially during the first coaching session.

Your documentation should clearly state what happens if performance or behavior does not improve, such as discipline, demotion or additional training.