This presentation provides guidance to supervisors on proper documentation practices. It explains that documentation creates an employment record for historical reference and legal protection. Supervisors should document coaching sessions, performance reviews, disciplinary actions, and employment decisions. Key details to include are who, what, when, where, and employee statements. Timely and fact-based documentation improves performance management and equitable treatment. Supervisors should consult HR on matters involving leave, accommodations, significant changes, or termination to ensure compliance.

1. Documentation Training for
Supervisors
Presenter’s Name • Date

2. Introduction
The goal of good documentation is to create a record of
employment, including facts of incidences and the steps and
actions by the employer in an employment matter. Effective
documentation serves as an aid to future managers and HR
professionals for historical perspective, audits, and legal claims.
There are many employment matters employers need to document.
Some of these include discipline, medical leave such as FMLA,
accommodations such as ADA, performance feedback, harassment
claims, layoffs, work/life balance matters, training and career
development, pay practices, and recruiting practices.
This sample presentation is intended for presentation to
supervisors and other individuals who manage employees. It is
designed to be presented by an individual who is knowledgeable in
both proper documentation and the employer’s policy and
practices. This is a sample presentation that must be customized
to include and match the employer’s own policies and practices.
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3. Objectives
At the close of this session, you will be able to:
1. Explain what types of documentation are the
supervisor/manager’s responsibility.
2. Cite the reasons documentation is important.
3. Discuss implications of NOT documenting.
4. List employment matters that call for documentation.
5. Identify when to discuss documentation with HR.
6. Describe how to document effectively.
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4. What Documentation Is
Supervisor/Manager Responsibility?
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Hand-written or typed notes from coaching and counseling
sessions with employees. Good documentation answers these
questions:
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Who
What
Where
When
NOT why, unless employee gives their own explanation.
Written comments including specific examples in performance
reviews.
Disciplinary actions, such as warning documents with specific
examples and consequences.
Hand-written or typed explanations with business reasons for
employment actions such as demotions, promotions, layoffs.
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5. Questions? Comments?
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6. Why Documentation Is Important
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It establishes a record of employment actions taken and the reasons for
the actions. Memories fail, managers move on and other circumstances
change.
It informs employees of what is expected of them and the
consequences if they don’t meet expectations. Employees should never
be surprised when they are in a termination meeting.
From a performance management standpoint, it serves as a written
record to guide both the employer’s and the employee’s future behavior.
It gives the employee the opportunity to improve.
It serves as evidence of the employer’s business reasons for actions
taken, in the event an employee takes formal or informal steps with a
claim against a manager or employer.
It brings about fair and equitable treatment. No one wants to be
blindsided or treated differently than other employees.
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7. Questions? Comments?
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8. Implications of NOT Documenting
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Performance or attendance doesn’t improve, and there are
negative impacts to business, morale, and eventually the
manager’s own performance.
Increased frustration by manager and co-workers.
Misunderstandings on interpretation of discussion.
Employees not equitably treated; may have discrimination
claim.
Employees not treated fairly; may have wrongful termination
claim.
Lack of documented formal evidence for defense in the event of
legal claims.
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9. Questions? Comments?
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10. What Employment Actions Call for Documentation
by Supervisor/Manager?
• Setting and revising annual performance goals and
objectives.
• Mid-year and annual performance reviews.
• Violation of company policy, procedure, practice, or code
of conduct.
• Attendance issues.
• Poor performance.
• Demotions.
• Promotions.
• Change in job duties.
• Training needs and accomplishments.
• Bonus and merit increase decisions.
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11. Questions? Comments?
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12. When to Consult with HR on Documentation
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Accommodations – religious and medical.
FMLA – serious health condition for employee or spouse, child
or parent, birth or adoption of child, qualified exigency and
servicemember caregiver leave.
Significant changes to job duties.
Demotions.
Promotions.
Work/life balance matters, such as telecommuting.
Harassment claims.
Final Written Warning.
Egregious code of conduct or policy violations.
Layoffs.
Terminations.
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13. Questions? Comments?
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14. How to Document
Attendance, Performance, and Policy Violations:
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Follow the company discipline policy.
Start early. Make it a habit to discuss all employees’ performance with
the employee continuously as part of the performance management
process. This includes positive and negative feedback.
Don’t wait, hoping issues will improve. They usually won’t.
Document only the facts, not subjective judgments or conclusions.
Be thorough. Ask yourself, if someone outside the organization read the
documentation, would they understand the situation and the impact it
had to other employees or the company? Or is there too much company
jargon and too many assumptions in your documentation?
Make notes in writing. Include when (date and time), who was present,
what was discussed, the employee’s response, and the outcome,
including a date for a follow-up meeting.
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15. How to Document (cont’d)
Formal Written Warnings:
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Use company warning templates.
Cite examples of how the employee has not met performance
or attendance expectations.
Give specific guidance for improving performance or
attendance.
Have face-to-face discussion (whenever possible) with
employee and review warning document in detail.
Ask employee to sign warning indicating they have had the
discussion, received a copy, and understand the document.
Give copy of warning document to HR.
Document the discussion from the discipline meeting in writing.
Discuss any issues that came up during the discipline meeting
with HR.
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16. Questions? Comments?
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17. Summary
Documentation is important for both the employer and the employee.
Good documentation answers the questions Who, What, Where, and
When.
Document early. Don’t wait.
Discussion without documentation equals misunderstandings.
Discuss and document only the facts.
Give specific examples for how employee is not meeting expectations and
specific guidance for how employee can improve.
Always consult with HR about matters concerning FMLA, ADA, work/life,
harassment claims, final warnings, and terminations.
Ask employee to sign documentation of disciplinary actions.
Give copy of disciplinary action to HR and employee.
Discuss any issues arising from meeting with HR.
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18. Course Evaluation
Please be sure to complete and leave the evaluation sheet you
received with your handouts.
Thank you for your attention and interest.
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