7

Lesson 7:

Introduction to Documentation

As a manager or supervisor, one of your most important responsibilities is documentation. Documentation helps you keep track of important information related to your employees, and it can also protect you and your organization in the event of a dispute or legal issue. Documentation can range from policies and procedures for your department, to signed contracts, to personal data of employees, businesses and/or agencies. It is important that documents of all kinds are treated like prized possessions – because they are!

Note: CC Public Domain

Note: (Heathfield, 2019), (“Payroll Records, “n.d.)

The Importance of Documentation

Documentation is essential for a variety of reasons. It helps managers and supervisors track employee performance, identify areas where improvement is needed, and provide evidence in the event of legal or disciplinary issues. It also helps ensure that employees are treated fairly and consistently and can be used to support decisions related to promotions, pay raises, and other employee-related matters.

These are several key advantages that can be emphasized to highlight the importance of prioritizing documentation:

• A centralized source of information can save time and effort by collecting all necessary information in one organized location, reducing the need to search through emails or other documents for the latest details. This can be particularly helpful when passing tasks off to other team members or when onboarding new hires.
• Documentation is crucial for ensuring consistency and quality control, especially for projects that are repeated regularly. Sharing knowledge through documentation enables team members to understand processes and recognize what a finished product should look like, without having to reinvent the wheel every time.
• Documentation can reduce duplicative work by cataloging past projects, research, and decisions. Rather than starting from scratch, documentation allows team members to build on previous work, saving time and resources.
• Documentation makes the hiring and onboarding process easier by providing guides, directions, and notes for new hires to reference as they get up to speed in their new roles. This can also help to make the process less daunting for both new hires and existing team members.
• A centralized source of information can increase transparency and foster a more collaborative and strategic culture, as knowledge sharing becomes the norm. This can lead to better decision-making and a more knowledgeable team overall.

Note: (“Importance of Documentation,” n.d.)

Methods for Documenting Job Performance

FOSA Approach for Creating Documentation

The FOSA approach is a method for creating workplace documentation that guarantees fair and precise recollection when retelling events. Its main elements are Facts, Objectives, Solutions, and Actions. By using the FOSA method, managers can create trustworthy records of employee performance and use them as a guide before meeting with employees to discuss their performance. Let’s delve into each element of the FOSA process for more information:

• Facts: When documenting employee performance, start with the verifiable facts and be specific and behaviour focused. Avoid inserting personal opinions, emotions or judgments. Facts should include what happened, when it happened, where it happened, who was involved and why it matters.
• Objectives: Objectives should state specific expectations for the employee in measurable terms.
• Solutions: Solutions should be offered to help them achieve those objectives.
• Actions: Actions should clearly outline the consequences for the employee if they do not improve their performance. By making documentation a habit, leaders can better organize their thoughts and deliver effective feedback.

Note: (“Importance of Documentation,” n.d.), (Deblieux, 1995), (Williams, N.D)

Incident Logs

Keeping an incident log can help managers keep track of their team members’ performance and concerns. It is essential to document performance trends and significant events related to an employee’s performance. Incident logs can be kept in various forms such as notebooks, calendars, and electronic or paper file folders, but it should be kept confidential and secure. The log should only include relevant information and not personal opinions. However, it is not a substitute for having a conversation with the employee. The conversation must be documented first, and then the log entry should be added later.

Note: (University of Florida Human Resource Services, n.d.), (Deblieux, 1995), (Williams, N.D)

Here is one example of how a log can be kept. This kind of log can be used for any kind of incident, whether it be performance-related, injury-related, or workplace harassment related. All incidents should be recorded, but there are many ways to record them. The important part is that it is recorded in a detailed, truthful and organized manner.

Note: (hayes, 2023)

Record Keeping

Record keeping by managers for their employees typically involves maintaining a file for each employee that contains relevant information such as their personal data, job description, performance evaluations, disciplinary actions, and training records. This information can be kept either in physical (ex. filing cabinet and folders) or digital form, depending on the departments record-keeping practices.

To keep track of certifications and up-to-date licensure, managers could opt to use a system that alerts them when an employee’s certification or licensure is about to expire. They may also require employees to provide proof of their certifications and licensure on a regular basis, such as annually or biannually. Additionally, some companies use software programs that automate the tracking of employee certifications and licensure. These programs can generate reports and reminders, making it easier for managers to ensure that their employees are in compliance with industry standards and regulations.

It is important to maintain certain employee records in their personnel file, which includes:

• Pre-employment documents like job descriptions, resumes, offer letters, signed agreements on company policies, and emergency forms.
• Employment documentation like performance records, promotions, transfers, compensation, attendance and training completion, disciplinary actions, and written agreements between employee and employer.
• Separation of employment documents like exit interviews, separation checklists, resignation letters, reasons for separation notes, unemployment documents, separation agreements, reference statements, and correspondence. It is advisable to check whether employee files should be combined after separation of employment.

Note: (Society for Human Resource Management, n.d.)

Remember, all documentation needs to be kept in a secure location. This includes personnel files and whether it is in paper or digital format.

Electronic Documentation and Record Management

Many employers prefer electronic record-keeping over paper files because it eliminates the need for physical storage space, making it more cost and time efficient. Electronic storage also makes it easier to retrieve information and access documents efficiently. Departments may also choose to go paperless to demonstrate their commitment to sustainability.

Employers have several options for creating an electronic record-keeping strategy, with various vendors and software platforms available. Cloud-based or software-as-a-service (SAAS) approaches are preferred by some companies as they allow for faster implementation, easier software updates, and less HR tech support. However, private on-premises systems may be preferred by some professionals as they offer more control over how data is used, stored, and located

Note: (Society for Human Resource Management, 2022)

Read: 5 Advancements of Electronic Records Managment