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Effective management requires addressing employee performance concerns promptly and professionally. Documenting these concerns is crucial not only for tracking progress but also for protecting the organization from potential legal or HR-related issues. Well-documented performance concerns can help both the employee and the employer identify areas for improvement, ensure fairness, and guide future actions. This article outlines why and how to document employee performance concerns, providing managers with tips on handling this process with care and precision.

Why Documenting Employee Performance Concerns is Important

1. 1. Clarifies Expectations: Documenting performance issues ensures that both the employee and management are on the same page about expectations. Written records can serve as a reference point for the employee to understand where they are falling short and where improvements are needed. This transparency helps employees feel more accountable for their work.

   2. Provides Evidence: In situations where an employee’s performance or behavior results in disciplinary action, clear documentation can provide the necessary evidence to support the decision. This documentation supports the organization’s defense against potential legal claims and provides evidence of consistent and fair decision-making and disciplinary actions.

   3. Improves Communication: Performance concerns can sometimes be challenging to communicate in person. Documenting issues in writing requires managers to articulate their concerns clearly and professionally. This helps avoid misunderstandings and ensures the employee knows exactly what needs improvement.

   4. Tracks Progress: Written records allow both the employee and manager to track improvements (or lack thereof) over time. This ongoing documentation can help determine whether performance is improving or if further action is required, such as additional training, a performance improvement plan (PIP), or even termination.

   5. Ensures Fairness: Documentation is vital for ensuring that all employees are treated fairly and consistently. Recording performance issues helps minimize the risk of biased treatment, favoritism, or unfair decisions, which can damage workplace morale and lead to legal complications.

Tips for Effectively Documenting Performance Concerns

1. 1. Be Objective and Specific: Avoid personal judgments and subjective language. Instead, focus on observable actions and measurable results. This will prevent potential arguments about bias or misinterpretation.

   2. Keep Records Consistent: Regularly document performance issues, even small ones, as they arise. This will create a more accurate picture of the employee’s performance over time and help when discussing patterns of behavior.

   3. Maintain Confidentiality: Documenting performance issues should always be a private matter between the manager and the employee. Only share records with authorized individuals, such as HR, and ensure that all personal or sensitive information is protected.

   4. Stay Professional: It’s essential to maintain a professional tone in your documentation. Even if the employee is underperforming, focus on facts and solutions rather than emotions or opinions. Treating the employee with respect can also reduce defensiveness and promote improvement.

   5. Use Documentation to Coach: Consider using performance documentation as a tool for coaching. The goal should always be to help the employee improve their behaviors and performance. Use documentation to highlight areas for growth and develop a supportive action plan to drive improvement.

   6. Review Company Policies: Familiarize yourself with the company’s policies and procedures for performance management, as these can vary. Ensure that your documentation and subsequent actions align with those guidelines.

Common Pitfalls to Avoid

• • Lack of Specificity: Avoid vague or generalized descriptions like “poor attitude” or “lack of motivation.” Instead, provide concrete examples, such as “failed to meet the project deadline on October 5th despite repeated reminders.”

  • Overly Emotional Language: Steer clear of making emotional statements such as “irresponsible” or “disrespectful.” These terms are subjective and don’t convey clear information. Stick to facts.

  • Failure to Document Early: Waiting too long to document concerns can make the issue more challenging to address and lead to escalation. Aim to report problems as soon as they arise.

  • Ignoring Positive Feedback: Make sure that documentation isn’t solely focused on negative feedback. Acknowledge improvements and successes to maintain balanced and fair documentation.

Documenting employee performance concerns is an essential part of effective management. It ensures clarity, provides protection, and fosters open communication between the employee and manager. By following best practices and maintaining objectivity, managers can address performance issues constructively and professionally. This documentation also serves as a valuable tool for enhancing employee performance, promoting fairness, and protecting the organization’s long-term interests.

Employers Council has resources to help you navigate documenting employee performance concerns, including the following:

Whitepaper: Documenting Performance/ Behavior

Training Course: Performance Documentation 101

Employers Council’s attorneys and HR consultants are here to help. Contact info@employerscouncil.org  for assistance or more information. 

Carissa Newcomer, SPHR, is an HR Consultant with Employers Council.