Method, speed key to recording event

A recent graduate's decision to accept a different job in the company that had already hired him, without the knowledge of his current supervisor, highlights the need for firms to have transfer and promotion policies. (CHRISTINE PETERSON/FOR THE BOSTON GLOBE)

Q. I have been a supervisor for almost a year, and I now have an employee whose performance is problematic. My boss is telling me that I have to document these problems. I guess I have been fortunate in not having to do this type of documentation before, and I realize that I am not sure how I should be doing this. My boss just says, "document it," when I have asked him for assistance. Is there anything I should know about how this is supposed to be done?

A. Whenever we need to keep a record of events that happen periodically versus on a regular schedule we need to first find the method of recording that is most natural and comfortable for us. If we don't decide this right off, we will find that it will just become another item added to our to do list. Some managers keep a small notebook in a pocket or purse where they jot down incidents, others may use their BlackBerry or a file on their computer. Some may just use index cards where they jot down their notes. Whatever the method that works for you, it should be one that can and will be used consistently and easily.

The next most important thing to keep in mind about documentation is that it should be done as soon as possible after the event or problem occurs. Our memories fade over time, even though we don't think that they will, and it is therefore best to record the details when they are fresh in our minds.

Documentation enables us to keep an accurate record of facts that may become the basis for decisions we make later. Without it we can appear to be behaving in an arbitrary or discriminatory manner toward an employee.

Although your question is about documenting a problem situation, I want to emphasize that documentation of positive accomplishments and performance improvements are also helpful. These records can be the basis of a high performance rating, a larger than standard pay raise or a promotion recommendation.

When recording anything about a problem situation at work be certain to start with the date and the time the event occurred. Time-related records can be as significant as the facts that we state when trying to explain or justify our decisions and the actions we take.

What is actually recorded needs to be fact-based and not opinion-based. Statements like, "I think she is lying to me," won't cut it. Instead, writing, "Mary arrived at work 15 minutes late for the third Friday in a row and said each time that the reason for her lateness was her alarm clock was broken" is more effective documentation.

Being objective and clear with the matters you observe and hear is another key to effective workplace documentation. Your own observations have much more weight and validity than hearsay or rumors. If you do want to record what others have told you do so stating who said it, when they told you and what they said. The exception to this is a matter shared with you in confidence that you are not legally obligated to reveal.

An example of documenting an observation might look something like this:

"On Friday, May 15, 2008 at 2 p.m., I saw Mary from the purchasing department having lunch with her husband at Jonah's Restaurant in Cambridge. My review of her timecard showed that she had clocked out for her 45-minute lunch at noon that same day. Another example is, this morning at 10:15 a.m. I heard Mary tell a customer that we had no bathroom that the customer could use. Our policy is to escort any customer directly to the bathroom whenever requested. I called Mary into my office and reviewed the policy with her, gave her another copy of the written policy and she agreed to follow it in the future. This is the second time that a policy covered in the training program that Mary completed was not followed correctly."

When you take an action or make a decision regarding this employee or a related situation, record that as well. The documentation should show both the problem and your response, when one occurs. The decisions of management in general that relate to the matter you are dealing with should also be noted.

Although full and accurate documentation is necessary when an employee is on a disciplinary track, I do not want to create the impression that any performance correction or criticism that is communicated to an employee needs to be documented. These occur in the normal course of a manager's day and certainly don't have to be recorded.

Copies of any related memos, e-mails, policies, warnings, or voice mails are frequently included as part of the documentation package. Written warnings, if they become necessary, should also be written based on the facts supporting the reasons for the warning; be as specific as possible.

Do not assume that you are the only one documenting what is happening at work with your employees. An increasing number of employees, especially those who have been warned or realize they may in trouble with their boss, are keeping their own records of what their boss and/or other managers are saying or doing. Ask your boss if he is documenting your discussions with him regarding this employee. Obviously, the two of you need to be fully aware of each other's work on this matter. Is the human resources department involved and are they documenting any aspect of the situation?

Human resources professionals are well trained in the subject of documentation and may be willing to share with you what they have learned is most effective.

The most important thing to remember about documentation is to just do it. In my experience, many managers think and worry about it a lot but don't necessarily get the documentation done.

Your company appears to need a policy about internal transfers and promotions from within the company. This type of policy often falls under the company's job posting policy or its internal transfer policy, where candidates who currently work in the company can apply for jobs prior to these openings being publicized to outside candidates. Even when management wants to protect an applicant's privacy, there can be guidelines to follow that give all parties adequate notice. Everyone operates with the same rules and surprises like this one are hopefully avoided.

Many companies have specific policies to address this type of personnel matter. These internal transfer or job posting policies outline the procedures to be followed when an employee is seriously being considered for an opening. These policies include guidelines on the following subjects: