Navigating Legal Pitfalls: Best Practices in Employee Documentation

Course Description:

Many HR Professionals and supervisors have difficulty documenting negative performance and proper disciplinary actions for many years. Even the best of supervisors finds this part of the disciplinary action as uncomfortable or anxiety provoking. Moreover, incorrect documenting of negative behavior or lack of documentation can be an Employer’s nightmare. It can also lead to litigation and other scrutiny and allegations of discrimination and wrongful termination which can impact an organization’s reputation and can deliver huge fines and penalties. There are federal and state laws that determine what documentation is needed, were it should go, and who sees it. There are clear guidelines for Employers to ensure they follow the medical guidelines as well as the legal written policy to avoid litigation.

It is clear that documentation is key in the workplace. When it comes to written documentation, employers should ensure that they stick to factual documentation versus coming to a generalized legal conclusion, such as the employee committed harassment or discrimination.  In order to terminate an employee, generally all that is needed is to show the employee violated a policy.  If the employer documents what they believe is a legal conclusion, this can be an admission of legal liability vs. an internal policy violation.

Why Should you Attend this Webinar?

Creating a solid documentation trail is critical for employers when working with an employee on performance issues. Documentation creates a written history of the happenings and discussions that occur around specific events. In a legal proceeding, having documentation about the employee’s past performance is key to obtaining an outcome favorable to the employer. Most employers have a progressive discipline policy that involves providing feedback in series of increasingly more formal communications starting with verbal warnings and ending with written warnings prior to a termination decision. Determining how, when, and what to include in performance documentation can often be tricky.

Areas Covered:

• What documentation is allowed when confirming COVID-19 vaccine status

• What should be avoided when it comes to documentation of medical information

• What documents should be in the personnel file and what should be out

• How many files should an Employers have for employees

• Written Documentation Myths and Facts

• Why is documentation one of the most difficult aspects of employee relations?

• What are the elements of an effective documentation?

• What policies and procedures must be included in an Employee Handbooks to support decisions to document any disciplinary action?

• What key issues must be addressed when documenting negative behavior?

• Should you include different incidents in an employee write up?

• What can an employee do if they do not agree or they want to explain their side of the situation?

• Instructions for Establishing a Performance Improvement Plan (PIP) PIP Template

• How can supervisors increase their success when writing corrective actions?

• Learn to create a written warning and disciplinary actions that withstand legal scrutiny;

• Review the elements that have to be included in a written warning/disciplinary action;

• What fines and penalties can be levied if no one documents performance;

• Dos and Don’ts of documentation;

• The importance of the Employee Handbook and the consistency of tracking behaviors.

Who Will Benefit?

• All Employers

• Business Owners

• Company Leadership

• Compliance professionals

• HR Professionals

• Managers/Supervisors

• Employers in all industries

• Small Business Owners

Instructor Profile:

Margie Faulk is a senior level human resources professional with over 15 years of HR management and compliance experience. A current Compliance Advisor for HR Compliance Solutions, LLC, Margie, has worked as an HR Compliance advisor for major corporations and small businesses in the small, large, private, public and Non-profit sectors. Margie has provided small to large businesses with risk management strategies that protect companies and reduces potential workplace fines and penalties from violation of employment regulations. Margie is bilingual (Spanish) fluent and Bi-cultural.

Margie’s area of expertise includes Criminal Background Screening Policies and auditing, I-9 document correction and storage compliance, Immigration compliance, employee handbook development, policy development, sexual harassment investigations/certified training, SOX regulations, payroll compliance, compliance consulting, monitoring US-based federal, state and local regulations, employee relations issues, internal investigations, HR management, compliance consulting, internal/external audits, and performance management. Margie is a speaker and accomplished trainer and has created and presented compliance seminars/webinars for over 16 US and International compliance institutes. Margie has testified as a compliance subject matter expert (SME) for several regulatory agencies and against regulatory agencies, thank goodness not on the same day. Margie offers compliance training to HR professionals, business owners, and leadership to ensure compliance with workplace and regulations.

Margie’s unique training philosophy includes providing free customized tools for all attendees. These tools are customized and have been proven to be part an effective risk management strategy. Some of the customized tools include the I-9 Self Audit. Correction and Storage program, Ban the Box Decision Matrix Policy that Employers can provide in a dispute for allegations, Family Medical Leave Act (FMLA) Compliance Guide, Drug-Free Workplace Volatile Termination E-Book and other compliance program tools when attendees register and attend Margie’s trainings.

Margie holds professional human resources certification (PHR) from the HR Certification Institution (HRCI) and SHRM-CP certification from the Society for Human Resources Management. Margie is a member of the Society of Corporate Compliance and Ethics (SCCE).