A lack of solid documentation is one of the most common mistakes employers can make when addressing an employee’s promotion, performance, behavior, or discipline issue. Not properly documenting, or not documenting at all, can hurt employers and employees in several ways. The value of good documentation is that it helps leaders provide useful feedback to employees, while also tracking both positive performance and areas of improvement. Documentation can make or break a manager’s ability to discipline, terminate, fairly promote, reward, and recognize employees.
Documentation is key to appropriate and effective disciplinary action. Although most employees never require discipline, some exceptions can occur, and it is useful to have a method that objectively, accurately, and fairly documents employee performance. Perhaps most importantly, solid documentation is critical should a terminated employee bring discrimination or other employment-related claims against the company.
One way to appropriately document workplace activities is the FOSA method. Identifying and documenting Facts, Objectives, Solutions and Actions (FOSA) helps ensure a fair and accurate recollection of events. The FOSA method helps keep a reliable record of employee performance, while also serving as a guide for managers when meeting to discuss an employee’s performance. Properly identifying the FOSA of every incident ensures that decisions are made correctly and that the employee clearly understands the expectations and steps to improve their performance.
Facts: Include specific facts explaining the who, what, where, when, and how. When recording the facts, keep them specific and focused on behavior, avoiding labels or attitude. Behavior is something that can be observed, whereas attitude is interpreted. Be careful not to interject your own opinions, emotions, or judgments. Include any information relating to dates, times, and previous discussions with the employee. For example, John increased sales by 7%, which exceeded his previously established goal of 5%. Michelle was 15 minutes late to work seven times in January.
Objectives: Objectives are your expectations. These can include performance expectations, work habit expectations, attendance and more. It can also include the impact of an employee’s behavior on peers, the organization, coworkers and customers. Define a specific behavior or result for the employee in measurable terms against which you (and they) can gauge performance.
Solutions: Solutions are ideas and suggestions in the form of assistance or coaching that can be offered to the employee to help him or her solve the performance problem. Examples of solutions include training, coaching, education or providing resources. The solutions offered should be designed to help the employee reach their objectives. Remember to include the employee when developing solutions because they may be able to come up with alternatives that you may not have considered. It will also help the employee become part of the solution while increasing accountability and a sense of ownership.
Actions: Actions are the steps in implementing the solutions. This is an important component because the actions communicate the importance of the situation and your commitment to helping the employee resolve the problem. In discipline situations, actions are the consequences for the employee if they do not improve their performance. The actions should clearly outline what will happen if the objectives are not met. When highlighting positive performance, the actions may be outlined as accomplishments or the positive impact that the incident had.
Do not put off documenting employee performance; be sure to write down the incident right away. Do your best to use objective terminology and stay away from vague language like “bad attitude” or “failure to get along with others.” Also, do not use terms such as “always” and “never,” as in, “Joshua never turns in his reports on time.” Using these types of absolutes without being 100% certain will undermine your credibility. Vague phrases that are unsupported by objective facts are almost as bad as not documenting at all.
Always remember that it is the responsibility of business leaders to create an environment of support, not fear. Most employees want to do a good job, and a good leader looks for the best in their employees.
This material has been prepared for informational purposes only, and is not intended to provide, nor should it be relied upon for, legal or tax advice. If you have any specific legal or tax questions regarding this content or related issues, please consult with your professional legal or tax advisor.
