Posts

Image of the Wheel of HR featuring HR Compliance and Recordkeeping Services from Clark Schaefer Strategic HR

What to Include in a Written Warning

Last Updated
in

Question:

I was told that I should give a written warning to a problem employee to create documentation. What should the written warning include?

Answer:

First make sure you are following your established disciplinary policy and procedures. Do you have any steps prior to a written warning that need to take place (i.e. counseling, verbal warning, etc.)? Assuming that giving a written warning follows your typical disciplinary procedures, you’ll want to create a record of discussion and document the following:

  • Employee and Supervisor’s Name
  • Date of the written warning / disciplinary action
  • Description of the performance issue being addressed
  • Corrective action required by employee
  • Resources available to assist the employee (if applicable)
  • Consequences of not improving performance
  • Date for follow up discussion
  • Acknowledgement of the warning by employee and supervisor

A copy of this document should be placed in the employee file. Be sure to follow up on the documented date to follow through with the disciplinary procedure.

Recordkeeping is one of the more mundane tasks associated with Human Resources, but is extremely important. Keeping documentation of corrective actions, counseling sessions and performance appraisals are vital to making sure you are being consistent with your disciplinary and performance policies. Strategic HR has a great online tool that’s affordable, easily downloaded and ready for immediate use. Our Coaching and Counseling toolkit has sample policies and forms to help you with your Counseling needs. Visit our Recordkeeping page to learn more.

Image of the Wheel of HR featuring HR Compliance and Recordkeeping Services from Clark Schaefer Strategic HR

Filing Employee Paperwork

Last Updated
in

Question:

I am new to HR and there is currently no system for filing employee paperwork. Where do I even start to go through the piles?

Answer:

Once you get organized, employee documentation can actually be quite easy to maintain. To start, you will need a minimum of three files: a personnel file, a confidential medical file and a confidential, non-medical file. It is important to separate medical information from non-medical information due to HIPAA privacy requirements. Using the three folder method, each should include:

Personnel File: Applications for employment, resumes, certifications, most pre-employment and new hire paperwork (see below for exceptions), payroll information, attendance records, discipline documentation, performance evaluations, training needs, and documents relating to employment decisions (promotion, demotion, transfer, layoff, termination).

Confidential Medical File: Benefits enrollment paperwork, doctor’s excuses, FMLA or any other type of medical leave documents, disability documentation, Workers’ Compensation documents, injury reports, drug and alcohol testing, and any other form containing medical information.

Non-Medical Confidential File: Criminal or Credit Background checks, garnishments, EEO related charges or investigation documents, litigation documents, and 401k enrollment forms.

Some employers may also choose to have a separate folder for compensation or performance related matters. I-9 forms should be kept together for all employees in one binder.

Recordkeeping can be a daunting task, especially once you get behind in filing. Keeping some documents accessible, but confidential is extremely important. Strategic HR has an easy to use desktop reference to assist with managing employee documentation and record retention. Visit our HR Store page to learn more about this handy tool.