top of page
  • Writer's pictureRoberta Edwards

Documentation Holds the Key to Mitigating Legal Risks in HR Management

Updated: Jan 31

HR Management Documentation

In this article, we delve into a critical aspect of human resources (HR) management within an organization that often goes overlooked but holds immeasurable importance: documentation. While it may seem mundane or burdensome, proper documentation practices can actually serve as the key to mitigating legal risks for an organization. This article explores the reasons for lack of documentation, unravels the undeniable benefits documentation offers to organizations and wraps up with how we can improve our documentation practices. By the end, you will have a comprehensive understanding of why embracing meticulous documentation is not only wise, but essential for safeguarding your company's legal interests. Get ready to unlock the power of documentation in HR management!

Why aren’t we doing it?

One of the main reasons for lack of documentation is managers have not received training on best practices in HR. Oftentimes, employers promote their top performing employee into management, overlooking the need to provide training on the basic job duties the new manager is expected to perform. As a result, managers are unable to compose a detailed corrective action form, a clear-cut performance review form, and are unsure how to have effective conversations with their employees. In addition, managers (like most human beings) often fear conflict situations. Sometimes a manager is so afraid that they will say something wrong to an employee and get the company in trouble, that they will avoid difficult conversations at all costs.

There is also the mindset that creating documentation is time consuming. This goes hand-in-hand with lack of training, as well as lack of a solid policy and procedure. Proper documentation can take time for someone who is not well-versed, but the flip side is that when situations are not effectively written down, the ensuing employee relations issues end up taking much more time and energy.

What makes documentation so important?

Employees (and people in general) are not mind readers.

When employee performance is not up to par, or an employee violates a policy, documentation is key to communicating expectations and redirecting the employee. Employees need to be told that their performance or behavior does not meet either the expectations of the position or the company standards. Employees have the opportunity to improve when expectations are clearly communicated. Employees have plausible deniability when expectations are not outlined. Oftentimes, employers lack policies or job descriptions, leaving employees without complete information and instructions. Employees are often expected to magically meet expectations that have never been communicated to them.

Documentation creates an accurate record of events, supporting decision-making.

In the realm of Human Resources (HR) management, documentation plays a paramount role in ensuring fair and consistent practices. It serves as an essential tool that captures crucial information, provides a historical record of events, and safeguards both employees and employers. Proper documentation not only promotes transparency but also acts as a shield against potential legal risks.

By meticulously documenting employee interactions, such as performance evaluations, disciplinary actions, and employee complaints, organizations create a reliable framework for their decision-making processes. This detailed record allows HR professionals to refer back to specific incidents or conversations when assessing performance or handling disputes. Moreover, it ensures that no crucial details are forgotten or distorted over time.

Documentation further helps establish evidence-based reasoning for actions taken by managers and HR professionals. Most often, the burden of proof in unemployment claims and litigation lies with the employer. In cases where legal challenges arise, maintaining accurate records can support the organization by demonstrating fair treatment and compliance with relevant policies and regulations. Additionally, comprehensive documentation can prevent misunderstandings and promote effective communication within the workplace.

How can we get better?

Incorporating clear guidelines on how to document certain situations within an organization's HR policies is the first step to improvement. A solid policy and procedure encourage consistency across different cases and promotes fairness in addressing employee concerns while minimizing potential legal risks associated with inconsistent or biased treatment. When HR oversees the process and trains managers, documentation becomes more effective and easier to create.

Ultimately, effective documentation practices allow managers and HR professionals to navigate through delicate situations with objectivity and integrity, resulting in harmonious work environments conducive to personal growth and professional development.


It is abundantly clear that documentation plays a pivotal role in mitigating legal risks in an organization. By meticulously recording events and conversations, organizations can build strong defense strategies should legal disputes arise. Moreover, comprehensive documentation ensures compliance with employment laws and regulations.

As we navigate the intricate landscape of HR management, let us embrace the power of documentation as a shield against legal pitfalls - for in doing so, we pave the way to creating an engaged, productive workforce and a pleasant work environment for all involved parties.

39 views0 comments


bottom of page