101 Sample Write-Ups for Documenting Employee Performance Problems: A Guide to Progressive Discipline & Termination

481 Pages·2017·3.36 MB·English

by  Paul Falcone

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101 Sample Write-Ups for
Documenting Employee
Performance Problems
101 Sample Write-Ups for
Documenting Employee
Performance Problems
A Guide to Progressive Discipline & Termination
3RD EDITION
PAUL FALCONE
AMERICAN MANAGEMENT ASSOCIATION
New York n Atlanta n Boston n Chicago n Kansas City n San Francisco
Washington, D.C. Brussels n Mexico City n Tokyo n Toronto
Acknowledgments
To my dear friends at the American Management Association who have guided, supported,
and encouraged my writing and speaking engagements over the years, especially Stephen S.
Power, senior acquisitions editor at AMACOM Books; Rosemary Carlough, vice president of
marketing; and Nicole Morgenstern, Dave Summers, and Doug Sohn on the training/digital
marketing side of the house. Thank you all for your ongoing friendship and partnership. I
absolutely love working with you!
And to the finest legal team and legal minds in the business, who helped review select
portions of this manuscript as it made its way through the various stages of development:
Rich Falcone (no relation to the author), shareholder and employment litigation partner
with Littler Mendelson in Costa Mesa, CA; Frank Melton, principal and labor employment
attorney in the Los Angeles office of Jackson Lewis P.C.; Jacqueline Cookerly Aguilera, part-
ner, labor and employment, and Kathryn McGuigan, counsel, labor and employment, with
Morgan, Lewis & Bockius, LLP in Los Angeles; and Christopher W. Olmsted, shareholder in
the San Diego office of Ogletree, Deakins, Nash, Smoak & Stewart, P.C. I consider myself so
fortunate to have partnered with you all on this third edition, and I benefitted tremendously
from your guidance and counsel.
Contents
Introduction ................................................................ 1
Part I: Mastering the Write-Up Tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1 Progressive Discipline and Its Legal Considerations .............................. 7
2 Disciplinary Levels, Subjects, and Prior Notifications............................ 17
3 Incident Descriptions and Performance Improvement Plans...................... 33
4 Consequences, Rebuttals, and Employee Acknowledgments ...................... 43
5 Commonly Asked Questions and Practical Answers
to Tricky Employee Relations Issues ......................................... 57
6 About the 101 Sample Write-Ups............................................ 79
Part II: Disciplining the Probationary Employee . . . . . . . . . . . . . . . . . . . . . 83
#1–3 Disciplining the Probationary Employee................................. 85
#4–6 D isciplining the Probationary Employee:
Extending the Length of Probation...................................... 95
#7–9 P erformance Problems That Arise Right After
the New Hire’s Probationary Period Ends ............................... 104
Part III: Policy and Procedure Violations . . . . . . . . . . . . . . . . . . . . . . . . . 113
#10 Inappropriate Interviewing Questions .................................. 115
VIII CONTENTS
#11, 12 Failure to Follow Departmental Policies and Procedures................... 118
#13 Excessive Personal Telephone Calls .................................... 124
#14 Software Piracy (Unauthorized Installation)............................. 127
#15 Unauthorized Use of Company Equipment, Time, Materials, or Facilities..... 130
Bonus Sample—Lost Equipment ...................................... 133
#16 Unauthorized Removal of Company Files............................... 136
Bonus Sample—Employee Time Card Falsification ....................... 139
#17 Leaving the Work Site During a Regularly Scheduled Shift ................. 143
#18 Working Unauthorized Overtime...................................... 146
#19 D isclosure of Confidential Information
About the Company or Its Customers .................................. 149
#20 Failure to Follow Company Dress Code ................................ 152
#21 Smoking on Company Grounds....................................... 155
#22 Unauthorized Release of References to Prospective Employers .............. 158
#23 Email Misuse (Nonwork-Related Usage) ................................ 161
B onus Sample—Email Misuse
(Racially Influenced and Distasteful Messaging).......................... 165
Bonus Sample—Personal Cell Phone Use ............................... 168
#24 Off-Duty Conduct and “Moonlighting”................................. 171
Part IV: Performance Transgressions . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
#25–31 Substandard Work Performance....................................... 177
#32 Substandard Customer Service ........................................ 201
#33, 34 Safety Infractions ................................................... 204
#35 Lack of Sales Production ............................................. 210
B onus Sample—Substandard Sales
Performance (Extension of Final Written Warning) ....................... 213
#36, 37 Unwillingness to Perform Properly Assigned Work ....................... 217
#38 Recurring Negligence and Thoughtlessness .............................. 223
Bonus Sample: Improper Cash Handling (Dual Custody Violation) ......... 226
#39, 40 Acts Resulting in Loss to the Employer ................................. 230
CONTENTS IX
#41, 42 Slow or Inefficient Production ........................................ 237
#43, 44 Failure to Observe Working Schedule, Including Rest and Lunch Periods ..... 243
#45 Sleeping on the Job (Written Warning) ................................ 249
Bonus Sample—Sleeping on the Job (Final Written Warning) .............. 252
#46 Failure to Learn New Material During Training........................... 255
Bonus Sample—Failure to Retain Information After Training............... 259
#47 High Error Factor and Scrap Rate ...................................... 263
#48 Falsification of Employer Records...................................... 266
#49, 50 Lack of Communication with Supervisor................................ 269
Bonus Sample—VP-Level Substandard Performance and Conduct........... 275
Bonus Sample—Unacceptable Skip-Level Findings (Director Level).......... 279
Bonus Sample—Substandard Project Management (Director Level).......... 283
Part V: Behavior and Conduct Infractions . . . . . . . . . . . . . . . . . . . . . . . . 287
#51 Profane Language in the Workplace and Insubordination.................. 289
#52 Poor Attitude ...................................................... 293
#53 Insubordination.................................................... 296
#54, 55 Insubordination and Substandard Work Performance..................... 299
#56, 57 Misconduct, Fighting, and Horseplay................................... 305
58–61 Sexual Harassment.................................................. 311
#62 Creating an Intimidating Work Environment ............................ 323
Bonus Sample—Social Media Cyberbullying............................. 326
#63 Veiled or Direct Threats of Violence.................................... 329
#64–66 Antagonistic Behavior Toward a Coworker .............................. 332
#67 Managerial Retaliation............................................... 341
#68–70 Intoxication During Work Hours ...................................... 345
#71 Drug-Related Impairment During Work Hours........................... 356
Bonus Sample—Failure to Disclose Coworker Inebriation ................. 360
#72 Misuse of Power and Office........................................... 363
X CONTENTS
#73 Union Steward Abuse ............................................... 366
#74 Character Assassination and Defamation................................ 369
Bonus Sample—“Locker Room” Banter................................. 372
Part VI: Absenteeism and Tardiness . . . . . . . . . . . . . . . . . . . . . . . . . . . . 375
C aution Regarding Restrictions Related to Disciplining or
Terminating Employees for Attendance and Tardiness..................... 377
#75 Excessive, Unscheduled Absence: “No Fault” System ...................... 379
#76, 77 Excessive, Unscheduled Absence....................................... 382
#78, 79 Pattern of Excessive, Unscheduled Absence.............................. 388
#80 Excessive, Unscheduled Absence: “Excuse-Based” System .................. 397
#81–83 Excessive Tardiness.................................................. 400
B onus Sample—FMLA Abuse: Failure to Provide
Appropriate Medical Documentation................................... 409
B onus Sample—FMLA Abuse: Failure to Follow
the Terms of the Medical Certification.................................. 413
B onus Sample—FMLA Abuse: Failure to
Consult HR Regarding Leave Request................................... 418
Bonus Sample—Failure to Engage in the ADA Interactive Process ........... 422
Part VII: Termination Notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
#84, 85 Discharge for Cause: Substandard Performance .......................... 429
#86 E mployee Fails to Report to Work on First Day;
Company Rescinds Its Employment Offer............................... 431
#87 Summary Discharge: Falsification of Company Records.................... 432
#88 Summary Discharge: Employee Time Card Fraud......................... 433
Bonus Sample—Supervisory Time Card Manipulation..................... 434
#89 Summary Discharge: Loss of Current Weapons License . . . . . . . . . . . . . . . . . . . . 435
CONTENTS XI
#90 S ummary Discharge: Possession, Sale, or Being Under
the Influence of Alcohol or Illegal Substances............................ 436
Bonus Sample—Medical Marijuana Misuse.............................. 437
#91 Summary Discharge: Failure to Pass Certification Exam.................... 438
#92 S ummary Discharge: Terminating an
Employee Without Corporate Approval................................. 439
#93 Summary Discharge: Misconduct at Company Holiday Party ............... 440
#94 Summary Discharge: Threatening a Coworker with Bodily Harm............ 441
#95 Summary Discharge: Terminating the Probationary Employee .............. 442
#96 Letter Confirming Acceptance of an Employee’s Verbal Resignation.......... 443
#97 Summary Discharge: Acceptance of Gratuities............................ 444
#98 S ummary Discharge: Insubordination
(Inappropriate and Undermining Behavior)............................. 445
Bonus Sample—Insubordination (Violent Employee Reaction) ............. 446
Bonus Sample—Social Media Misuse................................... 447
#99 Secretarial Layoff: No Severance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448
#100 D irector-Level Layoff, Including Severance Package,
Outplacement, and Appropriate Legal Release ........................... 449
#101 Job Abandonment .................................................. 454
Index .................................................................. 455
Selected Additional Titles from the Society for
Human Resources Management (SHRM®)...................................... 461
About the Author .............................................................
Free Sample Chapter from 75 Ways for Managers to Hire, Develop,
and Keep Great Employees by Paul Falcone..........................................
Other Best-Selling books by Paul Falcone .........................................
About Amacom...............................................................
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SampleWriteUps3rdEd.