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

Whether you’re addressing an initial infraction or handling termination-worthy transgressions, you need to be 100 percent confident that every employee encounter is clear, fair, and most importantly, legal.

Thankfully, HR expert Paul Falcone has provided this wide-ranging resource that explains in detail the disciplinary process and provides ready-to-use documents that eliminate stress and second-guessing about what to do and say.

In 101 Sample Write-Ups for Documenting Employee Performance Problems, Falcone includes expertly crafted, easily customizable write-ups that address:

• sexual harassment,
• absenteeism,
• insubordination,
• drug or alcohol abuse,
• substandard work,
• email and phone misuse,
• teamwork issues,
• managerial misconduct,
• confidentiality breaches,
• social media abuse, and more!

With each sample document also including a performance improvement plan, outcomes and consequences, and a section of employee rebuttal, it’s easy to see why this guide makes life for managers and HR personnel significantly easier when it comes to addressing employee performance issues.

Introduction 1

Part I: Mastering the Write-Up Tool 5

CHAPTER 1 Progressive Discipline and Its Legal Considerations 7

CHAPTER 2 Disciplinary Levels, Subjects, and Prior Notifications 17

CHAPTER 3 Incident Descriptions and Performance Improvement Plans 33

CHAPTER 4 Consequences, Rebuttals, and Employee Acknowledgments 43

CHAPTER 5 Commonly Asked Questions and Practical Answers to Tricky Employee Relations Issues 57

CHAPTER 6 About the 101 Sample Write-Ups 79

Part II: Disciplining the Probationary Employee 83

#1--3 Disciplining the Probationary Employee 85

#4--6 Disciplining the Probationary Employee: Extending the Length of Probation 95

#7--9 Performance 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

#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 Disclosure 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

Bonus 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

Bonus 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

#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

#73 Union Steward Abuse 366

#74 Character Assassination and Defamation 369

Bonus Sample--"Locker Room" Banter 372

Part VI: Absenteeism and Tardiness 375

Caution 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

Bonus Sample--FMLA Abuse: Failure to Provide Appropriate Medical Documentation 409

Bonus Sample--FMLA Abuse: Failure to Follow the Terms of the Medical Certification 413

Bonus 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 Employee 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

#90 Summary 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 Summary 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 Summary 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 Director-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