Ideally, your staff is always professional and never acts in a way that requires they be reprimanded. However, that isn’t always the case for business owners.
Some forms of behavior require immediate termination, while other types of conduct require a less-drastic measure. A formal yet less harsh response is needed in these situations. This is commonly called “writing up” an employee. As a business owner, knowing when to use this form of discipline and exactly how to do so is important.
What is an employee write-up?
Writing up an employee is a type of discipline. It serves as a formal notice that an employee’s behavior is unacceptable and needs to improve, or additional, more significant consequences may follow. A write-up is a formal letter that spells out what the infraction was, how the behavior must change and what you, the employer, will do if it doesn’t.
Ronna DeLoe, an attorney with LegalZoom, said a write-up documents employee conduct and establishes an improvement plan. An employee write-up can include detailed documentation, including written witness statements. If the disciplined employee files a lawsuit for wrongful termination, having documentation (i.e., the write-up) can be a key part of your defense.
However, if you feel that the behavior or issue isn’t a fireable offense, you can include in the write-up a plan for improvement by the employee, including what they need to do to keep their job. The write-up can also specify a deadline for the desired performance you want from the employee.
A write-up is one step in the overall employee disciplinary process. It’s essential to enforce your disciplinary process fairly across your organization.
What to include in an employee write-up
There is not a standard form or template mandated by the federal government or state authorities. It is up to each business to create its own employee write-up form. However, it should contain the following elements:
- Name of the company
- Name and position of the employee who is the subject of the write-up
- A description of the conduct, such as tardiness
- Documentation of the conduct (include dates, time of day, written statements from witnesses, etc.)
- A plan for improvement, with a deadline specified
- The consequences for the employee if there is no improvement
- Signatures of the manager and employee (You may want to include a clause that by signing the write-up, the employee acknowledges receipt of the write-up, not that they agree with its contents)
How to fill out a write-up
While it isn’t as serious as a termination letter, an employee write-up form still has consequences for employees and employers if it is not completely filled out or the proper procedures aren’t followed.
Here are eight steps you should follow when writing up an employee:
- Have a clear objective of what you hope to achieve by issuing a write-up. If it is to increase the productivity of the employee, focus on that in both the documentation and the improvement plan. If you include several issues with the write-up, it can overwhelm the employee, and it could be interpreted as a form of harassment.
- Briefly describe the conduct that triggered the write-up and why that behavior or action is detrimental to the business.
- Document the conduct. Include the date and time of each violation. Specify the number, dates and times of any oral warnings given and the names of the manager who issued them.
- Explain in detail how the employee’s conduct violated company policy, as stated in the employee handbook. Include any written witness statements of any third parties involved.
- Establish a plan to improve performance. Include specific targets or metrics for improved behavior or conduct and indicate resources that will be made available to help them meet those objectives.
- Include a signature line for both you and the employee. There is, however, no law requiring the employee to sign the form.
- Provide the employee a copy of the write-up, and retain a copy in their personnel file.
- Follow up with the employee to ensure compliance with the improvement plan. If the employee isn’t abiding by the plan, you could issue another write-up, or other options you might consider are suspension or termination.
Do not discuss the matter with employees who aren’t involved in the situation. Employee discipline should always be held in strict confidence between those in the HR department, the employee and their manager.
There are federal and state laws that determine how (and for how long) you need to hang on to certain employee records. Familiarizing yourself with what an employee personnel file is and what it includes can help protect your business.
When and when not to issue an employee write-up
An employee write-up should be one of many tools in your human resources toolbox. Typically, a write-up is issued for:
- Chronic employee absenteeism and tardiness
- Insubordination, such as not following rules or exhibiting disrespectful behavior
- Excessive time spent on personal matters (e.g., personal phone calls, social media use during work hours)
- Failure to meet productivity quotas
Certain behaviors fall outside the bounds of an employee write-up. For example, incompetence should not be addressed through a write-up; instead, it is best handled in your annual or semiannual performance review of the employee.
In addition, the below actions represent conduct that would warrant immediate termination:
- Violence or threats of violence (including fights with co-workers)
- Theft of trade secrets
- Sexual harassment
How to present a write-up to the employee
An employee write-up should be presented in person, followed by an in-person conversation with the employee about your concerns. Because of the legalities involved, another person should be present, as a witness.
Ensure that the tone of the meeting communicates the objective is to help the employee.
After the conversation, give the write-up to the employee so they can review it. Ask whether they have any questions. If they do, provide clear answers. Before ending the meeting, ask the employee to sign the form.
Frequently asked questions about writing up employees
How do you document disrespect?
There are two ways to document disrespect. One is to cite details of behavior, not their attitude. For example, note that the employee remained on a personal phone call during a meeting. Be specific about the dates and times of these incidents. The second way is to include witness statements documenting other employee behavior, such as if the individual raised their voice.
Does a write-up become part of the employee’s permanent record?
That is up to management. An incentive for improvement could be that the write-up will be removed from the worker’s file after six months of successful performance.
If the same issue arises in many write-ups for different employees, should the company review its policies concerning that behavior?
Yes. The content of write-ups can serve as a diagnostic tool for identifying common problems. If a company is plagued by the same problem, it can be a clear sign for a new policy on certain types of behavior.
Are employee write-ups invalidated after a company revises its employee handbook?
Most employee handbooks carry the disclaimer that the company reserves the right to change policies at any time. This ensures that any employee discipline remains intact.
Skye Schooley contributed to this article. Source interviews were conducted for a previous version of this article.