A specific, fair and well-documented write up gives the employee the opportunity to improve and protects the employer in case of a lawsuit.
Employee write ups are never fun for managers or the offender. However, they're a necessary part of remedying the misconduct and, when done right, can protect your company if the employee takes legal action against you.
Here's how to write up an employee in four simple steps.
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Step 1: Include All the Facts When Writing Up an Employee
When filling out an employee disciplinary form, be as specific as possible. Include as much information as you can. Not only will this protect you from potential legal action, but you can also study misconduct records when you plan out preventive strategies.
On every write up form, include:
- The employee's full name and employee number
- Time and date of the write up and of specific incidents
- Reason for the write up, in detail
- Witness accounts confirming the employee's misconduct
- Times and dates of previous write ups and incidents
Fill your report with facts, but never opinions or inferences about the employee's behavior. If you take disciplinary action against them based on assumptions and they feel it's unfair, you could be slapped with regulatory fines and/or a lawsuit.
RELATED: How to Complete Employee Disciplinary Forms (or Write-Ups)
Step 2: Reference Company Policies in Employee Write-Ups
In addition to the straight facts of the misconduct, an employee write up should include references to your company's policies. What policy did they break? What are the consequences? Clearly state how the employee's behavior violated the policy.
Directly quote the text of your policy and direct the employee to its place in their handbook. You can even attach a print-out of the policy page to the report for your records.
All of these steps prove that your organization is addressing the issue consistently and according to your written policies. Be sure to give equal consequences for equal misconduct to avoid employee claims that you discriminated against them and their case.
RELATED: 53 Key Sections of an Employee Handbook (and Other Helpful Tips)
Step 3: Properly Document Employee Write-Up Forms
Good documentation is the key to any investigation. It protects your organization and your employees and can help you uncover areas of risk that need to be addressed.
As mentioned above, be diligent when writing up an employee. Use the same form for every incident and every person. Have the employee sign and date the completed form to help you maintain a timeline of events.
In addition, keep a copy of the form for your records. This is helpful if you need to provide evidence to prove you took proper steps to address the misconduct. Disciplinary records also highlight recurring types of incidents and employees with multiple write ups so you can take preventive steps.
When you're investigating bad behavior in the workplace, be efficient and consistent. To improve your organization's process, download our free employee misconduct investigation guide.
Step 4: Provide Corrective Actions in Employee Write-Ups
Finally, give the employee a chance to change their ways. Explain why their conduct was wrong and what behavior is expected instead. Then, give specific details and a deadline on how to improve.
For example, if you write up an employee for frequent tardiness, explain that the employee agreed in their contract to work 37.5 hours per week, but they have only been working 30 hours a week because they are late every morning. Then, ask them to commit to working the required 7.5 hours per day by the end of the week.
End your instructions with clearly stated consequences. What will happen if the employee doesn't fix their behavior by the deadline? Once again, make sure to cite the applicable company policy when determining disciplinary measures.
A fair and thorough disciplinary report gives the employee an opportunity to improve and protects your organization in the event of legal action.
When to Write Up an Employee
Formal employee write-ups play a critical role in maintaining workplace standards, ensuring compliance with policies, and addressing performance or behavior issues effectively. However, determining the right time to issue a write-up requires careful consideration of the situation and adherence to company protocols.
1. Situations That Warrant a Formal Write-Up
Organizations should consider writing up an employee in the following scenarios:
- Repeated Policy Violations: When verbal warnings and informal coaching fail to address ongoing misconduct or non-compliance with company policies.
- Performance Deficiencies: Persistent failure to meet performance expectations despite corrective feedback and performance improvement plans.
- Unprofessional Behavior: Instances of inappropriate conduct, harassment, or disruptive behavior that affect team dynamics or workplace safety.
- Attendance Issues: Chronic tardiness, unexcused absences, or failure to follow attendance policies that disrupt operational continuity.
- Failure to Follow Instructions: Ignoring direct instructions, safety protocols, or operational procedures that could result in safety hazards or compliance violations.
2. Progressive Discipline Framework
Employers should integrate employee write-ups into a progressive discipline policy that includes verbal warnings, formal written warnings, and ultimately, termination if corrective measures fail. Documenting issues through formal write-ups establishes a record of due diligence and supports fairness in decision-making.
Legal Considerations When Writing Up an Employee
Ensuring that employee write-ups comply with labor laws and company policies is essential for mitigating legal risks and maintaining procedural fairness.
1. Key Legal and Compliance Considerations
- Consistency and Non-Discrimination: Write-ups should be applied consistently across all employees, regardless of position, race, gender, or other protected characteristics. Uneven application may lead to claims of discrimination or retaliation.
- Documenting Facts, Not Opinions: Write-ups should focus on objective facts and observable behaviors rather than subjective opinions. Avoid language that could be construed as biased or defamatory.
- Compliance with State and Federal Laws: Ensure compliance with federal regulations such as the Fair Labor Standards Act (FLSA) and Title VII of the Civil Rights Act, as well as applicable state labor laws governing employee discipline.
- Providing Opportunity for Response: Employees should be given the opportunity to review and respond to the write-up. This ensures transparency and can serve as evidence of procedural fairness.
- Retention of Documentation: Maintain accurate records of all write-ups in the employee’s personnel file to demonstrate compliance and provide a defensible record in case of future disputes.
2. Protecting Against Retaliation Claims
To prevent retaliation claims, ensure that any disciplinary action, including write-ups, is based on legitimate business reasons and supported by documented evidence.
Can HR Write Up an Employee?
Human Resources (HR) plays a pivotal role in overseeing disciplinary processes, but the decision to write up an employee often involves collaboration between HR, supervisors, and department managers.
1. HR’s Role in the Disciplinary Process
- Advising on Policy and Compliance: HR ensures that disciplinary actions align with company policies and applicable labor laws, safeguarding the organization from legal liabilities.
- Facilitating Consistency: HR promotes consistency by ensuring that similar infractions are treated uniformly across departments, minimizing the risk of discrimination claims.
- Supporting Managers: While direct supervisors often initiate employee write-ups, HR provides guidance on appropriate language, legal considerations, and procedural adherence.
- Handling Escalated Issues: In cases of serious misconduct, harassment, or policy breaches, HR may take a more active role in the investigation, documentation, and issuance of formal write-ups.
2. When Should HR Take the Lead?
HR should take the lead on employee write-ups when:
- The issue involves potential legal implications or protected characteristics.
- There is a risk of retaliation or discrimination claims.
- The manager is uncertain about how to document or address the issue effectively.
- By maintaining an active advisory role, HR helps create a fair, consistent, and legally defensible disciplinary process.
Employee Write-Up Examples and Templates
Providing clear, well-structured documentation is essential for ensuring that employee write-ups effectively communicate expectations and corrective actions. Below are practical examples and adaptable email templates for issuing formal write-ups. Check out Fit Small Business’ downloadable disciplinary write-up form, too.
Example 1: Attendance Policy Violation
Subject: Formal Written Warning – Attendance Violation
Dear [Employee Name],
This communication serves as a formal written warning regarding your attendance record. As discussed during our previous meetings on [date], you have been late to work on [specific dates] without prior notification or a valid reason.
Per company policy, consistent attendance is critical to maintaining operational efficiency. We expect you to adhere to your scheduled work hours moving forward. Failure to address this issue may result in further disciplinary action, up to and including termination.
Please acknowledge receipt of this notice by signing and returning a copy.
Sincerely,
[Manager Name]
[Title]
Example 2: Performance Deficiency
Subject: Performance Improvement Plan Notification
Dear [Employee Name],
Following our performance evaluation on [date], we have identified areas where improvement is necessary to meet expected performance standards. Despite previous discussions and coaching efforts, we have not observed significant improvement in [specific area, e.g., meeting deadlines, accuracy of work].
To support your success, we are initiating a Performance Improvement Plan (PIP) that outlines specific goals, timelines, and resources. You will be expected to meet the outlined objectives within [timeframe]. Failure to demonstrate improvement may lead to further disciplinary action.
Please review and sign the attached document to confirm your understanding.
Sincerely,
[Manager Name]
[Title]
Example 3: General Email Template for Issuing a Write-Up
Subject: Formal Written Warning Notification
Dear [Employee Name],
I am writing to formally document our recent discussion on [date] regarding [issue, e.g., attendance, performance, or conduct]. As previously addressed, [briefly restate the concern and its impact on the team or organization].
To ensure clarity and consistency, I am attaching a formal written warning outlining the details and required corrective actions. Please review the document, sign, and return a copy by [specific date].
If you have any questions or would like to discuss this further, please feel free to contact me directly.
Best regards,
[Manager/HR Name]
[Title]
FAQ's
1. What do you say when you write up an employee?
When writing up an employee, it's important to include all the facts and cite specific incidents, times, and dates, while refraining from offering subjective assessments of the employee's behavior.
2. What should be included in an employee write up form?
An employee write-up form should include the employee's full name and employee number, the time and date of the write-up and specific incidents, a detailed reason for the write-up, witness accounts confirming the misconduct, and references to company policies that were violated, along with consequences.
3. What is an example of a workplace write up?
4. Why is it essential to reference company policies in a write-up?
Referencing specific company policies clarifies the standards expected, demonstrates that the employee's behavior breached established guidelines, and ensures consistency in disciplinary actions, thereby reducing potential claims of unfair treatment.
5. How can organizations use misconduct records to develop preventive strategies?
Analyzing trends in misconduct records helps identify underlying issues, allowing organizations to implement targeted training or policy changes to prevent future incidents.
6. What role do witness accounts play in the disciplinary process?
Witness statements offer impartial perspectives on incidents, strengthening the credibility of the write-up and ensuring that disciplinary decisions are based on comprehensive information.
7. How can consistent documentation protect against legal action?
Maintaining thorough and factual records of all disciplinary actions provides evidence that the organization addressed issues fairly and in line with established policies, which can be crucial in defending against potential legal claims.