LDRDocs/Foundations and Governance/General Policies/Write-ups.md

Corrective and Disciplinary Action

A write-up documents an employee has been told a behavior or action is the wrong way to do something and it shouldn't be repeated. This article covers how write-ups are meant to work and supposed to be handled.

9 Types of Infraction

Our company officially recognizes 9 types of infractions as outlined here.

Tardiness / leaving early

Showing up late to work or leaving before a person is supposed to, especially without providing adequate notice. This is elaborated on in the expanded article about Tardiness.

When a person will be late to work they are expected to notify their supervisor an hour ahead of time. If that isn't possible, they are expected to notify as soon as they are able, with an explanation about why more notice couldn't be provided.

In general, a person should be written up for Tardiness in the following cases:

Late to work

• More than 5+ minutes late 3+ times within 30 days;
• More than 20 minutes late on a single occasion.

Late from break or lunch

• More than 5+ minutes late returning from break or lunch 3+ times within 30 days;
• More than 20 minutes late on a single occasion.

Absenses or Absenteeism

Absences and Absenteeism is when an employee exhibits unsatisfactory attendance by missing an unacceptable amount of their scheduled work hours.

Generally, a full-time employee is expected to work at least 97% of their scheduled shifts, which means missing fewer than 7.5 days in a year.

The expanded article on Absences and Absenteeism elaborates.

Safety

A Safety infractions occurs when someone's actions or behaviors are harmful to (or could harm) people, property, or process in an irreversible way. Safety is very serious, so an employee should be written up whether any actual harm was caused. The write-up should specifically reference what kind of irreversible harm happened or could have happened.

The expanded article about Safety expands on this.

Insubordination

Insubordination refers to an employee who is outright disobedient or disrespectful to a supervisor or owner of a business. This includes engaging in actions or behaviors that undermine authority, like spreading gossip or rumors, or disrespecting a manager in front of other people.

Policy Violation

A policy violation occurs when an employee violates or circumvents an official policy or process. It can either be one serious event or a pattern of smaller events. Something can be a policy violation even if no harm was caused.

For example, employees are supposed to put their barcode scanners on chargers when leaving their station. An employee who has a habit of not doing that could be written-up for a policy violation, even if it didn't cause some other kind of problem.

Generally speaking, many examples of a policy violation could also be considered insubordination and vice-versa, but there are situations that might not be the case.

The article on Policy Violation explains in more detail.

Quality of Work

A quality of work infraction happens when an employee's work has too many mistakes or errors. It can either be one serious event or a habitual pattern of making mistakes or errors.

The article on Quality of Work elaborates on this.

Quantity of Work

A quantity of work infraction happens when an employee gets less work done than is normally expected.

The article on Quantity of Work expands on this.

Misconduct

Misconduct is any behavior that goes against the General Rules of Conduct, Guiding Principles, or other policies that dictate how employees should behave at work. This might include unethical, unprofessional, or even criminal behavior that takes place within a workplace setting.

The linked article elaborates on Misconduct.

Other

Other reasons for a write-up may exist that aren't covered by the 8 major categories. The recommended way to identify this is when something an employee does upsets someone else and there isn't a good explanation for why they should be allowed to do it.

Essentially, Other is for cases where a supervisor believes an employee's actions are hard to classify under any of the 8 other infraction types, but still aren't acceptable at work.

Who can or should initiate corrective action?

All supervisors are expected to manage their direct subordinates and initiate corrective action when infractions occur.

When should a supervisor issue a writeup to people who aren't their subordinate?

Generally speaking, a supervisor should issue a writeup to other people's subordinates under certain circumstances. However, the write-up has to be reviewed by that person's direct supervisor at the nearest practical time, and doesn't take effect unless that kind of review isn't practical considering the situation.

Supervisors can and should take corrective action towards another person's subordinates in the following sorts of situations:

1. The employee is in the supervisor's area causing a problem of some kind, instead of being where they are supposed to be at.
2. The employee is breaking a widely known rule and their supervisor isn't around to notice.
3. The employee is creating serious disharmony or danger in the workplace and there isn't time to notify their supervisor about it before taking action.

Supervisors and infractions

Supervisors are responsible for taking corrective action when their subordinates commit infractions. It is up to each supervisor's best judgment how to handle this, but there are some guidelines and expectations about it.

Generally speaking, if more senior management has to initiate corrective action because a supervisor failed to do so, the supervisor may also be subject to corrective action.

Take for example, an employee has particularly poor attendance, and it's causing their team not to get enough work done. Their supervisor hasn't initiated corrective action, so a senior manager has to do so. In a case like that, the supervisor may also be subject to corrective action because it's their job to manage their subordinates and they failed to do so.

Escalating response / 3 strikes

In most cases, an employee who repeats the same kind of infraction more than once should be handled using a 3-step escalating response. However, there are exceptions. This section will explain that.

Generally speaking, a write-up is considered a repeat infraction if the same employee has previously committed an infraction that checked the same box and that infraction hasn't dropped-off yet (explained in #Infraction drop-off fall-off period).

How to determine if it's a repeat violation

The top of our corrective and disciplinary action form has 9 checkboxes, one for each of the violation types (like tardiness, absenteeism, and insubordination). The checked boxes are what determines the kind of infraction, not the circumstances or particulars.

For example, an employee who has been corrected about being absent two different times, even though it was for different reasons, has still been absent twice.

A lot of times when an employee is corrected about a repeating behavior they seem to think the most recent example is the only thing they did wrong.

The main reason for this seems to be the employee is not understanding that the 8 types of violation are what's being counted, not the individual circumstances of each incident. For example, an employee might be habitually absent for several different reasons ranging from car problems to alleged food poisoning. The most recent time they called off work was because their kid was sick. The employee may not understand that Absenteeism is the problem, and it doesn't actually matter that each reason they were absent was a different reason.

Also, a single incident may actually be more than one kind of violation. For example, an employee called off work without giving appropropriate notice after you recently explained to them what the expectations are about that. That single incident may be Absenteeism as well as Insubordination.

Escalating Approach

The steps to escalating infractions are briefly outlined in this section. Please be aware that while we strive to give everyone chances and retain a great workforce, there are situations where an escalating approach may be impractical or unwarranted, and more serious action should be taken.

Step 0 - verbal warning

The first time an infraction occurs the employee should be given a verbal warning or explanation about what they've done wrong. The supervisor is then expected to document this happened in the HR Tracker or by emailing hr@ldrprep.com.

Step 1 - written warning and coaching

The second time an infraction occurs the employee should be given an official written warning and Coaching. Coaching is essentially a structured conversation that points out what the employee did wrong and what they are expected to do instead. The employee is then expected to sign-off that they were talked to about it and understand what's expected.

This is the employee's opportunity to highlight any reason they can't do what's expected. Employees are expected to clearly state what they need in order to do what's expected. Requests that are reasonably practicable should be granted.

Step 2 - counseling and corrective action

If an employee repeats the same kind of infraction again Counselling may be appropriate. The goal of Counselling is to understand why the behavior is happening and then assess what to do about it next.

The distinction is that Coaching is focused on what is needed in the future, how to do it, and identifying what the employee needs to succeed. Counselling focuses mainly on the past, and strives to figure out why the employee isn't succeeding after we've made clear what's expected and given them what they claim to need.

A variety of Corrective Actions could be taken during this stage, including alternative remedies agreed to by the employee. The goal is to ensure the same type of infraction doesn't happen anymore, and make sure the employee understands they could be terminated if it does.

In some cases at this stage, we may not be able to work out a solution that enables an employee to continue working with us. In such cases, we may ask the employee to resign, or if they are generally uncooperative or exhibiting hostile, defensive behaviors they could be terminated.

Step 3 - termination

At this stage, an employee should be terminated unless there are prevailing reasons doing so will cause a problem worse than a repeat of the same behavior. In which case, we will seek to isolate the harm they can cause while we work on solving whatever issue is preventing them from being terminated.

Infraction fall-off period

Written warnings and counselling statements generally "fall off" after a period of good behavior. This means they aren't generally considered when making employment decisions about the employee. In most cases, this is expected to happen after 12 months without any further infractions for the same thing. There may be some exceptions, particularly for patterns of inappropriate behavior or more egregious behavior, such as harassment, violence or safety and security violations.

Example A: An employee has a written warning from two years ago about attendance issues. Recently, they've begun to have some attendance issues for personal reasons. However, their attendance has been outstanding since they were last warned about it 2 years ago, so the company doesn't consider the new attendance issue a repeat of the same thing.

Example B: An employee has a written warning on file from 3 years ago about making innappropriate comments and gestures to another employee. A similar situation has occurred recently. In this case, the underlying infraction might be deemed serious enough to warrant stronger corrective action, like a final warning or termination.

Generally speaking, infractions in the following categories are more likely to be considered beyond the 12 month fall-off period:

• Safety
• Misconduct
• Insubordination
• Policy Violation

The categories for absenteeism, tardiness, quality of work, and quantity of work are generally less serious. If the infraction occurred over 6-12 months ago, it should be overlooked if the employee has had no related infractions in that time period.

Alternative solutions to write-ups

Supervisors are allowed and encouraged to work out alternative solutions with employees to maintain an efficient, sane, and productive work environment. An alternative solution is basically giving the employee an alternative to being written up.

The key thing about alternative solutions is they must actually resolve the underlying problem.

Alternative solutions are allowed providing they're documented and the employee agrees without being pressured. A supervisor who enacts an alternative solution is responsible for making sure it complies with all relevant labor laws and the employee is informed it is entirely optional.

Examples of alternative solutions that are probably acceptable.

Pushups for being late

A supervisor makes a team policy that people who are late to work have to do one pushup for each minute they are late, otherwise they can be written-up for tardiness. Nobody can be forced to do this, but if it actually improves punctuality for the team, it is probably an acceptable alternative solution.

Pre-escalation

There are certain factors that can make a single infraction more serious than normal. In those cases, the escalating steps to resolution might be skipped. It is up to each supervisor's best judgment, and these just serve as examples and guidelines.

Omnibus Infraction (2+ infractions at the same time)

Two or more different infractions were committed at the same time.

For example, an employee was 2 hours late without notice (tardiness) and called their supervisor an asshole in front of other people (insubordination).

Another example would be an employee is getting less work done than they should be (quantity of work) and when asked they lied about it (misconduct).

Safety - actual harm caused

A safety infraction where actual irreperable harm or damage was caused.

Gross misconduct / breaking laws

The employee engaged in some kind of misconduct that is clearly illegal. For example, selling drugs at work, passing bad checks, or stealing customer inventory.

No-call, no-show

An employee was absent for a whole day and couldn't be reached.

Major work stop

An employee's actions caused a major pause in operations for several people.

Actions vs. Behaviors, and when to call it

Some actions are so serious a single incident warrants corrective action, like if an employee punches somebody. In other cases, an individual occurence isn't really a problem unless it becomes a habitual behavior.

Take this example: employees aren't supposed to use company supplies for personal projects. An employee caught using a printer to print out plane tickets isn't that serious, and neither is an employee who takes a cardboard box home to pack some junk. Neither of those things generally constitute a write-up unless they start to become a habit.

However, an employee who loaded up 25 boxes, two tape guns, and a case of tape to take home with them... that's an action worth a write-up if they didn't have permission to do that.

Generally speaking, if any particular situation caused a work stop for 15 minutes or more, it's worth issuing a write-up. So for example, if an employee is 15+ minutes late in a single event, it makes sense to write them up for Tardiness.

Defense against write-ups

There are certainly cases an employee may be written-up when they shouldn't have been, and this section talks about how employees are expected to handle it if that happens.

There are a few major ways a write-up can be nullified or amended. The goal will be to make sure the write-up is accurate and truthful.

The primary ways a write-up can be nullified or amended are if any of the following things are true:

1. The information in the write-up is not true.
2. The situation described in the write-up was caused by a different employee.
3. The supervisor was acting in bad faith when conducting the writeup.
4. Whatever you did, while technically against the rules, was more beneficial to the company than harmful.

How to get a write-up amended or canceled

Write an email to hr@ldrprep.com referencing the write-up and explain the reason you think the write-up should be amended or canceled. Be sure to include evidence, and cite which of the following general reasons it should be canceled or amended.

The information in the write-up is not true.

Be sure to explain what exactly isn't true and include any evidence, witnesses, etc.

For example, you were written up for being absent without notice. However, you actually did notify your supervisor and you have a screen shot to prove that.

The situation described in the write-up was caused by a different employee.

Essentially, you're saying you've been accused of something a different person did or that somebody else made you do it. Back up your claim with evidence, witnesses, and anything else. Don't leave out information we might have to later ask you about.

For example, you were written up for quality of work because a bunch of your work had mistakes that needed to be fixed. You've been distracted by another employee who is constantly interrupting you, and that's what is causing the mistakes. You have previously complained about it and nothing has been done.

In that case, your email should reference the times you've reported the distraction and that nothing has been done about it.

The supervisor was acting in bad faith when conducting the writeup.

Essentially, this argument claims the supervisor issued the write-up in bad faith. Meaning, they aren't really trying to fix a problem in the company, instead they are acting on some person motivation like revenge, a grudge, hatred, etc. If you're going to make this kind of claim, make sure you have evidence to back it up.

Whatever you did, while technically against the rules, was more beneficial to the company than harmful.

This sort of argument should be premised on which of the Guiding Principles you were upholding through your actions.

For example, let's say you are three hours late to work without providing notice, and your supervisor wrote you up for it. The actual reason was because you stayed up all night long to finish a proposal for a major customer, and then you slept through your alarm. One could argue that upholds principles 2, 8, and 9 because otherwise the customer would not have been satisfied.

What happens next and what to expect

If you follow the proper instructions for defending against a write-up the company will evaluate your claims. The write-up may then be amended or canceled.

If some kind of adverse, corrective action was already taken the company will make all reasonable efforts to reverse it.

A copy of the write-up, your defense against it, and the determination will be part of your permanent personnel file.

Ineffective defenses against write-ups

These are some things people try from time to time to cancel out a write-up and these things don't work. In fact, they usually make the situation worse.

Arguing with the supervisor / storming to the office

Imagine what would happen if a person was pulled over for running a stop sign. Instead of cooperating with the officer they get into a loud shouting match. The officer has to call for backup. Then, the person runs away from the police and storms into the local courthouse, demanding to speak with the judge.

Arguing with a supervisor about a write-up or storming up to the front office are about the same. They won't help your case.

It is much better to #How to get a write-up amended or canceled of emailing hr@ldrprep.com about the situation.

Claiming to be singled out / pointing out stuff other people are doing

If you wait to complain about someone's behavior until you're in trouble it's probably going to make the situation worse. Especially if the other person's alleged behavior is a totally different kind of infraction or has no impact on your actions.

If you claim something like this and we're not able to find evidence your accusation is true you could be written-up an additional time for lying (misconduct).

Take this for example:

Employee A is being written-up for safety because they have been caught talking on their phone in the middle of busy warehouse aisles. Employee A says "why are you singling me out! Employee B is leaving early all the time and Employee C smells like weed."

Let's break down why this doesn't make sense:

First, Employee B leaving early, even if it's true, has absolutely nothing to do with safety. It also has nothing to do with why Employee A is talking on their phone in a dangerous area.

Second, if Employee C does smell like weed and Employee A hasn't said anything about it, that only strengthens the point that Employee A is disregarding workplace safety.

Here's what could happen in that situation.

Employee A is still written up for safety, because talking on the phone in the middle of dangerous areas is still a safety violation.

Employee A receives an additional write-up for knowing about a safety problem and failing to report it.

Next, we investigate to see if Employee C is actually high at work. We can't find any evidence, so then Employee A gets a third write-up for lying (misconduct).

Independant contractors and infractions

Independant contractors, such as people paid on a 1099 basis for a particular project, are not employees. As such, they can't be corrected the same way as employees. When a contractor does something we disagree with or dislike our primary option is to consider whether or not to terminate their contract.

General rules and policies about independant contractors can be found under Contractors and Subcontractors.

Generally speaking, a contractor can still be written-up as a way to record they've done something we find unsuitable or unprofessional, but none of the corrective actions or escalating process can be applied to a contractor.

Instead, the write-up just serves as internal documentation the contractor did something we feel is worth holding in consideration when evaluating whether or not to continue or renew their contract, or whether to hire them as an employee.

For example, a contractor who doesn't show up to do the work they agreed might be annoying. If an employee did that, it would probably be considered absenteeism. We can still sort of think of the contractor as being absent as a simple way to talk about it, but we can't enact any corrective actions like suspension, retraining, reassignment, or anything like that. Our only real option is to cancel or renegotiate the contract.

However, if the contractor later wants to be hired as an employee would still want to have a record of how they behaved as a contractor and use that to evaluate whether or not hiring them as an employee is likely to be a successful relationship.