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11th Edition
Dealing With
Problem Employees
How to Manage Performance
& Personality Issues in the Workplace
Amy DelPo, J.D.
& Lisa Guerin, J.D.
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Acknowledgments
First and foremost, we would like to express many thanks to our editor on the
first edition of the book—and boss—Janet Portman. Not only is her skill with
a red pen unparalleled, but she is also a humane taskmaster. If all supervisors
were as good-humored, respectful, and kind, employment lawyers throughout
the country would have to find new work. And many thanks to our meticulous
and detail-oriented editor on later editions, our friend and colleague Stephanie
Bornstein. Thanks for catching our mistakes and making us look good. Our
warm thanks as well to Sachi Barreiro, whose knowledge of employment law
and sharp editing skills have kept more recent editions lucid and up-to-date,
and to Aaron Hotfelder for his fine work on our most recent edition.
Thanks, too, to Nolo founder and man-about-town Jake Warner. His
enthusiasm for this project never wavered, even when we had our doubts.
We are also grateful to Nolo’s Stan Jacobson for his tireless research efforts
and good cheer, and to Ella Hirst and Alayna Schroeder for their meticulous
work on the state law charts that appear in our books. For more recent editions,
we’ve relied on the careful research of Jessica Gillespie and Chris Barta.
We’d also like to express our gratitude to former Nolo editor, employment
law doyenne, and author Barbara Kate Repa, whose previous work on this topic
inspired us to write a whole book about it. Some of her words live on here.
Amy DelPo and Lisa Guerin
Thanks to three people who made my work on this book possible:
To my dear husband, Paul, who has given me so much, including the
encouragement and freedom to jump off the gerbil wheel of litigation and
work at a job that I truly love.
And to my parents, Ray and Eleanor, who gave me my education—and a
solid foundation on which to build a wonderful life.
Amy DelPo
Thanks to my friends and former colleagues in the employment law trenches
—everyone at Rudy, Exelrod & Zieff; Mike Gaitley; Deborah England; and
particularly John True—for your guidance and inspiration.
Thanks also to my family and friends, who support and encourage me—
and keep my life interesting.
Lisa Guerin
About the Authors
Amy DelPo brings years of criminal and civil litigation experience to her
work at Nolo, having litigated cases at all levels of state and federal courts,
including the California Supreme Court and the U.S. Supreme Court.
Amy’s experience includes a specialty in employment law, having handled a
wide variety of disputes between employers and employees, including sexual
harassment, discrimination, and wage-and-hour issues. She has written
and edited numerous employment law titles for Nolo, including Create
Your Own Employee Handbook (coauthor) and The Performance Appraisal
Handbook. Amy received her law degree with honors from the University
of North Carolina at Chapel Hill. She lives in Denver, Colorado, with her
husband and three children.
Lisa Guerin worked for Nolo as a research and editorial assistant during her
years as a law student at Boalt Hall School of Law. After a stint as a staff
attorney at the U.S. Court of Appeals for the Ninth Circuit, Lisa worked
primarily in the field of employment law, in both government and private
practice. Lisa has litigated on behalf of her clients in all levels of state and
federal courts and in agency proceedings. Lisa is the author or coauthor of
a number of Nolo’s books about employment law, including Smart Policies
for Workplace Technologies, The Essential Guide to Family & Medical Leave,
The Essential Guide to Workplace Investigations, Create Your Own Employee
Handbook, The Manager’s Legal Handbook, The Essential Guide to Federal
Employment Laws, and The Employee Performance Handbook.
Table of Contents
Introduction ................................................................................................................................................1
The High Cost of Problem Employees .........................................................................................2
How This Book Can Help .....................................................................................................................4
Who Should Use This Book ................................................................................................................5
Who Should Not Use This Book ......................................................................................................5
1 What’s Your Problem? ..........................................................................................................................7
Performance or Productivity Problems ......................................................................................8
Interpersonal Problems .......................................................................................................................11
Insubordination ........................................................................................................................................14
Excessive Absenteeism .........................................................................................................................20
Drugs and Alcohol ..................................................................................................................................22
Theft and Dishonesty ...........................................................................................................................29
Violence .........................................................................................................................................................29
When Technology Is the Problem ................................................................................................30
2 Employment Law Basics....................................................................................................................39
Employment at Will ...............................................................................................................................40
Employment Contracts .......................................................................................................................43
Breaches of Good Faith and Fair Dealing .................................................................................52
Violations of Public Policy and Retaliation .............................................................................53
Discrimination ...........................................................................................................................................59
Unfair Labor Practices .........................................................................................................................77
3 Performance Evaluations .................................................................................................................91
The Benefits of an Evaluation System ........................................................................................92
Step 1: Create Performance Objectives ...................................................................................93
Step 2: Observe and Document Employee Performance .............................................99
Step 3: Conduct Interim Meetings to Discuss Progress and Problems ............105
Step 4: Conduct the Year-End Evaluation ...........................................................................106
4 Progressive Discipline .......................................................................................................................119
The Benefits of Progressive Discipline .....................................................................................120
The Steps of Progressive Discipline ...........................................................................................122
How Progressive Discipline Works ............................................................................................130
Guidelines for Avoiding Legal Trouble .....................................................................................137
Sample Progressive Discipline Policy ......................................................................................143
5 Complaints and Investigations .................................................................................................147
When Investigation Is Necessary ................................................................................................149
Complaint Policies and Procedures ..........................................................................................152
Preparing to Investigate ...................................................................................................................156
Conducting Interviews.......................................................................................................................161
Written and Physical Evidence ....................................................................................................173
Employees’ Rights to Privacy .........................................................................................................174
Making the Decision ..........................................................................................................................178
6 Dispute Resolution Programs ....................................................................................................187
Types of Alternative Dispute Resolution ...............................................................................189
Which Procedures Are Right for Your Company? ...........................................................196
Tips for Creating an Effective Program ..................................................................................201
7 Making the Decision to Fire ........................................................................................................205
Is It Time to Consider Firing? ........................................................................................................206
Making the Decision to Fire: An Employer’s Checklist .................................................210
8 Planning for the Aftermath .........................................................................................................225
Legal Constraints on What You Say .........................................................................................226
What to Tell Coworkers ...................................................................................................................228
What to Tell Reference Seekers ...................................................................................................229
Continuing Health Insurance ........................................................................................................236
Unemployment Compensation ..................................................................................................237
Written Explanations of the Termination ............................................................................240
9Severance and Releases ..................................................................................................................265
Are You Obligated to Pay Severance? .....................................................................................266
Should You Pay Severance? ............................................................................................................270
Should You Ask for a Release? ......................................................................................................272
What Should You Offer? ..................................................................................................................275
Preparing a Release ..............................................................................................................................278
Agreements to Protect Your Business ....................................................................................285
10How to Fire ..............................................................................................................................................287
The Termination Meeting ...............................................................................................................289
The Exit Interview ................................................................................................................................304
11Looking Forward ..................................................................................................................................317
Improve Your Hiring Process .........................................................................................................319
Workplace Policies ...............................................................................................................................339
12Researching the Law and Hiring a Lawyer ........................................................................361
When to Hire a Lawyer .....................................................................................................................363
How to Find a Good Lawyer .........................................................................................................366
Legal Fees ...................................................................................................................................................370
Working With Your Lawyer ...........................................................................................................371
Firing a Lawyer .......................................................................................................................................372
Doing Your Own Legal Research .................................................................................................374
Appendixes
AUsing the Downloadable Forms ...............................................................................................377
Editing RTFs..............................................................................................................................................378
List of Forms ............................................................................................................................................379
BState and Federal Laws ...................................................................................................................381
Federal Agencies That Enforce Workplace Laws ..............................................................382
Federal Fair Employment Laws ....................................................................................................382
State Laws Prohibiting Discrimination in Employment...............................................384
State OSHA Laws and Offices ......................................................................................................400
Index
.........................................................................................................................................................................401
