Corrective Actions for Problem Employees

After you've investigated a problem or complaint, if you find that action is necessary, you'll need to deal with the employee in question. Prior to disciplining an employee for violating work rules or engaging in other workplace misconduct, ask yourself the following questions.

Was the employee aware of the rule and the possible or probable disciplinary consequences of breaking the rule?
Is the rule reasonably related to the orderly, efficient, and safe operation of the business?
Does the rule require conduct that might be reasonably expected of an employee?
Has an effort been made to determine whether the employee actually engaged in conduct that violated the rule?
Was the investigation of the conduct fair and objective? Did the investigation include an effort to get the employee's version of events?
Did the investigation find substantial facts that show that the employee acted improperly?
Has the rule in question been applied to all employees in a similar manner?
Did the investigation reveal any facts that might justify or excuse the conduct?

If, after going through these questions, discipline still seems appropriate, you should proceed to determine what steps are most appropriate for the problem, since different disciplinary methods should be employed depending on the problem. Generally, you can choose one of two courses of action in dealing with the employee. You can:

Coach the employee, a preferable course of action for a minor offense, a first-time problem, or a performance problem. You don't have to wait for a periodic performance review to take corrective steps. Here's a sample script to help coach an employee who isn't meeting expectations.
Discipline the employee. This is more appropriate for serious offenses, frequent offenders, and problems involving the willful disregard of a company policy or rule.

On the whole, coaching is more desirable because it focuses on changing the behavior and retaining the employee. However, there are times when you want to penalize or punish an employee, and discipline is necessary in those instances. It’s important to understand the difference so that you can make an informed choice about your course of action.

Disciplining employees. Disciplinary action is the appropriate response when employees fall short of your expectations by choosing not to comply with the rules that you've set forth. A disciplinary policy can help you if you have to defend against a wrongful firing action filed by an angry ex-employee.

We strongly suggest that the first thing you do is call the employee aside and talk about the conduct informally. Sometimes people aren't quite aware of what you want. You're dealing with people, and they aren't predictable. But, except in the case of serious misconduct, talking with an employee is the best first response.

If you've decided to discipline an employee, keep your temper and don't react hastily or angrily (easy to say, tough to do, sometimes). Before you react, verify that the employee misconduct in fact occurred, and that there aren't any unusual or extenuating circumstances that might explain apparent misconduct. Measure the gravity of the offense in terms of its potential consequences to your business and the safety of others. Then, respond in a manner appropriate to the seriousness of the conduct you find unacceptable.

Be certain to document the entire disciplinary process from start to finish. A clear record of what occurred can establish that your conduct was appropriate.