How to handle sensitive employee disciplinary actions

In a sense, the title above is almost a redundancy, as virtually any disciplinary situation is "sensitive" in that it has the potential to result in hurt feelings or anger. That's always been the case, but in today's business climate there is also an increased risk of litigation or even workplace violence. These days, more than ever, employers have to watch their step when disciplining employees, or even when delivering what used to be known as a pep talk, but is now commonly referred to as "coaching."

In other words, the era of arbitrary or inappropriate discipline is past (and good riddance, too). Even if you operate in a state where "employment at will" laws apply, it's more important than ever to have fair and consistent disciplinary policies and practices, especially when it comes to firing an employee. Otherwise, you could find yourself facing discrimination claims and increased unemployment costs. These are headaches you just don't need.

Larger companies are often able to turn their employee discipline issues over to their human resources department, and HR folks are usually pretty well trained in dealing with sensitive personnel matters. But if you're running a smaller operation, you might very well have to deal directly with discipline challenges yourself. And some people would almost rather pull their own teeth than have a confrontation with a misbehaving or under-performing employee. Yet such confrontations are a necessary part of doing business.

Generally speaking, disciplinary guidelines apply to employee misconduct, such as insubordination or willful violation of company policies. On the other hand, "coaching," or perhaps retraining, are usually more appropriate for dealing with substandard performance, at least initially. While the overarching purpose of corrective action of any type is to preserve the integrity of your workplace and promote the survival and growth of your company, you must handle every situation with three key goals in mind: (1) resolving the situation; (2) preserving the dignity of the "problem" employee; and (3) avoiding legal action or other untoward circumstances or lasting ill will. That can be a pretty delicate dance.

You can probably avoid or mitigate many disciplinary problems by careful hiring practices. Make sure you screen employees properly so you can be reasonably assured that they'll be a good fit with your company. But no screening process is 100% foolproof, and sometimes, as they say, "stuff" happens. The following four points can help you head off many problems at the pass.

1. Have reasonable - and accessible - written policies. Your basic policy manual doesn't have to consist of half a dozen two-inch-wide loose-leaf notebooks. Few people ever read all of that stuff anyway. Just make sure your policy material is well written and easy to understand, and that every employee has access to it. If yours is a new company and you don't yet have a policy manual, you don't have to start from scratch. There are many companies that offer templates for just about every kind of policy or procedure manual you could want. Bizmanuals.com is one, and there are numerous others; just type "templates for policies and procedures manuals" in your search engine. (But do make sure that any policy material you produce is carefully reviewed by a qualified legal professional before you distribute or implement it.) Also, it's standard practice to have workers sign a form stating that they have read and understand your company's policies.




2. Have reasonable disciplinary procedures in place and make sure everyone is aware of them, particularly the managers and supervisors who will be handling the discipline. Again, your disciplinary protocol doesn't have to be volumes long. Just decide on a system - e.g., the number of verbal and written warnings an employee is allowed before more serious action is taken - and stick to it.




3. To the degree that it is feasible, treat everyone the same. All too many workers these days seem to be looking for excuses to sue employers for discrimination of one type or another. Don't give them ammunition.




4. Know when discipline - as opposed to coaching or a mere pep talk - is appropriate. If an employee simply isn't performing up to par, this could be an issue that is more appropriately addressed by sitting down with the employee and having a one-on-one talk about the reasons for the lack of performance. Perhaps she or he is having family or health issues that are temporarily interfering with productivity. Maybe he or she needs more training, or isn't a good match for that particular position but would fit in better somewhere else in the organization. There are many cases where it is more appropriate to treat sub-par performance with coaching or counseling rather than a disciplinary process. Of course, if after repeated sessions there is still no real improvement, more drastic actions might be needed, such as transfer to another department where the employee would be a better fit, or even termination. Just don't automatically assume that an employee is willfully under-performing.

When it comes time to take a corrective action, whether disciplining or "coaching," these four factors are paramount:

• Timeliness: Don't let a small infraction grow into a huge issue. Even if you don't like to confront or correct people, the longer you put it off, the more difficult it is likely to become. Besides, if other employees have noticed or are being affected by their coworker's infractions, you could be compromising morale by just ignoring the situation. Handle. It. Now.




• Communication: Put the employee on notice right from the start, via a verbal or written warning or whatever is appropriate and consistent with your company's policies. He or she has the right to know what's going on. And there's always a possibility that your employee is actually unaware of having committed any infraction. Good communication in the workplace is always important, but especially in these situations.




• Confidentiality: Most people are embarrassed or uncomfortable about being corrected or reprimanded. That's understandable (surely you've been in their place). Don't make an awkward situation worse. Make sure the employee knows that this is a matter just between the two of you (and select other top personnel as appropriate).




• Documentation: Especially for repeat offenses or more serious infractions, you absolutely must document the violations. Be thorough, professional, and factual; keep emotions and speculation out of your assessment. You must also document the actions taken - a verbal reprimand, a "counseling" session, a written warning, a suspension, etc. You should provide a written summary of every action taken, and both you and the employee should sign and date it. (For serious infractions it might also be helpful to have a more objective third party sitting in on the disciplinary session.) Also give the employee every chance to document his or her side of the situation.

All of the above are important not only for the employee's sake, but for yours, especially if, heaven forbid, there's a lawsuit later on. Keep in mind that virtually all written documents - including emails, supervisors' notes, and the like - are more than likely "discoverable", that is, they can potentially all be used in a lawsuit. So again, be thorough, factual, and professional.

But what about the really touchy issues?
Some policy-violation issues are particularly delicate, such as employee theft. Here you need to be very careful. Unless you have overwhelming proof, e.g., direct observation or recorded evidence of an incident, you generally can't simply come out and accuse an employee of stealing. If you don't have absolute proof, you need to conduct an immediate, fair, and accurate investigation. It's also very important to maintain confidentiality, not only to preserve the dignity of the employee(s) in question, but also to avoid a defamation suit somewhere down the line. This is one area where you may very well need qualified legal advice. But it is an issue that you cannot just let slide.

There are other delicate situations that are not necessarily disciplinary issues, nor are they necessarily "coachable" matters (though in some cases they might be); nevertheless, they can disrupt your corporate culture and affect the morale of your other employees. Poor hygiene, inappropriate dress, flirtatious behavior, messiness, and annoying habits such as loud gum chewing or constant finger tapping can make for a very distracting or unpleasant work environment indeed.

If it's a matter of unprofessional dress or conduct, you might be able to base any corrective action on policy violations, even if you don't specifically have a company dress code. After all, as an employer you can reasonably expect all employees to hold to a certain level of professional behavior and decorum. However, there are a host of other offenses both large and small that can seriously disrupt a workplace.

In almost all of these cases tact and balance are of the utmost importance. If you're too indirect, the employee may never really know there is a problem. If you're too direct, you run the risk of embarrassing your employee or hurting his or her feelings and coming across as an insensitive boor. And there are even some situations where, once again, employers issuing a reprimand could find themselves the target of a discrimination lawsuit if they don't handle it right. After all, we live in a multi-cultural society, and different cultures have different standards of aesthetics and hygiene. Yet as a business owner, you have the right to set the standards for your own workplace culture. The trick is to restore harmony to your workplace without being offensive or opening yourself up to litigation.

More than likely, you (or one of your managers) are going to have to sit the employee down in your office and have a frank one-on-one conversation. Human Resources expert Susan M. Heathfield has a useful two-part article on About.com offering tips for having these difficult conversations.

• Part 1:
  http://humanresources.about.com/od/interpersonalcommunicatio1/qt/feedback_com6.htm

• Part 2:
  http://humanresources.about.com/od/interpersonalcommunicatio1/qt/feedback_com7.htm

As always, conduct yourself with regard to the other person's feelings. Think of how you would feel if you were in that person's place. But as with any other corrective action, do take care of the situation in a timely manner. As Ms. Heathfield writes, "Care enough about the employee and your productive, harmonious workplace to hold the difficult conversation."

If and when you do have to terminate an employee for any reason, do it with as much sensitivity and consideration for the person's dignity as you can. If appropriate and feasible, offer your assistance in helping the person find another position.

Always remember that workplace discipline or corrective counseling is about compliance, not punishment or retribution. It is sometimes hard to keep strong emotions out of a difficult situation, but you have to. The only emotions that should guide you are compassion for the person being reprimanded, and concern for your company and your other employees. And when in doubt, always consult an employment attorney and/or your human resources manager, if you have one. Just remember that a productive and pleasant workplace is your larger goal when taking any corrective actions with employees. Keeping your focus on that goal can make it easier for you to deal with any difficulty that may come up along the way.