Dealing

With
Personnel Issues
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Reference Guide

Human Resource Services,

Employee & Management Services
What is a problem employee?
We all have them – employees who drain our time and energy. Whether highly vocal or
inflexible, quietly destructive or predictably negative, defensive, argumentative or need of
attention, these workers cost companies and organizations time, money and personnel.
Consider, for example, the endless amounts of management time that should be spent on
profitable activities and exceptional employee recognition, gobbled up by problem staff. Or, the
damaging affect of the problem worker on company/departmental morale. Some employees can
have such a dramatic and negative impact on the work environment that managers, who waited
too long to do something, stand in the aftermath reeling from shock and wondering what
happened.

Never underestimate the stress, tension and/or conflict that ripple outwardly from a people
problem. Left unattended, the worst cases will escalate from breakdowns in camaraderie and
teamwork, to other employees becoming a problem, to ultimately, the exodus of your best
employees (sometimes as a group) in search of a higher quality work environment. The recovery
costs when this occurs are staggering; departments can easily find themselves back-pedaling for
months just trying to replace the staff, and appease neglected, angry customers.

Even if your people problems don’t rank on this scale of severity, be assured that they will
certainly cause some damage if left unattended.

A problem employee:
• Is an employee whose work behavior is disruptive, distracting or distressing to
co-workers, workflow or managers?
• Is valuable (someone worth turning around) because of skills, knowledge,
camaraderie or other significant ties to the organization.
• Exhibits negative actions which are too subtle or infrequent to warrant formal
corrective action or progressive discipline, but which are bad enough to warrant
some kind of action.

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 10 Warning Signs of a Performance Problem

1. Diminishing or inconsistent work quality

2. Lowered productivity

3. Unexplained absence from work station

4. Is reluctant to change

5. Doesn’t volunteer for assignments

6. Shows little or no initiative

7. Doesn’t make contributions in meetings

8. Poor concentration

9. Avoids friends and colleagues

10. Blames others for faults or errors

Indentifying warning signs will alert you as a supervisor to potential employee

performance or conduct issues. As a result, you can define and document the problem and
create options or solutions.

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 Problematic Employee Behavior Flowchart

START
Identify
the
problem
Try again to
define problem
Yes
1) Unacceptable
Performance?
No
2) Personality No Rethink, is No No
conflict which affects there truly a Problem
performance problem? exists
Yes

Yes

Does employee know/understand

the rules/standards/expectations? Does things
differently?
Yes
No
Yes
Ability No
Problem? No
Impaired Is desired
working result obtained Yes Ignore
relationships? without Issue
violating rules?
Motivation
problem?
Yes
Yes No
Yes

Train, coach, Communicate Communicate Communicate Communicate

follow-up consequences, expectations, expectations, expectations,
coach, coach, coach, coach,
follow-up follow-up follow-up follow-up

Does Does
performance performance
improve? improve?
Yes No Yes No

Problem Utilize Problem Utilize

Resolved – disciplinary Resolved – disciplinary
Reinforce process as Reinforce process as
desired behavior appropriate desired behavior appropriate

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 Communicating With Employees about Performance Problems

• Don’t soft-pedal. From the employee’s perspective, it creates a decreased sense of

importance.

• Encourage as much employee involvement as possible during the session.

• Ensure that there is understanding between you and the employee.

• Deliver negative feedback objectively and unemotionally, avoiding emotionally

charged statements like “you have a bad attitude.”

• Describe the behavior you want changed and offer examples.

• Use “I” messages when delivering feedback.

• Applaud the employee when giving positive feedback.

• Be direct and tactful.

• Make sure the feedback is given in a timely manner.

• Balance the negative feedback with positive feedback.

• Communicate the impact of the employee’s behavior and how it reflects on:

o His or herself
o You
o The department or team
o The University

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Coaching/counseling includes:

• Discussing performance improvement with the employee.

• Identifying barriers and obstacles keeping the employee from performing at their best.
• Brainstorming possible solutions jointly to resolve performance issues.
• Developing a plan for achieving goals and objectives.
• Communicating expectations and consequences of not improving performance.
• Documenting the meeting.
• Following-up and monitoring progress.

REMEMBER!
As a supervisor, you are responsible for identifying deficient performance. Provide
coaching and counseling to help the employee succeed.

Steps for Coaching:

1. Observe performance.
• Management by walking around.

2. Give prompt and regular feedback.

• Good and poor with specific examples.

3. Provide constructive criticism aimed at improvement.

• Provide suggestions, give employee opportunity to suggest improvements

4. Learn about employees’ long and short-term career goals.

5. Encourage creative problem solving.

• If creative problem solving is valued, you are less likely to meet with reluctance.

6. Establish two-way rapport and reciprocal feedback.

• Learn how you are doing as a supervisor and what you can do to help the
employee.

7. Be available.

8. Accommodate different learning styles.

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 Tips for Presenting Disciplinary Action

Do’s and Don’ts of Documentation

Do’s: Don’ts:

• Write clearly and concisely • Bring up irrelevant or outdated

• Stick to the facts information
• Keep a neutral tone • Get personal
• Address behaviors • Use hearsay to document behavior
• Consult Human Resource Services • Violate confidentiality

Prior to the Meeting

• Have authorization from HR Services to proceed with any disciplinary action prior to the
meeting.
• Make sure you are using the progressive disciplinary process (unless there are
extenuating circumstances that warrant by-passing particular stages).
• Acquire approval from HR Services and the Provost’s Office prior to suspensions,
demotions and terminations (including temporary and emergency hires).
• Ensure that the action you are about to take is being consistently applied to all employees.
• Prepare in advance; rehearse what you intend to say.
• Determine where the meeting is to take place; select a location where you will have
privacy and not be interrupted (no knocking, no phone ringing, etc).

Presenting the Disciplinary Action

• Let the employee know about the meeting a few minutes prior to the time to prevent undo
anxiety.
• Clearly state why you have requested the meeting
o Maintain a neutral tone
o Make it clear to the employee that your goal is to help them succeed
o Address behaviors or issues that are creating concern
• Allow the employee an opportunity to present his/her perspective, ask questions and
explain any extenuating circumstances.
• Allow the employee to have input into developing solutions or a resolution.
• Schedule time to follow up and review progress.

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Termination Meeting

• Have a prepared letter of proposed termination that includes:

o Specific reasons for termination (dates, examples, policy violations, etc.)
o Appeal rights information
• Develop a plan for allowing the employee to collect any personal items from his/her work
area.
• Have a neutral witness available to sit in the termination meeting (preferably the next
level supervisor or HR liaison).
• Clearly state why you have requested the meeting
o Maintain a neutral tone
o Address behaviors or issues that are creating concern
o Share what steps in the progressive disciplinary process have already been
afforded the employee (if applicable)
• Allow the employee an opportunity to present his/her perspective, ask questions and
explain any extenuating circumstances.
• If after allowing the employee to present his/her perspective, it is still determined that the
appropriate course of action is to present the letter of termination, read it to the employee.
• Refer the employee to Benefit Services for any concerns about continuation of benefits.
• Refer the employee to Employee and Management Services for any questions related to
unemployment benefits.
• Collect and inventory any university property (keys, cell phone, id, etc.).
• Remove computer system access.

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 Supervisor’s Disciplinary Action Checklist
This checklist is designed to help you remain objective in analyzing and administering
progressive disciplinary action that is consistent with “just cause.” Prior to taking disciplinary
action for a policy violation or for deficiencies in work performance, review the following
checklist. “No” answers may indicate that more information, further analysis or non disciplinary
action is required before moving to the next step in the disciplinary process. You should answer
all questions before deciding on a plan of action; then consult Employee & Management
Services in the Human Resource Services department.

Policy or Procedure Violations

1. Has the violated policy, procedure or rule been published? yes no

2. Does the employee have access to and know where to find the written
instructions regarding the policy, procedure or rule? yes no
3. Does the employee understand the policy, procedure or rule? yes no
4. Is the employee aware that violation of this policy, procedure or rule
is cause for disciplinary action? yes no
5. Is the rule or policy which has been violated reasonably related to the
orderly, efficient or safe operation of the department? yes no
6. Has the violation resulted in danger to self or others? yes no
7. Has the violation resulted in cost to NMSU? yes no
8. Has the employee received disciplinary action for this violation
in the past? yes no

Performance Deficiencies

1. Is the employee adequately performing the work assigned? yes no

2. Does the employee understand your expectations? yes no
a. What to do? yes no
b. How to do it? yes no
c. Why to do it? yes no
d. When to do it? yes no
3. Based on experience or education, is it a skill the employee
should possess? yes no
4. Is it a skill the employee can be taught? yes no
5. Has the employee ever demonstrated the skill? yes no
6. Could the employee perform the skill if he/she wanted to? yes no
7. Have you provided adequate training to help the employee improve? yes no
8. Is the work expectation reasonable? yes no
9. Has the job changed? yes no
10. Has the employee displayed a pattern of this behavior/action? yes no
11. Have all employees in this area been held to the same standard? yes no
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 12. Has the performance deficiency been discussed with the employee
to clarify what is expected for the standard to be met? yes no
13. Was a performance improvement plan given to the employee? yes no

Supervisors Responsibility

1. Have I established clear expectations/standards and policies/procedures? yes no

2. Have I provided adequate training and resources to the employee? yes no
3. Have I given the employee an opportunity to fully tell his/her side
of the story? yes no
4. Have I investigated all other witnesses or sources of information? yes no
5. Have I made every possible effort to verify the information? yes no
6. Is the intended disciplinary action consistent with the principles
of progressive disciplinary action? yes no
7. Is the intended disciplinary action consistent with disciplinary action
previously taken against other employees for similar performance
deficiencies or violations of policy/procedure? yes no
8. Has each prior step in the progressive disciplinary process been
properly documented with factual, written records showing the steps
already taken to correct the employees conduct? yes no
9. Does the factual written record include names of witnesses, dates, time
and other facts related to past violations as well as the one in question? yes no
10. Is the degree of intended discipline reasonably related to the seriousness
of the offense and the employee’s prior record? yes no

Employee & Management Services should be consulted prior to administering any disciplinary
action beyond coaching/counseling or a verbal warning. Please contact them at (575) 646-
2449 to schedule an appointment.

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 Performance Improvement Plan

Employee Name: ______________________________ Date of Counseling: ______________

Department: __________________________________ Job Title: ______________________

1. Statement of the Problem:

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

2. Action Plan:
What is to be accomplished?
________________________________________
________________________________________
________________________________________
________________________________________
________________________________________
When to be completed?
______________________________
______________________________
______________________________
______________________________
______________________________

3. Dates for Review of Action Plan:

______________________________________________________________________________
______________________________________________________________________________

4. Action recommended if change does not occur:

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

Employee’s Signature: ________________________________ Date: __________________

Supervisor’s Signature: _______________________________ Date: __________________

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 Critical Incident Report

Employee’s Name: Title/Position: _____

Date of Incident: Time: Location: _____

Date form completed: ____________________

Check one: ( ) Personal Observation

( ) Second-party observation: __________

Description of incident (include specific details about situation, what happened, the
result, etc.):

Area of performance affected (What performance goals, standards, rules, procedures,

etc., address this issue?):

Follow-up planned: ( ) No ( ) Yes, describe:

Action taken? ( ) No ( ) Yes, describe:

________________________
Signature:

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 Questions Prior to Terminating an Employee

1. Did the employer consult with the Human Resources Office prior to terminating
employee?

2. Have the facts supporting the termination been recorded accurately?

3. Have all the records (disciplinary records, performance appraisals) of the employee been
assembled and carefully reviewed?

4. Does the employer have evidence of misconduct or lack of performance?

5. Did the employee have sufficient time and opportunity to correct the problem in relation
to performance or misconduct?

6. Did the employer use progressive discipline?

7. Is the termination of the employee consistent with the past practice of the employer?

8. Will the employer be able to justify the termination of the employee if the employee files
a wrongful termination suit?

9. Was the employee treated fairly?

10. Did the decision to terminate comply with Human Resources Policies and Procedures?

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 Notes
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 Notes
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