counselling - ocpe.nt.gov.au · counselling is a formal process, initiated when an employee has not...

COUNSELLINGfor better work performance

Office of the Commissioner for Public Employment

Northern Territory

G overnm ent

Contents

Introduction

Performance Management Page 1

Feedback Page 4

Moving from feedback to counselling Page 6

Counselling Checklist Page 10

Occupational stress arising out of feedbackand counselling Page 12

Other relevant publications Page 13

Further information Page 13

IntroductionWhile the Northern Territory Public Sector has undergone significantreform to its financial management and organisational structures inrecent years, there is still much to be done towards achieving aworking environment in the Public Sector which truly fosters andencourages innovation and flexibility.

To reach the levels of performance needed to take us into the nextcentury and beyond, effective strategies for managing people need tobe an integral part of work place culture. Future strategies will need toincorporate the principles of occupational health and safety and lookto the relationship between management systems, work processes andemployees.

Sometimes performance can slip below the required standard.Feedback and counselling are an integral part of addressing theseproblems if we are to achieve high performing organisations.

Managers need to be aware of the link between feedback andcounselling and occupational stress. The advantages of applyingoccupational health and safety principles as well as human resourcemanagement principles to the counselling process are twofold: feweroccupational stress claims, with consequent reductions in workers’compensation liability; and greater opportunities for positive outcomesand future improved performance.

This publication is intended to provide managers and supervisors withan outline of their responsibilities and with advice about best practicein relation to work performance counselling, including strategies toreduce the likelihood of employees experiencing a stress response asa result of counselling.

This booklet deals primarily with performance counselling as a ‘formal’process in relation to assessment and monitoring of an individual’swork performance, but also contains advice on how to provideeffective feedback via an ‘informal’ process.

The term ‘counselling’ is used in the sense of assisting employees toachieve and maintain a satisfactory standard of work performance andshould not be confused with the type of counselling provided byprofessionally qualified counsellors. Managers and supervisors are notexpected to be psychologists and they should not try to solve difficultpersonal problems which their staff may experience. The EmployeeAssistance Service is able to deal with such problems and managersand supervisors should make use of those resources whereappropriate.

I think you will find that this publication will help you to make the rightmoves in managing your team’s performance.

( Original signed by D J Hawkes)

D J HAWKESCommissioner for Public Employment February 1999

Counselling for Better Work Performance

Performance

ManagementResponsibilities of Managers

Performance management, in the context of people management, isabout helping employees to work more effectively and, by improvingindividual and team performance, increasing the overalleffectiveness and productivity of your agency.

Effective managers and supervisors are good people managers. It isyour responsibility to foster a workplace culture which can maximiseand maintain an optimum level of work performance. To do so, it isessential that you establish clear communication with your staff.Counselling and feedback are two very important tools that you canuse in that process.

As a manager, it is your responsibility to continually monitor the wayyour staff are performing and provide them with appropriateguidance and support. It is easy to take good work for grantedand only provide negative feedback when something goes wrong.But if employees are to feel that their work has value their achieve-ments must also be acknowledged. Regular, positive feedbackcan be a powerful tool to motivate staff and enhance perform-ance.

Characteristics of effective performance management

• Managers provide leadership and integrate performancemanagement with other aspects of their work.

• That staff understand that their performance directly contributesto the ongoing success and viability of their agency.

• Individual and team responsibilities and their performance areclearly linked to the attainment of program and corporate goals andthe needs of clients.

• Individuals and teams have a clear understanding of their workresponsibilities and the standards of work expected of them.

• Individuals and teams meet the standards of behaviour expectedof public sector employees.

• Managers monitor and assess the performance of their staff.

• Individuals and teams receive regular feedback on performancein relation to program and corporate goals.

Counselling for Better Work Performance Page 2

• Managers make use of the potential of all their staff and develop their skills byencouraging individual career planning.

• Improved and valued performance is recognised and rewarded.

• Managers seek to improve poor performance and address continuing poorperformance.

Establishing effective and regular communication with your staff will enable you toassist them to identify any training they may require to improve their workperformance and will also provide you with the opportunity to assist in their careerdevelopment. A personal development plan can be a useful tool to help your staffto realistic training and development goals.

Performance problems can sometimes result from factors other than the capacityor willingness. Limited resources, inappropriate job design and inefficient oroutmoded procedures are among a range of things that may contribute to poorperformance. Regular discussions with your staff will give them the opportunity tobring such factors to your attention, and they are likely to be more willing to acceptthe measures taken to address such problems if they have been able to participatein developing solutions.

The purpose of both counselling and feedback is to provide your staff with theinformation, advice and assistance they need to contribute fully to the achievement

of your organisation’s objectives. How an employee performs in the future willoften be influenced by feedback on the way in which they have performed in thepast. Where the required contribution is not met you need to demonstrate thatyou have made an appropriate effort to assist them.

Feedback is generally informal and involves you and your staff memberexchanging information in a broad range of situations about how you can best worktogether to achieve the goals of your organisation. Feedback ranges from verbalcomments on performance to written reports, such as probation, performancemanagement or referee reports.

Counselling is a formal process, initiated when an employee has not responded toadvice and assistance you have provided on a less formal basis, and will usuallyinvolve you taking the following steps:

• advise in advance that a discussion about their work performance orconduct is to be held at a given time and place, with sufficient notice to enable youboth to come to the discussion prepared;

• arrange for the meeting to be held in private, a support employee may bepresent, as well as someone you may have asked to attend as an observer; and

• keep a written record of the meeting.

Many situations involve a combination of the two, or a progression fromfeedback to counselling. For example, when assessing how a probationer isperforming, you are expected to provide feedback to communicate clearly what isexpected in terms of work performance and conduct and regularly inform the extentto which those expectations are met.


You also provide written feedback by completing probation reports. If however,despite having given the probationer an appropriate level of advice and assistance,you identify a problem with work performance or conduct, you may also need toinitiate counselling.

The following are particular situations where counselling and/or feedback may beappropriate:

• as part of a regular system of performance feedback;

• assessing the performance of a probationer;

• in the context of performance appraisal;

• assessing staff training and development needs;

• in connection with a referee’s report;

• after a selection process;

• if an employee is planning to retire or resign from the service;

• where there is a decline in work performance;

• where the standard of conduct is not being met;

• where there has been particularly good performance;

• where a difficulty has been overcome; or

• to maintain continuing good performance.

While it is important to encourage improved performance in those not functioning tothe required standard, you should try to adopt a balanced approach by alsorecognising and rewarding good performance.

Formal performance appraisal schemes provide an opportunity to recognise andreward good performance but there are many other informal opportunities, such asannotating an employee’s work with positive comments, especially if thosecomments will be seen by senior management; taking a few moments at ameeting to acknowledge good work; allowing an individual to take on morechallenging and responsible tasks; or praising good work in the presence of seniormanagement. Motivating your staff is an essential part of the job of managing.Recognition can be an important element of motivation.

When stress becomes an issue

All workers experience some degree of stress. Whether occupational stress causesillness however, depends on a range of factors, including how their workplace ismanaged. Research by the Work Health Authority suggests that while feedbackand counselling can be important tools to reduce occupational stress, if theseprocesses are poorly managed, claims for workers’ compensation can arise.

Feedback


To be fully effective, feedback should be:

� based on open, two-way communication;

� timely and regular;

� factual and specific;

� understood;

� honest and constructive; and

� followed up.

Open, two-way communication

A feedback discussion should be a two-way process giving anemployee the opportunity to express their views on their own andon your performance. You need to receive ‘upwards’ feedback fromyour staff in order to accurately gauge how well you arefulfilling your own responsibilities. By giving consideration toupwards feedback you can reinforce the message that individualcontributions to team performance are considered.

If you have a concern about work performance it is usually moreeffective to work with the employee to develop a solution ratherthan attempt to impose one from above. A co-operative,corrective approach will frequently achieve the best result. Iffeedback is balanced and constructive, your staff are more likelyto respond to concerns about their performance with an effort toimprove.

Timely and regular

Feedback is more effective if given on a regular, continuing basis.It need not, and should not, be limited to structured processes.Any concerns you have about performance or conduct should beaddressed promptly. Early intervention can often prevent moreserious problems developing. Similarly, good performance shouldbe promptly recognised.

Factual and specific

You should focus on measurable performance. Avoid makingunsubstantiated judgements. Give tangible, specific exampleswhenever possible rather than generalising. You should alsoensure that any information that you provide is accurate.


Understood

Your staff need to understand why you are giving them feedback and that theirindividual performance is linked to the achievement of corporate objectives. It isalso important if you identify an aspect of performance that requires improvement,that you make the employee clearly aware of the established standards and inwhat way you consider that they are not being met. When you talk to staff abouttheir performance you should clearly articulate your reasons for doing so andoutline possible action that may result if there is no improvement. Problems mayarise if managers and staff place differing interpretations on a discussion. In somecases a manager may feel that they have counselled an employee while thatemployee is under the impression that nothing more than a routine discussion hadtaken place.

Inform the employee prior to any discussion what issues you wish to discuss withthem and give them an opportunity to discuss it immediately or make another time(although you should not allow the discussion to be deferred for anunreasonable period).

Constructive

You should be honest, but not coercive or offensive. Frame the discussion aroundways to improve performance rather than focusing solely on problems or perceivedshortcomings. In many cases, even experiencing performance problems, there willbe a particular task or tasks which are performed well. If you open thediscussion by touching upon these positives, and then move on to the areas whichrequire improvement, frequently a more constructive outcome can be achieved.

Follow up

Little will be achieved if feedback is not followed up. You need to continuallymonitor and evaluate the performance of your staff. When, following a feedbackdiscussion, you agree on a course of action to improve performance, e.g. toinvestigate the possibility of providing training or developmental opportunities, it isimportant that you follow up on your commitment. lt is equally important for staff tobe committed to improvement and to follow up on the actions to which they haveagreed. By acknowledging the achievements of your staff, and ensuring that theyhave as much information as possible about the work they do and what is requiredto do it better, you should be able to increase their motivation to perform well.

Moving fromfeedback tocounselling


When to counsel

Determining at what point a decline in work performance or a failureto observe the appropriate standard of conduct warrants formalcounselling is a matter for your judgement. It is not always easy todecide when to move from providing informal comments to a moreformal approach. However, when you do decide to take that step,make sure that you begin documenting the steps you are taking toaddress the situation.

By intervening at an early stage you can often prevent a problemescalating and requiring more serious and possibly disruptiveaction further down the track.

If you encourage a free flow of information in the workplace andopen two-way communication is the norm, it will be easier for you toidentity performance problems when and if they do arise and dealwith them promptly. A good management style will not eliminateperformance problems, but good workplace communication shouldhelp identify some problems early, so you can do something aboutthem.

Who should give the counselling

In most cases it is your responsibility as a manager or supervisor toprovide counselling to your staff in relation to work performance andconduct. However, in circumstances where performance is affectedby factors outside the workplace, for example if an employee hasdifficulties in their private life, it may be appropriate, after an initialdiscussion, to refer the employee to a counsellor at the EmployeeAssistance Service (EAS).

EAS is a free, confidential counselling service to assist inresolving personal and work issues that are affecting workperformance. EAS has offices in Darwin, Katherine and Alice Springs.Counsellors regularly visit Tennant Creek, Jabiru, Groote Eylandtand Nhulunbuy. Telephone counselling can be arranged in otherlocations. For more details phone EAS on 8941 1752.


A referral to EAS should be arranged only with the individual’s consent. This doesnot mean that you should back away from the problem, but you should focus onways to improve performance at work and not attempt to solve problems that maybe occurring in the individual’s private life. In most cases, managers or supervisorsare not qualified to take on such a role.

If you are faced with having to give critical feedback about performance and youfeel uncertain about your approach, you may wish to consult a more seniormanager or contact your human resources area to obtain advice on how to bestframe the discussion.

Where should you counsel and who should be present

Generally, people should be praised in public and criticised in private. However,some may be embarrassed by unexpected public praise, and so you need to beaware of this and use your own judgement when delivering positive feedback. It isadvisable to first let the employee know they have done a good job and then, forexample, tell them that you intend to mention this at the next staff or managementmeeting.

Where formal counselling is to be done, the discussion should ideally be held in aplace which is private and free from distractions. Your office may be appropriate butdepending on the situation, a more neutral meeting place away from the immediatework area may be preferable. Where possible, a suitable time for the discussionshould be agreed in advance and sufficient notice given to allow both yourself andthe employee to prepare adequately.

While it is desirable to give sufficient notice to prepare for a counselling session,there may be occasions when you decide that behaviour warrants immediateaction, particularly when the behaviour is causing disruption to other staff.

A counselling discussion usually involves a manager or supervisor and a staffmember, but in some situations you may find that an employee requests thepresence of a support employee or independent observer. You may also wish tohave an observer present. An employee or persons attending a session in thiscapacity would not normally take part in the discussion and their presence and roleshould be clarified before the session commences.

The importance of agreed outcomes

To achieve the best results, counselling, like feedback, should be based on open,two-way communication. You should work together to generate an agreed plan ofaction establishing and articulating the needs of both the manager and the staffmember. Focus on future outcomes rather than dwelling too much on what hashappened in the past. Your aim is to produce an improvement in performance orconduct and for this to happen you have first to agree that an improvement isrequired and then on the steps which should be taken to achieve it. It is alsoimportant that you establish a time frame to achieve the agreed goals and then toreview the success of your strategy.

Recording the discussion

If you initiate a counselling session in relation to poor work performance or conductyou should keep a formal record as evidence for both parties of what has occurredand as a basis for future action (e.g. training and development) or to show thatcounselling has taken place if a formal process is later commenced.


Matters raised in a counselling discussion should be treated confidentially. Youshould inform the employee that you will be making a recording of the discussion,for what purpose and who will have access to it.

You should make the record as soon as possible after the meeting while yourrecollection of the events is still fresh. It will depend on the seriousness of thesituation under discussion how much detail you record but you should includerelevant facts, such as the names of those present, the date and location, thereason for the discussion and the main points covered including the positives, andany agreed actions or outcomes, including time frames. You should not includeunnecessary details about an employee’s private life.

Both you and the employee should sign the record, unless the employee believesthat the record is not an accurate reflection of the discussion, in which case theymay attach their own signed version of the meeting. If others are present asobservers you should also ask them to sign.

Disclosure and storage of records

You are responsible for storing the record securely, using an in-confidence file andpreventing any unauthorised access. You should generally inform an employee ifyou are disclosing or referring a record of counselling to a third party except wherethis is for a routine purpose or where explained at the time of counselling.

If you consider that a formal process such as discipline or inability may benecessary, you may need to pass counselling records to your agency’s humanresources area. If, while reviewing an employee’s conduct or work performance,the responsibility for their supervision passes to another manager, it will usually beappropriate to pass on your records. This is particularly important in casesinvolving misconduct or inefficiency as in these cases there is a need to clearlyestablish what counselling and feedback has taken place.

The processes can be unnecessarily prolonged if changes in supervision result in alack of continuity in the recording of such action.

You should be aware that any records of counselling that you create may berequired to be produced in appeal or legal proceedings.

What are the options if counselling doesn’t achieve the expected outcome

The expected outcome of counselling is in most circumstances an improvement inwork performance or conduct. If conduct or work performance does not improve inresponse to counselling there are a number of options available. These include:

• rearranging duties;

• transfer to an area where skills may be better utilised;

• voluntary transfer to a lower designation;

• inability procedures; or

• disciplinary action, in cases of misconduct / breach of discipline.

If you are considering inability or disciplinary action you should first readEmployment Instruction No.6, Inability to Discharge Duties and EmploymentInstruction No.7, Discipline, and you should contact the human resources area ofyour agency for advice on any additional procedures which may be relevant to youragency. It is essential to address problems with performance or conduct when theyarise. Used appropriately the formal processes can be effective in dealing withunder performance and misconduct and produce an outcome which is efficient bothin terms of maintaining productivity in your workplace and in reducing the negativeeffects of a protracted, unsatisfactory work situation.

There needs to be a balance between treating people fairly and equitably and yourresponsibility for maintaining the effectiveness of your workplace, bearing in mindthe impact poor performance may have on others.

Counselling and Inability

Inability is distinct from discipline, as the performance problem may be due tofactors outside of the employee’s control. Indications of inability usually occur overa period of time whereas breaches of discipline usually arise from specific acts oromissions. If you believe performance is not meeting the required standards youshould:

• make clear where work is below standard and set goals for improvementover an agreed period;

• make records of counselling sessions, signed by both parties; and

• provide the opportunity to explain any reasons for poor performance.

You must use your own judgement to determine how long a period to allow forimprovement once you have identified a performance problem but it is best to dealwith the issue in a pro-active way.

Counselling and Misconduct

If you believe that conduct does not meet the required standard you should firstraise the issue informally. Drawing attention to the problem may be all that isrequired. If however, the behaviour in question does not subsequently improve itmay be necessary to arrange a more formal discussion to ensure that theemployee clearly understands what the expected standards are and how he or shemay have fallen short of those standards. You should also make the employeeaware of the possible consequences if there is still no improvement, i.e.disciplinary action. In arranging such a discussion the points listed in thepreceding paragraph may be a useful guide.

Note that this does not apply to serious misconduct where you must takediscipline action immediately.

Page 9 Counselling for Better Work Performance

The following points may be a useful reference when undertakingcounselling.

Before the counselling discussion

Assess the situation. Establish in what way performance does notmeet the required standard. You will need to first identify the dutiesto be performed and the standards against which performance is tobe measured, e.g. timeliness, quantity of output, standard ofwritten work, etc. You should also ensure that these standards areapplied equitably across your work area. Gather factualinformation to support your assessment, including specificexamples if possible.

Determine to the extent possible, whether there are factorsoutside the workplace which may be causing the problem.

Consider your approach. Think of some open-ended questionswhich will encourage the employee to discuss the problem. If youare not confident of handling the counselling, you may need to seekguidance, e.g. from your agency’s human resources area.

Arrange a venue suitable to the employee and yourself, bearing inmind the need for confidentiality.

Notify the employee of the arrangements, giving them sufficienttime to prepare for the discussion, including, where possible,sufficient time to arrange for a support employee to be present.Depending on circumstances, provide them with copies of anyrelevant written material you intend to discuss.

During the counselling discussion

Explain the reason tor the counselling.

Explore the possible relevance of factors outside the workplace.You should bear in mind that an employee may, for a variety ofreasons, choose not to disclose such factors, in which case youcan only base your assessment on available evidence. You should,however, encourage disclosure if it will assist in achieving apositive outcome.

Advise the employee what (if any) records are to be kept and forwhat purpose they will be used and who will have access to them.

Counselling

Checklist



Discuss

During the discussion:

• focus on work related issues;

• ask open questions— you can keep the discussion moving by askingquestions that invite an employee to talk rather than closed questions thatcan be answered ‘yes’ or ‘no’;

• be constructive— look to the future and means of improvement;

• communicate and listen actively; and

• discuss possible solutions.

Closing the counselling discussion

Summarise briefly, in your own words, what you think are the salient points of thediscussion. This lets the employee know whether or not you understand what theyare saying.

Agree on a plan of action.

Agree on a timetable for implementing that action and reviewing the results.

Make a record of the discussion, including any action agreed upon and time frames.

Invite the employee to sign the record if they agree with the content, or to makecomments or submit additional comments regarding the meeting if they do not.Keep the record in a secure place.

After the counselling discussion

Follow up on any action which has been agreed upon, either by undertaking actionyourself (i.e. assisting with on-the job training or exploring training opportunities) ormonitoring and reviewing action to which the employee has agreed.

Providing negative feedback to, and counselling staff, can bestressful on both employees and managers. Being prepared inadvance for possible staff reactions to feedback and counsellingcan greatly assist the effective management of staff. Planning thediscussion and trying to anticipate the staff member’s reactionsand your response can be helpful.

If the employee becomes distressed you should have a strategyto manage the situation. Your human resources area canprovide advice and guidance on such strategies, e.g. help fromEAS and in particular difficult cases of conflict, using a skilledmediator.

If the employee does not attend work on the following day it isessential that the organisation implement an early interventionstrategy, such as referral to the EAS or, a further meeting toaddress unresolved issues.

Workers’ compensation claims for occupational stressarising out of counselling and staff feedback

Claims for workers’ compensation for occupational stress can ariseout of counselling and feedback sessions particularly where therehas been:

• failure to afford procedural fairness to the employee(including not giving an employee an opportunity to presenttheir reasons for poor performance);

• inadequate communication between supervisors and staff onexpectations;

• failure to adequately explain to an employee what theissues of concern are before imposing penalty; or

• conflict between supervisors and an employee on a varietyof issues including differing expectations on performance.

The Work Health Authority has produced a booklet calledManaging Stress in the Workplace, A Practical Guide forManagers. The booklet provides information on the causes andconsequences of excess stress in the workplace, and it alsodetails control measures aimed at reducing risks.

Occupational stressarising out of feedbackand counselling


Other relevantpublications

Page 13 Counselling for Better Work Performance

Public Sector Employment and Management Act

Employment Instruction No.s 2. Probation3. Natural Justice4. Performance Management5. Medical Incapacity6. Inability to Discharge Duties7. Discipline

Office of the Commissioner for Public EmploymentPublications

Information Series No.s 1. Workplace Stress3. Giving and Receiving Feedback

Work Health Authority Publications

Managing Stress in the Workplace - A Practical Guide forManagers

Further information

For further information please contact the Office of theCommissioner for Public Employment

Telephone: (08) 8999 4282Facsimile: (08) 8999 4148

eMail: [email protected]: Public_Employment Commissioner

website: http://www.nt.gov.au/ocpe

Acknowledgment is given to thePublic Service & Merit Protection Commission

Comcare Australia& the Department of Prime Minister & Cabinet AGPS for the

original development of this material,Counselling for Better Work Performance: Advice for Managers

published 1997,Commonwealth of Australia copyright reproduced by permission.

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