The Use of Counseling The Use of Counseling and Discipline to and Discipline to

Improve Employee Improve Employee ProductivityProductivity

Counseling vs. DisciplineCounseling vs. Discipline

CounselingCounseling• Face-to-face Face-to-face

communicationcommunication• Conducted by Conducted by

supervisorsupervisor• Usually, first form Usually, first form

of actionof action

DisciplineDiscipline• Penalization Penalization • Conducted by Conducted by

Human Human ResourcesResources

• Typically, second Typically, second form of actionform of action

(if counseling fails)(if counseling fails)

Role of the SupervisorRole of the Supervisor

• Balance Balance organizational needs organizational needs with employee rights with employee rights on a daily basison a daily basis

• Inform employees of Inform employees of their performance on their performance on the jobthe job

• Ensure work is being Ensure work is being completed at completed at acceptable levelsacceptable levels

Causes of Failure of Causes of Failure of Accomplishment at WorkAccomplishment at Work• The employee does not know howThe employee does not know how• Lack of instruction or feedback.Lack of instruction or feedback.

• Something or someone is hindering Something or someone is hindering work outputwork output

• Physical or mental restrictions, time or Physical or mental restrictions, time or equipment restrictionsequipment restrictions

• AttitudeAttitude• Poor attitude, employee is “burned-out” or Poor attitude, employee is “burned-out” or

unhappy, or does not particularly enjoy the task.unhappy, or does not particularly enjoy the task.

Consequences of Failing Consequences of Failing to Take Actionto Take Action

• Increased workloadIncreased workload

• Department morale Department morale affectedaffected

• The employee may The employee may never see the never see the problemproblem

• Problem is reinforced Problem is reinforced as acceptableas acceptable

What is CounselingWhat is Counseling• Direct face-to-face conversation Direct face-to-face conversation

between a supervisor and a direct between a supervisor and a direct reportreport

• Used to help the employee identify Used to help the employee identify the reason for poor performance the reason for poor performance to to improveimprove, not embarrass or , not embarrass or humiliate him or herhumiliate him or her

• Generally more formal than Generally more formal than feedback and coaching and is feedback and coaching and is required of a small percentage of required of a small percentage of employeesemployees

Purpose of CounselingPurpose of Counseling

• Communicate concerns to the employeeCommunicate concerns to the employee

• Determine the cause of the employee’s Determine the cause of the employee’s activitiesactivities

• Identify avenues for improvement Identify avenues for improvement and/or developmentand/or development

• Improve employee performanceImprove employee performance

When to CounselWhen to Counsel

• When more action is required by the When more action is required by the supervisor following feedback and coachingsupervisor following feedback and coaching

• Re-establish ExpectationsRe-establish Expectations

• Not all unacceptable behavior warrants Not all unacceptable behavior warrants discipline:discipline:

Usually minor infractions, or case of first Usually minor infractions, or case of first offense by a long term employee require offense by a long term employee require counselingcounseling

The Counseling Process:The Counseling Process:Before the SessionBefore the Session

• Define your objectives.Define your objectives.• Have all documentation Have all documentation

availableavailable• Review all factsReview all facts• Create an outlineCreate an outline• Arrange for privacyArrange for privacy• Verbally inform the Verbally inform the

employee in person and in employee in person and in private what the meeting is private what the meeting is about, and where and when about, and where and when it is to take placeit is to take place

The Counseling Process:The Counseling Process:Session GuidelinesSession Guidelines

How you behave and How you behave and what you say during the what you say during the session can affect the session can affect the outcomeoutcome•Set a positive toneSet a positive tone•Describe the problemDescribe the problem•Ask, then listenAsk, then listen•Correct the situationCorrect the situation•ListenListen•Conclude the sessionConclude the session

The Counseling The Counseling Process:Process:

Minimizing ConflictMinimizing Conflict• Counsel in a timely Counsel in a timely mannermanner

• Counsel in privateCounsel in private• Look for the root cause Look for the root cause

of the problemof the problem• Listen. Do not interruptListen. Do not interrupt• Show sincere interest in Show sincere interest in

the employeethe employee• If you can help, offer it, If you can help, offer it,

do itdo it

Writing a Memo:Writing a Memo:DecisionDecision

• When making the decision about whether or not When making the decision about whether or not to write a counseling memo, consider if any of to write a counseling memo, consider if any of the following are present:the following are present:

• Previous counseling has failed to bring improvementPrevious counseling has failed to bring improvement• You have little or no confidence that the employee will You have little or no confidence that the employee will

correct the problem without further encouragementcorrect the problem without further encouragement• The seriousness of the situation requires it.The seriousness of the situation requires it.• A multi-step plan for improvement is designed and the A multi-step plan for improvement is designed and the

memo can serve as a written confirmation and memo can serve as a written confirmation and reminderreminder

• Is it important to have a written record in official Is it important to have a written record in official personnel file (sunset dates per CBA)personnel file (sunset dates per CBA)

The Counseling Process:The Counseling Process:Writing a MemoWriting a Memo

• A structured account of the counseling session A structured account of the counseling session that details what was said and by whomthat details what was said and by whom

• Summarizes the performance improvement Summarizes the performance improvement process and notes when the follow-up session process and notes when the follow-up session will be heldwill be held

• The employee must be informed during the The employee must be informed during the counseling session if a counseling memo will counseling session if a counseling memo will be issued and documented in their personal be issued and documented in their personal history folderhistory folder

Writing a Memo:Writing a Memo:FormatFormat

• Address to the employeeAddress to the employee• Be concise and clearBe concise and clear• Tone should be supportive and factualTone should be supportive and factual• Date and sign the memoDate and sign the memo• Include signature line for recipient to Include signature line for recipient to

acknowledge receiptacknowledge receipt• Include all others who will receive a copy Include all others who will receive a copy

(cc:), including the employee’s personnel (cc:), including the employee’s personnel folderfolder

Writing a Memo:Writing a Memo:ContentContent

• Date, time, and place of the counseling sessionDate, time, and place of the counseling session

• State purpose of discussion, including the State purpose of discussion, including the background which led for the need for the background which led for the need for the sessionsession

• State reason for the memoState reason for the memo

• Identify what the employee should be doing, Identify what the employee should be doing, what rules are not being followed, and what what rules are not being followed, and what pattern has been developedpattern has been developed

Writing a Memo:Writing a Memo:Content, cont’d.Content, cont’d.

• The employee’s responseThe employee’s response

• Identify improvement plan and performance Identify improvement plan and performance expectationsexpectations

• Include provisions for follow-up consultationsInclude provisions for follow-up consultations

Failure to follow these steps or to include allFailure to follow these steps or to include allrequired elements may result in the required elements may result in the

counselingcounselingmemo being invalid and removed from the memo being invalid and removed from the personal file.personal file.

The Counseling Process:The Counseling Process:After the SessionAfter the Session

• DocumentDocument: Write a memo, if appropriate: Write a memo, if appropriate• ImmediacyImmediacy: Whatever you decide to do after : Whatever you decide to do after

the session, do it immediately after the the session, do it immediately after the session – do not wait which can cloud your session – do not wait which can cloud your recollection of the events of the sessionrecollection of the events of the session

• Allow for employee rebuttal if requestedAllow for employee rebuttal if requested• Schedule a follow-up consultationSchedule a follow-up consultation• Continue to monitor performanceContinue to monitor performance

CounselingCounseling

EXAMPLE MEMO HANDOUTSEXAMPLE MEMO HANDOUTS

QUESTIONS AND QUESTIONS AND COMMENTSCOMMENTS