COUNSELING IN THE 21st Century

COUNSELING IN THE 21st Century
LEADERSHIP DOCTRINE

Agenda Purpose Reason for Change New Doctrine
Concept of Developmental Counseling Why a Counseling Workshop Train-the-Trainer Workshop Objective/Focus/Success Training Workshop Program Our agenda is this, I’ll brief the following: Purpose, Counseling Background, etc….

Our Purpose Provide the NCO Corps with a clear understanding of the intent and purpose behind the Developmental Counseling philosophy and show the field “what right looks like”. We do this with: Train-the-Trainer workshop Training Aids (videos/TSP # TVT ) Web site ( Online advice (SME) Our purpose is this…… The Center for Army Leadership provides the field with……..

Reason For Change Counseling is perceived as negative; normally associated with an evaluation requirement, problem, or poor performance Documenting counseling is bad news - writing things down is perceived as negative Old counseling technique: Past performance One way/directive (I talk, you listen), did not result in a concrete plan of action In addition to this developmental shortfall, it was also perceived negative and normally associated with a problem or poor performance. A session was one-way directive; no two-way communication existed. It did not result in a Plan of Action that addressed milestones leading to the accomplishment of any short or long term goal.

New Doctrine FM 22-100 Army Leadership August 1999
Appendix “B” Performance Indicators Appendix “C” Developmental Counseling Supersedes all editions of Leadership doctrine The development of our CURRENT Leadership Doctrine required a huge investment of resources, for more than 5 years was rolled into because of its direct relation with Part II (skills and actions required of direct leaders) and was officially released in August Appendix “B”, Performance Indicators, plays a significant role in drafting a plan of action and Appendix “C”, Developmental Counseling, discusses in detail the counseling process. You’ll see both of these later. This FM supersedes four publications – FM (Leadership Counseling), FM (Soldier Team Development), FM (Leadership and Command at Senior Levels), and DA Pam (Executive Leadership)

New Doctrine Appendix “B” FM 22-100
Provides a list of performance indicators to use as a self-assessment in the areas of: Army Values Attributes; mental, physical & emotional Skills; interpersonal, conceptual, technical & tactical Actions; Influencing, Operating & Improving Appendix “B” is a tool to be used by leaders in the development of a plan of action. It provides a list of Performance Indicators in which to determine possible areas of strengths and weaknesses. For example, most subordinates will likely be strong in their technical and tactical skills, but will need to develop their interpersonal and conceptual skills. These skills are key to effective leadership in today's Army. Appendix “B” is organized around the leadership dimensions discussed in chapters 1-7.

New Doctrine Appendix “C” FM 22-100
The Leader’s Responsibilities The Leader as a Counselor Leader Counseling Skills The Leader’s Limitations Types of Developmental Counseling Approaches to Counseling Counseling Techniques The Counseling Process The Developmental Counseling Form Here are the parts of Appendix “C”. Combined they discuss in detail Developmental counseling, with focus placed on subordinate-centered communication and developing a plan of action necessary to achieve individual and organizational goals. The three parts we’ll cover are – Types of Counseling, the process, and the form (highlighted).

Developmental Counseling
WEBSTER II’s definition: An exchange of opinions and ideas in order to reach a decision: “Consultation” Advice or guidance; solicited from a knowledgeable or experienced person A deliberate plan of action, to press the adoption of; Recommend FM ’s definition: Subordinate-centered communication which leads to the achievement of individual and unit goals. Before we do that, lets look at the word “counsel”. The doctrine writers reviewed the basic principle of the word in order to convey its usefulness. First, Webster says we consult in order to obtain other’s opinions and ideas. Now we ask ourselves – Why do soldiers want to be counseled? Obviously they hope to gain insight into what it takes to be successful. Leaders can offer that insight! Second, Webster addresses advice or guidance from a knowledgeable or experienced person. Again, we must ask ourselves – Who conducts the majority of our counseling? Junior officers and NCOs. We must first make them knowledgeable counselors in order to ensure they remain within their limit of expertise. And third, Webster addresses a Plan of Action. All of these elements now become the focus of s definition. (Read definition)

Developmental Counseling The purpose of Developmental Counseling:
To develop subordinate’s leadership skills, prepare them for increased responsibility and develop subordinates who are better able to achieve personal, professional, and organizational goals. The education and training process starts with having a clear understanding of the purpose and intent behind developmental counseling.

Types of Counseling: Event-Oriented Specific instances of superior or substandard performance Reception and integration counseling Crisis counseling Referral counseling Promotion counseling Separation counseling Now, here are the types of developmental counseling and some examples of each. These lists of examples are not inclusive! The train-the-trainer workshop will role play two event-oriented and two performance/professional growth counseling sessions.

Types of Counseling (cont): Performance/Professional Growth What does this counseling session address? Short Term: < 1 year (Performance/Personal Goals) Long Term: 2-5 years (Professional Growth) Performance/Professional growth counseling really gets to the heart of Developmental Counseling. It addresses short & long term goals.

Identify the need for counseling: event-oriented or performance/professional growth counseling Prepare for counseling: select a suitable place, schedule the time, notify the subordinate well in advance, organize information, outline the counseling session components, plan your counseling strategy, and establish the right atmosphere. Conduct counseling: open the session, discussing the issues, developing the plan of action, and recording and closing the session. Follow up: providing the teaching, coaching, and mentoring needed. The developmental counseling process now has four parts. The train-the-trainer workshop will place emphasis on all four parts during the role playing of each scenario. The most valued improvement to this process is the use of a self assessment and the development of a plan of action.

What’s the desired endstate of these sessions? Develop a subordinate-centered Plan of Action Tie expectations to performance objectives Tie expectations to appropriate standards Achieves unit and individual goals Develops a “Pathway to Success” The desired endstate of developmental counseling is this……(summarize slide)

Why a Counseling Workshop?
To have an Effective Counseling Program: Education/Training Experience Support Enforcement Upon approval of FM , the Center for Army Leadership took the lead in jump starting the NCO corps’ understanding of the intent and purpose behind the new counseling philosophy. Through 3 years if developing support and training, which includes working with the 25th ID and the 101st AA Div, CAL determined the 4 essential elements of an effective counseling program are – Education/Training; Experience; Support; Enforcement. The army must first provide a base line of education in order to “show what right looks like”. We know the NCOES has the primary responsibility to educate our NCOs, but it would take an estimated 5 years to achieve 100% re-education. On the other hand a major training event, such as the train-the trainer workshop, can provide that training base in a relatively shorter timeframe. After the initial education and training all leaders must be afforded the opportunity to put these new skills to use. Then they can receive guidance and mentoring while gaining the experience needed to be effective counselors. Both the Army, in the form of the Counseling Web Library, and its leaders must provide the necessary support and critiques that will improve subordinate leader’s counseling skills. Then, once a reasonable amount of time has past we must hold our leaders to an acceptable counseling standard.

Current Counseling Requirements: Local Command Directives & Policies (Not Standardized) Monthly Performance Oriented (junior enlisted)  AR , AR 600-9, AR Separations Overweight “Not Recommended” for Promotion  AR NCOER Quarterly Performance and Professional Development Counseling This slide addresses our current counseling requirements. There’s no standard requirement for junior enlisted performance counseling across the Army. Where there is directed counseling it’s negative- Separations, Overweight, and Promotion. So, our intent is to introduce a Standard Quarterly Performance/Professional Growth counseling with monthly assessments for all.

ATLDP NCO Study conducted between April 01 and January 02, surveyed over 30,000 soldiers worldwide Assessed the state of training and leader development Major findings on counseling: Informal counseling is valuable Formal counseling is not being done properly Leaders do not know how to do it Requirements do not meet the needs of soldiers. Another reason to support the train-the-trainer workshop is your soldiers ask for it!. The recent ATLDP NCO Study assessed the state of training and leader development across our Army and this is the Major Findings concerning counseling.

Study Recommendations: Require first line leaders to conduct professional growth counseling (appendix C, FM , Army Leadership) for all junior enlisted soldiers. Enforce doctrine that requires promotion counseling (Appendix C, FM and AR , Enlisted Promotions and Reductions) for all soldiers eligible for advancement without waivers but not recommended. Change AR to require a soldiers’ first line leader, not commander or senior NCO of the support channel, conduct this counseling. Further more, the Study made a recommendation to require leaders to conduct professional growth counseling for all junior enlisted soldiers. This further solidifies a need for this base line education and training.

Study Recommendations (cont): Update and sustain Center for Army Leadership counseling website, US Army Developmental Counseling Library. Develop training and education materials for leaders to develop their counseling skills through self-development, unit professional development programs, and unit training. And again the study recommended the development of education and training materials for leaders to use as self-development and unit professional development tools. This workshop package is a “take back to your unit and train” product.

Train-the-Trainer Workshop Objective
Provide a one-day training event that demonstrates four Role-Playing scenarios followed by three practical exercise scenarios. Train Direct Leaders from each company within the Division/Installation to be Developmental Counseling Trainers. Trainers go back to their respective companies and train NCOs via NCOPD and mentoring (recommend within 60 days). Recommend Command Sergeants Major conduct a follow-up assessment. These are our workshop objectives! (Talk to each line)

Train-the-Trainer Workshop Focus
Junior NCO from Reception & Integration through 2nd Quarter Performance/Professional Growth counseling session Teaches both event oriented and performance/professional growth counseling Illustrates developing a Plan of Action to accomplish individual and unit goals Demonstrates leader responsibilities for following up and supporting the plan of action Stresses quarterly counseling with monthly assessment Here is what we focus on, during the workshop, with your leaders! (Talk to each line)

Training Workshop Program
Vignette #1 Reception and Integration Counseling Vignette #2 Assessment Vignette #3 Substandard Performance Counseling Vignette #4 2nd Quarterly Counseling PE # Pregnancy Counseling PE # Quarterly Counseling PE # Disrespecting an NCO Counseling TEST Critique

Vignette #1

Identify the need for counseling: event-oriented or performance/professional growth counseling Prepare for counseling: select a suitable place schedule the time notify the subordinate well in advance organize information outline the counseling session components plan your counseling strategy establish the right atmosphere The developmental counseling process now has four parts. The train-the-trainer workshop will place emphasis on all four parts during the role playing of each scenario. The most valued improvement to this process is the use of a self assessment and the development of a plan of action.

Lester, James T. SGT 6 SEP 02 UNIT NAME SFC Paul, Joseph/PSG This is your Reception and Integration Counseling. You are being assigned 4th Squad Leader, 1st Platoon. In addition, this is your Initial Counseling along with your NCOER Counseling Checklist to support your NCOER.

o Discuss duty position and review job description:
PART III - SUMMARY OF COUNSELING Complete this section during or immediately subsequent to counseling. Key Points of Discussion: OTHER INSTRUCTIONS This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation requirements and notification of loss of benefits/consequences see local directives and AR DA FORM 4856-E, JUN 99 EDITION OF JUN 85 IS OBSOLETE o Discuss duty position and review job description: o Leader’s Book for 4th Squad: o Personal and Family Issues: o Personal and Organizational Goals:

Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below):

Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): Leader Responsibilities: (Leader’s responsibilities in implementing the plan of action): Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Signature of Individual Counseled: _________________________________________ Date: _____________________ Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: (Did the plan of action achieve the desired results? This section is completed by both the leader and the individual counseled and provides useful information for follow-up counseling): Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling. DA FORM 4856-E (Reverse)

Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Assessment: (Did the plan of action achieve the desired results? This section is completed by both the leader and the individual counseled and provides useful information for follow-up counseling): Individual counseled remarks: Signature of Individual Counseled: _________________________________________ Date: _____________________ Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: (Did the plan of action achieve the desired results? This section is completed by both the leader and the individual counseled and provides useful information for follow-up counseling): Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling. DA FORM 4856-E (Reverse)

o Discuss duty position and review job description:
PART III - SUMMARY OF COUNSELING Complete this section during or immediately subsequent to counseling. Key Points of Discussion: o Discuss duty position and review job description: o Leader’s Book for 4th Squad: o Personal and Family Issues: o Personal and Organizational Goals: o Finances (PCS Entitlements, Leaves) o Housing, Schools, Recreation Centers, Youth Center, Community Activities o Family Readiness Group o Discuss duty and responsibility to train, lead, and develop the squad o Standards- setting and enforcing o Deployments and Exercises o Duty rosters and training schedules o Unit Physical Fitness Program o Soldier Key Information o Equipment Accountabilities and Maintenance o Chain of Command/NCO Support Channel: o Rating Chain/NCOER o Alert/Recall Roster and Accountability o Hand Receipts/Command Maintenance o Professional Development o Education (Civilian and Military) o Career Enhancing Opportunities (NCO of the Month Board, Audie Murphy Board) o Short and Long Term Goals o Unit Readiness o Unit METL, Command Policies and SOPs OTHER INSTRUCTIONS This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation requirements and notification of loss of benefits/consequences see local directives and AR DA FORM 4856-E, JUN 99 EDITION OF JUN 85 IS OBSOLETE

Conduct counseling: open the session discussing the issues developing the plan of action recording and closing the session The developmental counseling process now has four parts. The train-the-trainer workshop will place emphasis on all four parts during the role playing of each scenario. The most valued improvement to this process is the use of a self assessment and the development of a plan of action.

Plan of Action: DA FORM 4856-E (Reverse) (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): o Provide my spouse with the family Readiness group contact and encourage her to attend the next family Readiness group. o Review Unit METL and Command Policies by Monday, and SOPs by the end of next week. o Prepare to take a diagnostic APFT within 30 days and prepare to conduct PT. o Conduct joint inventory of squad equipment by 26 SEP 02. o Review leaders book from previous squad leader by 20 SEP. o Conduct open discussion with squad members next week. o Conduct initial counseling on each squad member within 30 days. o Visit the education center to look into next semester’s schedule. o In support of long-term goal of promotion to SSG, work on weapons qualification, PT, and civilian/military education. o Study pertinent Army Regulations and FMs for board appearance. o Verify squad’s SRP packets within 60 days. o Tentatively schedule future monthly assessments.

Individual counseled: I agree / disagree with the information above
Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Jim T. Lester Sep 02 Signature of : Individual counseled _________________________________________________ Date:________________ Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: individual counseled and provides useful information for follow-up counseling): Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling. DA FORM 4856-E (Reverse)

Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Jim T. Lester Sep 02 Signature of : Individual counseled _________________________________________________ Date:________________ Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Introduce to squad members. Review and explain job description, deployments and duty rosters. Provide soldier with a copy of the rating scheme and training schedule. I will also provide a list of reference materials and web sites to assist soldier in preparation for NCO of the Month, Audie Murphy, and Promotion Board. Afford time for soldier to review commander’s policies and SOPs. Assist soldier in resolving any problems that may develop. Explain the unit’s METL to the soldier. Schedule and administer a diagnostic APFT. I will check back in 30 days to ensure all your soldiers have been counseled. Supervise squad inventory of equipment. Joseph J. Paul Sep 02 Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: individual counseled and provides useful information for follow-up counseling): Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling. DA FORM 4856-E (Reverse)

Follow up: Leader Responsibilities providing the teaching, coaching, and mentoring needed Assess the Plan of Action The developmental counseling process now has four parts. The train-the-trainer workshop will place emphasis on all four parts during the role playing of each scenario. The most valued improvement to this process is the use of a self assessment and the development of a plan of action.

Vignette #2

Plan of Action: DA FORM 4856-E (Reverse) (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): o Review Unit METL and Command Policies by Monday, and SOPs by the end of next week. o Prepare to take a diagnostic APFT within 30 days and prepare to conduct PT. o Conduct joint inventory of squad equipment by 26 SEP 02. o Review leaders book from previous squad leader by 20 SEP. o Conduct open discussion with squad members next week. o Conduct initial counseling on each squad member within 30 days. o Visit the education center to look into next semester’s schedule. o In support of long-term goal of promotion to SSG, work on weapons qualification, PT, and civilian/military education. o Study pertinent Army Regulations and FMs for board appearance. o Verify squad’s SRP packets within 60 days. o Provide my spouse with the family Readiness group contact and encourage her to attend the next family Readiness group. o Tentatively schedule future monthly assessments.

Assessment: Assessments done on:
Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Jim T. Lester Sep 02 Signature of : Individual counseled _________________________________________________ Date:________________ Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Introduce to squad members. Review and explain job description, deployments and duty rosters. Provide soldier with a copy of the rating scheme and training schedule. I will also provide a list of reference materials and web sites to assist soldier in preparation for NCO of the Month, Audie Murphy, and Promotion Board. Afford time for soldier to review commander’s policies and SOPs. Assist soldier in resolving any problems that may develop. Explain the unit’s METL to the soldier. Schedule and administer a diagnostic APFT. I will check back in 30 days to ensure all your soldiers have been counseled. Supervise squad inventory of equipment. Joseph J. Paul Sep 02 Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: individual counseled and provides useful information for follow-up counseling): Assessments done on: On 26 Sep 02 observed SGT Name conducting a squad equipment inventory. He made the necessary correction and signed for and accepted responsibility for the squad equipment. On 2 Oct 02 SGT Name took a diagnostic APFT and scored 220 with a score of 65 on the run. 3 Oct 02 _JTL/JTP_ Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling.

Vignette #3

DEVELOPMENTAL COUNSELING FORM
For use of this form see FM DATA REQUIRED BY THE PRIVACY ACT OF 1974 AUTHORITY: 5 USC 301, D departmental Regulations ; 10 USC 3013, S secretary of the Army and E.O (SSN) PRINCIPAL PURPOSE: To assist leaders in conducting and recording counseling data pertaining to subordinates. ROUTINE USES: For subordinate leader development IAW FM Leaders should use this form as necessary. DISCLOSURE: Disclosure is voluntary. PART I - ADMINISTRATIVE DATA Name (Last, First, MI) Lester, James T. SGT Rank / Grade Social Security No. 15 OCT 02 Date of Counseling Organization Name and Title of Counselor YOUR UNIT SFC Paul, Joseph/PSG PART II - BACKGROUND INFORMATION Purpose of Counseling: (Leader states the reason for the counseling, e.g. Performance/Professional or Event- Oriented counseling and includes the leaders facts and observations prior to the counseling): Inability to maintain unit physical fitness goals by consistently falling out of unit runs. PART III - SUMMARY OF COUNSELING Complete this section during or immediately subsequent to counseling. Key Points of Discussion: OTHER INSTRUCTIONS This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation requirements and notification of loss of benefits/consequences see local directives and AR EDITION OF JUN 85 IS OBSOLETE DA FORM 4856-E, JUN 99

o Falling out of unit runs (WHY?)
PART III - SUMMARY OF COUNSELING Complete this section during or immediately subsequent to counseling. Key Points of Discussion: OTHER INSTRUCTIONS This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation requirements and notification of loss of benefits/consequences see local directives and AR DA FORM 4856-E, JUN 99 EDITION OF JUN 85 IS OBSOLETE o Falling out of unit runs (WHY?) o Plans to improve level of fitness. o Consequences of continued substandard performance: o Goal timeline to achieve and maintain unit goals: o Recommended facilities o Individual fitness plan. o Assessment plan. o Soldier's perception. o Career implications o Tips to reach your goals.

Plan of Action: DA FORM 4856-E (Reverse) (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): o Develop individual physical fitness plan that will coincide with the unit's supplement physical fitness program IAW FM , Chapter 10. o Submit individual physical fitness plan to Platoon Sergeant within 7 days for approval. o Develop a dietary and proper sleep plan (Reference: FM 21-20, Chapter 6). o Solicit peers for encouragement and support.

o Encourage peers to provide moral and physical support.
Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Jim T. Lester Oct 02 Signature of : Individual counseled _________________________________________________ Date:________________ Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): o Provide soldier with FM and review appropriate chapters that supports plan of action. o Review soldier’s individual fitness plan to verify that it supports his goals/objectives. o Protect after duty hours (within mission constraints) so plan can be executed. o Encourage peers to provide moral and physical support. o Conduct another diagnostic APFT within the next 3-4 weeks to verify progress/benefits of individual supplemental fitness program. Joseph T. Paul Oct 02 Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: individual counseled and provides useful information for follow-up counseling): Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling. DA FORM 4856-E (Reverse)

Vignette #4

Plan of Action: DA FORM 4856-E (Reverse) (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): o Review Unit METL and Command Policies by Monday, and SOPs by the end of next week. o Prepare to take a diagnostic APFT within 30 days and prepare to conduct PT. o Conduct joint inventory of squad equipment by 26 SEP 02. o Review leaders book from previous squad leader by 20 SEP. o Conduct open discussion with squad members next week. o Conduct initial counseling on each squad member within 30 days. o Visit the education center to look into next semester’s schedule. o In support of long-term goal of promotion to SSG, work on weapons qualification, PT, and civilian/military education. o Study pertinent Army Regulations and FMs for board appearance. o Verify squad’s SRP packets within 60 days. o Provide my spouse with the family Readiness group contact and encourage her to attend the next family Readiness group. o Tentatively schedule future monthly assessments.

Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Jim T. Lester Sep 02 Signature of : Individual counseled _________________________________________________ Date:________________ Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Introduce to squad members. Review and explain job description, deployments and duty rosters. Provide soldier with a copy of the rating scheme and training schedule. I will also provide a list of reference materials and web sites to assist soldier in preparation for NCO of the Month, Audie Murphy, and Promotion Board. Afford time for soldier to review commander’s policies and SOPs. Assist soldier in resolving any problems that may develop. Explain the unit’s METL to the soldier. Schedule and administer a diagnostic APFT. I will check back in 30 days to ensure all your soldiers have been counseled. Supervise squad inventory of equipment. Joseph J. Paul Sep 02 Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: individual counseled and provides useful information for follow-up counseling): Assessments done on: 03 OCT 02_JTL/JTP___, NOV 02 _JTL/JTP On 26 SEP 02 observed SGT Name conducting a squad equipment inventory. He made the necessary correction and signed for and accepted responsibility for the squad equipment. On 02 OCT 02 SGT Name took a diagnostic APFT and scored 220 with a score of 65 on the run. 04 OCT 02 SGT Name attended the unit Family Support Group meeting with spouse. 07 OCT 02 reviewed SGT Name's squad initial counseling packets. Quality counseling was done. 06 NOV 02 reviewed SGT Name's squad SRP packets and they meet the standards. SGT Name did a super job in conducting section PT during the week of NOV NOV 02 SGT Name took an additional diagnostic APFT to assess his individual PT program and increased his score on the run by 20 points. Joseph J. Paul Jim T. Lester 6 DEC 02 Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling.

DEVELOPMENTAL COUNSELING FORM
For use of this form see FM DATA REQUIRED BY THE PRIVACY ACT OF 1974 AUTHORITY: 5 USC 301, D epartmental Regulations ; 10 USC 3013, S ecretary of the Army and E.O (SSN) PRINCIPAL PURPOSE: To assist leaders in conducting and recording counseling data pertaining to subordinates. ROUTINE USES: For subordinate leader development IAW FM Leaders should use this form as necessary. DISCLOSURE: Disclosure is voluntary. PART I - ADMINISTRATIVE DATA Name (Last, First, MI) Lester, James T. SGT Rank / Grade Social Security No. 6 DEC 02 Date of Counseling Organization Name and Title of Counselor YOUR UNIT SFC Paul, Joseph/PSG PART II - BACKGROUND INFORMATION Purpose of Counseling: (Leader states the reason for the counseling, e.g. Performance/Professional or Event- Oriented counseling and includes the leaders facts and observations prior to the counseling): This is your 2nd Quarterly Counseling as 4th Squad Leader for 1st Platoon. This also serves as your 2nd quarterly NCOER counseling. PART III - SUMMARY OF COUNSELING Complete this section during or immediately subsequent to counseling. Key Points of Discussion: OTHER INSTRUCTIONS This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation requirements and notification of loss of benefits/consequences see local directives and AR EDITION OF JUN 85 IS OBSOLETE DA FORM 4856-E, JUN 99

o Review squad’s SRP packets.
PART III - SUMMARY OF COUNSELING Complete this section during or immediately subsequent to counseling. Key Points of Discussion: o Review and assess last Performance/Professional Growth Counseling. o Preparation for upcoming JRTC deployment (April 2003): o Review squad’s SRP packets. o Squad and individual equipment readiness o Squad’s APFT, weapons qualification, military and civilian education and boards o In support of upcoming Brigade Command Inspection (Appointment as Unit Arms Room NCOIC) o Short Term Individual Goal: o Preparation for Promotion (Continue to improve weapon qualification, APFT score, civilian/military education, and compete for Battalion NCO of the Month Board). o Long Term Individual Goal: o Future in the Army (Approaching ETS) o Leadership self-assessment (FM , Appendix B) OTHER INSTRUCTIONS This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation requirements and notification of loss of benefits/consequences see local directives and AR EDITION OF JUN 85 IS OBSOLETE DA FORM 4856-E, JUN 99

Plan of Action: DA FORM 4856-E (Reverse) (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): o Conduct a squad SRP packet review by 6 JAN 03 and update as needed (special attention on family care plans, medical and dental records). o Verify load plans within the next 30 days and submit operational supply request to unit supply sergeant. o Conduct maintenance on all individual crew-served weapons. o Schedule and conduct a TA-50 layout to check serviceability and accountability and correct all deficiencies within this quarter. o As Unit Arms Room NCOIC, review company’s past CI results and identify amber and red deficiencies by 13 DEC 02. o Schedule for the next installation’s Unit Armorer Supervisor’s Course. o Refer to the Army’s Developmental Counseling Library ( and obtain a copy of the unit armorer’s counseling checklist.

Plan of Action: DA FORM 4856-E (Reverse) (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must be specific enough to modify or maintain the subordinate’s behavior and include a specific time line for implementation and assessment (Part IV below): o Refer to the Army’s Developmental Counseling Library ( and obtain a copy of the unit armorer’s counseling checklist. o Conduct a squad SRP packet review by 6 JAN 03 and update as needed (special attention on family care plans, medical and dental records). o Verify load plans within the next 30 days and submit operational supply request to unit supply sergeant. o Conduct maintenance on all individual crew-served weapons. o Schedule and conduct a TA-50 layout to check serviceability and accountability and correct all deficiencies within this quarter. o As Unit Arms Room NCOIC, review company’s past CI results and identify amber and red deficiencies by 13 DEC 02. o Schedule for the next installation’s Unit Armorer Supervisor’s Course. o Conduct a Performance/Professional Growth Counseling with the unit armorer; identifying priority work for the upcoming CI within 2 weeks. o Coordinate with unit maintenance for corrective action on all deficiencies (ensure to involve the Arms Room OIC to de-conflict any maintenance issues). o Submit certificate for Unit Arms Room training through S-1 for inclusion into ERB. o Obtain the necessary study materials for preparation of NCO of the Month Board. o Schedule appointment with the Battalion Reenlistment NCO to review reenlistment options. o Lead by example in performance, fitness, and appearance o Use some form of a personal planning calendar to organize requirements

Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: individual counseled and provides useful information for follow-up counseling): Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling. Signature of : Individual counseled _________________________________________________ Date:________________ Jim T. Lester Dec 02

X X X X X Lester, James T. james.lester@ 123-45-6789
0 Completed ___hours of correspondence courses related to his MOS X 0 Increased APFT by 20 points X X X 0 Exhibited knowledge of the Command Supply Discipline program by identifying discrepancies during inventories 0 Encouraged all squad members to enroll in ACCP X

Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The subordinate agrees/disagrees and provides remarks if appropriate): Individual counseled: I agree / disagree with the information above Individual counseled remarks: Leader Responsibilities : (Leader’s responsibilities in implementing the plan of action): Signature of Counselor: _________________________________________________ Date: _______________________ PART IV - ASSESSMENT OF THE PLAN OF ACTION Assessment: individual counseled and provides useful information for follow-up counseling): Counselor: ____________________ Individual Counseled:_________________ Date of Assessment: ______________ Note: Both the counselor and the individual counseled should retain a record of the counseling. Signature of : Individual counseled _________________________________________________ Date:________________ Jim T. Lester Dec 02 My first priority is to coordinate with the S-3 to ensure that you are enrolled in the next Unit Armorer Supervisor Course. I will de-conflict issues between your squad leader duties and your appointed duties as Arms Room NCOIC. Will support and encourage continuation of personal fitness program. Will provide examples of planning calendars. Joseph J. Paul Dec 02

SERGEANTS MAJOR COURSE RECOMMENDED NCOES-RELATED COURSES
Career Development Model YRS OF SVC 1-3 4-6 7-9 10-15 16-19 20-30 RANK PVT PFC SPC/CPL SGT SSG SFC MSG 1SG SGM CSM DUTY ASSIGNMENT ACTIVE COMPONENT/RESERVE COMPONENT DUTY/ DRILL SERGEANT FIRST SERGEANT TEAM LEADER SGL/INSTR PLATOON SGT SECTION SUPV USAR ADVISOR SECTION CHIEF SQUAD LEADER EQUIP SYS OPER SHIFT SUPV SECTION CHIEF STAFF NCO BCT/AIT PLDC BNCOC ANCOC SERGEANTS MAJOR COURSE INSTITUTIONAL TRAINING RECOMMENDED NCOES-RELATED COURSES PRIOR TO PLDC: English Composition Basic Mathematics Computer Literacy PRIOR TO BNCOC: Communication Skills Personnel Supervision SL10/20 ACCP Speech PRIOR TO ANCOC: Principles of Management Effective Writing Leadership & Counseling Effective Communication PRIOR TO SMC: Research Techniques (Statistics) Human Resource Management Time Management Recommended Battle Staff NCO Course SG Course Recommended Reading Standard: 10 Achieve Writing Standard Recommended Reading Standard: 12 Achieve Writing Standard RECOMMENDED CMF-RELATED COURSES AND ACTIVITIES SKILL LEVEL 10 SKILL LEVEL 20 Human Growth & Development Reading Development Role of Military SKILL LEVEL 30 Contemporary Moral Issues Stress/Criss Mgt Counseling Principles and Practies SKILL LEVEL 40 Accounting/Finance Personal Finance Principles of Business Economics SKILL LEVEL 50 RECOMMEND CMF-RELATED CERTIFICATION OR DEGREE GOAL AA/AS: Applied Science in Management or Liberal Arts BA/BS: By the 19th Year of Service By the 11th Year of Service

Summary Counseling Subordinate-centered Goal orientated
Subordinate Centered Strategy Active Listening Responding Questioning The Session Open the Session Discuss the issue Develop POA Record & Close The Process Identify the need Prepare Conduct Assessment Purpose To develop subordinates

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COUNSELING IN THE 21st Century

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