A Positive and Constructive Tool for Improving Employee Performance Counseling and Counseling Memos: A Positive and Constructive Tool for Improving Employee Performance

Introduction Activity Ground Rules Introduction Activity

By the end of this session, attendees will: Training Objectives By the end of this session, attendees will: Understand the differences between Feedback, Coaching, and Counseling, and when to use each. Know how and why to document Feedback and Coaching. Understand the Counseling process: How to prepare for a Counseling session. How to conduct a Counseling session. How to summarize the session in a Counseling Memo.

Why do some supervisors avoid counseling? Discussion Why do some supervisors avoid counseling? What are the potential risks of not addressing concerns with an employee? What are some of the benefits of counseling?

Counseling vs. Discipline IS NOT punitive Positive Constructive Two-way discussion Problem-solving Discipline A formal process Supervisor must work with Human Resources partner Investigation May involve charges and/or a Notice of Discipline (NOD) Addresses misconduct or incompetence Has consequences May carry a penalty, from a letter of reprimand up to termination vs.

Don’t Ignore Problems! 6

Avoidance Can Lead to…

Prerequisite Performance Program – every employee should have one (all bargaining units): Objectives Expected performance Standards

Example of an Objective “Prepare ZIP Report and distribute copies to supervisor and to managers of X, Y, and Z departments on the 1st and 16th of each month, or the first business day following. Use data provided by the W Reporting Team. Conduct data analysis using Excel and create reports using Excel pivot tables. Email reports to recipients and organize copies on department drive by month and year.”

Addressing Unacceptable Employee Behavior Incident or Behavior Feedback Problem Not Corrected Problem Corrected Coaching Problem Not Corrected Problem Corrected Counseling Problem Corrected

Counseling isn’t always the first step! Start With Feedback Counseling isn’t always the first step! Feedback

? Timely Private 2-Way Dialogue Specific Descriptive Factual Feedback Guidelines Timely Private 2-Way Dialogue Specific Descriptive Factual ? FACT OPINION

State concerns State expectations Keep notes! Feedback Specific Non-Ambiguous Keep notes!

Supervisor Notes (Feedback) Tuesday, April 5, 2017 Janis delivered the end-of-month ZIP Report this morning. The report was due on Friday (the 1st of the month). When Janis gave me my copy of the report, I reminded her that the people who receive the report (including myself) need to have it on a timely basis, because delays hold up their own reporting. She apologized and said that she will make sure the reports are distributed on time in the future. In a valley fair and beautiful Guarded well by mount and hill Beats a heart whose pulse is rich and full Of life, and pow'r, and thrill. We love thee, Alma Mater dear. To thee our hearts are true. And we'll sing with voices strong and clear To the Orange and Blue. New Paltz, forever our Alma Mater, Our praises full and free. 14

About Time

If initial feedback doesn’t resolve the issue… Move on to COACHING

Brainstorm solutions together. Coaching State concerns. Explore root causes. Brainstorm solutions together. Ask employee for suggestions. Create an action plan, and schedule follow-up. Keep notes!

Coaching Coaching Examples CONCERN COACHING SUGGESTIONS Written reports have typographical errors and misspellings. Use spell-check; have a co-worker proofread; organize your workstation to focus on only one project at a time. Work is not done on time. Compile a daily “to-do” list; prioritize duties; approach supervisor about workload; block time on calendar to prevent interruptions or scheduling conflicts. Forgetting or losing phone numbers, meeting notes, etc. Use a daily phone log; use only one phone log. 18

Supervisor Notes (Coaching) Wednesday, May 5, 2016 The last 2 ZIP reports were delivered on April 19 and May 4 (due dates of April 18 and May 3) and I met with Janis to explore solutions. Janis said that she was all set to prepare the 2 reports when other meetings and requests came up, preventing her from completing her analysis on time. We discussed having her block time on her calendar in advance so she can work on the reports without interruption. She agreed that this would help with her scheduling, and reassured me that she should be able to get the reports done on time in the future. I reminded her that if she has any scheduling conflicts or concerns about priorities, she should let me know immediately. In a valley fair and beautiful Guarded well by mount and hill Beats a heart whose pulse is rich and full Of life, and pow'r, and thrill. We love thee, Alma Mater dear. To thee our hearts are true. And we'll sing with voices strong and clear To the Orange and Blue. New Paltz, forever our Alma Mater, We raise our song to thee. The hills re-echo with glad crescendo Our praises full and free. 19

A few notes about notes… Why keep notes? Serve as a reminder to the supervisor – specific and factual. Help set the stage if needed for additional conversations, including Counseling. How long should I keep them? Feedback and Coaching notes: at least a year. May provide input for performance programs. Dispose of notes in a confidential manner (e.g., shred). Notes are not admissible for formal processes (such as Discipline or appeal of an evaluation) The only file that will be reviewed and referenced is the official employee file in Human Resources. All documents in the file have been presented to, and signed by, the employee Can verify that employee was made aware of the behavior and given an opportunity to correct it. If feedback or coaching regarding something like missing meetings, may want to put it into a Performance Program as an objective in future (“come to staff meetings on time”)

If feedback and coaching haven’t worked… Move on to COUNSELING If performance problems do not improve after Feedback and Coaching, you may need to proceed to Counseling. Like feedback and coaching, counseling focuses on the problem, not the employee, and it should be positive and constructive. If coaching and feedback are not effective, then you will proceed to counseling.

Counseling Purpose: To provide significant constructive feedback through supportive communication Identifying and discussing unacceptable behaviors or performance with the employee. Problem-solving: Working together to identify solutions and agree on an action plan. Teaching or modifying behavior. Setting expectations. Discussing consequences. Like feedback and coaching, counseling focuses on the specific issue, not the employee, and it should be positive and constructive. Direct, face-to-face Not discipline – it is meant to correct performance without penalizing the employee. *Supervisor should contact HR partner before proceeding!* 22

Important! When to Counsel Once you address a specific instance of a behavior with a corrective action (e.g., Counseling), you will not get a second opportunity. An employee cannot be counseled and disciplined for the same offense -- you can’t change your mind and decide to discipline once you’ve counseled. Contact your HR partner before proceeding. Meet to review your notes / checklists. “Same offense” refers to a specific instance of a behavior If someone repeats a behavior after being counseled you may counsel them again, but not for the same instance. Always give the employee adequate time to correct the behavior. Always contact HR before proceeding with Counseling – see next page!

When you contact HR, be prepared to discuss / assess the situation: When to Counsel When you contact HR, be prepared to discuss / assess the situation: Significance? Patterns? Impact? Circumstances? Has there been a consistent application of workplace standards to all employees? Supervisor must review the facts and consider the following: Significance or severity of the incident; Feedback and/or Coaching haven’t worked or situation is serious enough to skip them and move directly to Counseling? Is a pattern developing? Impact on the workplace Employee's work history Circumstances You can use the Counseling Checklist for Supervisors and Examples of Poor Performance documents for guidelines.

Effective Counseling Is: Timely As close to the incident(s) as possible. Accurate Factual and specific (use your notes). Constructive Identify reasons for poor performance, and agree on an improvement plan. Consistent All employees are held to the same standard: the same rules apply to everyone. Carefully planned Timeliness – occurs as close to the incident(s) as possible. Accuracy – a supervisor should check his or her notes and other documentation such as the official HR file* to ensure the counseling session focuses on factual information (*you may request to review relevant documents, such as performance reviews and prior counseling memos) Constructiveness – counseling corrective, not punitive. Consistency – all employees must be held to the same standard. You cannot counsel someone for poor behavior and overlook the same behavior in other employees. The rules have to apply to your worst employee in the same way they would to your best employee. Don’t ignore issues with employees whose work is otherwise good or whose personalities you like (people tend to focus on the behavior of those they may not like or think is a troublemaker). The rules have to apply to your worst employee in the same way they would to your best employee: An employee being counseled regarding poor performance will be quick to remind you that you are picking on him or her and letting others "get away with it."

Planning the Counseling Session Use the Counseling Memo template to “script” the session in advance. Counseling is a planned, structured dialogue between a supervisor and employee to improve or correct behaviors and/or performance. The template is available newpaltz.edu > human resources > training & development > training catalog > training for supervisors > counseling and counseling memos for supervisors – additional tools 26

Planning the Counseling Session Define your objectives: what do you want to accomplish? Review the facts (including your notes). Outline key points (what / when / why). Meet with HR to review your notes. Schedule the session: Arrange for a place where you can meet privately. Put it on your calendar to avoid scheduling conflicts (both during and immediately after the session). Inform the employee. Re: Scheduling: No more than 24 hours notice (don’t leave the employee worrying about being counseled). This is meant to be a SUPPORTIVE action; you don’t want to trigger bad feelings. Bring a calendar, and ask the employee to bring theirs, so you can agree on an appropriate follow-up date. 27

Planning the Counseling Session Who should be present? Counseling is meant to be a private conversation between the employee and the supervisor. If the employee requests union representation, contact your HR partner for guidance. In general, it is not recommended that a union representative be present. However, if an employee makes such a request, contact HR for guidance.

Stop the Presses! When counseling an employee, the supervisor has determined that discipline is not appropriate; therefore, the employee is not a "target of discipline". However, if during the counseling session the employee discloses information which could warrant disciplinary action, the supervisor must halt the session. Indicate that you need to look into the situation further. Contact your Human Resources partner and notify your supervisor. Before we talk about the “ideal” counseling session, keep in mind that things don’t always turn out as expected.

The Counseling Session Setting the tone Welcome the employee. Explain the purpose of the meeting*. Describe the problem or improvement opportunity: Be specific (use facts and examples). Focus on behaviors. Discuss impact on others. * Indicate that it will probably result in a Counseling Memo summarizing the meeting.

The Counseling Session Setting the tone (cont’d.) Explain rules, policies, and expectations regarding performance or behavior. Don’t underestimate the problem, or over- or under-empathize with the employee. Be direct and clear. Be non-judgmental: Avoid references to character or morality. Avoid statements such as, “I know you are older, but…” Avoid sharing opinions and don’t get personal. Remain professional. Counseling is a process for helping the employee identify performance and/or behavior problems, and then find a solution. How you behave and what you say during a counseling session can affect the outcome. You are not there to attack or punish the employee.

The Counseling Session Speak, then listen Ask open-ended questions and let the employee respond. Let the employee talk. Listen and don’t interrupt. Pay attention to the employee’s side of the story. Look for the root cause of the problem. Keep the conversation focused on the issue you are counseling the employee about. Keep an open mind: If the discussion reveals your information was incorrect, or the employee’s explanation is satisfactory, say so to the employee. Avoid letting your own values and opinions about the employee’s choices interfere with your ability to counsel. Like Feedback and Coaching, effective Counseling involves two-way, face-to- face communication: Ask open-ended questions and let the employee respond. Pay attention to the employee’s perspective on the situation. Focus on the issue you are counseling about. 32

The Counseling Session Explore options for correcting the situation Encourage the employee to make suggestions for correcting the situation. Show sincere interest in working with the employee to resolve the problem: If you can help, offer it (and if you offer it, do it). Don’t try to “rescue” the employee by taking care of things, but be supportive and offer to help explore solutions. Establish a performance improvement plan with the employee (and be sure to follow up). 33

The Counseling Session Review and summarize key points Try to end on a positive note, focusing on the future. Agree on an action plan. Make sure the employee understands what is expected in the future. Schedule the follow-up discussion. Summarize the meeting to ensure understanding. Follow-up discussion – allowing enough time for the employee to make improvements; this may vary depending on the situation. 34

After the Counseling Session Document, then meet with HR Use the time immediately following the counseling session to review and summarize your notes before your follow-up meeting with Human Resources. Waiting even one day can cloud your recollection of the meeting. You may need to recall the employee’s behavior and what was discussed at the session. You may need to refer back to these notes if there is no improvement and another counseling session is needed. Immediately after the session, review and organize your notes. Try not to go into another meeting immediately after. Meet with HR to discuss the meeting, and at that time you will decide whether a counseling memo is appropriate.

Make sure you: The Counseling Memo Use the Counseling Memo Template; address the memo to the employee. Write the memo so that someone without prior knowledge of the situation could understand it just by reading the memo. Avoid slang or unclear terminology. Don’t use vague terms or terms such as "most of the time," "allegedly," or "supposedly.“ Stay on-topic. Include the employee’s response. Include further expectations and follow-up plans. After meeting with HR, if it is agreed that you should write a counseling memo, use the template and follow these guidelines. A memo will serve as a written confirmation and reminder of the improvement plan and future expectations. **Make sure to let HR review the memo before you present it to the employee.**

Signatures The Counseling Memo Be sure you sign and date the memo, and leave space for the employee’s signature. Their signature indicates only that that they have read the memo -- not that they agree with it. The employee can submit a rebuttal to be attached to the memo in their personnel file. Re: Rebuttal – explain that if the employee submits a rebuttal, you should review it and discuss it with HR. Retention Guidelines: If supervisor leaves (resigns, moves to a new position, etc.) within 2 years of presenting the memo, he/she should make replacement person aware of the memo on file. If more than 2 years has passed with no further instances, there is no need to reference the memo. The employee may request that the memo may be removed from the file after 2 years (most employees are aware of this provision).

The Counseling Memo NOTES: COPIES: There should be only 3 copies of the memo: the original (given to the employee),a copy to the personnel file, and your own copy. RETENTION: The employee may request that the counseling memo be removed from their personal file after 2 years has passed. If there have been no further related incidents, the memo should be destroyed. Re: Rebuttal – explain that if the employee submits a rebuttal, you should review it and discuss it with HR. Retention Guidelines: If supervisor leaves (resigns, moves to a new position, etc.) within 2 years of presenting the memo, he/she should make replacement person aware of the memo on file. If more than 2 years has passed with no further instances, there is no need to reference the memo. The employee may request that the memo be removed from the file after 2 years (most employees are aware of this provision).

The Follow-up Session If the employee’s performance doesn’t improve, use the follow-up session to: Review the previous counseling session (from your notes and/or the counseling memo). Describe insufficient improvement – give specific examples; get employee feedback. Discuss solutions and offer assistance. Discuss consequences if unacceptable behavior continues. Set a new follow-up date. If you don’t see sufficient improvement: Review the previous counseling session (from your notes and/or the counseling memo). Describe insufficient improvement with specific examples and ask the employee to explain. Listen and discuss solutions. Discuss what will happen if the unacceptable behavior continues. 39

The Follow-up Session If performance has not improved, if you didn’t write a counseling memo after the previous counseling session, you should write one after the follow-up session. Make sure you tell the employee that you are preparing a counseling memo. If you don’t see sufficient improvement: Review the previous counseling session (from your notes and/or the counseling memo). Describe insufficient improvement with specific examples and ask the employee to explain. Listen and discuss solutions. Discuss what will happen if the unacceptable behavior continues. 40

Acknowledge improvements. Get feedback from the employee. The Follow-up Session Acknowledge improvements. Recognize and appreciate the effort! Get feedback from the employee. Will they be able to continue with the improved performance? Do they have any concerns? Continue to monitor performance. The counseling session sets expectations. On the other hand, hopefully things will improve and the follow-up session will provide an opportunity to acknowledge that, and discuss any concerns. Case study – the Follow-Up Session (Positive Outcome) 41

Wrap-Up Discussion Wrap Up 42 Pair up for discussion, e.g., 2 things learned, or 2 things to keep in mind. 42

Remember -- HR is your partner in this process!

Resources Counseling Memo Template: Handouts: www.newpaltz.edu/hr/training-catalog/training-for-supervisors Scroll down to “Counseling and Counseling Memos for Supervisors” Handouts: Counseling Checklist for Supervisors Examples of Poor Performance Counseling Memo Template Counseling Memo Template for Time & Attendance Issues Sample Completed Counseling Memo for Time & Attendance Issues