The Use of Counseling and Discipline to Improve Employee Productivity

Counseling vs. Discipline Counseling Face-to-face communicationFace-to-face communication Conducted by supervisorConducted by supervisor Usually, first form of actionUsually, first form of action Discipline Penalization Conducted by Human Resources Typically, second form of action (if counseling fails)

Role of the Supervisor Balance organizational needs with employee rights on a daily basisBalance organizational needs with employee rights on a daily basis Inform employees of their performance on the jobInform employees of their performance on the job Ensure work is being completed at acceptable levelsEnsure work is being completed at acceptable levels

Causes of Failure of Accomplishment 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 work outputSomething or someone is hindering work output Physical or mental restrictions, time or equipment restrictionsPhysical or mental restrictions, time or equipment restrictions AttitudeAttitude Poor attitude, employee is “burned-out” or unhappy, or does not particularly enjoy the task.Poor attitude, employee is “burned-out” or unhappy, or does not particularly enjoy the task.

Consequences of Failing to Take Action Increased workloadIncreased workload Department morale affectedDepartment morale affected The employee may never see the problemThe employee may never see the problem Problem is reinforced as acceptableProblem is reinforced as acceptable

What is Counseling Direct face-to-face conversation between a supervisor and a direct reportDirect face-to-face conversation between a supervisor and a direct report Used to help the employee identify the reason for poor performance to improve, not embarrass or humiliate him or herUsed to help the employee identify the reason for poor performance to improve, not embarrass or humiliate him or her Generally more formal than feedback and coaching and is required of a small percentage of employeesGenerally more formal than feedback and coaching and is required of a small percentage of employees

Purpose of Counseling Communicate concerns to the employeeCommunicate concerns to the employee Determine the cause of the employee’s activitiesDetermine the cause of the employee’s activities Identify avenues for improvement and/or developmentIdentify avenues for improvement and/or development Improve employee performanceImprove employee performance

When to Counsel When more action is required by the supervisor following feedback and coachingWhen more action is required by the supervisor following feedback and coaching Re-establish ExpectationsRe-establish Expectations Not all unacceptable behavior warrants discipline:Not all unacceptable behavior warrants discipline: Usually minor infractions, or case of first offense by a long term employee require counseling

The Counseling Process: Before the Session Define your objectives.Define your objectives. Have all documentation availableHave all documentation available Review all factsReview all facts Create an outlineCreate an outline Arrange for privacyArrange for privacy Verbally inform the employee in person and in private what the meeting is about, and where and when it is to take placeVerbally inform the employee in person and in private what the meeting is about, and where and when it is to take place

The Counseling Process: Session Guidelines How you behave and what you say during the session can affect the outcome 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 Process: Minimizing Conflict Counsel in a timely mannerCounsel in a timely manner Counsel in privateCounsel in private Look for the root cause of the problemLook for the root cause of the problem Listen. Do not interruptListen. Do not interrupt Show sincere interest in the employeeShow sincere interest in the employee If you can help, offer it, do itIf you can help, offer it, do it

Writing a Memo: Decision When making the decision about whether or not to write a counseling memo, consider if any of the following are present:When making the decision about whether or not to write a counseling memo, consider if any of 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 correct the problem without further encouragementYou have little or no confidence that the employee will correct 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 memo can serve as a written confirmation and reminderA multi-step plan for improvement is designed and the memo can serve as a written confirmation and reminder Is it important to have a written record in official personnel file (sunset dates per CBA)Is it important to have a written record in official personnel file (sunset dates per CBA)

The Counseling Process: Writing a Memo A structured account of the counseling session that details what was said and by whomA structured account of the counseling session that details what was said and by whom Summarizes the performance improvement process and notes when the follow-up session will be heldSummarizes the performance improvement process and notes when the follow-up session will be held The employee must be informed during the counseling session if a counseling memo will be issued and documented in their personal history folderThe employee must be informed during the counseling session if a counseling memo will be issued and documented in their personal history folder

Writing a Memo: Format 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 acknowledge receiptInclude signature line for recipient to acknowledge receipt Include all others who will receive a copy (cc:), including the employee’s personnel folderInclude all others who will receive a copy (cc:), including the employee’s personnel folder

Writing a Memo: Content Date, time, and place of the counseling sessionDate, time, and place of the counseling session State purpose of discussion, including the background which led for the need for the sessionState purpose of discussion, including the background which led for the need for the session State reason for the memoState reason for the memo Identify what the employee should be doing, what rules are not being followed, and what pattern has been developedIdentify what the employee should be doing, what rules are not being followed, and what pattern has been developed

Writing a Memo: Content, cont’d. The employee’s responseThe employee’s response Identify improvement plan and performance expectationsIdentify improvement plan and performance expectations Include provisions for follow-up consultationsInclude provisions for follow-up consultations Failure to follow these steps or to include all required elements may result in the counseling memo being invalid and removed from the personal file.

The Counseling Process: After the Session Document: Write a memo, if appropriateDocument: Write a memo, if appropriate Immediacy: Whatever you decide to do after the session, do it immediately after the session – do not wait which can cloud your recollection of the events of the sessionImmediacy: Whatever you decide to do after the session, do it immediately after the session – do not wait which can cloud your recollection 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

Counseling EXAMPLE MEMO HANDOUTS QUESTIONS AND COMMENTS