Counseling Checklists
By Phil Varnak
Saturday, March 1, 2008
Counseling Checklists
The following provide checklists to use when conducting disciplinary and performance counseling. The checklists are different because you are dealing with distinctly different processes. Disciplinary counseling must be conducted as soon as possible after the infraction or event giving rise to the counseling. Disciplinary counseling is usually more directive than non-directive.
On the other hand, performance counseling can take more time in preparation and documentation and is generally more non-directive than directive.
Disciplinary Counseling – Steps for a Productive Process
1. Conduct the meeting as soon as possible after the infraction
- Take time to gather the facts, but do not delay
- Timely counseling emphasizes the importance of the infraction in question
- Timely counseling insures the facts are fresh
2. State the specific purpose of the session at the outset
- Do not start by praising the employee for following the rules in the past
- Do not beat around the bush; state the problem clearly
- Consider the use of the shared worry principle
3. Schedule in a private setting
- Others should not be able to hear what is being said
4. Keep your objective in mind
- This is directive counseling to inform and correct
- Arrange the setting appropriately
5. Determine in advance whether you will allow a representative to attend if requested
- If the meeting is investigative, representation may be required
- Check organization policies and union contracts
- Call your human resources advisor for guidance if not sure
6. Be prepared to use facts
- Be ready to state when and where the behavior was observed
- Facts speak louder than feelings
- Do not wait until you are challenged to use the facts
7. Tell the employee how the infraction affects the work of the unit
- Do not just rely on the rule itself
- If the effects are speculative, do not hesitate to use them
8. Be prepared to compare your treatment of this employee with that of other employees who may have engaged in similar behavior
- It is natural for an employee to feel singled out
- How others are treated is a valid concern of the employee
- Do not violate the privacy of others by discussing their problems or disciplinary actions
- Before you counsel, make sure you have been consistent
- Only similarly situated employees have a right to consistent treatment
9. Listen to the employee's arguments and explanations
- Although the counseling is directive, no counseling should be a one-way street
- Listening to the employee's arguments is part of the fact-gathering process
10. Inform the employee of the behavior you expect in the future
11. Let the employee know what will happen in case of future infractions
- Do not make threats or promises you can not keep
- Make sure your superiors will back you if you try to go to the next step
12. Use praise if necessary to balance out the situation
- Praise is not always a necessity in counseling
- Praise must be honest
- Praise must be appropriately placed in the counseling meeting
- Let the employee know he/she is valuable to the organization
- Point out that the counseling is corrective, not punitive
13. Document the meeting
- It does not have to be elaborate
- Provide the employee with a copy of the documentation
- Be aware of Freedom of Information Act requirements for maintaining documentation
14. Observe and follow up
- Watch to see whether there is a short-term improvement
- Watch how long it lasts
- Be prepared to counsel again or move to disciplinary action if no immediate improvement
- Observe whether others are following the rule in question; the counseled employee will surely be watching
Performance Counseling – Steps for a Productive Process
1. Plan the session and schedule in advance
- Both you and the employee should be prepared
- There is no benefit to surprise
- Remember the principle of shared worry
2. Make sure the employee knows the specific purpose of the meeting
- Much time is wasted in denial if the employee does not know there is a problem
- Be prepared to discuss performance under specific standards for the job
3. Schedule the meeting in a private setting
- You will not get full cooperation if the employee believes others are listening
4. Performance counseling takes time and patience; make sure you have both
5. Be clear and specific in your criticisms
- Avoid vague statements and conclusions
- Do not engage in analogies
- Point out specifically the type of performance that has made you unhappy
- Use specific examples
6. Keep your counseling non-directive once the problem has been identified
- To achieve your objective, the employee must do most of the talking
- Do not take responsibility for either the problem or the solution
- Performance improvement happens only if the employee takes responsibility
- You are a helper/coach – make this clear
7. If there are positive points to be made, make them
- Do not open with praise -- that is not the purpose of the meeting
- Praise must be honest, if there is nothing good to say, do not try to invent it
- Praise has the best impact toward the end of the meeting, after an improvement plan is developed
- Do not let positive points obscure the problem
8. Set a specific date and purpose for the next meeting
- Performance problems are not resolved in one session
- The employee must know what is expected in both the short and long term
- The employee should know what you are going to do to help
- Even if the employee improves, a second meeting is essential to discuss the need for continued improvement
9. Document the meeting
- Record agreements made, actions to follow, timetables
- Be aware of Freedom of Information Act requirements
- Provide the employee with a copy of the documentation
- Performance counseling notes are more elaborate than discipline counseling
10. Follow Up
- If certain steps are agreed upon, make sure they are accomplished as agreed
- Schedule one or more meetings to check progress
© 2008 Phil Varnak. All rights reserved. This article may not be reproduced without express written consent from Phil Varnak.
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Posted: March 4, 2008 8:55 AM
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