What is counseling?

Counseling can be defined as:

The goal of a counseling session is to address poor performance and discuss potential solutions to the problem. An effective counseling session can greatly improve employee performance, while an ineffective one will perpetuate poor performance. Managers need to be active in modeling good performance as well as taking initiative at first signs of the problem. Below are some guidelines for conducting counseling,institutional procedures for disciplinary and counseling actions, and legal/union issues regarding counseling.

When should counseling occur?

• When established performance standards are not met, for example:
  • Missing deadlines
  • Low productivity
  • Pattern of accidents
  • Pattern of Errors
  • Waste of materials
  • Poor judgment
  • Difficult recalling detailed instructions

• When a pattern of negative behavior or poor work habits develops, for example:
  • Tardiness
  • Absenteeism/unscheduled absences
  • Excessive social time
  • Excessive personal phone calls
  • Unprofessional conduct
  • Poor employee relationships
  • Rudeness to others
  • Gossip

• When one incident is severe enough to warrant counseling

• Promptly after incident

When deciding if counseling is necessary you should consider:

• Severity of incident or behavior ... and impact on workplace
• Employee’s work history
• Circumstances surrounding the incident or behavior

Instant Access to Online Courses for Supervisors: As a NYS employee, you have access to an online-learning center through the Governor's Office of Employee Relations. The GOER online-learning center offers self-study courses that can be accessed 24/7 at the GOER web page. In addition, some courses are designed specifically as resources for supervisors. Specifically, Using Effective Counseling to Improve Employee Productivity may be a course of particular interest.

How to conduct a counseling session

1. View as problem solving
   1. Don't threaten or punish
2. Be prepared
3. Review facts, define objective
4. Conduct in private
5. Schedule adequate time
6. Be direct and candid
7. Define employee’s view of incident
8. Remain calm and in control
9. Ask employee how the situation can be remedied
10. Focus on the behavior, not the employee’s general character
11. Be a good listener
12. Keep an open mind
13. Decide on appropriate actions: additional training, reassignment, etc.
14. Consider recommending EAP
    1. Especially if personal problems are the cause
15. Reach an understanding on corrective action
    1. Set follow-up date if applicable
16. Thank the employee and give reassurance

Counseling Pitfalls to Avoid

1. Preconceived notions about the “real” problem
2. Letting your opinions interfere
3. Not listening to the employee
4. Letting your friendship and/or loyalty interfere with your ability to counsel
5. Being concerned with being liked
6. Using phrases that could be discriminatory
7. Not recommending resources and training
8. Rescuing the employee by taking care of things
9. Over-emphasizing or under-emphasizing the problem
10. Playing psychiatrist

Who should attend the counseling session?

The only individuals who should attend initial counseling are the employee and supervisor. The presence of union representatives is not allowed. There are exceptions to this in some rare cases, but should be discussed with Human Resources first.

When counseling does not work: Writing a counseling memorandum

The counseling memorandum is warranted when:

• Previous counseling failed to resolve issue
• Employee does not appear to accept suggestions
• Situation is serious
• An improvement plan was decided upon and needs written confirmation

Use of a written record may represent a higher level of conflict, so don’t use if not necessary.

When you decide to use a counseling memorandum, advise the employee that the incident/problems will be documented. Prepare the memorandum promptly and send to Human Resources as soon as possible. Look at the bottom of this page for two possible templates of counseling memos.

When you write a counseling memo be sure to include:

• Reason for meeting as well as the date, time, place
• Summary of session:
  • Items discussed
  • Employee’s response
  • How improvement will happen
  • Expectations
• Not disciplinary or letter of reprimand
• Indicate appropriate cc’s, including Personnel file

The counseling memo and Union Contract issues

• Counseling memos must be placed in employee's Personnel file
• Some unions have removal clauses for counseling memos
• Memo must have been seen by employee and signed by employee
• Employee has the right to respond to the memo
• Unions can advise employee on how to respond

For more detailed information, see: CSEA--OSU CONTRACT APPENDIX IX

Follow-up after counseling

• Counseling is not grievable in most cases
• Ensure that the session remains confidential
• Have a follow-up meeting
  • How is the change intervention going?
  • Does the process need to be changed?
  • Gives you a chance to offer positive feedback and encouragement for effective change and improved performance (This will increase the likelihood that the improved performance will continue!)

Discipline versus Counseling

Discipline is different of counseling such that:

• It is an imposition of a penalty
• It is contract driven
• It is progressive in nature
• Employee is legally entitled to certain rights during a disciplinary meeting
• Imposition of disciplinary penalty is grievable – per contract

Examples of discipline could be: letter of reprimand, suspension without pay, fine, demotion

• Discipline is ONLY ADMINISTERED THROUGH HUMAN RESOURCES
• Consult Human Resources for disciplinary procedures when:
  • Incident is severe
  • When prior, documented counseling has not resolved issue