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Chapter 1: Employee Counseling

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Employee Relations for Managers and Supervisors
2008 Phil Varnak Associates, Inc..

You should counsel employees on any issue that Chapter 1: Employee Counseling becomes a concern to you as the manager.

If you are like most managers and supervisors, you are confident that the majority of employees work hard and want to do a good job. While that is true, the majority is not all employees. Some employees cut corners and barely get to work on a regular basis or developed habits under previous supervisors and managers who did not expect the same conduct and performance that you do. In many situations, these employees will test you to see what they can get by with and how much you will tolerate before requiring them to meet your expectations. The old adage, a new broom sweeps clean is applicable to the work of a new manager. When you enter a new management position, you may face situations that the previous manager did not want to address, could not address, addressed and lost, or have recently developed. Acceptance of conduct and performance that does not meet expectations becomes approval. Failure to address performance and conduct issues tells that employee, and others, that you are approving the unacceptable conduct or performance. Conduct and performance issues are handled in different ways within the federal sector since these issues fall under different parts of the statutes and regulations. When a situation advances to the level of a case, the employee relations specialists will often reference it as either a 752 or 432 action. These are the sections of the Civil Service Reform Act under which the procedures were developed, 752 for conduct cases and 432 for performance cases. This book will continually differentiate between the requirements of these sections and provide guidance based upon the content of the applicable laws and regulations.

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Employee Relations for Managers and Supervisors

The Need For Counseling


Counseling is an ongoing process. When it is performed properly, counseling can result in early correction of the situation. Many supervisors are reluctant to address issues early, because the supervisor has never been trained in effective counseling procedures. In the FPMI Solutions training course entitled Conduct and Performance trainers spend one day covering this subject. This information is usually rated high by course participants because it is of importance to them. Employees should be counseled on issues that become a concern to you as the manager. The principle of shared concern should be followed in these situations. If the matter becomes a concern to you, share it with the person who caused the concern. It will never be resolved if you keep it to yourself

2008 Phil Varnak Associates, Inc..

confront it as soon as it arises. I personally like to call these situations gut-burners. Gut-burners are situations that are causing the manager some degree of discomfort. Discomfort may be eased a great deal when it is shared with the employee who caused it.

CHANGE should be the primary objective of each counseling session. Chapter 1: Employee Counseling

Counseling Truths
Counseling is hard work. It takes time for preparation. Depending upon your approach (which will be discussed later), counseling takes more skill than any other part of managerial assignments. Many supervisors have said that it is easier to discipline an employee than to counsel. However, counseling usually prevents the need for discipline. Every situation is unique each has distinct facts and different employees. Accordingly, every situation must have tailored and planned techniques and approaches to get maximum benefit from the effort expended. You must decide ahead of time on the objectives you wish to achieve and develop a counseling plan that will help you stay on track during the counseling session. Counseling will not correct every situation. You will correct the majority of issues with one or two counseling sessions, but you will not be successful in all cases. Some cases will progress to disciplinary action or a performance-improvement period before you get the employees attention. In other more rare cases, the employee will have to experience an adverse action before improving conduct or being shown the exit door to his/her federal employment. Counseling takes time and patience, especially performance-based counseling. A well-executed counseling session occurs because the manager has taken the time to plan the session and conduct it. Unless the session is extremely directive, it will take time to discuss all issues in your counseling plan and give the employee an opportunity to respond. After the session, documentation is essential. CHANGE should be the primary objective of each counseling session. The manager wants change in the employees performance or conduct, which is the purpose of counseling. If change is not the primary objective of the session, there is no reason to counsel. If the desired change is not achieved, the documentation prepared at the end of the session can be used to support a future personnel action and it will show that you attempted to help the employee improve before initiating a formal corrective action.

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Employee Relations for Managers and Supervisors
2008 Phil Varnak Associates, Inc..

As a manager, you must choose the approach you will take in Chapter 1: Employee Counseling each counseling session.

Performance and conduct counseling require different approaches and follow-up procedures. Counseling to improve performance is more difficult, takes more time and requires a higher level of counseling skills by the manager. Conduct and performance checklists are available later in this chapter.

Counseling Approach
A counseling session must be planned and organized. Your approach is one of the primary issues to consider. The approach you take to counseling will generally fall somewhere on a continuum between extremely directive and extremely non-directive. The continuum looks something like this: Extremely _____________________________________________Extremely Directive ^ Non-Directive As a manager, you must choose the approach you will take in each counseling session. There are a number of factors to consider including the objective of the session, whether the session is for conduct or performance, and the personality of the employee. However, the objective to be achieved is the primary determinant in planning the counseling.

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Employee Relations for Managers and Supervisors

Characteristics of the Directive Approach


In a directive counseling session, the manager takes the lead and does most of the talking. These meetings are relatively brief covering only enough time to fully cover the counseling plan. The manager opens the session with a definition of the problem which initiated the need for the counseling. Next, you should explain the effect of the problem on accomplishing the work of the unit. This should provide the employee with a clear understanding of how the actions of the employee are adversely affecting the work unit and follow with your expectations for the employee to correct the problem. You should clearly identify the consequences if the employee fails to change and comply with your expectations. This is not a threat but rather a clear delineation of what the employee can expect if the situation remains unchanged. At this point, it is good to provide the employee with an opportunity to explain and question anything you have said.

2008 Phil Varnak Associates, Inc..

Generally, this approach is used for conduct situations where the violation is straight forward and the expectations are clear. For example, a situation where an employee has returned from lunch late causing an adverse effect on the work of the unit. If it continued, the other employees of the unit would expect to have the same privilege. The focus of the session is on improvement in the behavior of the employee and that can be easily measured. When using the directive approach, a follow-up meeting is not necessary unless the conduct has not improved and change has not occurred. A follow-up meeting is usually needed for performance counseling. Performance counseling is handled through a more non-directive approach, since the total involvement of the employee is necessary in achieving change in performance-related issues.

In a directive counseling session, the manager takes the lead and does most of the talking. In non-directive counseling, the manager is still in control, but the employee is responsible for much of the discussion. Chapter 1: Employee Counseling

Characteristics of the Non-Directive Approach


This approach differs considerably from the directive approach. The manager is still in control, but the employee is responsible for much of the discussion. In this approach, the manager must use advanced counseling techniques to keep the employee talking about the problem, its causes, and possible solutions. This approach is normally used for performance related counseling where the employee is failing, or nearly failing, one or more critical elements of the position. You must keep the pressure on the employee since performance problems are primarily that of the employee, not the supervisor. While you have a great deal at stake if the employee does not improve performance, the problem is that of the employee. You must assure the employee is actively involved in developing a resolution. When planning to conduct a non-directive counseling session, allow two hours for the meeting. While most meetings using this approach last less than two hours, you should allow that much time to provide an adequate opportunity to develop proposed solutions for the problem. These meetings are time consuming, but essential when attempting to improve employee performance. When using the non-directive approach, you need patience for the process to work. You often have to use advanced counseling techniques that include paraphrasing, questioning, and probing. Sometimes, this requires the manager to use unnatural behavior. Generally, a manager attempts to utilize time efficiently. In this process, you have to avoid reaching your bottom-line too quickly. You have to abstain from providing your solu-

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Employee Relations for Managers and Supervisors

2008 Phil Varnak Associates, Inc..

Counseling skills are essential in resolving the issue that Chapter 1: Employee Counseling gave rise to counseling.

tion to the employee and help the employee develop a solution that is acceptable to you. The employee will feel a part of the solution and strive to achieve results if you and the employee develop a solution that is satisfactory to both of you.

Advanced Counseling Skills


This section will address paraphrasing, questioning and probing. These advanced counseling skills provide great assistance when conducting non-directive counseling. These skills are essential in resolving the issue that gave rise to counseling. Paraphrasing is a skill used to restate what the employee has said in words different from those used by the employee. This method shows that you know what the employee has said and you are listening. It provides the employee with an opportunity to clarify what was said if you did not fully understand. A properly stated paraphrase does not convey agreement with the employee but only shows that you understand the employees position. There is one great danger when using this tool. Some managers challenge the employees statements too early in the counseling session. If you challenge when you are attempting to paraphrase, you risk the danger of stopping the dialog. Many employees will withdraw if challenged. If this happens, you will have great difficulty getting the employee to reengage in meaningful discussion. The following are common ways to start a paraphrase: Lets see if I understand your position. Let me try to recapture what you told me. These are good openings that tell the employee you are listening and plan to restate, in your own words, what the employee just said. After the opening you will then state what you think the employee said. Paraphrasing should be used sparingly. Listen intently to what the employee is saying and use the paraphrase whenever the employee stops talking or to clarify a specific point. Overuse of this tool can stop the employee from participating and provide you with difficulty in completing your objective to change the employees behavior. Questioning and Probing are used to give further meaning to what the employee has told you. This skill keeps the employee involved by answering questions, and it provides you with more information on the employees

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Employee Relations for Managers and Supervisors
2008 Phil Varnak Associates, Inc..

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