Counseling
Subordinate-centered communication that
outlines actions necessary for subordinates to
achieve individual and organizational goals.
Counseling Cycle Continuous Process
EXIT
INTERVIEW
OER/ NCOER
PATHWAY TO
SUCCESS
Quarterly Counseling
NCOER Checklist
ARRIVE AT
UNIT
- Sponsorship
- Reception and
Integration
Personal Issues
Event:
Non-select for school /
promotion
Initial OER /
NCOER
Counseling (30
days)
Quarterly Counseling
NCOER Checklist
Periodic Review
of OER Support
Form
(Rater/ SR Rater)
Quarterly Counseling
NCOER Checklist
MIDPOINT
6 MONTHS
The Unit Counseling Program
–
A company level leader’s responsibility
–
A dynamic system of skilled leaders helping
subordinates to develop
–
Takes time, energy, and effort to build and
sustain
–
An investment in leader development and the
unit
VGT 31
The Effects of Counseling on the
Organization
– Develops subordinates
– Strengthens the chain of command
– Provides opportunity for leader growth
A Unit Counseling Program Should:
•
•
•
•
•
•
•
Strengthen the Chain of Command
Clarify policies and procedures
Reinforce standards
Prevent rumors
Praise success
Avoid surprises
Develop responsible subordinates
Counseling and Leader Growth
Through counseling, leaders:
- Learn about their own effectiveness
- Learn more about “leadership”
- Gain an appreciation for the diversity of those they
lead
Subordinate-Centered (Two-Way)
Communication
Subordinates assume an active role in the
counseling sessions and maintain responsibility
for their actions. The following skills assist
leaders in subordinate-centered counseling:
– Active listening
– Responding
– Questioning
The Leader as a Counselor
Leaders have a responsibility to develop
their subordinates.
During counseling, the leader acts
primarily as a helper, not a judge.
The Leader as a Counselor (con’t)
The following qualities help the leader to assume
an effective role during a counseling session:
–
–
–
–
Respect for subordinates
Self and cultural awareness
Credibility
Empathy
The Reason for Counseling
–
To help subordinates develop in order to achieve
organizational goals and objectives.
–
This overriding theme of “subordinate development”
includes helping subordinates to improve (or maintain)
performance, solve problems, or attain goals.
–
Counseling requirements are also integrated into the
evaluation system.
TWO CATEGORIES OF
COUNSELING
Event-Oriented Counseling
Performance Counseling
Professional Growth Counseling
Event-Oriented Counseling
Counseling centers around a specific event or
situation and is personal in nature
Examples include:
Reception and Integration
Promotion Counseling
Corrective Training
Referrals
Separation
Crisis
Positive Performance
Event-Oriented Counseling
DEVELOPMENTAL COUNSELING FORM
For use of this form, see FM 22-100; the proponent agency is TRADOC
AUTHORITY:
PRINCIPAL PURPOSE:
ROUTINE USES:
DISCLOSURE:
Name (Last, First, MI)
DATA REQUIRED BY THE PRIVACY ACT OF 1974
5 USC 301, Departmental Regulations; 10 USC 3013, Secretary of the Army and E.O. 9397 (SSN)
To assist leaders in conducting and recording counseling data pertaining to subordinates.
For subordinate leader development IAW FM 22-100. Leaders should use this form as necessary.
Disclosure is voluntary.
PART I - ADMINISTRATIVE DATA
Rank/Grade
Social Security No.
Date of Counseling
Organization
Name and Title of Counselor
PART II - BACKGROUND INFORMATION
Purpose of Counseling: (Leader states the reason for the counseling, e.g., performance/professional growth or event-oriented counseling, and
includes the leader's facts and observations prior to the counseling.)
Date: What specifically occurred.
PART III - SUMMARY OF COUNSELING
Complete this section during or immediately subsequent to counseling.
Key Points of Discussion:
How it violates the established post, unit or Army standard.
Include date! For consideration of separation paragraphs 5-8. 5-13, Chapter 11,
Chapter 13, and paragraphs 14-12a and 14-12b, AR 635-200, the
counseling must include:
WARNING
1.
If the behavior continues, separation action will be considered
2.
The paragraph or chapter under which action will be considered
3.
Soldier must be advised of the least favorable characterization of
he/she could receive under the specific paragraphs of the regulation,
IE Honorable,Under Honorable conditions, (General), Under Other
than Honorable conditions, Entry Level Separation.
4.
Inform the soldier of loss of benefits for a Under Other than
Honorable Conditions discharge. Personnel with less than two (2)
years of continuous active duty will receive no VA or federal benefits,
no matter what type of discharge they receive. The effect a punitive
discharge could have on future employment.
5.
Recovery of unearned enlistment or re-enlistment bonus is required.
OTHER INSTRUCTIONS
This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation
requirements and notification of loss of benefits/consequences see local directives and AR 635-200.
DA FORM 4856 , JUN 1999
EDITION OF JUN 85 IS OBSOLETE
USAPA V1.00
Event-Oriented Counseling
Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must
be specific enough to modify or maintain the subordinate's behavior and include a specified time line for implementation and assessment (Part
IV below).)
Plan to correct the deficiency
-Agencies involved
End state clearly outlined.
Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The
subordinate agrees/disagrees and provides remarks if appropriate.)
Individual counseled:
I agree
Individual counseled remarks:
disagree with the information above.
Signature of Individual Counseled:
Date:
Leader Responsibilities: (Leader's responsibilities in implementing the plan of action.)
How leader will support the plan.
Signature of Counselor:
Date:
PART IV - ASSESSMENT OF THE PLAN OF ACTION
Assessment: (Did the plan of action achieve the desired results? This section is completed by both the leader and the individual counseled and
provides useful information for follow-up counseling.)
When the plan will be checked or re-visited
Counselor:
Individual Counseled:
Date of Assessment:
Note: Both the counselor and the individual counseled should retain a record of the counseling.
REVERSE, DA FORM 4856, JUN 1999
USAPA V1.00
Performance Counseling
Includes OER / NCOER / TAPES counseling requirements
FM 22-100 (Chapter 2, 1999 version)
outlines values, attributes, skills, and actions
FM 22-100 (Appendix B, 1999 version) establishes performance
indicators for the 23 leadership competencies
Professional Growth Counseling
Includes Pathway to Success and Career Field counseling
Counseling is future oriented based on an established
time line
Performance/Professional Growth Counseling
Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must
be specific enough to modify or maintain the subordinate's behavior and include a specified time line for implementation and assessment (Part
IV below).)
DEVELOPMENTAL COUNSELING FORM
For use of this form, see FM 22-100; the proponent agency is TRADOC
AUTHORITY:
PRINCIPAL PURPOSE:
ROUTINE USES:
DISCLOSURE:
Name (Last, First, MI)
DATA REQUIRED BY THE PRIVACY ACT OF 1974
5 USC 301, Departmental Regulations; 10 USC 3013, Secretary of the Army and E.O. 9397 (SSN)
To assist leaders in conducting and recording counseling data pertaining to subordinates.
For subordinate leader development IAW FM 22-100. Leaders should use this form as necessary.
Disclosure is voluntary.
PART I - ADMINISTRATIVE DATA
Rank/Grade
Social Security No.
Date of Counseling
Organization
Name and Title of Counselor
PART II - BACKGROUND INFORMATION
Purpose of Counseling: (Leader states the reason for the counseling, e.g., performance/professional growth or event-oriented counseling, and
includes the leader's facts and observations prior to the counseling.)
Dates of
Quarterly
Counseling
PART III - SUMMARY OF COUNSELING
Complete this section during or immediately subsequent to counseling.
Key Points of Discussion:
Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The
subordinate agrees/disagrees and provides remarks if appropriate.)
Individual counseled:
I agree
Individual counseled remarks:
disagree with the information above.
Signature of Individual Counseled:
Date:
Leader Responsibilities: (Leader's responsibilities in implementing the plan of action.)
Signature of Counselor:
Date:
PART IV - ASSESSMENT OF THE PLAN OF ACTION
Assessment: (Did the plan of action achieve the desired results? This section is completed by both the leader and the individual counseled and
provides useful information for follow-up counseling.)
Counselor:
OTHER INSTRUCTIONS
This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation
requirements and notification of loss of benefits/consequences see local directives and AR 635-200.
DA FORM 4856 , JUN 1999
EDITION OF JUN 85 IS OBSOLETE
USAPA V1.00
Individual Counseled:
Date of Assessment:
Note: Both the counselor and the individual counseled should retain a record of the counseling.
REVERSE, DA FORM 4856, JUN 1999
USAPA V1.00
Performance/Professional Growth Counseling
Plan of Action: (Outlines actions that the subordinate will do after the counseling session to reach the agreed upon goal(s). The actions must
be specific enough to modify or maintain the subordinate's behavior and include a specified time line for implementation and assessment (Part
IV below).)
DEVELOPMENTAL COUNSELING FORM
For use of this form, see FM 22-100; the proponent agency is TRADOC
AUTHORITY:
PRINCIPAL PURPOSE:
ROUTINE USES:
DISCLOSURE:
Name (Last, First, MI)
DATA REQUIRED BY THE PRIVACY ACT OF 1974
5 USC 301, Departmental Regulations; 10 USC 3013, Secretary of the Army and E.O. 9397 (SSN)
To assist leaders in conducting and recording counseling data pertaining to subordinates.
For subordinate leader development IAW FM 22-100. Leaders should use this form as necessary.
Disclosure is voluntary.
PART I - ADMINISTRATIVE DATA
Rank/Grade
Social Security No.
Date of Counseling
Organization
Plan to achieve success
Name and Title of Counselor
PART II - BACKGROUND INFORMATION
Purpose of Counseling: (Leader states the reason for the counseling, e.g., performance/professional growth or event-oriented counseling, and
includes the leader's facts and observations prior to the counseling.)
Quarterly Counseling: March April May 2001
Session Closing: (The leader summarizes the key points of the session and checks if the subordinate understands the plan of action. The
subordinate agrees/disagrees and provides remarks if appropriate.)
Individual counseled:
I agree
Individual counseled remarks:
disagree with the information above.
PART III - SUMMARY OF COUNSELING
Complete this section during or immediately subsequent to counseling.
Points of contention by soldier being counseled
Key Points of Discussion:
Strengths/Sustain:
A
B
C
Areas to Improve:
A
B
C
Upcoming focus
Signature of Individual Counseled:
Date:
Leader Responsibilities: (Leader's responsibilities in implementing the plan of action.)
Assistance by leader that is needed to
achieve success
Signature of Counselor:
Date:
PART IV - ASSESSMENT OF THE PLAN OF ACTION
Assessment: (Did the plan of action achieve the desired results? This section is completed by both the leader and the individual counseled and
provides useful information for follow-up counseling.)
Suspense or dates for spot checks
Major events
Counselor:
OTHER INSTRUCTIONS
This form will be destroyed upon: reassignment (other than rehabilitative transfers), separation at ETS, or upon retirement. For separation
requirements and notification of loss of benefits/consequences see local directives and AR 635-200.
DA FORM 4856 , JUN 1999
EDITION OF JUN 85 IS OBSOLETE
USAPA V1.00
Individual Counseled:
Date of Assessment:
Note: Both the counselor and the individual counseled should retain a record of the counseling.
REVERSE, DA FORM 4856, JUN 1999
USAPA V1.00
Preparation for Counseling
1.
2.
3.
4.
5.
6.
7.
Select a suitable place
Schedule the time
Notify the subordinate well in advance
Organize the information
Outline the components of the counseling session
Plan a counseling strategy
Establish the right atmosphere


Why should a leader prepare an outline?
What is a counseling strategy?
THE STAGES OF A
COUNSELING SESSION
1. OPEN THE SESSION
Identify the purpose and establish a constructive
and subordinate-centered tone.
2. DISCUSS THE ISSUE
Help the subordinate develop an understanding of the
issues and viable goals to effectively deal with them.
3. DEVELOP A PLAN
Develop an action plan with subordinate. The plan
that evolves from the counseling process must be action-focused
and facilitate both leader and subordinate attention toward
resolving the identified developmental needs.
4. CLOSE THE SESSION
Discuss the implementation, including the leader’s
role in supporting the subordinate’s effort. Gain the subordinate’s
commitment to the plan. Ensure plan is specific enough to drive
behaviors needed to affect the developmental needs
Develop a Plan of Action
- Actions should facilitate the attainment of goals.
Plan may entail contacting a referral agency.
Actions should be specific enough to drive behavior.
VGT 13
Close the Session
- Summarize the counseling session.
- Discuss implementation of the plan; check for
understanding and acceptance.
- Identify leader’s responsibilities.


What is follow-up and why is it necessary?
Describe the assessment of the plan of action. Why is it
an integral part of the counseling process?