The Use of Counseling and
Discipline to Improve
Employee Productivity
Counseling vs. Discipline
Counseling
• Face-to-face
communication
• Conducted by
supervisor
• Usually, 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 basis
• Inform employees of
their performance on the
job
• Ensure work is being
completed at acceptable
levels
Causes of Failure of
Accomplishment at Work
• The employee does not know how
• Lack of instruction or feedback.
• Something or someone is hindering work output
• Physical or mental restrictions, time or equipment restrictions
• Attitude
• Poor attitude, employee is “burned-out” or unhappy, or does not
particularly enjoy the task.
Consequences of Failing to Take
Action
• Increased workload
• Department morale
affected
• The employee may never
see the problem
• Problem is reinforced as
acceptable
What is Counseling
• Direct 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 her
• Generally more formal than
feedback and coaching and is
required of a small percentage of
employees
Purpose of Counseling
• Communicate concerns to the employee
• Determine the cause of the employee’s activities
• Identify avenues for improvement and/or
development
• Improve employee performance
When to Counsel
• When more action is required by the supervisor
following feedback and coaching
• Re-establish Expectations
• 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
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Define your objectives.
Have all documentation available
Review all facts
Create an outline
Arrange for privacy
Verbally 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 tone
•Describe the problem
•Ask, then listen
•Correct the situation
•Listen
•Conclude the session
The Counseling Process:
Minimizing Conflict
• Counsel in a timely manner
• Counsel in private
• Look for the root cause of the
problem
• Listen. Do not interrupt
• Show sincere interest in the
employee
• If 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:
• Previous counseling has failed to bring improvement
• You have little or no confidence that the employee will
correct the problem without further encouragement
• 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 reminder
• 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 whom
• Summarizes 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 folder
Writing a Memo:
Format
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Address to the employee
Be concise and clear
Tone should be supportive and factual
Date and sign the memo
Include signature line for recipient to acknowledge
receipt
• Include 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 session
• State purpose of discussion, including the background
which led for the need for the session
• State reason for the memo
• Identify 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 response
• Identify improvement plan and performance
expectations
• Include 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 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 session
• Allow for employee rebuttal if requested
• Schedule a follow-up consultation
• Continue to monitor performance
Counseling
EXAMPLE MEMO HANDOUTS
QUESTIONS AND COMMENTS