As a Manager in today's global workplace, coaching, counseling and progressive discipline may be utilized at times to address employee performance or behavior. The following information may be helpful when determining which performance management tool is appropriate.
COACHING
Coaching is a continuous process of communication between supervisor and associate focused on optimizing performance and increasing organizational effectiveness.
Coaching is comprised of collaborative efforts between supervisor and associate and involves working together to share information about work projects, potential challenges and solutions, and how a supervisor can best motivate his or her associate
Coaching may include the following activities:
- Observing Performance
- Providing instruction, direction and re-direction
- Offering encouragement, recognition and support
- Actively listening to associate ideas and concerns
Supervisor's Role in Coaching
Provide ongoing feedback to associates to recognize excellent performance.
- Solicit ideas and suggestions from associates for optimizing work processes.
- Partner with associates to remove operational barriers and challenges
- Discuss the associate's learning and professional development needs.
Associate's Role in Coaching
Ask your supervisor for feedback or recommendations when needed.
- Listen and respond to feedback from your supervisor.
- Provide feedback to your supervisor about what they need to know to assist you
Coaching and feedback are essential components of an associate's development because they help align an associate's efforts with the Company's goals and objectives.
Effective coaching and feedback is more complex than conducting a series of conversations with your associates - it's about supervisors and associates building and maintaining trusting relationships.
There is a variable degree of complexity faced by supervisors during the coaching process. At times, supervisors may coach their associates by guiding them through a process of self-discovery. Other times, supervisors may find themselves relying more on observing their associate's professional development, assisting them in identifying opportunities for improvement, and encouraging associates to progress in their professional development.
Finally, coaching of new hires and entry level associates may sometimes involve much more specific and explicit direction.
Here are some helpful tips in establishing positive coaching relationships.
- Seek out opportunities to directly observe and provide feedback to your associates as frequently as possible.
- Explain that providing feedback is your responsibility as a supervisor and openly receiving feedback is the associate's responsibility.
- Associates should understand that when they believe they are not receiving enough feedback, they need to seek it out from their supervisor.
- Meet with associates to review their progress relating to Company Goals and objectives and openly discuss business challenges and potential obstacles.
COUNSELING
Counseling is a preventative measure that will hopefully eliminate the need for corrective action or termination. Associates should receive timely feedback and guidance from their supervisor starting on their first day of employment.
- Associates should know their job description, role and performance expectations.
- Associates should be familiar with the Company's policies, procedures and standards.
Finally, supervisors should establish an environment where associates and management are comfortable discussing work related issues.
Should an associate's job performance or behavior need improvement, a supervisor should start with informally coaching the associate and providing positive reinforcement and feedback.
Should the performance fail to improve or meet minimum expectations, the supervisor may formally begin to counsel the associate.
This is often done with a corrective action document explaining the situation, outlining a plan of action for the associate, and setting a deadline for improvement. A discussion between supervisor and associate to reach a mutual agreement on the situation is advised.
Supervisors should maintain a personal "Note to file" folder that should be used to record notes of verbal counseling sessions. This is completed so that supervisors can reference back to the original date of the verbal warning if further counseling is required. These notes may become public at some point so please make ensure that they are objective, professional, and accurate.
The notes should relate only to the issue at hand and should not contain extraneous observations unrelated to that conversation
STEPS IN THE COUNSELING PROCESS
- Explain the reason for meeting
Example: "I wanted to take this time to speak with you about your lateness. What is your understanding of our scheduling policy?"
- State the standard or expected behavior.
Example: "When you were hired, we discussed the Company's policies and procedures, the standards of attendance and tardiness. Each of us has a responsibility to report to work on time."
- State what improvement in behavior or performance is required.
Example: "My expectation is that you will be here on time to start your shift."
Example: "Are you clear what the standards and expectations are?"
Make sure that there is a common understanding of performance expectations.
- Outline a plan and the follow up steps
"You are expected to be on time for each shift. Your failure to improve will result in disciplinary action. Let's pick a day to meet in 30 days from now for a follow up discussion and review of your progress."
PROGRESSIVE DISCIPLINE
Progressive discipline or corrective action establishes a series of increasing responses or actions each time discipline is necessary. It generally begins with a verbal or caution warning and progresses to the more severe written documentation. There is no requirement to begin with a caution if the violation warrants a more severe measure, and there is no requirement to automatically escalate to the next step as subsequent violations occur. For serious offenses, termination may be the first and only disciplinary step taken
Factors to consider:
- The frequency and number of issues identified.
- Seriousness of the offense(s).
- Time Interval between offenses and associate response to prior corrective actions.
- Previous work history and overall performance of associate
In all cases, an associate should be given the opportunity to respond to the disciplinary action imposed or highlighted performance or behavior.
Whenever a supervisor is considering administering any form of disciplinary action, the following should be addressed:
o Inform the associate in person of the reason for the proposed disciplinary action.
o State the facts of the unacceptable behavior or performance to the associate.
o Allow the associate the opportunity to respond within a reasonable period of time.
o Review findings and proposed progressive discipline with your Human Resources representative.
DOCUMENTATION
Documentation is an essential part of the performance management process. Documentation ensures that supervisors accurately remember policy violations or infractions, whether associate goals and objectives were met, and any deviation in performance. Without proper documentation, supervisors are unable to provide timely and accurate feedback to the associate.
VERBAL WARNING
Verbal warnings are typically conversations between a supervisor and an associate which are conducted to discuss a disciplinary issue or policy infraction. It is the first stage in the progressive discipline process. Although verbal warnings are more informal in nature, they should be documented by the Supervisor for future reference as a "Note to File."
When to provide a Verbal Warning
A Verbal warning may be used in the following instances:
- Previous coaching with the associate has not been successful in resolving an issue.
- Associate is properly trained and is aware of policies, practices, and expectations.
WRITTEN WARNING
Written warnings are documented formal conversations between a supervisor and an associate which are conducted to discuss a disciplinary or performance related problem. Typically, this is the second step in the progressive discipline process.
The purpose of a Written warning is to address and correct an issue by discussing it with the associate and providing a record of the meeting. Written warnings are administered most often when coaching and verbal warnings fail to produce improvement.
Associates may provide a written statement or comment on the Corrective Action and are requested to sign the acknowledgement section of the form. If the associate refuses to sign, explain that the signature simply acknowledges receipt of the Corrective Action. If the associate continues to refuse to sign, indicate "Refused to Sign" and make appropriate notes for future reference.
When to provide a Written Warning
A Written Warning may be used in the following instances:
- Previous Verbal Warnings with the associate have not been successful in resolving a problem or performance issue.
- Associate is properly trained and is aware of policies, practices, and expectations.
- Supervisor needs to begin a formal record of Corrective Action
Preparing the Corrective Action
When completing a Corrective Action form, describe in detail the reason(s) for the discussion. Include all relevant information such as names, dates, witnesses, times, locations, circumstances, actions and/or behaviors necessary to clearly describe the situation to the associate.
- Note on the Corrective Action form any action to be taken – include specifics regarding what is required of the associate to correct poor performance and/or behavioral issues.
- Discuss the situation and review the Corrective Action form with the associate in private.
- Express confidence in the associate's ability to resolve the issue(s).
- Associates should be given the opportunity to share their opinions during the meeting. The associate needs to clearly understand the situation and commit to correcting the problem.
OPEN / FINAL WRITTEN WARNING
Final Written warnings are documented formal conversations between a supervisor and an associate about a continued disciplinary or performance issue OR due to the severity of an occurrence. In most instances, this is the final step in the progressive disciplinary process.
When to provide a Final Written Warning
The purpose of a Final Written Warning is to address and correct an issue by discussing it with the associate and providing a written record of that meeting.
A Final Written Warning is the final step in the progressive discipline process. The associate should be advised that any further violations or performance issues may result in termination.
Preparing for the Meeting
- Review your notes, critical incidents, coaching sessions, Verbal Warning conversations, Written Warning conversations and any other supporting documentation.
- Partner with your Human Resources Representative for guidance in conducting the meeting.
During the Meeting
- State the specific policy violation(s), infraction(s) or performance problem(s) that has occurred.
- Reference previous conversation(s) and Written warnings about the issue.
- Define the specific changes in behavior or performance that must occur by the associate.
- Solicit feedback from the associate as to their understanding of the issues, commitment to address and correct the deficiencies, and next steps in the process.
- Provide timely and frequent feedback and continue to partner with your Human Resources representative to determine next steps in the performance management process.
Supervisors failing to address performance or behavior related issues can negatively impact the commitment of the entire team and the self esteem of the affected associate.
Despite a supervisor's best efforts to develop and coach associates, there may be times when they are faced with terminating an underperforming associate.
TERMINATIONS
While separating an associate from the Company is always difficult, it is a necessary part of any supervisor's job. Supervisors should rehearse the conversation, review their notes and prior warnings, and document their thoughts prior to the meeting, reducing the likelihood of the conversation taking an unplanned detour
When preparing for a Termination meeting:
- Review the associate's Personnel folder, including any performance coaching and counseling notes, written documentation, prior performance evaluations, and Performance Improvement Plans.
- Map out and rehearse what will be communicating during the meeting.
- Prepare a list of Company property and belongings that should be returned upon termination.
- Be prepared to answer any questions the associate might have about the termination.
- Consult with your Human Resources representative for final approval, benefits and salary continuation questions and final review of supporting documentation.
Types of Separations:
- Voluntary Separation – When an associate resigns, either with or without notice, the separation is called "voluntary."
- Involuntary Separation – An "involuntary" separation occurs when the Company decides to end the employment relationship. Most common reasons may include policy violations and infractions, and performance or behavior related issues.
- Layoff – A "layoff" occurs when there is a change in business needs or staffing requirements. Layoffs, either temporary or permanent, are through no fault of the associate.
- Job Abandonment – When an associate fails to inform their supervisor about their absence and does not contact the Company after three (3) missed scheduled shifts, the Company considers the associate to have "abandoned their job."
Eventually, some employment relationships may end either through the Company's or the associate's request.Differing laws and guidelines may determine what formal notices and final pays are required at the time of separation.
Please be aware of your local laws and regulations and as always, partner with your Human Resources representative with any questions.
Original Publication Date: March 5, 2005
Written by Matt Argano Matt Argano is a Human Resources and Labor Relations professional and contributing writer based in New Jersey.
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