SESSION PREPARATION, FORMAT, AND FOLLOW-UP

1. Session Preparation

When you move from coaching to formal discipline, you “officially” place the employee in a process that could ultimately lead to termination; thus session preparation becomes very important. As we have seen, each process step has five phases:

•   Phase I. Search for the Facts

•   Phase II. Consider Possible Actions or Alternatives.

•   Phase III. Take the Most Appropriate Action

•   Phase IV. Documentation

•   Phase V. Follow-Up

If you ever find yourself preparing to conduct a session “cold,” without work completed on the first two phases, stop immediately. You must know the facts; and you must be sure the disciplinary process, not training, is the correct course of action.

In your preparation work, you need to focus on two things:

•   The content of the disciplinary discussion and how you will document it and deliver it

•   The meeting place and its environment

Anyone who has disciplined an employee knows that such discussions are usually difficult and uncomfortable. Well-planned content and a good physical setting minimize the difficulties and lend some ease to both the manager and the employee.

Content, Documentation, and Delivery

Content

The content is simply the information you must convey to the employee. It includes the definition of the issue (the facts of the situation; the goals not being met), your expectations for the future, and the next course of action (what the employee can do to improve performance; what will happen if improvement does not occur). For a good guide, refer to the session-format table presented later in this chapter.

The number one rule here is make good, thorough notes. And be sure to organize your notes so you can actually work with them during the session. A few random scribbles on a piece of paper will prove useless. Remember: you are communicating serious information. Pay attention to your language; if you use general terms like bad attitude or insubordination, define them with specific examples of employee behavior. Go for the details, and know the details. Keep in mind, too, that the session requires documentation and that the employee will receive a copy of the discipline letter. Clear and well-organized notes are invaluable references in this regard and give you some assurance that you will be comfortable with the document’s language and your statements to the employee.

Documentation

As for documentation itself, everything you say to the employee will need documenting. Your organization may have a standard documentation format. If so, be ready to use it and to provide details about the session. If not, then decide what format you will use, a disciplinary action form or a letter. The content of either must reflect your conversation and detail your expectations. It is also a good practice to record, on a separate sheet of paper, what the employee said to you; statements like “Yes, I agree with your assessment” could become useful if matters go from bad to worse later on. (More information on documentation, including a sample action form, can be found in Chapter 5).

Delivery

To be completely prepared for the session, rehearse your delivery of the content. This ensures you get all the issues “on the table” in a concise, effective way. Rehearsal also gives you a thorough knowledge of the material and increases your confidence.

It is also a good idea to plan for the unexpected. Think of some problems that could develop; then come up with solutions. For example, ask yourself “What if the employee gets angry and doesn’t listen to the feedback? What should I do?” In this case, a list of possible solutions would include:

•   Dismiss the employee until the next day to dissolve the anger.

•   Suggest the employee paraphrase the feedback to calm down.

•   Listen to the employee and let him or her “vent” the anger for a minute. This may diffuse the tension enough to allow you to continue.

The Meeting Place and Its Environment

The ideal meeting place is a quiet room outside the regular work area, away from the manager’s office. This kind of setting helps you informalize a formal process. It gives you the best chance of establishing the comfortable environment you need. Employees are more at ease and focused, neither anxious nor distracted by the possibility of coworkers interpreting or misinterpreting the meaning behind a closed-door meeting. Moreover, the quiet setting facilitates mutual listening and retention of information.

If you have no choice but to use an office near the work area, then be discreet. If the room has a window, close the blinds to make the space more private. Never “announce” the meeting by loudly greeting the employee, and make sure the door is firmly closed before you begin the discussion.

Before the session, take precautions against interruptions by unhooking or unplugging the telephone. Tell your secretary or assistant not to allow anyone to disturb you. Also, pay attention to the room arrangement. Eliminate artificial barriers by placing two chairs in the room’s center, away from the desk. Remember, you are setting the stage for the session, and you want to create as comfortable an environment as possible.

Preparation Checklist

On the following page is a checklist of the most important items we have discussed in this section. Refer to the checklist whenever you must prepare for a performance counseling session. As a matter of note, the list is highly useful whether you are providing the employee with informal feedback and coaching, or more formal feedback and discipline. In either case, your meeting should run more smoothly and be more productive.

PREPARATION CHECKLIST

  Content, Delivery, and Documentation

	Make good, thorough notes of the information you need to convey during the session. Be prepared to detail time, places, behaviors.
	Be ready to document the session. If your organization does not have a documentation format, then select a format from this guidebook and use it.
	Rehearse your delivery; know your material.
	Plan for the unexpected.
	Give the employee advance notification.

  The Meeting Place and Its Environment

	Pick a quiet office, preferably one away from the work area and your office.
	“Privatize” the space. Close any window blinds.
	Eliminate artificial barriers in the room by placing two chairs in the room’s center, away from the desk.
	Take precautions against interruptions. Before the meeting, unhook or unplug the phone. Make sure your secretary or assistant knows you are not to be disturbed.
	Never “announce” the meeting; make sure the door is closed before you begin.

2. Session Format

The session’s format is structured to facilitate communication of the issue and consensus on a solution. Use the following table as your guide.

This format gives you a good structure to work with—now you must build on it by providing the specific feedback and applying your coaching skills.

Tips for a Productive Session

The Opening. Always start the session on a positive note. Even the best feedback, improvement ideas, and action-planning attempts will go nowhere if the employee initially interprets his or her need for feedback as something negative. Your attitude, demeanor, and tone of voice should convey that the session will be dedicated to problem solving, not finger pointing or chastisement. Your opening statements should put the employee at ease and explain the session format. Here’s an example:

Thank you for attending this meeting. I trust that you’re prepared for it, and that we can have a productive, highly informative discussion. I’ll begin with your work history and detail why we need to have this meeting. Please hold your comments until the end—I’ll make sure you have a chance to respond to my comments. Then we’ll problem-solve the issue together and create an action plan agreeable to both of us. I also want you to know that I will document this discussion and give you a copy.

An opening like this one makes the employee feel comfortable and sets the stage for constructive work on the issue.

The Discussion. Behavior modification is virtually impossible unless you get the employee involved in performance-improvement planning. Although you alone supply the disciplinary feedback, the detailing of the problem and your expectations for change, the problem solving is a two-way street. A session filled solely with one-way discussion driven from the top down will yield poor results. The employee must take responsibility for the change, and will be far less likely to do that if solutions are dictated, not reached by consensus.

Closure. This should be as positive as you can make it. Praise the employee for any contributions made and any positive developments that took place. Set a time for follow-up meetings, and emphasize your availability should the employee want to see you at any time for clarification or an “unscheduled” progress report. (You can expect that most will, to demonstrate their commitment to you.) Explain that the employee will soon receive a copy of the meeting’s documentation and that you will place a copy of it in his or her personnel file. Then dismiss the employee—and start documenting.

Here are some suggested closure statements:

•   You need to understand the impact of your actions and the consequences of your failure to comply with these instructions.

•   The next course of action could lead to [specify step of disciplinary process you would take, either written or final].

•   The next course of action could lead to further disciplinary action up to and including termination.

3. Session Follow-Up

Follow-up reveals whether you must proceed to the next step of the disciplinary process or can consider the session a success. Select an evaluation method, and continue to provide the employee with feedback by holding follow-up meetings as planned. Be available, coach the employee as needed, and remember to reinforce with praise any improvements made by the employee. (For guidelines on follow-up, see Chapter 2, Phase V of the disciplinary phases.) Also note: if you are at the “final” step of discipline and see no improvement, your option is termination.