04 October 2015 NYGD 1326 DEVELOPMENTAL COUNSELING - NYGD 1326 PREFACE

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1 04 Octber 2015 NYGD 1326 FOR THE COMMANDER DEVELOPMENTAL COUNSELING - NYGD 1326 PREFACE OFFICIAL: STEPHEN A. BUCARIA Brigadier General, New Yrk Guard Cmmander GEORGE J. DE SIMONE COL NYG Chief f Staff 1. Purpse. This publicatin sets frth frmat and prcedures t gvern the cnduct and dcumentatin f cunseling as may be required fr develpment r in the enfrcement f ther New Yrk Guard directives. 2. Applicatin a. Frmat and prcedures established in this publicatin apply t all cmmands f the NYG. b. This publicatin is directive in nature. These frmats, and prcedures will be fllwed, except when, in the judgment f the cmmander, exceptinal circumstances dictate therwise. 3. Scpe. This publicatin describes the cnduct f event-riented and perfrmance/ prfessinal grwth cunseling and includes guidance n ntificatin prcedures, dcumentatin f cunseling, fllwup cunseling and disciplinary ptins and prcedures. 4. Basis. This Directive is based n the prvisins f; a. Appendix C, Develpmental Cunseling, frm FM , Army Leadership. b. Supervisr s Handbk, Gvernr s Office f Emplyee Relatins, Chapter 10: Crrecting Unacceptable Emplyee Behavir, Nvember

2 NYGD Octber 2015 DEVELOPMENTAL COUNSELING - NYGD 1326 TABLE OF CONTENTS CHAPTER PAGE I OVERVIEW, Prgressive Discipline I-1 II RESPONSIBILITIES II-1 1. Cmmanders f New Yrk Guard Cmpnents II-1 2. G-1, Deputy Chief f Staff fr Persnnel and Administratin II-1 3. All Leaders II-1 III. PROCEDURES III-1 1. THE LEADER AS A COUNSELOR III-1 2. RESPECT FOR SUBORDINATES III-1 3. SELF AWARENESS AND CULTURAL AWARENESS III-1 4. EMPATHY III-1 5. CREDIBILITY III-1 6. LEADER COUNSELING SKILLS III-2 7. ACTIVE LISTENING III-2 8. RESPONDING III-3 9. QUESTIONING III COUNSELING ERRORS III THE LEADER S LIMITATIONS III TYPES OF DEVELOPMENTAL COUNSELING III EVENT-ORIENTED COUNSELING III PERFORMANCE AND PROFESSIONAL GROWTH COUNSELING III APPROACHES TO COUNSELING III NONDIRECTIVE III DIRECTIVE III COMBINED III COUNSELING TECHNIQUES III THE COUNSELING PROCESS III IDENTIFY THE NEED FOR COUNSELING III PREPARE FOR COUNSELING III CONDUCT THE COUNSELING SESSION III RECORD COUNSELING III FOLLOW UP III SUMMARY III THE DEVELOPMENTAL COUNSELING FORM III-15 APPENDIX A. Develpmental Cunseling Frm (NYG Frm 1326) A-1 2

3 04 Octber 2015 NYGD 1326 CHAPTER I OVERVIEW 1. Subrdinate leadership develpment is ne f the mst imprtant respnsibilities f every NYG leader. Develping the leaders wh will fllw yu shuld be ne f yur highest pririties. Yur legacy and the NYG s future rests n the shulders f thse yu prepare fr greater respnsibility. 2. Leadership develpment reviews are a means t fcus n the develpment f tmrrw s leaders. Think f them as after actin reviews (AAR) with a fcus f making leaders mre effective every day. 3. Just as training includes AARs and training strategies t fix shrtcmings, leaders develpment includes a review f perfrmance and agreement n a strategy t build n strengths r methds t imprve upn weaknesses. Leaders cnduct reviews and create actin plans during develpmental cunseling. 4. Leadership develpment reviews are a cmpnent f the brader cncept f develpmental cunseling. Develpmental cunseling is subrdinate-centered cmmunicatin that results in an utline f actins necessary fr subrdinates t achieve individual and rganizatinal gals and bjectives. During develpmental cunseling, subrdinates are nt merely passive listeners. They are actively invlved in the prcess. 5. Develpmental cunseling nrmally results in a plan f actin that helps the subrdinate achieve individual gals and bjectives. Develpmental cunseling is a tw-persn effrt. The leader s rle is t assist a subrdinate in identifying strengths and weaknesses, creating a plan f actin, and then supprt the subrdinate thrughut the plan s implementatin and assessment. The subrdinate must be frthright in his/her cmmitment t imprve and candid in his/her wn assessment and gal setting. 6. Prgressive Discipline: Gd cmmand relatins require discipline t be administered in a prgressive manner. The bjective f prgressive discipline is t crrect unacceptable behavir at the earliest and lwest level. In attempting t crrect unacceptable behavir the cmmander shuld usually fllw the fllwing steps: a. Cmmunicate yur expectatins t the service member. b. Cunsel the service member. c. Summarize cunseling sessin in writing. d. Evaluate and fllw-up t determine if perfrmance has imprved. e. If perfrmance has nt imprved, recmmend frmal disciplinary actin. I-1

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5 04 Octber 2015 NYGD 1326 CHAPTER II RESPONSIBILITIES 1. Cmmanders at all levels will fllw cunseling plicies prir t disciplinary actins, as apprpriate. 2. The G-1, Deputy Chief f Staff fr Persnnel and Administratin will ensure dcumentatin f cunseling actins is cmplete prir t discharge rders being issued. 3. Leaders at all levels f Cmmand will: a. Leaders are respnsible fr develping their subrdinates. Unit readiness and missin accmplishment depend n every member s ability t perfrm t established standards. Supervisrs must mentr their subrdinates thrugh teaching, caching, and cunseling. Leaders cach subrdinates the same way any sprts cach imprves his team: by identifying weaknesses, setting gals, develping and implementing a plan f actin, and prviding versight and mtivatin thrughut the prcess. T be effective caches, leaders must thrughly understand the strengths, weaknesses, and prfessinal gals f their subrdinates. b. The Develpmental Cunseling Frm (NYG Frm 1326, which is discussed at the end f this directive) prvides a useful framewrk t prepare fr almst any type f cunseling sessin. It can assist leaders in mentally rganizing issues and islating imprtant, relevant items t cver in the sessin. c. Service members ften perceive cunseling as an adverse actin. Effective leaders wh cunsel prperly can change that perceptin. Leaders cnduct cunseling t help subrdinates becme better members f the team, maintain r imprve perfrmance, and prepare fr the future. Just as n easy answers exist fr exactly what t d in all leadership situatins, n easy answers exist fr exactly what t d in all cunseling situatins. Hwever, t cnduct effective cunseling, leaders shuld develp a cunseling style with the characteristics listed as fllws. (1) Purpse: Clearly define the purpse f the cunseling. (2) Flexibility: Fit the cunseling style t the character f each subrdinate and t the relatinship desired. (3) Respect: View subrdinates as unique, cmplex individuals, each with their wn sets f values, beliefs, and attitudes. (4) Cmmunicatin: Establish pen, tw-way cmmunicatin with subrdinates using spken language, nnverbal actins, gestures, and bdy language. Effective cunselrs listen mre than they speak. (5) Supprt: Encurage subrdinates thrugh actins while guiding them thrugh their prblems. (6) Mtivatin: Get every subrdinate t actively participate in cunseling and understand its value. II-1

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7 04 Octber 2015 NYGD 1326 CHAPTER III PROCEDURES 1. THE LEADER AS A COUNSELOR. Leaders must demnstrate certain qualities t be effective cunselrs. These qualities include respect fr subrdinates, self-awareness and cultural awareness, empathy, and credibility. 2. RESPECT FOR SUBORDINATES. Leaders shw respect fr subrdinates when they allw them t take respnsibility fr their wn ideas and actins. Respecting subrdinates helps create mutual respect in the leader-subrdinate relatinship. Mutual respect imprves the chances f changing (r maintaining) behavir and achieving gals. 3. SELF AWARENESS AND CULTURAL AWARENESS a. Leaders must be fully aware f their wn values, needs, and biases prir t cunseling subrdinates. Self-aware leaders are less likely t prject their biases nt subrdinates. Als, aware leaders are mre likely t act cnsistently with their values and actins. b. Cultural awareness is a mental attribute. Leaders need t be aware f the similarities and differences between individuals f different cultural backgrunds and hw these factrs may influence values, perspectives, and actins. Leaders shuld nt let unfamiliarity with cultural backgrunds hinder them in addressing cultural issues, especially if they generate cncerns within the unit r hinder teambuilding. Cultural awareness enhances a leader s ability t display empathy. 4. EMPATHY. Empathy is the actin f being understanding f and sensitive t the feelings, thughts, and experiences f anther persn t the pint that yu can almst feel r experience them yurself. Leaders with empathy can put themselves in their subrdinate s shes. They can see a situatin frm the ther persn s perspective. By understanding the subrdinate s psitin, the empathetic leader can help a subrdinate develp a plan f actin that fits the subrdinate s persnality and needs, ne that wrks fr the subrdinate. If a leader des nt fully cmprehend the situatin frm the subrdinate s pint f view, the leader has less credibility and influence and the subrdinate is less likely t cmmit t the agreed upn plan f actin. 5. CREDIBILITY. Leaders achieve credibility by being hnest and cnsistent in their statements and actins. Credible leaders use a straightfrward style with their subrdinates. They behave in a manner that subrdinates respect and trust. Leaders earn credibility by repeatedly demnstrating their willingness t assist a subrdinate and being cnsistent in what they say and d. Leaders wh lack credibility with their subrdinates will find it difficult t influence them. 6. LEADER COUNSELING SKILLS a. One challenging aspect f cunseling is selecting the prper apprach t a specific situatin. Effective cunseling techniques must fit the situatin, the leader s capability, and the subrdinate s expectatins. In sme cases, a leader may nly need t give infrmatin r listen. A subrdinate s imprvement may call fr just a brief wrd f praise. Other situatins may require structured cunseling fllwed by definite actins. b. All leaders shuld seek t develp and imprve their wn cunseling abilities. Yu can imprve yur cunseling techniques by studying human behavir, learning the kinds f prblems that affect yur subrdinates, and develping yur interpersnal skills. The techniques needed t prvide effective cunseling will vary frm persn t persn and sessin t sessin. Hwever, general skills that yu will need in almst every situatin include active listening, respnding, and questining. III-1

8 NYGD Octber ACTIVE LISTENING a. During cunseling, the leader must actively listen t the subrdinate. When yu are actively listening, yu cmmunicate verbally and nnverbally that yu have received the subrdinate s message. T fully understand a subrdinate s message, yu must listen t the wrds and bserve the subrdinate s manners. Elements f active listening yu shuld cnsider include: (1) Eye cntact. Maintaining eye cntact withut staring helps shw sincere interest. Occasinal breaks f cntact are nrmal and acceptable. Subrdinates may perceive excessive breaks f eye cntact, paper shuffling, and clck-watching as a lack f interest r cncern. These are guidelines nly. Based n cultural backgrund, participants in a particular cunseling sessin may have different ideas abut what prper eye cntact is. (2) Bdy psture. Being relaxed and cmfrtable will help put the subrdinate at ease. Hwever, a t-relaxed psitin r sluching may be interpreted as a lack f interest. (3) Head nds. Occasinally ndding yur head shws yu are paying attentin and encurages the subrdinate t cntinue. (4) Facial expressins. Keep yur facial expressins natural and relaxed. A blank lk r fixed expressin may disturb the subrdinate. Smiling t much r frwning may discurage the subrdinate frm cntinuing. (5) Verbal expressins. Refrain frm talking t much and avid interrupting. Let the subrdinate d the talking while keeping the discussin n the cunseling subject. Speaking nly when necessary reinfrces the imprtance f what the subrdinate is saying and encurages the subrdinate t cntinue. Silence can als d this, but be careful. Occasinal silence may indicate t the subrdinate that it is kay t cntinue talking, but a lng silence can smetimes be distracting and make the subrdinate feel uncmfrtable. b. Active listening als means listening thughtfully and deliberately t the way a subrdinate says things. Stay alert fr cmmn themes. A subrdinate s pening and clsing statements as well as recurring references may indicate their pririties. Incnsistencies and gaps may indicate a subrdinate s avidance f the real issue. This cnfusin and uncertainty may suggest additinal questins. c. While listening, pay attentin t the subrdinate s gestures. These actins cmplete the ttal message. By watching the subrdinate s actins, yu can "see" the feelings behind the wrds. Nt all actins are prf f a subrdinate s feelings, but they shuld be taken int cnsideratin. Nte differences between what the subrdinate says and des. Nnverbal indicatrs f a subrdinate s attitude include: (1) Bredm, drumming n the table, ddling, clicking a ballpint pen, r resting the head in the palm f the hand. (2) Self-cnfidence, standing tall, leaning back with hands behind the head, and maintaining steady eye cntact. (3) Defensiveness, pushing deeply int a chair, glaring at the leader, and making sarcastic cmments as well as crssing r flding arms in frnt f the chest. (4) Frustratin, rubbing eyes, pulling n an ear, taking shrt breaths, wringing the hands, r frequently changing ttal bdy psitin. (5) Interest, friendliness, and penness, mving tward the leader while sitting. (6) Openness r anxiety, sitting n the edge f the chair with arms uncrssed and hands pen. d. Cnsider these indicatrs carefully. Althugh each indicatr may shw smething abut the subrdinate, d nt assume a particular behavir abslutely means smething. Ask the subrdinate abut the indicatr s yu can better understand the behavir and allw the subrdinate t take respnsibility fr it. III-2

9 04 Octber 2015 NYGD RESPONDING. Respnding skills fllw-up n active listening skills. A leader respnds t cmmunicate that the leader understands the subrdinate. Frm time t time, check yur understanding. Clarify and cnfirm what has been said. Respnd t subrdinates bth verbally and nnverbally. Verbal respnses cnsist f summarizing, interpreting, and clarifying the subrdinate s message. Nnverbal respnses include eye cntact and ccasinal gestures such as a head nd. 9. QUESTIONING. Althugh a necessary skill, questining must be used with cautin. T many questins can aggravate the pwer differential between the leader and the subrdinate and place the subrdinate in a passive mde. The subrdinate may als react t excessive questining as an intrusin f privacy and becme defensive. During a leadership develpment review, ask questins t btain infrmatin r t get the subrdinate t think abut a particular situatin. Generally, the questins shuld be pen-ended t require mre than a yes r n answer. Well-psed questins may help t verify understanding, encurage further explanatin, r help the subrdinate mve thrugh the stages f the cunseling sessin. 10. COUNSELING ERRORS. Effective leaders avid cmmn cunseling mistakes. Dminating the cunseling by talking t much, giving unnecessary r inapprpriate "advice," nt truly listening, and prjecting persnal likes, dislikes, biases, and prejudices all interfere with effective cunseling. Leaders shuld als avid ther cmmn mistakes such as rash judgements, steretypes, lss f emtinal cntrl, inflexible methds f cunseling and imprper fllw-up. T imprve yur cunseling skills, fllw these guidelines: a. Determine the subrdinate s rle in the situatin and what has he dne t reslve the prblem r imprve perfrmance. b. Draw cnclusins based n mre than a subrdinate s statement. c. Try t understand what the subrdinate says and feels; listen t what the subrdinate says and hw he says it. d. Shw empathy when discussing the prblem. e. When asking questins, be sure that the infrmatin is needed. f. Keep the cnversatin pen-ended; avid interrupting. g. Give the subrdinate yur full attentin. h. Be receptive t a subrdinate s feelings withut feeling respnsible t save him frm hurting. i. Encurage the subrdinate t take the initiative and t say what he wants t say. j. Avid interrgating. k. Keep yur persnal experiences ut f the cunseling sessin unless yu believe experiences will really help. l. Listen mre; talk less. m. Remain bjective. n. Avid cnfirming a subrdinate s prejudices.. Help the subrdinate help himself. p. Knw what infrmatin t keep cnfidential and what t present t the chain f cmmand. 11. THE LEADER S LIMITATIONS a. Leaders cannt help everyne in every situatin. Even prfessinal cunselrs cannt prvide all the help that a persn might need. Leaders must recgnize their limitatins and, when the situatin calls fr it, refer a subrdinate t a persn r agency mre qualified t help. b. These agencies can help leaders reslve prblems. Althugh it is generally in an individual s best interest t seek help first frm their first line leaders, leaders must always respect an individual s right t cntact mst f these agencies n their wn. III-3

10 NYGD Octber 2015 Activity Adjutant General Chaplain Legal Assistance Equal Opprtunity Staff Officer Inspectr General Descriptin Prvides persnnel and administrative services supprt such as rders, & ID cards. Prvides spiritual and humanitarian cunseling t Service Members. Prvides legal infrmatin r assistance n matters f cntracts, citizenship, adptin, martial prblems, taxes, wills, and pwers f attrney. Prvide assistance fr matters invlving discriminatin in race, clr, natinal rigin, gender, and religin. Prvide infrmatin n prcedures fr initiating cmplaints and reslving cmplaints infrmally. Renders assistance t Service Members. Crrects injustices affecting individuals, and eliminates cnditins determined t be detrimental t the efficiency, ecnmy, mrale, and reputatin f the NYG. 244 th Medical Clinic Renders assistance t Service Members. Prvides guidance fr weight cntrl prgrams, exercise and diet advice. 12. TYPES OF DEVELOPMENTAL COUNSELING. Yu can ften categrize develpmental cunseling based n the tpic f the sessin. The tw majr categries f cunseling are event-riented and perfrmance/prfessinal grwth. 13. EVENT-ORIENTED COUNSELING a. Event-riented cunseling invlves a specific event r situatin. It may precede events, such as ging t a prmtin bard r attending a schl; r it may fllw events, such as a ntewrthy duty perfrmance, a prblem with perfrmance r missin accmplishment, r a persnal prblem. Examples f event-riented cunseling include, but are nt limited t; Specific instances f superir r substandard perfrmance. Receptin and integratin cunseling. Crisis cunseling. Referral cunseling. Attendance cunseling Weight Cntrl cunseling Prmtin cunseling. Separatin cunseling. b. Cunseling fr Specific Instances (1) Smetimes cunseling is tied t specific instances f superir r substandard duty perfrmance. Yu tell yur subrdinate whether r nt the perfrmance met the standard and what the subrdinate did right r wrng. The key t successful cunseling fr specific perfrmance is t cnduct it as clse t the event as pssible. (2) Many leaders fcus cunseling fr specific instances n pr perfrmance and miss, r at least fail t acknwledge, excellent perfrmance. Yu shuld cunsel subrdinates fr specific examples f superir as well as substandard duty perfrmance. T measure yur wn perfrmance and cunseling emphasis, yu can nte hw ften yu dcument cunseling fr superir versus substandard perfrmance. (3) Leaders shuld cunsel subrdinates wh d nt meet the standard. If the subrdinate s perfrmance is unsatisfactry because f a lack f knwledge r ability, the leader and subrdinate shuld develp a plan t imprve the subrdinate s skills. Crrective training may be required at times t ensure the subrdinate knws and achieves the standard. Once the subrdinate can achieve the standard, the leader shuld end the crrective training. III-4

11 04 Octber 2015 NYGD 1326 (4) When cunseling a subrdinate fr specific perfrmance, take the fllwing actins: Tell the subrdinate the purpse f the cunseling, what was expected, and hw he failed t meet the standard. Address the specific unacceptable behavir r actin, nt the persn s character. Tell the subrdinate the effect f the behavir, actins, r perfrmance n the rest f the unit. Actively listen t the subrdinate s respnse. Remain unemtinal. Teach the subrdinate hw t meet the standard. Be prepared t d sme persnal cunseling since the lack f perfrmance may be related t r the result f an unreslved persnal prblem. Explain t the subrdinate what will be dne t imprve perfrmance (plan f actin). Identify yur respnsibilities in implementing the plan f actin; cntinue t assess and fllw-up n the subrdinate s prgress. Adjust the plan f actin as necessary. c. Receptin and Integratin Cunseling (1) Leaders must cunsel new team members when they reprt in. This receptin and integratin cunseling serves tw purpses. First, it identifies and helps fix any prblems r cncerns that new members have, especially any issues resulting frm the new duty assignment. Secnd, it lets them knw the unit standards and hw they fit int the team. It clarifies jb titles and sends the message that the chain f cmmand cares. Receptin and integratin cunseling shuld begin immediately upn arrival s new team members can quickly becme integrated int the rganizatin. Unit standards. Chain f cmmand. NCO supprt channel (wh and hw used). On and ff duty cnduct. Persnnel/persnal affairs/initial clthing issue. Unit histry, rganizatin, and missin. Sldier prgrams within the unit, such as sldier f the mnth/quarter/year. Off limits and danger areas. Other areas the individual shuld be aware f, as determined by the rater. d. Crisis Cunseling. Yu may cnduct crisis cunseling t get a subrdinate thrugh the initial shck after receiving negative news, such as ntificatin f the death f a lved ne. Yu may assist the subrdinate by listening and, as apprpriate, prviding assistance. Assistance may include referring the subrdinate t a supprt activity r crdinating external agency supprt. Crisis cunseling fcuses n the subrdinate s immediate, shrt-term needs. e. Referral Cunseling. Referral cunseling helps subrdinates wrk thrugh a persnal situatin and may r may nt fllw crisis cunseling. Referral cunseling may als act as preventative cunseling befre the situatin becmes a prblem. Usually, the leader assists the subrdinate in identifying the prblem and refers the subrdinate t the apprpriate resurce, such as a chaplain, r Legal assistance. f. Prmtin Cunseling. Leaders must cnduct prmtin cunseling fr all specialists and sergeants wh are eligible fr advancement but nt recmmended fr prmtin t the next higher grade. g. Adverse Separatin Cunseling (1) Adverse separatin cunseling may invlve infrming the sldier f the administrative actins available t the cmmander in the event substandard perfrmance cntinues and f the cnsequences assciated with thse administrative actins. III-5

12 NYGD Octber 2015 (a) Insubrdinatin. (State Military Law ) (b) Patterns f AWOL r nn-attendance. (Officers: Military Law 78, Enlisted 94, NYG Directive 1379 and NYG Army Regulatin ) (c) Nt meeting physical standards. (Officer: Military Law 75 Para. 2, Enlisted: Military Law 93 Para. 1, and NYGD 1308) (2) Develpmental cunseling may nt apply when a sldier has engaged in mre serius acts f miscnduct. In thse situatins, the leader shuld refer the matter t the cmmander and the servicing staff judge advcate. When the leader s rehabilitative effrts fail, cunseling with a view twards separatin fills an administrative prerequisite t many administrative discharges and serves as a final warning t the sldier t imprve perfrmance r face discharge. In many situatins, it may be beneficial t invlve the chain f cmmand as sn as yu determine that adverse separatin cunseling might be required. A unit first sergeant r cmmander shuld be the persn wh infrms the sldier f the ntificatin requirements utlined in NYGD PERFORMANCE AND PROFESSIONAL GROWTH COUNSELING a. Perfrmance Cunseling (1) During perfrmance cunseling, the leader cnducts a review f the subrdinate s duty perfrmance during a certain perid. The leader and subrdinate jintly establish perfrmance bjectives and standards fr the next perid. Rather than dwelling n the past, leaders shuld fcus the sessin n the subrdinate s strengths, areas needing imprvement, and ptential. (2) Perfrmance cunseling is required fr the fficer, and nncmmissined fficer evaluatin systems. The Evaluatin prcess requires peridic perfrmance cunseling as part f the Evaluatin supprt frm requirements. Mandatry, face-t-face perfrmance cunseling between the rater and the rated NCO is required under the NCO part f the Evaluatin system. (3) Cunseling at the beginning f and during the evaluatin perid facilitates the subrdinate s invlvement in the evaluatin prcess. Perfrmance cunseling cmmunicates standards and is an pprtunity fr leaders t establish and clarify the expected values, attributes, skills, and actins. Part IVb (Leader Attributes/Skills/Actins) f the Supprt Frm (NYG Frm) serves as an excellent tl fr leaders ding perfrmance cunseling. (4) Leaders must ensure they have tied their expectatins t perfrmance bjectives and apprpriate standards. Leaders must establish standards that subrdinates can wrk twards and must teach subrdinates hw t achieve the standard in rder fr further subrdinate develpment. b. Prfessinal Grwth Cunseling (1) Prfessinal grwth cunseling includes planning fr the accmplishment f individual and prfessinal gals. A leader cnducts this cunseling t assist subrdinates in achieving rganizatinal and individual gals. During the cunseling, the leader and subrdinate cnduct a review t identify and discuss the subrdinate s strengths and weaknesses and create a plan f actin t build upn strengths and vercme weaknesses. This cunseling is nt nrmally eventdriven. (2) As part f prfessinal grwth cunseling, a leader may chse t discuss and develp a "pathway t success" with the subrdinate. This future-riented cunseling establishes near- and lng-term gals and bjectives. The discussin may include pprtunities fr civilian r military schling, future duty assignments, special prgrams, and reenlistment ptins. Every persn s needs are different, and leaders must apply specific curses f actin tailred t each sldier. III-6

13 04 Octber 2015 NYGD 1326 (3) While these categries help leaders t rganize and fcus cunseling sessins, they shuld nt be viewed as separate, distinct, r exhaustive. Fr example, a cunseling sessin that fcuses n reslving a prblem may als address imprving duty perfrmance. A sessin fcused n perfrmance may als include a discussin n pprtunities fr prfessinal grwth. Regardless f the tpic f the cunseling sessin, leaders shuld fllw the same basic frmat t prepare fr and cnduct it. 15. APPROACHES TO COUNSELING. An effective leader appraches each subrdinate as an individual. Three appraches t cunseling include nndirective, directive, and cmbined. These appraches differ in the techniques used, but they all maintain the verall purpse and definitin f cunseling. The majr difference is the degree t which the subrdinate participates and interacts during the cunseling sessin. 16. NONDIRECTIVE a. The nndirective apprach t cunseling is preferred fr mst cunseling sessins. Leaders use their experienced insight and judgment t assist subrdinates in develping slutins. The leader partially structures this type f cunseling by telling the subrdinate abut the cunseling prcess and explaining what is expected. b. During the cunseling sessin, listen rather than make decisins r give advice. Clarify what is said. Cause the subrdinate t bring ut imprtant pints, s as t better understand the situatin. When apprpriate, summarize the discussin. Avid prviding slutins r rendering pinins; instead, maintain a fcus n individual and rganizatinal gals and bjectives. Ensure the subrdinate s plan f actin supprts thse gals and bjectives. 17. DIRECTIVE a. The directive apprach wrks best t crrect a simple prblem, make n-the-spt crrectins, and crrect aspects f duty perfrmance. The leader using the directive style des mst f the talking and tells the subrdinate what t d and when t d it. In cntrast t the nndirective apprach, the leader directs a curse f actin fr the subrdinate. b. Chse this apprach when time is shrt, when yu alne knw what t d, r if a subrdinate has limited prblem-slving skills. It is als apprpriate when a subrdinate needs guidance, is immature, r is insecure. 18. COMBINED a. In the cmbined apprach, the leader uses techniques frm bth the directive and nndirective appraches, adjusting them t articulate what is best fr the subrdinate. The cmbined apprach emphasizes the subrdinate s planning and decisin-making respnsibilities. b. With yur assistance, the subrdinate develps his wn plan f actin. Yu shuld listen, suggest pssible curses, and help analyze each pssible slutin t determine its gd and bad pints. Yu shuld then help the subrdinate fully understand all aspects f the situatin and encurage the subrdinate t decide which slutin is best. 19. COUNSELING TECHNIQUES a. A leader may select frm a variety f techniques when cunseling subrdinates. These cunseling techniques, when apprpriately used, cause subrdinates t d things r imprve upn their perfrmance. A leader can use these methds during scheduled cunseling sessins r while simply caching a III-7

14 NYGD Octber 2015 subrdinate. The cunseling techniques used during nndirective r the cmbined apprach t cunseling include: Suggesting alternatives. The leader discusses alternative actins that the subrdinate may take, but bth the subrdinate and the leader decide which curse f actin is mst apprpriate. Recmmending. The leader recmmends ne curse f actin, but the decisin t accept the recmmended actin is left t the subrdinate. Persuading. The leader persuades the subrdinate that a given curse f actin is best, but the subrdinate makes the decisin. Successful persuasin depends n the leader s credibility, the subrdinate s willingness t listen, and their mutual trust. Advising. The leader advises the subrdinate that a given curse f actin is best. This is the strngest frm f influence nt invlving a cmmand r threat. Crrective training. The leader teaches and assists the subrdinate in attaining and maintaining the standards. The subrdinate cmpletes crrective training when he attains the standard. Cmmanding. The leader rders the subrdinate t take a given curse f actin in clear, exact wrds. The subrdinate understands that he has been given a cmmand and will face the cnsequences fr failing t carry it ut. 20. THE COUNSELING PROCESS. Effective leaders use the cunseling prcess. It cnsists f fur stages: Identify the need fr cunseling. Prepare fr cunseling. Cnduct cunseling. Fllw up. 21. IDENTIFY THE NEED FOR COUNSELING. Quite ften rganizatinal plicies, such as cunseling assciated with an evaluatin r cunseling required by cmmand r unit plicy, fcus the sessin. Hwever, a leader may cnduct develpmental cunseling whenever the need arises fr fcused, tw-way cmmunicatin aimed at subrdinate develpment. Develping subrdinates cnsists f bserving the subrdinate s perfrmance, cmparing it t the standard, and then prviding feedback t the subrdinate in the frm f cunseling. 22. PREPARE FOR COUNSELING. a. Successful cunseling requires preparatin. T prepare fr cunseling, d the fllwing: Select a suitable place. Schedule the time. Ntify the subrdinate well in advance. Organize infrmatin. Outline the cunseling sessin cmpnents. Plan yur cunseling strategy. Establish the right atmsphere. b. Select a Suitable Place. Schedule cunseling in an envirnment that minimizes distractins and is free frm distracting sights and sunds. III-8

15 04 Octber 2015 NYGD 1326 c. Schedule the Time. When pssible, cunsel the subrdinate during the duty day. Cunseling after duty hurs may be rushed r perceived as unfavrable. The length f time required fr cunseling depends n the cmplexity f the issue. Generally a cunseling sessin shuld last less than an hur. If yu need mre time, schedule a secnd sessin. Additinally, select a time free frm cmpetitin with ther activities and cnsider what has been planned after the cunseling sessin. Imprtant events can distract a subrdinate frm cncentrating n the cunseling. d. Ntify the Subrdinate Well in Advance. Fr a cunseling sessin t be a subrdinate-centered, tw-persn effrt, the subrdinate must have time t prepare fr it. The subrdinate shuld knw why, where, and when the cunseling will take place. Cunseling fllwing a specific event shuld happen as clse t the event as pssible. Hwever, fr perfrmance r prfessinal develpment cunseling, subrdinates may need a week r mre t prepare r review specific prducts, such as supprt frms r cunseling recrds. e. Organize Infrmatin. Slid preparatin is essential t effective cunseling. Review all pertinent infrmatin. This includes the purpse f the cunseling, facts and bservatins abut the subrdinate, identificatin f pssible prblems, main pints f discussin, and the develpment f a plan f actin. Fcus n specific and bjective behavirs that the subrdinate must maintain r imprve n as well as a plan f actin with clear and btainable gals. f. Outline the Cmpnents f the Cunseling Sessin. Using the infrmatin btained, determine what t discuss during the cunseling sessin. If yu use an utline frmat, yu can then nte what prmpted the cunseling, what yu aim t achieve, and what yur rle as a cunselr is. Yu can als identify pssible cmments r questins that will help the cunseling sessin remain subrdinate-centered and help the subrdinate prgress thrugh the varius stages f the sessin. Althugh yu never knw exactly what the subrdinate will say r d during cunseling, a written utline helps t rganize the sessin and greatly enhances the chance f psitive results. (Figure 1 illustrates an example f a cunseling utline prepared by a platn leader abut t cnduct an initial NCOER cunseling sessin with a platn sergeant.) g. Plan Cunseling Strategy. As many appraches t cunseling exist as there are leaders. The directive, nndirective, and cmbined appraches t cunseling were addressed earlier. Use a strategy that suits yur subrdinates and the situatin. h. Establish the Right Atmsphere (1) The right atmsphere prmtes tw-way cmmunicatin between a leader and subrdinate. T establish a relaxed atmsphere, yu may ffer the subrdinate a seat r a cup f cffee. Yu may want t sit in a chair facing the subrdinate since a desk can act as a barrier. (2) Sme situatins make an infrmal atmsphere inapprpriate. Fr example, during cunseling t crrect substandard perfrmance, yu may direct the subrdinate t remain standing while yu remain seated behind a desk. This frmal atmsphere, nrmally used t give specific guidance, reinfrces the leader s rank, psitin in the chain f cmmand, and authrity. Type f cunseling: Place and time: Time t ntify the subrdinate: Subrdinate preparatin: Initial NCOER cunseling fr SFC Taylr, a recently prmted new arrival t the unit. The platn ffice, 1500 hurs, 9 Octber. Ntify SFC Taylr ne mnth in advance f the scheduled cunseling sessin. Have SFC Taylr put tgether a list f gals and bjectives he wuld like t cmplete ver the next 6 t 12 mnths. III-9

16 NYGD Octber 2015 Cunselr preparatin: Rle as cunselr: Sessin utline: Open the Sessin Discuss the Issue Assist in Develping a Plan f Actin (During the Cunseling Sessin) Clse the Sessin Ntes n Strategy Review the NCO Cunseling Checklist/Recrd frm. Update r review SFC Taylr s duty descriptin and fill ut the rating chain and duty descriptin n the wrking cpy f the NCOER (Parts II and III). Review each f the values/respnsibilities in Part IV f the NCOER. Think hw each applies t SFC Taylr and the platn sergeant psitin. Review the actins yu cnsider necessary fr a success r excellence in each value/respnsibility. Make ntes in blank spaces in Part IV f the NCOER t help when cunseling. Help SFC Taylr t understand the expectatins and standards assciated with the platn sergeant psitin. Assist SFC Taylr in develping the values, attributes, skills, and actins that will enable him t achieve his perfrmance bjectives, cnsistent with thse f the platn and cmpany. Reslve any aspects f the jb that are nt clearly understd. Cmplete an utline after the draft duty descriptin n the NCOER, ideally at least tw t three days prir t the actual cunseling sessin. Establish a relaxed envirnment. Explain that the mre ne discusses and understands the dctrinal values, attributes, skills, and actins, the easier it is t develp and incrprate them int an individual leadership style. State the purpse f the cunseling sessin. Explain that the initial cunseling is based n leader actins (what SFC Taylr needs t d t be a successful platn sergeant) and nt n prfessinal develpmental needs (what SFC Taylr needs t d t develp further as an NCO). Cme t an agreement n the duty descriptin, the meaning f each value/respnsibility, and the standards fr success and excellence fr each value/respnsibility. Explain that subsequent cunseling will fcus n SFC Taylr s develpmental needs as well as hw well SFC Taylr is meeting the jintly agreed upn perfrmance bjectives. Instruct SFC Taylr t perfrm a self-assessment during the next quarter t identify his develpmental needs. Ensure SFC Taylr knws the rating chain. Reslve any questins that SFC Taylr has abut his jb. Discuss the team relatinship that exists between a platn leader and a platn sergeant and the imprtance f their tw-way cmmunicatin. Jintly review the duty descriptin n the NCOER, including the maintenance, training, and taking care f Service Members respnsibilities. Mentin that the duty descriptin can be revised as necessary. Highlight areas f special emphasis and appinted duties. Discuss the meaning f each value/respnsibility n the NCOER. Discuss the values, attributes, skills, and actins utlined in FM Ask pen-ended questins t see if SFC Taylr can relate these items t his rle as a platn sergeant. Explain that even thugh the develpmental tasks fcus n the develpment f leader actins, character develpment frms the basis fr leadership develpment. Character and actins cannt be viewed as separate; they are clsely linked. In frmulating the plan f actin t accmplish majr perfrmance bjectives, the prper values, attributes, and skills frm the basis fr the plan. As such, character develpment must be incrprated int the plan f actin. Ask SFC Taylr t identify actins that will facilitate the accmplishment f the majr perfrmance bjectives. Categrize each actin int ne f the values/respnsibilities listed n the NCOER. Discuss hw each value/respnsibility applies t the platn sergeant psitin. Discuss specific examples f success and excellence in each value/respnsibility blck. Ask SFC Taylr fr suggestins t make the gals mre bjective, specific, and measurable. Ensure that SFC Taylr has at least ne example f a success r excellence bullet listed under each value/respnsibility. Discuss SFC Taylr s prmtin gals and ask him what he cnsiders t be his strengths and weakness. Obtain a cpy f the last tw MSG bard results and match his gals and bjectives t these. Check SFC Taylr s understanding f the duty descriptin and perfrmance bjectives. Stress the imprtance f teamwrk and tw-way cmmunicatin. Ensure SFC Taylr understands that yu expect him t assist in yur develpment as a platn leader. This means that bth f yu have rles as a teacher and cach. Remind SFC Taylr t perfrm a self-assessment during the next quarter. Set a tentative date during the next quarter fr the rutinely scheduled fllw-up cunseling. Facilitate the answering f questins that require respnses. Expect discmfrt with the terms and the develpmental prcess and respnd in such a way that encurages participatin thrughut the cunseling. D nt verwhelm SFC Taylr with a mastery f dctrine and the leader develpment prcess. View the initial cunseling sessin as setting the precedent fr pen cmmunicatins with a fcus n leader develpment (bth the cunselr and the cunseled). Figure 1. Example f a Cunseling Outline 23. CONDUCT THE COUNSELING SESSION a. Be flexible when cnducting a cunseling sessin. Often cunseling fr a specific incident ccurs spntaneusly as leaders encunter subrdinates in their daily activities. Such cunseling can ccur in III-10

17 04 Octber 2015 NYGD 1326 the field, mtr pl, barracks, r wherever subrdinates perfrm their duties. Gd leaders take advantage f naturally ccurring events t prvide subrdinates with feedback. b. Even when yu have nt prepared fr frmal cunseling, yu shuld address the fur basic cmpnents f a cunseling sessin. Their purpse is t guide effective cunseling rather than mandate a series f rigid steps. Cunseling sessins cnsist f; Opening the sessin. Discussing the issues. Develping the plan f actin. Recrding and Clsing the sessin. Ideally, a cunseling sessin results in a subrdinate s cmmitment t a plan f actin. Assessment f the plan f actin (discussed belw) becmes the starting pint fr fllw-up cunseling. c. Open the Sessin. In the sessin pening, state the purpse f the sessin and establish a subrdinate-centered setting. Establish the preferred setting early in the sessin by inviting the subrdinate t speak. The best way t pen a cunseling sessin is t clearly state its purpse. Fr example, an apprpriate purpse statement might be, "The purpse f this cunseling is t discuss yur duty perfrmance ver the past mnth and t create a plan t enhance perfrmance and attain perfrmance gals." If applicable, start the cunseling sessin by reviewing the status f the previus plan f actin with the subrdinate. d. Discuss the Issues (1) The leader and subrdinate shuld attempt t develp a mutual understanding f the issues. Yu can best develp this by letting the subrdinate d mst f the talking. Use active listening; respnd, and questin withut dminating the cnversatin. Aim t help the subrdinate better understand the subject f the cunseling, fr example, duty perfrmance, a prblem situatin and its impact, r ptential areas fr grwth (2) Bth the leader and the subrdinate shuld prvide examples r cite specific bservatins t reduce the perceptin that either is unnecessarily biased r judgmental. Hwever, when the issue is substandard perfrmance, the leader shuld make clear hw the perfrmance did nt meet the standard. The cnversatin, which shuld be tw-way, then addresses what the subrdinate needs t d t meet the standard. It is imprtant that the leader defines the issue as substandard perfrmance and des nt allw the subrdinate t define the issue as an unreasnable standard unless the leader cnsiders the standard negtiable r is willing t alter the cnditins under which the standard must be met. e. Develp a Plan f Actin. A plan f actin identifies a methd fr achieving a desired result. It specifies what the subrdinate must d t reach the gals set during the sessin. The plan f actin must be specific: it shuld shw the subrdinate hw t mdify r maintain his behavir. It shuld avid vague intentins such as "Next mnth I want yu t imprve yur land navigatin skills." The plan must use cncrete and direct terms. Fr example, yu might say, "Next week yu will attend the map reading class with 1st Platn. After the class, SGT Dixn will cach yu thrugh the land navigatin curse. He will help yu develp yur skill with the cmpass. I will bserve yu ging thrugh the curse with SGT Dixn, and then I will talk t yu again and determine where and if yu still need additinal training." A specific and achievable plan f actin sets the stage fr successful develpment. f. Clse the Sessin. T clse the sessin, summarize its key pints and ask if the subrdinate understands the plan f actin. Invite the subrdinate t review the plan f actin and what is expected f yu, the leader. With the subrdinate, establish any fllw-up measures necessary t supprt the III-11

18 NYGD Octber 2015 successful implementatin f the plan f actin. These may include prviding the subrdinate with resurces and time, peridically assessing the plan, and fllwing thrugh n referrals. Schedule any future meetings, at least tentatively, befre dismissing the subrdinate. 24. RECORD COUNSELING a. Althugh requirements t recrd cunseling sessins vary, the leader always benefits by dcumenting the main pints f a cunseling sessin. Dcumentatin serves as a reference t the agreed upn plan f actin and the subrdinate s accmplishments, imprvements, persnal preferences, r prblems. A cmplete recrd f cunseling aids in making recmmendatins fr prfessinal develpment, schls, prmtins, and evaluatin reprts. b. Additinally, NYG Directives require written recrds f cunseling fr certain persnnel actins, such as a barring a sldier frm reenlisting, prcessing a sldier fr AWOL separatin, r placing a sldier in the verweight prgram. When a sldier faces invluntary separatin, the leader must take special care t maintain accurate cunseling recrds. Dcumentatin f substandard actins cnveys a strng crrective message t the subrdinate. 25. FOLLOW UP a. Leader s Respnsibilities. The cunseling prcess des nt end with the cunseling sessin. It cntinues thrugh implementatin f the plan f actin and evaluatin f results. After cunseling, yu must supprt subrdinates while they implement their plans f actin. Supprt may include teaching, caching, r prviding time and resurces. Yu must bserve and assess this prcess and pssibly mdify the plan t meet its gals. Apprpriate measures after cunseling include fllw-up cunseling, making referrals, infrming the chain f cmmand, and taking crrective measures. b. Assess the Plan f Actin. The purpse f cunseling is t develp subrdinates wh are better able t achieve persnal, prfessinal, and rganizatinal gals. During the assessment, review the plan f actin with the subrdinate t determine if the desired results were achieved. The leader and subrdinate shuld determine the date fr this assessment during the initial cunseling sessin. The assessment f the plan f actin prvides useful infrmatin fr future fllw-up cunseling sessins. Leaders must demnstrate certain qualities t cunsel effectively: Respect fr subrdinates. Self and cultural awareness. Credibility. Empathy. Leaders must pssess certain cunseling skills: Active listening. Respnding. Questining. Effective leaders avid cmmn cunseling mistakes. Leaders shuld avid the influence f: Persnal bias. Rash judgments. Steretyping. The lss f emtinal cntrl. Inflexible methds f cunseling. Imprper fllw-up. The Cunseling Prcess: 1. Identify the need fr cunseling. 2. Prepare fr cunseling: Select a suitable place. Schedule the time. Ntify the subrdinate well in advance. Organize infrmatin. Outline the cmpnents f the cunseling sessin. Plan cunseling strategy. Establish the right atmsphere. 3. Cnduct the cunseling sessin : Open the sessin. Discuss the issue. Develp a plan f actin (t include the leader s respnsibilities). Recrd and Clse the sessin. 4. Fllw up. Figure 2. Summary f Majr Cunseling Prcess III-12

19 04 Octber 2015 NYGD SUMMARY. This appendix has discussed develpmental cunseling. Develpmental cunseling is subrdinate-centered cmmunicatin that utlines actins necessary fr subrdinates t achieve individual and rganizatinal gals and bjectives. It can be either event riented r fcused n persnal and prfessinal develpment. Figure 2 summarizes the majr aspects f develpmental cunseling and the cunseling prcess. 27. THE DEVELOPMENTAL COUNSELING FORM. The Develpmental Cunseling Frm helps a leader cnduct and recrd a cunseling sessin. Leaders in a sldier's chain decide when cunseling, additinal training, rehabilitatin, reassignment, and any ther develpmental ptins have been exhausted. Appendix A shws a blank frm with instructins n hw t cmplete each blck. III-13

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21 04 Octber 2015 NYGD 1326 APPENDIX A DEVELOPMENTAL COUNSELING FORM Fr use f this frm, see NYGD 1326; the prpnent agency is NYSG-J1 DATA REQUIRED BY THE PRIVACY ACT OF 1974 AUTHORITY: 5 USC 301 PRINCIPAL PURPOSE: T assist leaders in cnducting and recrding cunseling data pertaining t subrdinates. ROUTINE USES: Fr subrdinate leader develpment IAW NYGD Leaders use this frm as necessary. DISCLOSURE: Disclsure is vluntary. PART I ADMINISTRATIVE DATA Name (Last, First, MI) Rank/Grade NYG ID# Date f Cunseling Enter name f individual being cunseled Organizatin Name and Title f Cunselr Enter rganizatin at level f cunseling PART II BACKGROUND INFORMATION Purpse f Cunseling: (Leader states the reasn fr the cunseling, e.g., perfrmance/prfessinal grwth r event-riented cunseling, and includes the leader s facts and bservatins prir t the cunseling.) State the reasn and detail. If perfrmance r prfessinal grwth culd be gals and bjectives frm Evaluatin Supprt Frm. If event, describe punds ver the Maximum Allwable Weight, r the number f drills missed ver the last six mnths. Culd be the nature and date f an insubrdinatin event, missin failure, dates f impairment while n duty, r the like. Be as factual as pssible. Include specific dates. PART III SUMMARY OF COUNSELING Cmplete this sectin during r immediately subsequent t cunseling. Key Pints f Discussin: If perfrmance r prfessinal grwth culd be gals and bjectives frm Evaluatin Supprt Frm, discuss each gal and what needs t be dne and what the standard fr measurement will be. If event, describe punds ver the Maximum Allwable Weight, and what the Directive requires, and hw the individual can achieve the necessary reductin; r the number f drills missed ver the last six mnths, what the Directive and State Law requires t maintain membership, hw t mitigate attendance prblems; r culd be the nature and date f an insubrdinatin event, missin failure, dates f impairment while n duty, r the like. Need t discuss what changes need t be made. OTHER INSTRUCTIONS This frm will be destryed upn: reassignment, separatin at ETS, r upn retirement. NYG Frm 1326, NOV 2015 A-1

22 NYGD Octber 2015 Plan f Actin: (Outline actins that the subrdinate will d after the cunseling sessin t reach the agreed upn gal(s)). The actins must be specific enugh t mdify r maintain the subrdinate s behavir and include a specified time line fr implementatin and assessment (Part IV belw) If perfrmance r prfessinal grwth culd be gals and bjectives frm Evaluatin Supprt Frm, discuss and utline what needs t be achieved by what time frame. If event, describe punds ver the Maximum Allwable Weight, r the number f drills missed ver the last six mnths. Culd be the nature and date f an insubrdinatin event, missin failure, dates f impairment while n duty, r the like. Sessin Clsing: (The Leader summarizes the key pints f the sessin and checks if the subrdinate understands the plan f actin. The Subrdinate agrees/disagrees and prvides remarks if apprpriate.) Individual Cunseled: I agree disagree with the infrmatin abve. Individuals cunseled remarks: Cunseled individual indicates agreement r disagreement and adds any pertinent remarks. Signature f Individual Cunseled: Leader Respnsibilities: (Leader respnsibilities in implementing the plan f actin.) Date: Leader indicates any actins r respnsibilities agreed t such as assisting in getting utside assistance, training etc. Signature f Cunselr: Date: PART IV ASSESSMENT OF THE PLAN OF ACTION Cmplete this sectin during r immediately subsequent t cunseling. Assessment: (Did the plan f actin achieve the desired results? This sectin is cmpleted by bth the leader and the individual cunseled and prvides useful infrmatin fr fllw-up cunseling.) Bth Leader and individual cunseled meet after a specified perid and evaluate if the established gals are being met. Cunselr: Individual Cunseled Date: NOTE: Bth the Cunselr and the Individual Cunseled shuld retain a recrd f the cunseling REVERSE, NYG Frm 1326, NOV 2015 A-2