How To Counsel
 

C-1. Subordinate leadership development is one of the most important responsibilities of every Army leader. Developing the leaders who will follow you should be one of your highest priorities. Your legacy and the Army’s future rests on the shoulders of those prepared for greater responsibility.

C-2. Leadership development reviews are a means to focus the growing of tomorrow’s leaders. Think of them as after action reviews (AAR) with a focus of making leaders more effective every day. These important reviews are not necessarily limited to internal counseling sessions; leadership feedback mechanisms apply in operational settings such as the Combat Training Centers.

C-3. Just as training includes AARs and training strategies to fix shortcomings, leadership development includes a review of performance and agreement on a strategy to build on strengths or methods to improve upon weaknesses. Leaders conduct reviews and create action plans during developmental counseling.

C-4. Leadership development reviews are a component of the broader concept of developmental counseling. Developmental counseling is subordinate-centered communication that results in an outline of actions necessary for subordinates to achieve individual and organizational goals and objectives. During developmental counseling, subordinates are not merely passive listeners; they are actively involved in the process.

C-5. Developmental counseling normally results in a plan of action that helps the subordinate achieve individual goals and objectives. Developmental counseling is a two-person effort. The leader’s role is to assist a subordinate in identifying strengths and weaknesses, creating a plan of action, and then support the subordinate throughout the plan’s implementation and assessment. The subordinate must be forthright in his commitment to improve and candid in his own assessment and goal setting.

C-6. Leaders are responsible for developing their subordinates. Unit readiness and mission accomplishment depend on every member’s ability to perform to established standards. Supervisors must mentor their subordinates through teaching, coaching, and counseling. Leaders coach subordinates the same way any sports coach improves his team: by identifying weaknesses, setting goals, developing and implementing a plan of action, and providing oversight and motivation throughout the process. To be effective coaches, leaders must thoroughly understand the strengths, weaknesses, and professional goals of their subordinates.

C-7. Although the TAPES system does not address developmental counseling, the Developmental Counseling Form (DA Form 4856, which is discussed at the end of this appendix) can be used to counsel civilians on their professional growth and career goals. The Developmental Counseling Form is not appropriate for documenting counseling concerning DA civilian misconduct or poor performance. The servicing civilian personnel office can provide guidance for such situations. The Developmental Counseling Form does, however, provide a useful framework to prepare for almost any type of counseling session. It can assist leaders in mentally organizing issues and isolating important, relevant items to cover in the session.

C-8. Soldiers and DA civilians often perceive counseling as an adverse action. Effective leaders who counsel properly can change that perception. Leaders conduct counseling to help subordinates become better members of the team, maintain or improve performance, and prepare for the future. Just as no easy answers exist for exactly what to do in all leadership situations, no easy answers exist for exactly what to do in all counseling situations. However, to conduct effective counseling, leaders should develop a counseling style with the characteristics listed in Figure C-1.

• Purpose: Clearly define the purpose of the counseling.
• Flexibility: Fit the counseling style to the character of each subordinate and to the relationship desired.
• Respect: View subordinates as unique, complex individuals, each with his own sets of values, beliefs, and attitudes.
• Communication: Establish open, two-way communication with subordinates using spoken language, nonverbal actions, gestures, and body language. Effective counselors listen more than they speak.
• Support: Encourage subordinates through actions while guiding them through their problems.
• Motivation: Get every subordinate to actively participate in counseling and understand its value.

C-9. Leaders must demonstrate certain qualities to be effective counselors. These qualities include respect for subordinates, self-awareness and cultural awareness, empathy, and credibility. 

RESPECT FOR SUBORDINATES

C-10. Leaders show respect for subordinates when they allow them to take responsibility for their own ideas and actions. Respecting subordinates helps create mutual respect in the leader-subordinate relationship. Mutual respect improves the chances of changing (or maintaining) behavior and achieving goals. 

SELF AWARENESS AND CULTURAL AWARENESS

C-11. Leaders must be fully aware of their own values, needs, and biases prior to counseling subordinates. Self-aware leaders are less likely to project their biases onto subordinates. Also, aware leaders are more likely to act consistently with their values and actions.

C-12. Cultural awareness, as discussed in Chapter 2, is a mental attribute. Leaders need to be aware of the similarities and differences between individuals of different cultural backgrounds and how these factors may influence values, perspectives, and actions. Leaders should not let unfamiliarity with cultural backgrounds hinder them in addressing cultural issues, especially if they generate concerns within the unit or hinder team-building. Cultural awareness enhances a leader’s ability to display empathy 

EMPATHY

C-13. Empathy is the action of being understanding of and sensitive to the feelings, thoughts, and experiences of another person to the point that you can almost feel or experience them yourself. Leaders with empathy can put themselves in their subordinate’s shoes; they can see a situation from the other person’s perspective. By understanding the subordinate’s position, the empathetic leader can help a subordinate develop a plan of action that fits the subordinate’s personality and needs, one that works for the subordinate. If a leader does not fully comprehend the situation from the subordinate’s point of view, the leader has less credibility and influence and the subordinate is less likely to commit to the agreed upon plan of action. 

CREDIBILITY

C-14. Leaders achieve credibility by being honest and consistent in their statements and actions. Credible leaders use a straightforward style with their subordinates. They behave in a manner that subordinates respect and trust. Leaders earn credibility by repeatedly demonstrating their willingness to assist a subordinate and being consistent in what they say and do. Leaders who lack credibility with their subordinates will find it difficult to influence them.

C-15. One challenging aspect of counseling is selecting the proper approach to a specific situation. Effective counseling techniques must fit the situation, the leader’s capability, and the subordinate’s expectations. In some cases, a leader may only need to give information or listen. A subordinate’s improvement may call for just a brief word of praise. Other situations may require structured counseling followed by definite actions.

C-16. All leaders should seek to develop and improve their own counseling abilities. You can improve your counseling techniques by studying human behavior, learning the kinds of problems that affect your subordinates, and developing your interpersonal skills. The techniques needed to provide effective counseling will vary from person to person and session to session. However, general skills that you will need in almost every situation include active listening, responding, and questioning. 

ACTIVE LISTENING

C-17. During counseling, the leader must actively listen to the subordinate. When you are actively listening, you communicate verbally and nonverbally that you have received the subordinate’s message. To fully understand a subordinate’s message, you must listen to the words and observe the subordinate’s manners. Elements of active listening you should consider include¾

• Eye contact. Maintaining eye contact without staring helps show sincere interest. Occasional breaks of contact are normal and acceptable. Subordinates may perceive excessive breaks of eye contact, paper shuffling, and clock-watching as a lack of interest or concern. These are guidelines only. Based on cultural background, participants in a particular counseling session may have different ideas about what proper eye contact is.
• Body posture. Being relaxed and comfortable will help put the subordinate at ease. However, a too-relaxed position or slouching may be interpreted as a lack of interest.
• Head nods. Occasionally nodding your head shows you are paying attention and encourages the subordinate to continue.
• Facial expressions. Keep your facial expressions natural and relaxed. A blank look or fixed expression may disturb the subordinate. Smiling too much or frowning may discourage the subordinate from continuing.
• Verbal expressions. Refrain from talking too much and avoid interrupting. Let the subordinate do the talking while keeping the discussion on the counseling subject. Speaking only when necessary reinforces the importance of what the subordinate is saying and encourages the subordinate to continue. Silence can also do this, but be careful. Occasional silence may indicate to the subordinate that it is okay to continue talking, but a long silence can sometimes be distracting and make the subordinate feel uncomfortable.

C-18. Active listening also means listening thoughtfully and deliberately to the way a subordinate says things. Stay alert for common themes. A subordinate’s opening and closing statements as well as recurring references may indicate his priorities. Inconsistencies and gaps may indicate a subordinate’s avoidance of the real issue. This confusion and uncertainty may suggest additional questions.

C-19. While listening, pay attention to the subordinate’s gestures. These actions complete the total message. By watching the subordinate’s actions, you can "see" the feelings behind the words. Not all actions are proof of a subordinate’s feelings, but they should be taken into consideration. Note differences between what the subordinate says and does. Nonverbal indicators of a subordinate’s attitude include¾

• Boredom drumming on the table, doodling, clicking a ballpoint pen, or resting the head in the palm of the hand.
• Self-confidence standing tall, leaning back with hands behind the head, and maintaining steady eye contact.
• Defensiveness pushing deeply into a chair, glaring at the leader, and making sarcastic comments as well as crossing or folding arms in front of the chest.
• Frustration rubbing eyes, pulling on an ear, taking short breaths, wringing the hands, or frequently changing total body position.
• Interest, friendliness, and openness moving toward the leader while sitting.
• Openness or anxiety sitting on the edge of the chair with arms uncrossed and hands open.

C-20. Consider these indicators carefully. Although each indicator may show something about the subordinate, do not assume a particular behavior absolutely means something. Ask the subordinate about the indicator so you can better understand the behavior and allow the subordinate to take responsibility for it. 

RESPONDING

C-21. Responding skills follow-up on active listening skills. A leader responds to communicate that the leader understands the subordinate. From time to time, check your understanding: clarify and confirm what has been said. Respond to subordinates both verbally and nonverbally. Verbal responses consist of summarizing, interpreting, and clarifying the subordinate’s message. Nonverbal responses include eye contact and occasional gestures such as a head nod. 

QUESTIONING

C-22. Although a necessary skill, questioning must be used with caution. Too many questions can aggravate the power differential between the leader and the subordinate and place the subordinate in a passive mode. The subordinate may also react to excessive questioning as an intrusion of privacy and become defensive. During a leadership development review, ask questions to obtain information or to get the subordinate to think about a particular situation. Generally, the questions should be open-ended to require more than a yes or no answer. Well-posed questions may help to verify understanding, encourage further explanation, or help the subordinate move through the stages of the counseling session. 

COUNSELING ERRORS

C-23. Effective leaders avoid common counseling mistakes. Dominating the counseling by talking too much, giving unnecessary or inappropriate "advice," not truly listening, and projecting personal likes, dislikes, biases, and prejudices all interfere with effective counseling. Leaders should also avoid other common mistakes such as rash judgements, stereotypes, loss of emotional control, inflexible methods of counseling and improper follow-up. To improve your counseling skills, follow the guidelines in Figure C-2. 

• Determine the subordinate’s role in the situation and what has he done to resolve the problem or improve performance.
• Draw conclusions based on more than a subordinate’s statement.
• Try to understand what the subordinate says and feels; listen to what the subordinate says and how he says it.
• Show empathy when discussing the problem.
• When asking questions, be sure that the information is needed.
• Keep the conversation open-ended; avoid interrupting.
• Give the subordinate your full attention.
• Be receptive to a subordinate’s feelings without feeling responsible to save him from hurting.
• Encourage the subordinate to take the initiative and to say what he wants to say.
• Avoid interrogating.
• Keep your personal experiences out of the counseling session unless you believe experiences will really help.
• Listen more; talk less.
• Remain objective.
• Avoid confirming a subordinate’s prejudices.
• Help the subordinate help himself.
• Know what information to keep confidential and what to present to the chain of command.

C-24. Leaders cannot help everyone in every situation. Even professional counselors cannot provide all the help that a person might need. Leaders must recognize their limitations and, when the situation calls for it, refer a subordinate to a person or agency more qualified to help. (Figure C-3 lists many of the available referral agencies.)

C-25. These agencies can help leaders resolve problems. Although it is generally in an individual’s best interest to seek help first from their first line leaders, leaders must always respect an individual’s right to contact most of these agencies on their own.

C-26. You can often categorize developmental counseling based on the topic of the session. The two major categories of counseling are event-oriented and performance/professional growth. 

EVENT-ORIENTED COUNSELING

C-27. Event-oriented counseling involves a specific event or situation. It may precede events, such as going to a promotion board or attending a school; or it may follow events, such as a noteworthy duty performance, a problem with performance or mission accomplishment, or a personal problem. Examples of event-oriented counseling include, but are not limited to¾

• Specific instances of superior or substandard performance.
• Reception and integration counseling.
• Crisis counseling.
• Referral counseling.
• Promotion counseling.
• Separation counseling.

Counseling for Specific Instances

C-28. Sometimes counseling is tied to specific instances of superior or substandard duty performance. You tell your subordinate whether or not the performance met the standard and what the subordinate did right or wrong. The key to successful counseling for specific performance is to conduct it as close to the event as possible.

C-29. Many leaders focus counseling for specific instances on poor performance and miss, or at least fail to acknowledge, excellent performance. You should counsel subordinates for specific examples of superior as well as substandard duty performance. To measure your own performance and counseling emphasis, you can note how often you document counseling for superior versus substandard performance.

C-30. Leaders should counsel subordinates who do not meet the standard. If the subordinate’s performance is unsatisfactory because of a lack of knowledge or ability, the leader and subordinate should develop a plan to improve the subordinate’s skills. Corrective training may be required at times to ensure the subordinate knows and achieves the standard. Once the subordinate can achieve the standard, the leader should end the corrective training.

C-31. When counseling a subordinate for specific performance, take the following actions:

• Tell the subordinate the purpose of the counseling, what was expected, and how he failed to meet the standard.
• Address the specific unacceptable behavior or action, not the person’s character.
• Tell the subordinate the effect of the behavior, actions, or performance on the rest of the unit.
• Actively listen to the subordinate’s response.
• Remain unemotional.
• Teach the subordinate how to meet the standard.
• Be prepared to do some personal counseling since the lack of performance may be related to or the result of an unresolved personal problem.
• Explain to the subordinate what will be done to improve performance (plan of action). Identify your responsibilities in implementing the plan of action; continue to assess and follow-up on the subordinate’s progress. Adjust the plan of action as necessary.

Reception and Integration Counseling

C-32. Leaders must counsel new team members when they report in. This reception and integration counseling serves two purposes. First, it identifies and helps fix any problems or concerns that new members have, especially any issues resulting from the new duty assignment. Second, it lets them know the unit standards and how they fit into the team. It clarifies job titles and sends the message that the chain of command cares. Reception and integration counseling should begin immediately upon arrival so new team members can quickly become integrated into the organization. (Figure C-4 gives some possible discussion points.)

• Unit standards.
• Chain of command.
• NCO support channel (who and how used).
• On and off duty conduct.
• Personnel/personal affairs/initial clothing issue.
• Unit history, organization, and mission.
• Soldier programs within the unit, such as soldier of the month/quarter/year and Audie Murphy.
• Off limits and danger areas.
• Functions and locations of support activities. See Figure C-2.
• On- and off-post recreational, educational, cultural, and historical opportunities.
• Foreign nation or host nation orientation.
• Other areas the individual should be aware of, as determined by the rater.

 Crisis Counseling

C-33. You may conduct crisis counseling to get a subordinate through the initial shock after receiving negative news, such as notification of the death of a loved one. You may assist the subordinate by listening and, as appropriate, providing assistance. Assistance may include referring the subordinate to a support activity or coordinating external agency support. Crisis counseling focuses on the subordinate’s immediate, short-term needs. 

Referral Counseling

C-34. Referral counseling helps subordinates work through a personal situation and may or may not follow crisis counseling. Referral counseling may also act as preventative counseling before the situation becomes a problem. Usually, the leader assists the subordinate in identifying the problem and refers the subordinate to the appropriate resource, such as Army Community Services, a chaplain, or an alcohol and drug counselor. (Figure C-3 lists support activities.) 

Promotion Counseling

C-35. Leaders must conduct promotion counseling for all specialists and sergeants who are eligible for advancement without waivers but not recommended for promotion to the next higher grade. Army regulations require that soldiers within this category receive initial (event-oriented) counseling when they attain full eligibility and then periodic (performance/personal growth) counseling at least quarterly. 

Adverse Separation Counseling

C-36. Adverse separation counseling may involve informing the soldier of the administrative actions available to the commander in the event substandard performance continues and of the consequences associated with those administrative actions. (See AR 635-200, paragraph 1-18.)

C-37. Developmental counseling may not apply when a soldier has engaged in more serious acts of misconduct. In those situations, the leader should refer the matter to the commander and the servicing staff judge advocate. When the leader’s rehabilitative efforts fail, counseling with a view towards separation fills an administrative prerequisite to many administrative discharges and serves as a final warning to the soldier to improve performance or face discharge. In many situations, it may be beneficial to involve the chain of command as soon as you determine that adverse separation counseling might be required. A unit first sergeant or commander should be the person who informs the soldier of the notification requirements outlined in AR 635-200. 

Performance Counseling

C-38. During performance counseling, the leader conducts a review of the subordinate’s duty performance during a certain period. The leader and subordinate jointly establish performance objectives and standards for the next period. Rather than dwelling on the past, leaders should focus the session on the subordinate’s strengths, areas needing improvement, and potential.

C-39. Performance counseling is required for the officer, noncommissioned officer, and civilian evaluation systems. The OER process requires periodic performance counseling as part of the OER support form requirements. Mandatory, face-to-face performance counseling between the rater and the rated NCO is required under the NCOER system. The TAPES system integrates a combination of both of these requirements.

C-40. Counseling at the beginning of and during the evaluation period facilitates the subordinate’s involvement in the evaluation process. Performance counseling communicates standards and is an opportunity for leaders to establish and clarify the expected values, attributes, skills, and actions. Part IVb (Leader Attributes/Skills/Actions) of the OER Support Form (DA Form 67-9-1) serves as an excellent tool for leaders doing performance counseling. These points are also outlined in Appendix B. For lieutenants and warrant officers one, the major performance objectives on the OER Support Form are used as the basis for determining the developmental tasks on the Junior Officer Developmental Support Form. Quarterly face-to-face performance and developmental counseling is required for these junior officers as outlined in AR 623-105.

C-41. Leaders must ensure they have tied their expectations to performance objectives and appropriate standards. Leaders must establish standards that subordinates can work towards and must teach subordinates how to achieve the standard in order for further subordinate development.

Professional Growth Counseling

C-42. Professional growth counseling includes planning for the accomplishment of individual and professional goals. A leader conducts this counseling to assist subordinates in achieving organizational and individual goals. During the counseling, the leader and subordinate conduct a review to identify and discuss the subordinate’s strengths and weaknesses and create a plan of action to build upon strengths and overcome weaknesses. This counseling is not normally event-driven.

C-43. As part of professional growth counseling, a leader may choose to discuss and develop a "pathway to success" with the subordinate. This future-oriented counseling establishes near- and long-term goals and objectives. The discussion may include opportunities for civilian or military schooling, future duty assignments, special programs, and reenlistment options. Every person’s needs are different, and leaders must apply specific courses of action tailored to each soldier.

C-44. Career field counseling is required for lieutenants and captains prior to attending the majors board. Raters and senior raters, in conjunction with the rated officer, need to determine where the officer’s skill best fits the needs of the Army. During career field counseling, consideration must be given to the rated officer’s preference and his abilities (both performance and academic). The rater and senior rater should discuss career field designation with the officer prior to making a recommendation on the rated officer’s OER.

C-45. While these categories help leaders to organize and focus counseling sessions, they should not be viewed as separate, distinct, or exhaustive. For example, a counseling session that focuses on resolving a problem may also address improving duty performance. A session focused on performance may also include a discussion on opportunities for professional growth. Regardless of the topic of the counseling session, leaders should follow the same basic format to prepare for and conduct it.

C-46. An effective leader approaches each