CC6916REQA LEADERSHIP DEVELOPMENT II The following extract is from chapter 7 of MCTP 6-10B, A User’s Guide for Discussion Leaders, dated 2 May 2016. MENTORING 1. Introduction. Everybody is a mentor and everybody has mentors. Most of us just don't use the word. Think back to all those who have helped you throughout your life to achieve the successes you have had. Remember that teacher in high school who helped you understand math, or that coach who worked with you to be a better sports team player? Remember the times your parents helped you through tough periods and supported you? They were mentoring you, providing assistance in the form of counsel to help you perform better and to assist you in your personal and professional growth. 2. Overview. The purpose of this period of instruction is to outline and discuss the purposes and goals of a Mentoring Program and provide guidance on how to set up and participate in a Mentoring Program. 3. Reference Commandant's White Letter No. 10-95 of 3 May 1995 "Another Leadership Tool". 4. Discussion Leader Notes. Not applicable. 5. Discussion. The following definitions will be used throughout this chapter. a. Mentoring. Mentoring is a formal or informal program that links junior Marines with more experienced Marines for the purposes of career development and professional growth, through sharing knowledge and insights that have been learned through the years. b. Mentor. A senior Marine who voluntarily undertakes to coach, advise, and guide a younger Marine in order to enhance technical/leadership skills and intellectual/professional development. c. Mentee. A junior Marine who voluntarily accepts tutelage from a more senior Marine for the purpose of enhancing skills and professional development. d. Mentoring Connection. A voluntary professional association between a Mentor and Mentee. It may be of long or short duration, be conducted in person or by any form of communication. 6. Philosophy a. Since its inception, the Marine Corps has emphasized the importance of passing on professional knowledge to those we are privileged to lead. General Lejeune described the imparting of that knowledge "as a teacher does to a scholar." By definition, a mentor is a trusted counselor or guide; although not specifically mentioned in General Lejeune's comments, the concept of mentoring as a leadership tool was surely applicable then and is certainly applicable now. Page 1 of 6 b. There are no set rules for a mentoring program, but general guidelines apply. The most important thing to remember is that mentoring is a professional association formed to enhance a junior Marine's professional and personal worth to him/herself and to the Corps. The rules and regulations than define the relationships between senior and junior Marines apply in total to mentoring. c. Mentoring is usually an informal program, but can be command sponsored. relationship between mentor and mentee is voluntary. The d. When there is no command sponsored program, "natural" mentoring may take place. e. A mentoring connection is a professional career development association, whose success is solely the responsibility of the mentor and mentee. f. General Carl E. Mundy, Jr., in his White Letter described mentoring as "another leadership tool that can benefit both the individual Marine and the organization." He stated "Further, the concept of mentoring is consistent with the strategies for achieving one of the goals outlined in our vision of the future-to utilize fully the talents of our people." 7. Marine Corps Policies a. There is no Marine Corps Order that mandates or describes a Mentoring Program. Thus, the rules that govern a Mentoring Program are informal and established by individual commands within guidelines that describe the proper relationships between juniors and seniors. Where no command-sponsored program exists, mentors and mentees who establish their own "natural" mentoring relationships must adhere to all applicable standards of conduct and regulations for junior/senior professional and personal relationships. b. A mentoring program does not replace the chain of command nor is mentoring meant to interfere with command relationships, senior/subordinate relationships, or Request Mast. Mentor/mentee relationships are not to be used to influence fitness reports, pro-con marks, nonjudicial punishment or other disciplinary actions. c. The Commandant's White Letter 10-95 of 3 May 1995 requested commanding generals, commanding officers, and officers in charge "to take appropriate steps to develop and implement a voluntary, informal mentoring program that allows the opportunity for each officer to be involved throughout his or her career." d. Mentoring should be a universal program. Mentoring is useful for all Marines, officer and enlisted, minority or majority, male and female. While it is useful for mentor and mentee to have some things in common, it is not necessary. All that is necessary, is a willingness on the part of both parties to make a genuine effort to improve the performance and professional prospects for success of the mentee and to follow guidelines set forth in Marine Corps rules and regulations that describe the proper relationships between seniors and juniors, officers and enlisted, male and female Marines. 8. Mentor-Mentee Associations. Mentoring shouldn't happen by chance. Both members of the mentoring connection have responsibilities. a. Mentor Roles. The roles assumed by a mentor depend on the needs of the mentee and on the association established between the two. There are at least ten roles a mentor can assume: Page 2 of 6 (1) Teacher. As a teacher, the mentor teaches the mentee the skills and knowledge required to perform the job successfully. (2) Guide. As a guide, the mentor helps the mentee to understand how to "navigate" and understand the inner workings of an organization. Sometimes this includes passing on information about the unwritten "rules" for success. (3) Counselor. Requires establishment of trust in the mentoring association. A counselor listens to possible ethics situations and provides guidance to help the mentee find his or her own solutions and improve his/her own problem solving skills. (4) Motivator. A mentor shows support to help a mentee through the tough times, keeping the mentee focused on developing job skills to improve performance, self respect, and a sense of self-worth. (5) Sponsor. The mentor helps to create possibilities for the mentee that may otherwise not be available. Opportunities should be challenging and instructive, without being overwhelming. Do not set the Mentee up for failure. (6) Coach. A coach observes performance, assesses capabilities, provides feedback to the mentee, and instructs with a view to improve performance. Then the loop repeats. (7) Advisor. A mentor helps the mentee develop professional interests and set realistic career goals. Goals should be specific, have a time-frame and set deadlines, be results oriented, relevant, and reachable. (8) Referral Agent. Once a career plan is developed, the mentor assists the mentee in approaching persons who can provide training, information, and assistance. The mentor also points the mentee to relevant career enhancing schools, correspondence courses, books, reading, professional organizations, and self improvement activities. (9) Role Model. The mentor is a living example for the mentee to emulate. A mentor must lead and teach by example. (10) Door Opener. The mentor opens doors of opportunity by helping the mentee establish a network of professional contacts both within and outside the Marine Corps. He/she helps the mentee understand the importance of staying in touch with seniors, peers, and juniors to exchange information, ideas, and concerns. b. Mentee Roles (1) Willing. The mentee must want to improve performance, contribute to the organization, and enhance professional prospects and be willing to work to reach his/her goals. (2) Active. A mentee takes action based on career goals, suggestions of a mentor, job requirements, and educational opportunities. (3) Accepting. A mentee is willing to accept responsibility for his/her actions, accept meaningful feedback and criticism, and accept guidance and counseling from his/her mentor. (4) Respectful. The mentee shows consideration and respect for the mentor's willingness to help and seriously considers all advice and suggestions from the mentor. He/she is openminded; progress takes time and effort. Page 3 of 6 (5) Professional. The mentor/mentee relationship is professional at all times. Both parties should be respectful of privacy and each others personal lives. (6) Prepared. The mentee is ready to move beyond the mentoring association, once the association has served its purpose. c. Establishing a Mentoring Connection. There are six stages to developing, maintaining, and terminating a mentoring connection: (1) Identification Stage. Most mentoring associations are formed haphazardly, except where a command-sponsored program is in place. Where no program exists, either a senior or junior may initiate the mentoring connection. Seniors look for Marines with potential for improvement who need guidance. Juniors recognize that they need assistance with some facet of their professional development and seek help to improve. There may be some common bond between mentor and mentee such as MOS, gender, race, hometown, hobbies, unit, etc. (2) Preparation stage. Both Mentor and Mentee must want to establish the mentoring association. They should understand the purpose of the relationship, expectations, goals, risks, and rewards. (3) Initiation stage. The mentor and mentee set the parameters, discuss and set goals, decide on time-frames, and write a plan with a time-frame. (4) Cultivation stage. This is the stage where the mentor teaches job skills, provides guidance, lends psychological support, opens doors, and provides counsel. The mentee works to improve performance, learn new skills, follow guidance, and actively learn the organization, its goals and "ethos." (5) Redefinition stage. A review and action phase where the mentor and mentee assess accomplishments, reorient the action plan, and redefine goals. During this stage one or both parties may decide to end the association. (6) Termination stage. Parties may decide during the redefinition stage to terminate the association due to positive or negative factors. Mentor and mentee should discuss which goals were achieved and which were not. Both should endeavor to make a realistic assessment of strengths and weaknesses of the association. Sometimes mentoring associations continue indefinitely. d. Tools for a Successful Mentoring Connection (1) Effective Interpersonal Communication Skills. Both mentor and mentee must be able to adequately express to each other the messages they want to get across. Interpersonal communication is a dynamic, never-ending, two-way process that is oriented towards the receiver. Messages are written, spoken, verbal, and non-verbal. The receiver must listen, read, reflect, and respond. There are barriers to effective communication. In a mentoring connection, it is better for the mentor to avoid being authoritarian, admonishing, threatening, or too critical and negative. The mentor must strike the right balance between being overly harsh or coddling the mentee. Feedback is necessary for any communication loop to develop and operate properly. Encourage the mentee to discuss what is and isn't working for him or her. Mentor, ensure you understand and observe the mentee and his/her work so you can provide meaningful help and guidance. Page 4 of 6 (2) Personal Assessment. Each mentee with his/her mentor's assistance, must truthfully perform a self-assessment to identify both strengths and weaknesses. Look at past performance, performance reports, MOS school grades and other performance indicators. Examine the criteria for advancement. What schools, outside educational courses, Marine Corps Institute courses, and other improvement opportunities are important to the mentee's career advancement? Once strengths and weaknesses are examined, a listing is made of areas for improvement or enhancement. (3) Make a Career Development Plan. The mentor and mentee look at the mentee's strengths and weaknesses and develop a plan to use educational and professional opportunities to develop necessary skills and professional attributes in the mentee. The plan can be based on both short and long term improvements. The mentee's first goal may be to attain the necessary cutting score for promotion. Maybe an improvement in the Physical Fitness Test Score, or another MCI course is all that is needed. Look at the long term. What professional schools should the mentee seek to attend to prepare for increased responsibility? Does the mentee need further formal education, or even a college degree to fully meet his/her goals? Of what professional organizations should the mentee be a member of? Follow the plan. The mentor can help attain goals by utilizing formal and informal contacts, writing letters of introduction, helping prepare the mentee for formal schooling, etc. Re-evaluate the plan. When a major goal is achieved, expectations may rise. Don't be afraid to set the "bar" a little higher. Conversely, some goals may not be achievable, therefore a reassessment of what is and isn't practical may be necessary. e. The successful mentoring connection. How are mentoring connections formed? (1) Command sponsorship. Some commands have established programs for mentoring. They keep a list of volunteers from among the more senior members and from among the interested juniors. Matches are made based on a number of elements like working relationships, shared interests such as MOS or background, and other natural factors. A command may establish mentoring relationships for all personnel. Some will work out; some will not. The Commanding Officer will set the parameters for the program, but should give considerable leeway to allow mentors and mentees the ability to design their programs based on individual preferences and goals. (2) Natural mentoring associations. Most mentoring occurs "naturally." In other words, some shared experience, background, or other factor causes the connection to occur almost by itself. A mentee looking for help may want to emulate the success and style of a senior and asks for assistance. A senior may see the spark of potential in a junior and take responsibility to encourage and assist. Naturally formed mentoring connections should be encouraged. Both members of the connection should utilize the steps and stages to enhance the chances of success. Assess, make a plan, execute the plan, re-assess, adjust, and recognize the responsibility of each member of the mentoring connection. f. Improper mentoring relationships (1) The Marine Corps Manual (MCM) paragraph 1100.4 defines an "improper relationship as: "situations that invite or give the appearance of familiarity or undue informality among Marines of different grades." Page 5 of 6 (2) The sentence states that familiarity and undue informality between Marines of different grades is improper. Further, it states that perception is important because the relationship or situation must not invite or give the appearance of familiarity or undue informality. (3) It is primarily the mentor's responsibility to ensure that the mentoring connection is kept on the proper professional level. The command should know that the mentor and mentee, if in the same unit, are working together to improve the mentee's performance. Don't hide the connection. Be open and above board in all actions. Strictly adhere to the guidelines contained in the MCM. Transition. We have briefly discussed Mentoring and its effects on individuals and the Marine Corps. Mentoring can be a powerful tool to ensure that all Marines perform to the best of their abilities, have opportunities for advancement and self-improvement, and can contribute to the success of the Corps. "Another leadership tool" is how General Mundy put it. Mentoring is another arrow in the quiver of successful, concerned leaders to encourage and help their Marines. Page 6 of 6 CC6916REQB LEADERSHIP DEVELOPMENT II The following read contains extracts from the NAVMC 2795, USMC User’s Guide to Counseling, dated 27 June 1986. CHAPTER 1 INTRODUCTION 1001. PURPOSE OP COUNSELING 1. Developing people to their highest potential is a basic leadership responsibility. Counseling is one means of accomplishing this. Counseling involves two-way communication between a Marine senior and a Marine junior to help the junior achieve or maintain the highest possible level of performance. 2. Counseling is done on a regular basis by the senior officer, staff noncommissioned officer (SNCO), or noncommissioned officer (NCO) to whom the junior reports. While the senior may give direction, the junior must also take an active part in the counseling process. The role of the senior is to help the junior to achieve or maintain desired levels of performance and to plan ahead. The junior is responsible for meeting the objectives that develop during the counseling process. 3. The counseling process involves supporting and reinforcing good performance as well as correcting deficiencies. It is a positive, forward-looking process that focuses on improving performance. 4. Counseling helps to keep Marine leaders and their Marines directed toward effective individual performance and, thus, toward increased unit readiness and effectiveness. Paragraph 1002 was removed for the purpose of brevity. 1003. MARINE CORPS POLICY ON COUNSELING 1. The MCO 1610 .12 provides the policy for the Counseling Program. 2. The Order establishes a number of objectives for the Counseling Program as follows: a. To maintain counseling as an integral and continuous part of traditional Marine Corps leadership. b. To develop counseling skills through a continuing education program that teaches the importance of daily coaching and provides the tools to conduct effective counseling. c. To increase individual performance and productivity through counseling, and thereby increase unit readiness and effectiveness. d. To enhance the leader's ability to improve the junior's performance. e. Create the ethic of effective counseling in a climate of solid leadership, and provide a system to enhance that ethic. By so doing, the program will ensure that the leadership goals captured in General Lejeune's words become reality: “The relation between officers and enlisted men should in no sense be that of superior and Inferior nor that of master and servant, but rather that of teacher and scholar. In fact, it should partake of the nature of the relation between father and son,….” Page 1 of 22 3. The Order states that counseling is a vital and essential leadership tool for developing juniors, improving individual performance, and enhancing unit productivity. It provides the following: a. Every Marine will receive counseling; however, the format and frequency will vary. b. Counseling will begin whenever a new senior/junior relationship is established. 4. The Order indicates how the counseling process will proceed. a. Counseling for lance corporals and below will occur every 30 days. b. Counseling for corporals through colonels will begin with an initial counseling session approximately 30 days after the start of the senior/junior relationship. A follow-on session will occur approximately 90 days after the initial counseling session, and subsequent sessions will occur every 6 months (at a minimum) and more frequently, if necessary . c. All counseling sessions at all levels and for all grades will be conducted on an individual basis. d. It is recommended that some documentation of the counseling sessions will be kept. 5. According to the Order, action responsibility is assigned as follows: Sub-paragraph “a” and “b” were removed for the purpose of brevity. c. Commanding officers shall ensure that maximum attention is given to counseling training in unit training programs for all officers, SNCO's, and NCO’s. In addition, they shall ensure that counseling is conducted per the current edition of MCO 1610 .12. d. All officers, SNCO's, and NCO's shall execute the provisions of this Guide in counseling their juniors. 1004. THE RELATIONSHIP OF COUNSELING TO PERFORMANCE EVALUATION 1. Performance evaluation is a formal process for the evaluation of an individual's past performance. It centers around the fitness report for sergeants and above and around proficiency and conduct marks for corporals and below. It provides part of the basis for official actions, such as promotions, duty assignments, etc. Paragraph 2 was removed for the purpose of brevity. 3. While performance evaluation focuses on past performance, counseling focuses on improving and maintaining future performance. Counseling should be a regular, continuing process. Counseling may be conducted formally or informally. It may be planned and scheduled, or it may occur as the need arises. To be effective, however, it must be viewed as an integral part of the day-to-day job of leadership. Counseling should be separate from performance evaluation - although the two should be mutually complementary. 4. It is important to distinguish performance counseling from personal counseling. While personal counseling is also part of the leader's responsibility, it focuses on helping an individual Marine to solve personal problems. Such personal problems may be addressed in the counseling process. The contents of the counseling program must focus completely on the skills and techniques of counseling, both personal and performance. Page 2 of 22 5. In short, counseling ties back to fitness reports - but only as a basis for reinforcing or improving performance in the future. Counseling may also include personal counseling – but only as a means of influencing performance. Paragraph 1005 was removed for the purpose of brevity. CHAPTER 2 OVERVIEW OF THE MARINE CORPS COUNSELING PROGRAM 2001. FREQUENCY OF COUNSELING 1. The Initial Counseling Session (ICS) a. The initial counseling session occurs whenever a new senior/junior relationship is established - that is, when a Marine first reports to a unit or when there is a change in the Marine's immediate supervisor. (The immediate supervisor is the next senior person who is directly responsible for the primary tasking and leadership of the junior Marine.) The initial counseling session does not replace the traditional 'welcome aboard' meeting, which occurs immediately. The initial counseling session should occur approximately 30 days after the start of the senior/junior relationship. It must establish the junior's goals for the next few months as well as a common set of expectations about the junior's performance. b. The initial counseling session should lay the groundwork for an effective, productive working relationship between the senior and the junior. It should be scheduled and planned (in advance) and should be designed to accomplish several objectives as follows: (1) To make the senior's expectations clear. (2) To ensure that the junior understands those expectations. (3) To set goals or targets and make plane for the junior to meet those targets. (4) To convey the senior's interest and concern. (5) To help the junior understand the senior's leadership style. (6) To motivate the junior to achieve the highest possible level of (future) performance. (7) To ensure that the junior understands the mission and status of the unit and the junior's primary and collateral duties. c. Both the senior and the junior should prepare for the initial counseling session. The agenda should provide for a review of the mission and statue of the unit, the junior's duties in the unit, and the targets that should be set for the junior - both for the job at hand and for overall professional development. 2. Follow-On Sessions a. For corporals through colonels, a follow-on session should be held approximately 90 days after the initial counseling session, and subsequent sessions should be held at intervals of no more than 6 months. b. The purpose of these follow-on sessions is to ensure that the junior is on track. A followon session should deal with both strengths and weaknesses. It should reinforce the junior's successes and attempt to correct deficiencies. It should identify and analyze any performance problems that have emerged since the last counseling session, and it should focus on identifying Page 3 of 22 a mutually agreed-upon solution to those problems. During the follow-on session, the senior and the junior should review the junior's progress toward achievement of the targets established at the last session and should modify them or add new targets, as appropriate. c. The process involved in the follow-on session is essentially the same as in the initial counseling session. Both participants should prepare for the session, and it should follow a predetermined agenda. Both parties should also participate fully and actively. As the junior develops experience in the unit, the junior can be expected to take a more active part in the process. 3. Counseling for Lance Corporals and Below a. Lance corporals and below should receive counseling every 30 days to ensure current and frequent feedback. These Marines will provide the Marine Corps with its future NCO and SNCO leadership. Their Marine skills must be developed through a conscientiously applied program and in an environment where specific, detailed, and concrete guidance is given to achieve the unit mission. b. Counseling for lance corporals and below should be conducted by the immediate supervisor, who is normally an NCO. NCO's are the first link in the chain of command. They work most closely with lance corporals and below, issue them orders, and supervise them on a daily basis. NCO's are in the best position to judge actions, offer guidance, or recognize a good job. c. Lance corporals and below must know what is expected of them and how they will be measured regarding those expectations. This is especially important after boot camp, when young Marines must begin to rely more heavily on their own initiative and motivation. This challenge is easier when they are given specific targets and standards for which to strive. It is difficult to meet expectations of their seniors unless they know what those expectations are. d. The counseling sessions should be brief 'blanket on the footlocker" or locker box-type sessions lasting approximately 10 to 15 minutes. The junior's strengths and weaknesses should be discussed, and guidance should be provided on how to improve. e. This is also a time when a variety of other topics could be discussed. For example, these topics could include pay related matters, the Marine's Leave and Earnings Statement (LES), the family, or furthering education through off-duty education or Marine Corps Institute (MCI) courses . This is also a time when personal goals can be discussed or when the senior may clarify upcoming events that could affect the junior's personal life. Sub-paragraph “f” was removed for the purpose of brevity. 4. Interim Reviews and Event – Related Counseling Sessions a. Counseling can occur at any time; it need not be limited to formal, scheduled follow-on sessions. It can be initiated by either party. b. The senior should initiate a session of this kind as soon as possible when there is a need. It is important to remember that a counseling session can be an occasion for praise as well as for dealing with problems. Counseling should be a means of reinforcing a Marine's strengths as well as correcting deficiencies. Page 4 of 22 c. Meeting with the senior for a counseling session - however brief and informal it may be - keeps the junior aware of the senior's interest and concern. It also gives the senior and the junior an opportunity to deal with problems before they become serious. 5. Relationship to Performance Evaluation a. Performance evaluation focuses on the past. Counseling also considers the past, but only as a means of directing attention to improving performance. The senior who counsels a junior may not be the same senior who does the performance evaluation. b. The two processes are separate but complementary. The counseling process helps the senior to build a body of systematic observation of the junior's performance - based on welldefined targets and standards. As a result, the performance evaluation process should not produce any surprises for either party; and the evaluation is more likely to be balanced, comprehensive, and accurate than it would be if counseling had not taken place on a regular basis. By the same token, the periodic performance evaluation can help to clarify and crystallize the subjects on which the counseling process should focus. Paragraph 2002 was removed for the purpose of brevity. 2003. TYPES OF COUNSELING 1. Directive Counseling. With the directive approach, the senior carries the ball, analyzing the situation, developing a solution or a plan for improvement, and telling the junior what to do. This approach is ‘senior centered.' The senior is open and frank about influencing the junior to be one kind of person rather than another. 2. Nondirective Counseling. With the nondirective counseling approach, the senior asks questions, listens, and draws the junior out. The senior helps the junior to analyze the situation and to develop the solution or plan for improvement. This approach is 'junior centered.' The junior is encouraged to talk, to be trouble free, and to have a clear mind while the senior plays the role of a person willing to help - mostly by listening. The goal of the nondirective approach is to help the junior become more mature and to develop personal resources. The junior 'owns' the problem and the solution. 3. Collaborative Counseling. A third option, the collaborative counseling approach, draws on both the directive and nondirective techniques. It offers the senior greater flexibility. It promotes joint diagnosis. The junior and the senior work as a team to diagnose and solve the junior's problem. This approach can succeed if the junior accepts the senior and is eager to solve the problem. With the collaborative counseling approach, the senior may emphasize directive or nondirective approaches - depending on the subject of the discussion, the purpose in mind, and the sense of how well the discussion is going. 2004. COUNSELING PRACTICES 1. Practices related to the junior’s Performance. Some counseling practices focus primarily on the nature of the performance that is expected of the junior. Such practices include the following: a. Target setting - defining what the junior will be expected to do as a result of the counseling session and setting the standards by which effectiveness will be judged. b. Problem solving - analyzing the junior's performance problems and developing solutions to them. Page 5 of 22 c. Planning for improvement - developing a plan to build on the strengths of the junior or to overcome shortcomings. 2. Practices Related to the Senior’s Counseling Activities. Some counseling practices are concerned with getting the most productive results from the counseling session. They may be used in target setting, problem solving, planning for improvement, or other aspects of the meeting. They include the followings: a. Questioning - using a variety of questioning techniques to draw the junior out or to clarify what is said or thought. b. Giving feedback - letting the junior know what the senior thinks about performance or summarizing what the senior understands to be going on in the meeting. c. Active listening - interpreting what the junior is saying and observing what is being done (identifying verbal or nonverbal cues that indicate thoughts or feelings that may not be expressed directly). 2005. BENEFITS OF THE COUNSELING PROCESS 1. Counseling, if it is carried out well, benefits the senior, the junior, and the unit as a whole. 2. The senior benefits by knowing that the expectations are understood, that guidance has been provided toward meeting those expectations, and that there has been a significant contribution made to the development of the individual Marine - one of the most important responsibilities of the leader. 3. The junior benefits by knowing where the junior stands, what the senior thinks of the junior's performance - good or bad, and what must be done to reach full potential as a Marine. 4. The unit benefits when all of its members give continuous attention to the effectiveness of their performance and work to improve performance wherever it can be improved, thus increasing overall unit effectiveness and readiness. CHAPTER 3 PLANNING AND CONDUCTING A COUNSELING SESSION 3001. PREPARATION 1. The most effective counseling sessions have thorough advance preparation. Both the senior and the junior should prepare for the session. 2. Reviewing and Evaluating Performance a. The first step in preparing for a counseling session is to review and to evaluate the junior's performance since the last session. The review should cover everything that was' planned at the last counseling session and anything that has occurred in the meantime that either party thinks should be discussed. The review should be as detailed and specific as possible. It should cover both good and bad performance - performance that the senior (or the junior) considers praiseworthy as well as problems that need correction. b. To ensure having a complete, balanced picture of the junior's performance for the period to be discussed, the senior should keep informal notes for reference when the time comes to prepare for the counseling session. The leader's notebook is the ideal place for such notes. The notes should serve as a memory jogger to ensure that the senior does not forget or overlook events needing Page 6 of 22 attention in a counseling session – particularly things that happened several weeks or months before the session. 3. Defining Objectives. Both the senior and the junior should have a clear idea of what they want to accomplish in the counseling session. To this end, they should identify the successes, failures, and problems that should be covered. This stage of the planning process should include the analysis of performance problems, development of some tentative solutions for them, and identification of the junior's targets for the next performance period. 4. Setting the Agenda a. The agenda should reflect the objectives for the session. The topics to be covered should be in the sequence in which the senior would like to discuss them. For example, it is often desirable to start the session with positive comments on the performance that the senior wants to praise and reinforce. Save discussion of problems and difficult issues until both parties are warmed up and feeling comfortable. Steps Activities 1. Preparation 2. Opening Counseling Skills a. Review current performance a. Determine what counseling is to accomplish. b. Have subordinate provide inputs. c. Determine how to conduct meeting. a. Setting targets. a. State expectations for the meeting. b. Establish a good climate. a. Questioning. 3. Main Body b. Problem Solving. b. Active listening. a. b. c. d. e. Setting Targets Questioning Giving feedback Active listening Problem solving 4. Closing Plan for improvement Planning for Improvement 5. Follow-up a. Make personal counseling notes of the meeting. b. Monitor performance. c. Continue the process. Plan new actions when current actions are achieved or completed. a. Problem solving b. Questioning c. Giving feedback d. Setting targets e. Planning for improvement. Page 7 of 22 b. The senior should ask the junior for suggestions on the agenda, and they should agree on it for the session. The agenda should be written in advance - preferably in their notebooks. c. The senior should also give some thought to the counseling approach that will be used during the session. Should it be primarily directive? Nondirective? A combination of both approaches? This decision will depend on the senior's assessment of the situation - the amount of time that the session should take, the junior's readiness to confront performance problems, and the seriousness of the problems. d. The senior should give some thought to the questions that may be asked during the session. While the session need not and should not be "scripted" in advance, the senior may find it helpful to identify a few key questions on the most important issues for use in focusing the discussion. 5. Scheduling the time and place of the session. The counseling session should be scheduled enough in advance so that both parties have sufficient time to prepare for it. The senior should ensure that the calendar is clear. There should not be an interruptions. Time should be set aside for the session so that everything on the agenda can be covered. Generally, formal sessions (an initial counseling or follow-on) will take from 45 minutes to an hour to complete. 6. The Setting for the session a. It is important that both parties be relaxed, talk comfortably and easily. It is important that full attention be given to the counseling session. It can be disconcerting or even a humiliating experience for a junior to talk to a senior who is only giving partial or sporadic attention. Anything other than well- focused attention can easily be interpreted as meaning that the problems and the junior as a person are unimportant. b. You can increase your effectiveness and credibility when you 'clear" your mind as much as possible before attempting to counsel someone. 'Mind clearing" may include taking care of anything 'urgent' or 'pressing' that might interrupt your thought process once the session has started. It may be better to keep the junior waiting a few minutes so that you can say: 'Thanks for waiting I had to take care of some personal matters so that I could give you my full attention.” c. Sometimes, however, in spite of one's best effort to clear your mind, you may find some cue, perhaps even something that the junior says, that brings to mind an unresolved problem or forgotten task. Instead of trying to force your mind back to the task at hand, it may be helpful to simply say, for example: 'Your mention of a driver's license reminds me that mine is about to expire. Let me make a note of that so it won't become a distraction, and we can continue our discussion.' d. It has been demonstrated that even if one attempts to disregard an internal disruption, there is a good chance that one's face or posture will indicate that something is wrong. If you choose to hide your thoughts or feelings, the other person may be confused and incorrectly assume he/she is responsible for your reaction. Some clues are as follows: a person's eyes begin to focus behind or beside you, the breathing or skin color may change, or the hands may begin to fidget, etc. If the senior notes such occurrences, it may help to ease the junior if the senior were to simply say, 'I notice that you're tapping your fingers, does that indicate that there is something else on your mind that needs to be considered?' e. Outside disruptions can confuse and interrupt the flow of an exchange to the point where rapport is lost and considerable time must be spent recovering before the session can continue. A Page 8 of 22 little preplanning can prevent many disruptions that might otherwise occur l for example, let others know that you will be counseling and do not wish to be interrupted. If, however, you are disrupted, handle it promptly and be as open as possible with the junior. The comfort of each person needs to be considered. Frequently, such matters as a nervous junior's need for fresh air or the light into which the junior might be staring are overlooked. Give consideration to appropriate room temperature, and avoid having either person face an unshaded window. f. g. The seating arrangement can also be important. For example, facing each other across a desk may make the relationship too formal for relaxed discussion. The senior should consider a seating arrangement that enhances the personal, informal tone of the counseling process. 3002. OPENING THE SESSION. Two things are particularly important in the opening moments of the session. First, a climate should be established that is conducive to an open, relaxed discussion. It is usually a good idea to begin with a cup of coffee and a few minutes of small talk. Second, both parties should understand why they are holding the session. To ensure that they do, the senior should go over the objectives of the session and the prepared agenda and should invite the junior's comments before proceeding to the main body of the session. 3003. CONDUCTTNG THE SESSION 1. Guiding the Discussion a. While the counseling process must be a two-way interchange to be productive, the senior must guide the discussion to ensure that all objectives set for the session are accomplished. At the same time, the senior should be attentive and responsive to the junior's reactions. For example, if the conversation turns to Item C on the agenda before Item B has been covered, the senior may choose to go ahead with Item C and come back to Item B later. b. The agenda should be a guide while it should be followed as closely as possible, the senior should also be flexible about it. The most important thing is to cover everything fully and to move on when a subject has been fully discussed. 2. Encouraging the Junior's Participation a. There are a number of counseling techniques at the senior's disposal for promoting a twoway conversation and keeping the junior actively involved. (These techniques are discussed in detail in Chapter 4.) The senior should know these techniques and develop skill in using them. They include various kinds of questions and approaches for encouraging participation by the junior. b. In this process, the most important general rules for the senior are to pay attention and to concentrate on what is heard and seen during the session. Also, the senior must keep the overall purpose of the counseling process in mind which is to develop the junior's ability to evaluate performance clearly and objectively and to take responsibility for improving performance, thereby contributing to unit readiness. 3. Agreeing on Targets and Plans for Improvement a. The last stage of the counseling session should define the junior's targets and lay out plans for meeting them. Both parties should enter the session with some idea of what these targets should be. After all other items on the agenda have been thoroughly aired, the senior Page 9 of 22 should review earlier thoughts about the targets, and the junior should do the same. The senior and the junior may want to modify the targets - for example, make one or more of the targets more challenging. They may want to add or drop some. In any case, the senior must be satisfied that the targets will accomplish what is considered most important in the junior's future performance and overall development. The senior must also ensure that the junior understands and agrees to the targets. b. Once the performance targets have been established, the junior should outline a plan for meeting them. The plan for improvement need not be elaborate, but it should be detailed and specific enough to satisfy the senior that the junior not only understands what is expected to be accomplished but has a clear idea of how to go about it. 3004. CLOSING THE SESSION 1. Before the session ends, the senior should take a few minutes to review and summarize the items discussed. The senior asks for the junior's comments to ensure that he/she understands the results of the session in the same way. 2. As the session ends, a few words of small talk may again be in order. The occasion is not a social one, but in many ways it is a highly personal one. It is especially important that the senior recognize this fact. It is especially important to end the session on a positive, encouraging, and forward-looking note. 3005. FOLLOW-ON 1. Documenting the Session a. The current edition of MCO 1610 .12 recommends there should be some documentation of the counseling sessions kept. These would be along the lines of personal counseling notes. b. These notes would benefit both the leader and the Marine being led by serving as a quick reference in recalling the specifics of the counseling session between the junior and senior. c. It could just be an outline of the subjects discussed and guidance given. It would aid in ensuring the mutual understanding of responsibilities, expectations, and the direction of the junior. d. These notes would also serve as an aid so that during future sessions topics are not repeated unless required, and both junior and senior see the improvement in the objectives previously set. e. Essentially, the use of the small unit leader's/platoon commander's notebook is one method for recording the counseling notes. f. Appendix A provides sample worksheets for documentation. If the commander decides to use these forms, they can be modified as necessary to fit the unit's specific needs. The forms should fit into the small unit leader's/platoon commander's notebook for easy reference. g. The two forms are organized in essentially the same way. They provide space for recording three important aspects of the session: the subject matter, the junior's targets or tasks for the coming period, and notes on the junior's major accomplishments since the last counseling session, and/or comments on other matters. h. The worksheets can be filled in before the session to help guide the discussion. After the Page 10 of 22 session, both the senior and the junior should make any necessary changes to reflect what actually happened. Alternatively, the worksheets can be filled in after the session. Whatever approach is used, it should be the same for all of the counseling activities in the unit. Documentation of a counseling session is for use only by the senior and the junior. It is not to be forwarded to an officer in the reporting chain, nor is it to be passed from one senior to the next when the senior/junior relationship ends. When the relationship is terminated, all documentation is destroyed. i. The counseling notes need not be elaborate or highly formalized but should be specific and detailed enough to provide at least the following information: j. (1) the date of the counseling session, (2) the name of the Marine who received the counseling, (3) the subjects that were discussed, and/or (4) the targets/tasks that were set. MONITORING THE JUNIOR’S PERFORMANCE. The senior must pay continuing attention to what happens after the counseling session. From time to time, the senior should refer to the performance targets agreed to at the session and` make a judgment as to how well the junior is meeting them. The senior should continue to encourage and reinforce good performance and help the junior correct deficiencies. In this process, the senior can use the subjects of the counseling session and the targets that were set as a framework for the continuing efforts to help the junior improve and maintain a high level of performance. CHPATER 4 COUNSELING Sub-paragraphs 1 – 3 of Paragraph 4001 were removed for the purpose of brevity. 4. INDIVIDUAL COUNSELING STYLES. a. Regardless of the approach that the senior uses, it must not be an artificial technique applied self-consciously. One of the fundamental rules of counseling is to be yourself. If the senior behaves in a way that makes one personally uncomfortable, the senior may appear to be insincere and perhaps manipulative. b. It is possible to learn counseling skills, just as it is possible to learn to pitch a baseball or to fire a rifle. Practice makes these skills come more easily. The senior should accept the idea that counseling is a skill and should work at developing it. Counseling skills should be incorporated into the senior's leadership style; they should not cause a change in style. c. Regardless of the approach the senior is using and whether the purpose is for praise or for criticism, it is important to focus on performance and not on the person. Saying 'That didn't work out' is better than saying "you couldn't make it work.” Discussion of performance - particularly poor performance - can stir up strong emotions. The senior's tone, attitude, and the specific words used should` be carefully chosen to minimize the junior's feeling of being judged rather than helped. d. Being as specific as possible also helps to reduce the potential emotional charge of a counseling session. To say 'Your company isn't measuring up' is a broad, sweeping, and general Page 11 of 22 statement. To say 'Your company took longer than it should have to get across that bridge' focuses the conversation on specific facts and events. It also makes it much easier for both the senior and the junior to find the cause of the problem, to agree on what it is, and to work out a solution together without having injured feelings get in the way. 4002. COUNSELING PRACTICES RELATED TO THE JUNIOR'S PERFORMANCE 1. Setting Targets a. One of the most important objectives of a counseling session is to establish a set of targets for the junior to accomplish after the session is over. In many sessions, this will be the primary objective. Defining targets is a skill in its own right. If it is done well or badly strongly influences whether the junior's performance improves. b. The target is to be achieved by the junior. It may be to keep performance at the current level. It may be to change it for the better. In either case, the target should be the object - not a process. For example, the target should not be "To work on improving the platoon's readiness," but "To achieve a 95 percent MCI completion rate by 31 December.” c. One difference between these two targets is clarity. The first target could mean almost anything from getting more equipment to increasing the intensity of the training program. There should be no question about what the second target means. It says exactly what kind of activity is involved - not just improving but reaching a specific completion rate. d. A second difference is precision. The first target says nothing about how either the senior or the junior will know when it has been accomplished. The second target specifies a minimum numerical rate and a date. The second target is measurable, the first one is not. e. Not all performance targets can be stated in quantitative or numerical terms. If this cannot be done, the targets can be expressed in a way that indicates whether something has happened. In other words, the targets can be observable even if they are not measurable. For example, 'To have individual equipment in combat-ready condition' is not a quantitative target. Yet, both the senior and the junior can tell whether the target has been met. f. A well-defined target has certain characteristics. One characteristic is the presence of an action verb - for example, "to start,` 'to complete,' 'to pass,' etc. . Another characteristic is definition of the object of the verb - for example, 'to start training,' 'to complete personnel records,' 'to pass tests,' and so on. g. The third characteristic of a well-defined target is that it includes one or more standards by which the observer can tell whether it has been achieved. The standards may be quantitative for example, '95,' 'by 15 October;' - or qualitative -for example, 'in combat-ready condition.' In either case, both the senior and the junior must know what the standards mean and understand them in the same way. They can agree on whether the standards (and hence the target) have been met. If the standards have not been met, they can tell by how much and in what way the junior has fallen short. h. In short, a target describes an action to be taken or a goal to be achieved, and it indicates how to tell whether it has been accomplished (the standard). Standards may be stated in the following terms: (1) Quantity - how much? Page 12 of 22 (2) Quality - how well? (3) Timeliness - when is it to be done or how long will it take? (4) Manner - in what way is it to be done ('safely' or "promptly,' for example)? In addition to these methods of defining targets to ensure that they are clear, the senior should keep some general guidelines for effective target setting in mind. i. (1) The targets should be challenging but attainable. They should make the junior stretch to bring out the junior's best, but they should not be so challenging as to be impossible. (2) The junior should have the authority and resources that are needed to achieve the targets. (3) The targets should be important. They should be related to the unit's mission, and they should represent a significant part of the junior's duties. (4) The targets should be limited in number. Seniors sometimes tend to write down all targets they can think of, and they end up with a list that could take years to accomplish. The senior should pick a few important targets - generally three to five - that will make a significant contribution to the junior's effectiveness and that can be accomplished before the next counseling session. (5) The junior should participate in the target-setting process. The targets are personal, and the junior should have a sense of 'ownership.' The senior should determine the targets but should also encourage the junior to come up with individual targets. As far as possible, the target-setting process should be a joint effort. (6) Targets should not be viewed as fixed and final for all times. Circumstances change. After the counseling session, if a target suddenly becomes unattainable for reasons that are beyond the junior's control, the target should be dropped or revised to reflect the new circumstances. 2. Problem Solving a. Much of the counseling process involves finding ways to help the junior to improve performance - to identify and solve problems that limit effectiveness. The senior's job in this regard is to help the junior to identify each problem, its cause, and its solution. b. Like target setting, the problem-solving process should involve both the senior and the junior. The more the junior contributes to the solution, the more effective it is likely to be. At the same time, the senior can usually draw on a broader background of knowledge and experience and can apply it while using a systematic approach to the problem-solving process. c. One approach to this process uses three questions as the framework for analyzing a problem and for working out an effective solution. These questions are as follows: (1) What is the problem? (2) Is the junior part of the problem? (3) Is the senior part of the problem? Page 13 of 22 d. To answer the first question - What is the problem? – the senior must compare actual and desired performance - for example, the difference between the target and the accomplishment. The senior should ask the following: (1) What is happening that shouldn't happen? (2) What is not happening that should happen? (3) What is happening that is off target? Answering these questions will help to bring the nature of the problem into clear focus. e. To answer the second question - Is the junior part of the problem? - the senior must find out whether there is something about the junior that is preventing effective performance . The following aeries of questions can help to pinpoint the cause of the problems (1) Does the junior have the physical and mental ability to perform up to expectations? (2) Does the junior know that performance is not meeting expectations? (3) Does the junior know how the job is to be done? (4) Does the junior have the skills necessary to do the job? (5) Is the junior’s attitude getting in the way of effective performance? Answering these questions will help to sort out the underlying causes of the problem. Finally, to answer the third question - Is the senior part of the problem? - the senior must clarify the problem further and help to focus attention on ways of solving it. A series of questions can help to define the issues that should be addressed in working out an effective solution. These questions deal with aspects of the problem that may be outside the junior's control such as the followings: f. (1) Has the senior made the junior's targets clear? Is there any confusion or uncertainty about what the senior expects to be accomplished? (2) Has the senior failed to praise the junior when performance has been up to expectations? (3) Has the senior overlooked or failed to correct situations in which the junior did not perform up to expectations? (4) Is the senior (or are others) making conflicting or competing demands on the junior's time? (5) Is the junior unaware of or making inefficient use of time, people, equipment, or other resources that are available to get the job done? (6) Does the junior have the authority and resources necessary to do the job? g. Working through this series of questions and related sub-questions can help to lay the groundwork for a solution to the problem. The senior can identify problems that only the junior can do something about, those that only the senior can do something about, and those that they will have to work on together. Page 14 of 22 h. Once the problem is clearly understood, solutions can be developed. For example, problems that are traceable to the junior can be assessed to determine whether they are caused by deficiencies in knowledge, skill, or attitude. A knowledge-related problem means that the junior does not know what to do or how to do it. A solution to this kind of problem must be to give the junior the information required. Appropriate corrective actions could include the following: i. (1) Explaining or providing written material that defines what is supposed to be done and how it is to be done. (2) Giving the junior training. (3) Showing the junior how to do it. (4) Giving the junior on-the-job direction or coaching. (5) Giving the junior feedback on individual performance - when and how it is satisfactory or unsatisfactory. j. A skill-related problem involves the junior's ability to coordinate eye, mind, and body in the performance of a task -whether it is firing a rifle or teaching a class. Corrective actions for a skill-related problem must provide the junior with opportunities for practicing the task itself. They might include the following: (1) Observing the junior performing the task and then telling how well it was done or how it might be done better. (2) Showing the junior what to do and how to do it. (3) Giving the junior an opportunity to practice the task. k. An attitude-related problem may involve the junior's feelings toward the billet, toward others in the unit, or toward the individual. Any solution to an attitude problem must be carefully planned to shape and guide the junior's feelings and thinking. Corrective actions must involve the junior in recognizing the problem and cooperating in its solution. They may include the following: (1) Discussing the problem with the junior to identify the causes. (2) Telling the junior your perception of the problem and what should be done about it. l. Attitude problems may be easy to solve, or they may be virtually impossible to solve . No hard- and-fast rules can be offered. The senior must try to understand the causes of the problem and to find a corresponding solution. m. Once a solution or a number of alternative solutions have been identified, the senior should test the solution(s) by asking questions such as the following: (1) What is most likely to happen if this action is taken? Will it solve the problem, or will it create new and larger problems? (2) Can the action be accomplished? Will it be appropriate for the situation? (3) What will the action cost in terms of time, money, and morale? (4) What are the likely benefits of the action? Is it worth doing? Page 15 of 22 (5) Will the senior be able to provide the necessary support and follow-through? (6) Is this the simplest solution to this particular problem? Is there a simpler way? 3. Planning for improvement a. Once the junior's targets have been established and solutions to any problems have been identified, the junior should work out plans for achieving the targets and overcoming the problems. Like the other steps in the counseling process, this should be a joint effort. If possible, the resulting plan should be primarily the junior's plan. b. The plan for improvement need not be elaborate, but it should be detailed and specific enough to satisfy the senior that the junior understands what is required and that the junior has a realistic idea about how to do it. The plan also gives both parties a framework for tracking progress and for identifying problems before they become serious. c. The plan for improvement should outline steps along the way to achieve the targets or to solve the problems. For the most part, it will involve actions by the junior; but if anyone else will share any part of the responsibility, that fact should be noted. It may also be appropriate to indicate the schedule for carrying out the plan in terms of milestones and dates- to the extent that this is practical, realistic, and useful. 4003. COUNSELING PRACTCES RELATED TO THE SENIOR'S COUNSELING ACTIVITIES 1. Questioning a. Questions are the most used and sometimes the most effective of the counseling practices. The senior should be familiar with the broad array of questioning techniques and the results that they may yield. b. One way of looking at the subject is in terms of 'closed end' and "open-end" questions. A good example of a closed-end question is one that can only be answered by a 'yes' or a 'no.' 'Did you take the test?' is an example. By itself, such a question leads no further. It may point the way to another question. For example, if the answer is 'yes," the next question might be 'Did you pass?' - another closed-end question. c. In contrast, an open-end follow-up question might be 'How was it?' This kind of question invites or even compels the junior to start talking and to begin revealing personal thoughts and feelings. d. Both kinds of questions have their uses. On the whole, during counseling sessions, closed-end questions should be used sparingly because they do not encourage much participation from the junior. With such questions, the burden is almost entirely on the senior to keep the conversation alive and productive. e. Questions that begin with "who," "what,' or 'when,' can be closed-end questions. They can be useful in getting out the facts, but they begin to create the atmosphere of a cross examination if they dominate the discussion. Open-end questions can be used to invite a free response from the junior without revealing the senior's point of view -for example, 'How is the work going?' or 'Why do you think that approach didn't work?' f. Page 16 of 22 g. Echo questions repeat a word or phrase the junior has used and can encourage further explanation - for example, 'You got no response?' h. Probing questions can be used to get additional information - for example, 'Why do you think that happened?' i. Interpretive questions can be used to clarify or amplify what the junior has said - for example, 'Does that mean that you'll have to start over again?' Confirming questions can be used to gain commitment – for example, 'So, your platoon is now ready?' j. k. This list of questions does not exhaust the possibilities by any means. It should suggest two things, however, such as the following: (1) The senior should develop an awareness of the kinds of questions that may be used in the course of a counseling session. (2) The senior should consciously cultivate skill and versatility in adapting this style of questioning to the subject at hand, the purpose in mind, and the responsiveness and emotional state of the junior. 2. Active Listening a. Listening can be a passive or an active process . `Active listening' involves not only hearing what the junior says but also interpreting what it means, observing what the junior does as well as what is said, and responding in appropriate ways. b. Active listening serves at least two purposes. First, it gives the senior more to work with in responding to the junior's words. The senior can choose a style of questioning or decide how to guide the discussion more effectively than merely plodding item by item through the agenda. Second, it helps to show the junior that the senior is interested and concerned with what is going on in the discussion. c. One aspect of active listening is picking up verbal cues that the junior may or may not realize are being given. The junior's tone of voice may be higher or lower than usual or unsteady. The junior may hesitate or stammer over certain words or subjects. Words may be clear or mumbled. The junior may talk in specifics or in generalities. Cues like these may indicate problems that the junior is unaware of or does not want to talk about but that the senior may want to address. d. Another aspect of active listening is picking up nonverbal cues. Again, the junior may not be aware of them, but they can indicate an attitude or emotional state that does not come through in the junior's words. For example, the junior may avoid the senior's eyes or slump in the chair or sit unnaturally erect. The junior may scowl or smile or may have clenched fists. The senior should not attempt to be an amateur psychologist, but should be sensitive to the signals that the junior is sending in this way and should guide the discussion accordingly. e. Active listening includes 'playing back" what you hear to ensure that you understand what the junior means and to show that you are interested in what the junior says. f. One way of doing this is to restate it - for example, "You're saying that you find it difficult to work with that person.' Page 17 of 22 g. Another way is to paraphrase what the junior said – for example, 'So, working with that Marine is turning out to be harder than you expected.' h. Still another way is to offer supportive statements that recognize the validity of the junior's views or feelings without necessarily indicating agreement - for example, 'I can understand why you might have thought that.' 3. Giving Feedback a. To be effective, the junior needs to know where he/she stands. The senior should make a regular effort to express an opinion regarding the junior's performance. This feedback can occur in a formal counseling session, or informal session, or during casual encounters in the course of the day's work. b. Feedback on the junior's performance should be specific. It should focus on particular events and actions, specifically as follower (1) It should be objective. It should focus on performance - not the person or the personality. (2) It should be balanced, touching on strengths and successes as well as problems and weaknesses. Praise is a powerful motivator, and it should be used at every opportunity. (3) It should be related to the junior's targets. It should help to keep the junior's attention focused on the priorities of the unit as well as on personal priorities. (4) It should be timely. The feedback should come as close to the event as possible - while it is still fresh in one's memory. For scheduled counseling sessions that cover an extended period, the senior should provide an overall review of the junior's performance but should include enough specific examples to make it clear. Paragraph 4004 was removed for the purpose of brevity. CHAPTER 5 AVOIDING PITFALLS IN COUNSELING 5001. THE JUNIOR'S BEHAVIOR 1. The problems that can arise in the course of the counseling process are as varied as the people who are involved in the process. Problems are more likely to occur in the early stages of a senior/junior relationship and with a young, inexperienced Marine. They may turn up, however, at any time. 2. Getting the junior to participate in the process in a meaningful way can be difficult - particularly at the beginning of the senior/junior relationship. At this point, the basic need is to build the junior's confidence so that the counseling process is not threatening. The senior should do everything possible to demonstrate approachability, interest, and ways to help the junior do a good job. 3. Signs of nervousness are usually obvious. The senior can respond to them directly - for example, by telling the junior to relax - or indirectly - by providing a relaxed atmosphere, by looking interested but not threatening, and by beginning the counseling session with praise. 4. While not obviously nervous, the junior will sometimes agree, without comment, to everything the senior says. This may mean that the junior is afraid to expose personal thoughts Page 18 of 22 and feelings. It may mean that the junior would simply like to see the meeting conclude. In any case, the senior can deal with this situation by using open-end questions that compel an answer of more than one or two words and that invite an expression of opinion. The senior should not look for agreement for its own sake - although agreement on targets is an objective of the meeting, rather, the senior should look for an open interchange based on mutual respect and confidence. 5. The junior may disagree with the senior - for example, in the interpretation or evaluation of individual performance. This is not in itself a problem. In fact, in some cases, the junior may be right. The senior should lead a joint exploration of the subject using questioning and active listening to ensure that the issues are thoroughly understood and that the senior and the junior come to an agreement, if possible. 6. Occasionally, the junior may argue persistently, denying, and rebutting what the senior says. In such a situation, the senior should try to separate the emotion from the content of the discussion. While the junior may be right, the emotional tension will get in the way of a productive discussion. The senior should stay calm and try to keep the conversation focused on specific events end objective facts. 7. The junior may try to shift the blame for deficiencies in performance. Again, the first recourse is to get the facts out and to agree on what they mean, if possible. Beyond that, the senior may want to follow- up on the issue after the counseling meeting with others in the unit. The immediate concern, however, must be to get the junior to accept responsibility for personal decisions and performance. 8. The junior may be discouraged and depressed. In this situation, the senior should try to raise the junior's spirits through praise or to help the junior see personal performance in a more constructive light. 5002. THE SENIOR'S BEHAVIOR Just as the senior's failings can have a negative impact on the junior's performance, the senior can cause problems during the counseling process. 1. 2. The first concern should be whether planning for the counseling session has been adequate. Things that may seem trivial - like the lighting or temperature of the room - can have unexpected effects on a conversation about the performance of one of the participants. The senior must give serious thought to the details of the setting as well as to the content of the counseling session. 3. Before and during a counseling session, the senior should be aware of aspects of individual behavior that can interfere with the productivity of the session. One fairly common problem, the so-called 'halo effect,' develops when the senior draws conclusions about all aspects of the junior's performance from one event or even from one personal characteristic. This is one form of inflexible behavior as the senior sees everything about the junior through a single lens. 4. Other elements of the senior's mindset may also be a factor - for example, a personal bias or a stereotyped view of women, enlisted personnel, Southerners, or whatever. The senior must deal with people who are different in various ways. The senior must take them all as they are; respect them for what they are; and make a constant effort to focus attention on facts, events, and targets and results. 5. Apart from such personal characteristics, the senior can cause trouble in the counseling Page 19 of 22 session through failings in some counseling skills. For example: a. The senior may be inflexible in the counseling approach - constantly taking the tough guy role, using only the directive approach, rigidly following the sequence of subjects on the agenda, and so on. The most effective counseling style is flexible and adaptable to changes and to the behavior of the junior. b. The senior may do too much of the talking or interrupt the junior to get personal views across. The junior must be involved in the process, or the counseling will not result in developing a sense of responsibility and commitment to a set of goals. c. The senior may not be attentive or responsive to what the junior is saying and doing. Concentration is essential to effective counseling. The senior must pay constant attention not only to the junior's words but also to the junior's emotional state. d. The senior may use emotionally charged words that arouse the junior's feelings - especially when the subject is a problem with performance. On rare occasions, this may be necessary to get the junior to respond, but, ordinarily, the senior should make a conscious effort to keep the tone of the conversation friendly and objective. e. The senior may jump to a conclusion. The senior should ensure that there are sound reasons for making any generalizations about the junior's performance or behavior. f. The senior may talk too much in general terms. Since generalities are open to differing interpretations, the senior should focus as much of the conversation as possible on facts and events. g. The senior may be vague about the junior's performance targets or the plans for achieving them. The senior should take pains before the counseling session to define the targets clearly and precisely. h. Finally, the senior may not follow up effectively after the meeting. The senior should document the counseling session according to the unit's procedures and, above all, monitor the junior's performance after the session. This ensures that the junior is aware of the senior's continuing interest. Appendix A was removed for the purpose of brevity. APPENDIX B BIBLIOGRAPHY ON COUNSELING Books Albanese, Robert, Managing - Toward Accountability for Performance, 3rd edition (Homewood, IL, Dorsey Press, 1981). Bennis, Warren and Manus, Burt, Leaders: The Strategies for Taking Charge (New York, Harper i Row, 1985). Bernadin, N .J. and Beatty, R .W. Performance Appraisal: Assessing human Behavior At Work (Boston, Kent Publishing Co., 1983). Blanchard, Kenneth and Johnson, Spencer, The One Minute Manager (New York, William Morrow & Co., 1982). Page 20 of 22 Carroll, Stephen J. and Schneier, Craig E., Performance Appraisal and Review Systems (Glenville, IL, Scott, Foresman & Co., 1982). Connellan, Thomas K., How To improve Human Performance (New York, Harper & Row, 1978). Deegan, A., Coaching: A Management Skill for Improving Individual Performance (Reading, MA, Addison- Wesley, 1979). Drucker, Peter F., People and Performance (New York, Harper's College Press, 1977). Fombrun, Charles J., Tichy, Noel M., and Devanna, Mary Anne, Strategic Human Resource Management (New York, John Wiley & Sons, 1984). Fournies, P., Coaching for improved work Performance (New York, Van Nostrand Reinhold Co., 1978). Gordon, Dr. Thomas., Leadership Effectiveness Training (Ridgefield, CT, Wyden Books, 1977) Henderson, Richard I., Practical Guide to Performance Appraisal (Reston, VA, Reston Publishing Co., 1984). Latham, G .P. and Wexley, K .N. Increasing Productivity through Performance Appraisal (Reading, MA, Addison-Wesley, 1980). Levy, Seymour, A Guide to Counseling; Developing Employees Through Performance Reviews (Larchmont, NY, Martin M Bruce Publishers, 1976). McGregor, Douglas M., Leadership And Motivation (Cambridge, MA, M .I .T. Press, 1966). Maccoby, Michael, The Leader a New Face for American Management (New York, Simon & Schuster, 1981). Mager, Robert F., and Pipe, Peter, Analyzing Performance Problems: Or You Really Oughta Wanna (Belmont, CA, Pitman Learning, Inc., 1970). Mirenberg, Jesse S., Breaking Through To Each Other: Creative Persuasion On the Job and In The Home (New York, Harper & Row, 1976). Peters, Thomas J., Waterman, Robert H. Jr., In Search of Excellence: Lessons From America’s Best Run Companies (New York Harper & Row, 1982 Porter, Lyman W., Managerial Attitudes And Performance (Homewood, IL, Irwin, 1968). Wylie, Peter, Problem Employees: How to Improve Their Performance (Blemont CA, Pitman Learning, Inc., 1981). Zalernik, Abraham, Human Dilemmas of Leadership (New York, Harper a Row, 1966). Zangwill, Willard I. Success with People: The Theory Z Approach To Mutual Achievement (Homewood, IL Dow Jones-Irvin, 1976) Zey, Michael G., The Mentor Connection (Homewood, IL, Dow Jones-Irwin, 1984). Page 21 of 22 Articles Admire, LtCol John H. 'Leadership and fraternization.' Amphibious Warfare School: Advance Sheets and Annexes, pp. 168-171 (1984-1985). Benson, LtCol J .H. 'An Approach to performance counseling.' Marine Corps Gazette, pp. 63-67 (January 1985). Boucher, Norman, 'In Search of Leadership.' New Age, pp. 48-53 (October 1985). Brache, Alan. 'Seven prevailing myths about leadership.' Training and Development Journal, pp. 120-126 (June 1983). Cavanagh, Michael E., 'Personalities at work.’ Personnel Journal, pp. 55-64 (March 1985). Clawson, James G., ‘Interpersonal learning ladder.’ University of Virginia, Charlottesville, VA (1983). Darter, Steven, 'Save that job: transforming the poor performer.' Research Management, pp. 2326 (May/June 1985). Earl, LtCol Robert L., 'Two views on performance evaluation.’ Marine Corps Gazette, pp. 53-54 (October 1984). Edson, Col J .J. 'Counseling craze criticized. 'Marine Corps Gazette, pp. 32-33 (March 1985). Holoviak, Steven J., and Holoviak, Sharon Brookens, " The benefits of in-house counseling .'Personnel, pp. 53-59 (July/August 1984). Lawrence, VAdm William P., 'Common qualities of Good Leaders,’ Amphibious Warfare School: Advance Sheets and Annexes, pp. 47-48 (1984-1985). Miles, J .B ., 'How to help troubled workers.’ Computer Decisions, pp. 66-76 (February 12, 1985). Nette, Maj Kenneth A., 'A philosophy of command. Amphibious Warfare School: Advance Sheets and Annexes, pp. 232-238 (1984-1985). Orton, Ann, 'Leadership: New thoughts on an old problem.’ Training pp. 28-33 (June 1984). Pressler, Jr., Eugene C. "Counseling the problem employee.’ Management World, pp. 41-42 (March 1981). Scharfen, Col J .C., 'Views on manpower.' Marine Corps Gazette, pp. 52-57 (February 1985). Schulze, MajGen Richard C., Obedience, The Unpopular Military Virtue.’ Amphibious Warfare School: Advance Sheets and Annexes pp. 159-162 (1984-1985). White, Robert N., 'Corrective action: a treatment plan for problem performers.’ Personnel, pp.7-9 (February 1985). Wight, David T., "The split role in performance appraisal” Personnel Administrator, pp. 83-87 (Kay 1985). Zey, Michael G., 'Mentor programs: making the right moves. Personnel Journal, pp. 53-57 (February 1985). Page 22 of 22 CC6916SUPA LEADERSHIP DEVELOPMENT II Socratic Leadership: Are you the main effort? Andrew E. Petrevics, Captain Marine Corps Gazette, Sept 2018; 102, 9, pg. 65-67 Expeditionary Force (under) 21. Sixty-four percent of the Corps is first term enlisted. Former Commandant Gen Joseph Dunford, however, desired a more mature, experienced, and technical Marine Corps, with sergeants doing what lieutenants did fifteen or twenty years ago.1 Over time, the 64 percent will rise in age and rank, but quality service members do not “just happen.” Junior Marines must not only become proficient in technical skills—the science of war—but they must become students who question why they make decisions, or the art of war. This learning comes top-down, but it must be internalized bottom-up, especially in students’ formative years. Through Socratic leadership, Marines teach themselves and discover their own solutions to dilemmas. Leaders must consciously minimize their own role by training a generation of warriors who decide, communicate, and act on their own initiative. Their answers must be their own. If “being a Marine is a state of mind,”2 what mindset will you cultivate in the new breed? Socrates and the New Breed Leaders who show genuine concern for what their Marines think and say may resemble Socrates. Rather than scold the youth, Socrates was the magnetic type whose students A hens eluded other obligations to learn from him and take notes—with no one forcing them to. In fact, most of what we know about Socrates is from one of his students: Plato. Plato would go on to produce Aristotle, who in turn would transfer ideas into actions in Alexander (the Great). Yet Socrates was accused of corrupting the youth and of impiety toward the sacred cows of Athens. Socrates rejected any attempts to pass off another person’s ideas or the beliefs of the majority as truth. … The brilliance of the Socratic method is in the character developing [the] power it has through the exercise of a person’s love of asking and answering questions in the pursuit of knowledge.3 Denied his counterclaim to free meals for life in Athens’ chow hall and sentenced to death, Socrates voluntarily drank hemlock poison in order to remain faithful to his city’s laws. Although he could not answer questions such as “What is justice?” he answered definitively by the way he lived and the way he died, through his actions. Socrates gained influence because he primarily cared about his students and how they reasoned to their conclusions. Socrates continually asked his students to evaluate their own ideas by questioning assumptions and challenging their answers with open-ended questions—not by pontificating. One of his students, Meno, exclaimed in amused frustration that he no longer knew what virtue was. Meno was challenged to make a decision, not merely repeat platitudes. Old Answers and the Profession of Arms Shortly before his country again invaded Afghanistan, Sir James Fitzjames Stephen wrote, in 1874: Page 1 of 4 To be able to recognize your superior, to know whom you ought to honour and obey, to see at what point resistance ceases to be honourable, and submission in good faith and without mental reservation becomes the part of courage and wisdom, is supremely difficult. … In nearly every department of life we are brought at last … face to face with some ultimate problem where logic, analogy, experiment, all the apparatus of thought, fail to help us, but on the value of our answer to which their value depends. The questions, Shall I or shall I not obey this man? accept this principle? submit to this pressure? and the like, are of the number. No rule can help towards their decision; but when they are decided, the answer determines the whole course and value of the life of the man who gave it.4 The Marine has answered. He has sworn to defend the Constitution and the inalienable rights it protects, life and liberty. It is here that philosophy— “love of wisdom”—and zeal for action meet: in the ethical warrior. Whether it is the Stoics of Greece or the U.S. Marines, men of action are timeless. So too should be their values, which inform their immortalized actions. Yet the Socratic Method has limits. Unlike philosophers, men of action must move beyond questions to generate solutions. One must beware that “there are no Socratic teachings.”5 If we do not recognize the value of answers—imperfect though they are— we become indecisive, and, like the Roman commander Pontius Pilate, we become resigned to mutter, “What is truth?” Socrates showed that in the end, the answer that matters is your own. Are your Marines empowered to act with this knowledge? Socratic Leadership There are several keys to a Socratic style: minimize the leader and develop the student; use guided discussions in small groups, not auditoriums; come to value the decision­ making process more than the “answer”; mentor your replacement; and live and die faithfully. Minimize the leader. The first obstacle to Socratic leadership is often the leader. One must not confuse questioning an idea with questioning authority. Leaders must see their reflection in their disciples. Leadership is a supporting effort. The main effort is enlisted Marines, not an officer’s career. Socratic questions make arguments—mutually exclusive statements—impossible. This reduces power struggles. The problem—alcohol abuse, a tactical decision game, or the enemy— takes center stage, not the billet holder who guards the “right” answers. Students are not to be viewed as inadequate miniatures of their leader but as developing warriors who may become like Alexander—great. Leaders must cease “being” and see themselves as lifelong students who also are “becoming,” seeking to refine knowledge and character through inquiry. Leading by example means becoming a student of the art of war. We owe America’s sons and daughters more than babysitters and wardens. We owe them mentors like Aristotle, who value right thought and right action—Marine officers who know the art of leading a young Marine Corps. Small groups and guided discussions. Small groups encourage feedback, informing leaders of the expectations and perceptions of their Marines. It gives junior Marines a blow-off valve—an opportunity to express themselves and be heard before they are ready for suggestions. Too often we skip this step. By forbidding them to speak, we forbid them to listen. Discussions require students to become the teachers. The multiplicity of leadership roles in decentralized groups reflects the way Marines operate. Empowering subordinates to teach increases learning. Senior class TBS students might facilitate a sand table exercise for junior peers. Martial arts students should practice teaching a Marine Corps Martial Arts Program session to real students, under Page 2 of 4 supervision, before they graduate as instructors. Imagine the real-world feedback that would generate. It also generates buy in; Marines are doers. Instead of sitting in an auditorium, a corporal or sergeant should lead Marines. Learn by doing. We can pair experienced Marines with junior ones and encourage open conversations between ranks—officer and enlisted—to generate a consensus. When feasible, learning from open-ended experiences—where several answers are possible—is more enlightening and more genuine than an adversarial, yes-or-no hierarchy that often becomes personal because the higher rank must win eleven times out of ten. Socrates showed us another way. Trust is not built on paper or by PowerPoint. It does not grow from canned answers delivered by unknown superiors in packed auditoriums. Trust grows in small groups with trusted mentors who know and are known by their Marines. Learning is a two-way trust. If we do not listen to our Marines, they will not listen to us. We should not desire submission to our status so much as commitment to something greater—our ethos. I don’t trust a compliant Marine. I trust a committed Marine. It is by invitation—the open hand, not the fist—that the Eagle, Globe, and Anchor are tattooed indelibly on the soul, the heart. Socratic methods initially frustrate students because the “right answer” disappears. We are rewarded for telling superiors what they want to hear rather than what we really think. But Socratic leaders demand students to think. The tactical decision games and sand table exercises at TBS possess this spirit. Once trust is established, students discover pleasure and confidence in doing their own thinking. The reward is freedom— the freedom to decide, communicate, and act. Marines learn to seek feedback from changing conditions, not conformity to a fixed answer key. Knowing the easy answers— Mentorship. To be great, we must become a Narcissus who seeks to admire his reflection not in the mirror but in the greatness of others—those he mentors. Genuine marks of leadership are not rifle badges, martial arts belts, or run times—individual achievements cease at death. But a leader sustains the transformation in disciples, like Socrates, beyond his own years. Do you want to live forever? Always faithful. Marines take an oath to defend the Constitution. But the Constitution is an idea, a philosophy of government—not a slide-rule that reveals simple solutions to complex political dilemmas. Man struggles to interpret it. Socrates haunts the Constitution, begging the question, “What is good?” This question can be answered. Gen James F. Amos said, Stop telling me about your priorities! Show me your budget, and I’ll tell you where your priorities lie. … It’s my responsibility to look beyond the parochialism of my own service and ask the question, ‘What’s right for our nation?’ To me, this means we must consider how we spend our time and focus.6 Defense spending on new technology reflects a hope in machines, more and more unmanned. Marines must balance that attitude with an older mindset, one that operates machines and trusts people. In our pursuit of modernization, we cannot forget the timeless element in warfare—the human enterprise. Parthian Shots As stewards of “trust and confidence,” Marines must know wrong when they see it and act to stop it. Refusing to be bystanders and pacifists but rather first to fight for right, Marines must develop the protector mindset. Socratic thinking helps forge convictions— and the Marine Page 3 of 4 mindset prepares one to answer ethical dilemmas with decisive action— both in combat and in garrison—by protecting life. Sixty-six percent of the Corps is younger than 25. Who will teach them? Who will ask them to do more than regurgitate policy, to think and act for right and freedom? Who will make them skilled in leading Marines and in the art of war—more than compliant bystanders or heartless mercenaries? One thing is certain. When you look at your Marines, you will see yourself. Don’t tell me how good you are. Show me your Marines, and I’ll show you where your priorities lie. Notes 1. Gen Joseph F. Dunford, Jr., Testimony before the House Armed Services Committee, 17 March 2015, (Washington, DC: broadcast by C-SPAN3). 2. Headquarters Marine Corps, MCWP 6-11, Leading Marines, (Washington, DC: 1995). 3. Max Maxwell, “Introduction to the Socratic Method and its Effect on Critical Thinking,” available at www.socraticmethod.net (http://www.socraticmethod.net). 4. James Fitzjames Stephen, Liberty, Equality, Fraternity, (Indianapolis, IN: Liberty Fund, 1993). 5. MCWP 6-11. 6. Gen James F. Amos, Remarks to RAND, (Pentagon City, VA: 28 January 2014). Reprinted by permission of the Marine Corps Association. Further reproduction prohibited without the permission of the Marine Corps Association. Page 4 of 4 
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