El Listening Response Rasmussen R V

INTERPERSONAL FEEDBACK:
PROBLEMS AND RECONCEPTUALIZATION
Raymond V. Rasmussen
Inthefieldofcybernetics,thetermfeedbackisusedtodescribeanessential
componentofselfregulatingdevices(Ruben,1972).Athermostatisafamiliarexample.
Inhumanrelations,feedbackhasbeenusedtorefertoaprocessofinformation
gatheringandcorrection:Onepersonfeedsbackhisorherperceptionsofanotherperson
sothatthesecondpersoncanmakehisorhersocialorworkbehaviormoreeffective.
Anumberofwritershavesaidthatgivingandreceivingfeedbackisoneofthemost
importantprocessesingroupdynamics(Devine,1976;DiBerardinis,1978;Hanson,
1973;Lundgren&Schaeffer,1976).ScheinandBennis(1965)havestatedthat
practicallyallhumanlearningisbasedonobtaininginformationaboutperformance
(feedback)andthendetermininghowfartheperformancedeviatesfromadesiredgoal.
Accordingtotheseauthors,feedbackshakesuporunfreezespeoplebycreatinga
perceivedthreattotheirselfconcepts.Theunfreezingprocesselicitsaneedforchange.
SupportforthisnotioncomesfromareviewoftheTgroupliteraturebyCampbelland
Dunnette(1968),whofoundthatthereceptionofnegativefeedbackstimulatesagroup
membertoalterhisorherlevelofselfsatisfactionandtotrynewbehaviors.
Feedbackisalsoawidelyprescribedstrategyinthemanagementliterature
(Hackman&Oldham,1976;Luthans&Kreitner,1975;Tosi&Carroll,1970).The
utilityofinterpersonalfeedbackintheorganizationhasbeenexplainedbyseveral
writers.Forexample,MyersandMyers(1973)statethatinordertobeeffectiveinan
organization,peopleneedtoknowhowtheirbehaviorimpactsothers.Solomon(1977)
hasstated:
Feedback...canhelpanindividualbecomemoreeffectiveinhisinterpersonalrelations,onthejob
behavior,andtaskaccomplishment.Ifapersonsbehaviorisnothavingdesirableorintended
effects,hecanchangeit.Withoutfeedback,theimpactofhisbehavioronothersmayneverbe
fullyoraccuratelyknown.(p.185)
Althoughfeedbackhasmanypotentialbenefits,italsoseemsclearthatitdoesnot
alwaysworkinpractice.PfeifferandJones(1972)havestatedthatunrestricted,
untetheredtruthcancreatehighlevelsofanxietyandcancausepeopletobecomeless
abletoaccomplishtheirgoals;Solomon(1977)suggestedthatfeedbackcanleadto
longtermreprisals;LundgrenandSchaeffer(1976)foundthatnegativefeedbackwas
oftenrejectedbytherecipient;andGibb(1961)foundthatthewaysinwhichmessages
typicallyaredeliveredininterpersonalsituationstendtoevokedefensiveness.

OriginallypublishedinThe 1984 Annual: Developing Human ResourcesbyJ.WilliamPfeifferandLeonardD.Goodstein
(Eds.),SanDiego,CA:Pfeiffer&Company.
212
The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer
Thereareproblemsintransmittingaswellasinreceivingfeedback.Forexample,
substantialevidenceshowsthatpeopletrytoavoidtransmittingunpleasantmessages
(Blumberg,1972;Fitts&Ravdin,1953;Oken,1961;Tesser&Rosen,1975)andthatif
theycannotavoidgivingfeedback,peopletendtodistortitormakeitmorepositive
(Fisher,1979;Tesser,Rosen,&Tesser,1971).
Agooddealoftheliteratureonfeedbackisprescriptiveinnatureandnot
empiricallyvalidated(Argyris,1962;Egan,1975;Gibb,1961;Hanson,1975;Kurtz&
Jones,1973;Mill,1976;Morris&Sashkin,1976;Pfeiffer&Jones,1972;Solomon,
1977).Itsuggeststhattherearecertainrulesfordeliveringfeedbackthatwillmakethe
feedbackmoreeffective.Themajorityoftheseprescriptionsconcerntheaccuracy,
focus,timing,objectivity,andvalidationofthetransmission,thatis,ensuringthatthe
recipientreceivesthecorrectmessage.Keltner(1973,p.97)stresses,Foranychangeto
occurnotonlyisfeedbackessential,butthesynonymousmeaningofthemessagemust
besharedbythegeneratorandthereceiver.
Itseemslikely,however,thataccuracyoftransmissionisnotthemajorcauseof
problemswiththefeedbackprocess.Severalwritershaveacknowledgedthatfeedback
canhurtpeopleandleadtodefensivenessandreprisalsdespiteskillfuldelivery(Porter,
1974;Solomon,1977).Asecond,largelyunaddressed,problemwiththefeedback
processhastodowiththewillingnessoftherecipienttoutilizethefeedback.Untilthis
problemisresolved,feedbackmayremainunderutilizedandproblematicinhuman
systems.Therefore,thispaperwillnowaddresstheproblemofwillingness.
FEEDBACK AS PART OF A CHANGE PROCESS

Mostoftheliteratureviewsfeedbackasaninputtohelpdirectbehavioralchange(Budd,
1972;Hanson,1975;Mill,1976).However,theimplicationthatchangeisnecessaryor
desiredevokesfeelingsaboutbeingcontrolled.AccordingtoGibb(1961),acontinual
bombardmentofpersuasivemessagesfrompoliticians,educators,specialcauses,
advertising,religion,medicalexperts,andindustrialrelationsandguidancecounselors
hasresultedincynicalandparanoidalresponsestomessagesthatcontainanelementof
control.Gibbalsostatesthatchangemessagesconveyimplicit,esteemreducing
informationthatevokesdefensivereactions:
Implicitinallattemptstoalteranotherpersonistheassumptionbythechangeagentthatthe
persontobealteredisinadequate.Thatthespeakersecretlyviewsthelistenerasignorant,unable
tomakehisowndecisions,uninformed,immature,unwise,orpossessedofwrongorinadequate
attitudesisasubconsciousperceptionwhichgivesthelatteravalidbasefordefensivereactions.
(p.143)
Suchresistancetochangemessagesisnotanewphenomenon.Accordingto
McGinnesandFerster(1971,p.432),EversinceMachiavelli,andperhapsbefore,there
hasbeenafearofcontrolandmanipulationofonepersonsbehaviorforthebenefitof
another.
213
Theperspectiveofthebehavioristschoolalsoshedslightonwhyfeedbackmaybe
aproblematicprocess.Accordingtothebehaviorists,societyprimarilyusesaversiveor
punishmentorientedcontroltechniques(Luthans&Kreitner,1975;Skinner,1953).
Thus,negativefeelingsthatareassociatedwithbeingcontrolledbyaversivemethods
havebecomeassociatedwithanyattempttocontrolbehavior,eveniftheattemptis
intendedtobehelpful.
POSITIVE AND NEGATIVE FEEDBACK

Asecondreasonwhychangeorientedfeedbackmaycauseproblemsconcernsthefocus
ofthefeedback.Althoughsomewritersemphasizethatbothpositiveandnegative
feedbackcanbegiveninagroupcontext(Luthi,1978;Solomon,1977),theScheinand
Bennis(1965)learningmodelclearlyemphasizesthatitisnegativefeedbackthatis
disconfirmingandcausesunfreezingandtheneedforchangetooccur.
Theemphasisonfeedingbackanynegativeinformationisstronglyopposedbythe
behaviorists(Gambril,1977;Luthans&Kreitner,1975),whobelievethatthebestway
tocreatebehavioralchangeistofocusonpositiveordesiredbehaviorsandtoignore
undesirablebehaviors.Intheirview,negativefeedbackprobablyconstitutesapunishing
experienceformostpeopleandcanleadtodetrimentalsideeffects(forexample,
anxiety,reducedperformance,defensiveness,reprisal).
Thecounselingliteraturetakesasimilarview.BerensonandMitchell(1969)have
distinguishedfivemajortypesofconfrontation,includingstrengthconfrontation,
focusedontheresourcesofthepersonbeingconfronted,andweaknessconfrontation,
focusedonthepathologyorliabilitiesofthepersonbeingconfronted.Theirresearch
indicatesthateffectivehelpersusestrengthconfrontationsmorefrequentlyand
weaknessconfrontationslessfrequentlythanineffectivehelpers.
FEEDBACK AND VALUES

Thedifficultiesofthefeedbackprocesscanbeunderstoodfurtherbyconsideringthe
issueofvalues.Apersonwhosetsathermostatdecidesonagoodtemperature.The
thermostatdoesnotcare.However,inhumansystems,thereoftenismorethanone
definitionofthedesirablestate.Discussionandclarificationnotonlyofbehaviorsbut
alsoofconflictingvaluesoftenarerequired.If,forexample,thereisconsensusamong
groupmembersthatitisgoodtobeassertiveandmembersofthegroupprovide
feedbackaboutcertainbehaviorsofanunassertivemember,theinformationcouldhelp
therecipienttobecomemoreassertive.If,however,thevaluesofthoseprovidingthe
feedbackarenotacceptedascorrect,thefeedbackmayindicateaneedtoexaminethe
systemasawhole.Itmaybethattheunassertivepersonsvaluesareofahigherorder
thanthoseoftheothermembersofthegroup.Italsomaybethatthepersonwho
initiatedthefeedbackcouldbenefitfromexamininghisorherreactionstounassertive
people.

214
HELPING OR CONFLICT MANAGEMENT?
Anotherdifficultyinthefeedbackprocesshastodowithwhetherfeedbackisperceived
aspartofahelpingorconflictmanagementprocess.Inmostgroupsituations,thepeople
whoaresendingfeedbackprobablyseethemselvesinhelpingroleswhereas,inreality,
theirpositionmaybebetterdescribedasbeinginconflictwiththoseoftheotherpeople.
Thatis,ifonepersonexperiencesadrivetosendfeedbacktoanotherperson,itusually
isbecauseheorshefeelsthatthereissomethingbothersomeorwrongwiththeother
personsbehavior.ItisprobablyforthesereasonsthatRogers(1970)preferstousethe
termconfrontationforencountersituationsinwhichpeoplegiveeachotherfeedback
andwhyEgans(1970,p.295)definitionofconfrontationissosimilartowhatothers
havecalledfeedback:Confrontationtakesplacewhenoneperson,eitherdeliberatelyor
inadvertently,doessomethingthatcausesordirectsanotherpersontoreflectupon,
examine,question,orchangesomeaspectofhisbehavior.
Whenconflictorientedfeedbackissentintheguiseofahelpinggesture,thereisa
problemforbothsenderandrecipient.Thesenderhelperiscertainthattheproblemrests
withtheotherandthatthesolutionisfortheothertochange.Thus,thesenderfailsto
examinehisorherownvaluesandbehavior.Theproblemiscompoundedbecausethe
wouldbehelperisfrustratedwhentherecipienthelpeeindicatesanunwillingnessto
accepttheinformationandtochangehisorherbehavior.
Ontheotherside,therecipientmayfeelgratefulbecauseoftheattentionor
intentiontohelp,butprobablyalsofeelshurtandresentfulbecauseofsensedcriticism
andtheimpressionthatacomfortablebehaviorisbeingattacked.
Askilledhelpershouldbeabletodistinguishbetweenconflictandhelping
feedback.AccordingtoEgan(1975),conflictualfeedbackstemsfromadiscrepancy
betweenthesendersvaluesandthevaluesandbehaviorsoftherecipient.Helping
feedbackisbasedonthediscrepanciesbetweentherecipientsvaluesandbehaviors.
Peoplewhoattempttogivefeedbackineithergroupororganizationalcontextsare
unlikelytobeoperatingatthislevelofsophistication.Infact,theysimplyacceptthe
trainersimplicitsuggestionthatfeedbackishelpfuland,thus,thinkofthemselvesas
helpers.
Insummary,littleattentionhasbeenpaidtothewillingnessoftherecipientof
feedbacktochangehisorherbehavior.Unwillingnessmaystemfromseveralfactors:
whethertherecipientperceivesthefeedbackascontrol,whetherthefeedbackispositive
ornegative,whetherthefeedbackisbasedonthesendersorrecipientsvalues,and
whetherthefeedbackisdescribedashelpwhenitwouldbetterbedescribedas
conflict.
RECOMMENDATIONS
Ifthepointsmadeinthisarticleareaccepted,prescriptionsthathavebeensuggested
elsewhereformakingthefeedbackprocessmoreeffectivecanbeexpandedand,insome
cases,shouldbemodified.
215
First,peoplegivingfeedbackshouldbeabletodistinguishbetweenconflictbased
feedbackandhelpingorientedfeedback.Ifthefeedbackisconflictbased,aconflict
resolutionprocessshouldbeutilized.Thenthefeedbackwouldbemerelythestartofan
examinationbyboththeinitiatorandtherecipienttoexaminethebehaviorinquestion
withrespecttotheirdifferentvaluesystems.Theresolutioncouldentailachangeof
attitudeorbehavioronthepartofeithertheinitiatorortherecipientorboth.Although
accuracyoftransmissionisimportant,itislessimportantthantherecognitionthatthe
situationisconflictual.Gordons(1970)systemofParentEffectivenessTraining,Gibbs
(1961)ProblemOrientation,andHarriss(1969)TransactionalAnalysismodelare
examplesofconflictmanagementprocessesbasedonthesepremises.
Second,somebehaviorsthatwouldbeappropriateinahelpingsituationwouldbe
inappropriateinaconflictsituation.Forexample,consensualvalidationbyothersina
conflictsituationwouldbelikelytobethoughtofasinterferenceandcouldhinderthe
resolutionoftheconflict.
Third,ineitheraconflictorahelpingsituation,anefforttoreinforcedesired
behaviorsandignoreundesirablebehaviorswouldprobablybemoreeffectivethan
describing,andthusimplicitlycriticizing,undesirablebehaviors.
Fourth,inanyfeedbacksituation,itshouldbeacknowledgedthatthefeedbackis
likelytoevokenegativeaffectandfeelingsofresistance.Themessagethatfeedbackcan
leadtogrowthandthereforeissomethingthatoneshouldgracefullyacceptdeniesthe
realityofthesituationandcompoundstheproblembyplacingpressureontherecipient.
Fifth,inaconflictbasedsituation,thesenderofthefeedbackmaywellusetheurge
tosendfeedbackasthebeginningofaselfexaminationthatmayleadtoachangeinhis
orherownattitudesorbehavior.Thispersonthenmayormaynotchoosetosendthe
feedback.
Insummary,problemswiththeuseoffeedbackinhumansystemsstemfromtwo
sources:thedifficultyintransmittingmessagesaccuratelyandthedegreeofwillingness
oftherecipienttousethetransmittedinformation.Theliteraturedealsprimarilywith
techniquesfortransmissionandlargelyignorestheissueofthewillingnessofthe
recipient.Thesuggestionsinthisarticleformodifyingandaddingtotheprescriptions
forusersofthefeedbackprocessprovideanareaforfurtherexplorationoftheuseof
feedbackingroupandorganizationalsettings.
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218
THE LOST ART OF FEEDBACK
Hank Karp
Theabilityandthewillingnesstocommunicateeffectivelyarethekeystosupervisory
success.Althoughcommunicationeffectivenessisbasedontheabilitytomakeand
maintaineffectivecontact,regardlessofthesituation,specificareasofcommunications
requiresomeadditionalthoughtandplanning.
Oneofthemostimportanttoolsformaintainingcontrolanddevelopingpeopleis
theproperuseoffeedback.Althoughfeedbackhasbeencategorizedaspositiveand
negative,anotherwayofviewingitistoclassifyitintosupportivefeedback(which
reinforcesanongoingbehavior)andcorrectivefeedback(whichindicatesthatachange
inbehaviorisappropriate).Inthissense,allfeedbackispositive.Thepurposeofall
feedbackshouldbetoassistapersoninmaintainingorenhancinghisorherpresentlevel
ofeffectiveness.
Somefeedback,bydefinition,isbetterthannofeedback.Thereare,however,ways
togivefeedbackwellandwaystogiveitsuperbly;therearealsowaystoreceiveit
effectively.Thisarticlepresentssomeguidelinesthatcanhelptosharpentheprocesses
ofgivingandreceivingfeedback.Themostimportantfunctionoffeedbackistohelpthe
personwhoisreceivingthatfeedbacktokeepintouchwithwhatisgoingoninthe
environment.
SUPPORTIVE FEEDBACK
Supportivefeedbackisusedtoreinforcebehaviorthatiseffectiveanddesirable.An
axiomofeffectivesupervisionisCatchthemdoingsomethingrightandletthemknow
it(Blanchard&Johnson,1982).Oneofthemostdamaginganderroneousassumptions
thatmanysupervisorsmakeisthatgoodperformanceandappropriatebehavioraretobe
expectedfromtheemployeeandthattheonlytimefeedbackisneedediswhenthe
employeedoessomethingwrong.Therefore,thesesupervisorsnevergivesupportive
feedback.Ifasupervisor,however,weredeterminedtogiveonlyonekindoffeedback,
heorshewoulddowelltochoosesupportivefeedbackandletcorrectivefeedbackgo.In
otherwords,ifasupervisorstressederrorsonly,theendresultwouldbeatmostan
attemptbyemployeestodostandard,errorfreework.Thisaccomplishmentwouldnot
bebad,butthereisabetterway.
Ifasupervisorconcentratedonwhatemployeesweredoingwell,thensuperior
workiswhatthoseemployeeswouldbecomeawareof.Theywouldbegintoviewtheir

OriginallypublishedinThe 1987 Annual: Developing Human ResourcesbyJ.WilliamPfeiffer(Ed.),SanDiego,CA:Pfeiffer
&Company.
219
workintermsofperformingaswellandascreativelyaspossible.Whatisreinforcedhas
atendencytobecomestronger;whatisnotreinforcedhasatendencytofadeaway.If
excellenceisactivelyreinforcedanderrorsaresimplymentioned,employeeswillfocus
onexcellenceandtendtodiminisherrors.Thefollowingexampleofthetwotypesof
feedbackillustratesthedifference.
Focusonerrors:Thelastthreepiecesinthatbatchcontainedwrongfigures.We
cannothavethatkindofsloppyworkinthisdepartment.
Focusongoodwork:Thisbatchlooksgood,exceptforthelastthreepieces,which
containwrongfigures.Youprobablyusedthewrongformula.Takethembackand
checkthemout,justthewayyoudidthefirstgroup.
Fortunately,however,noonehastomakeachoicebetweenusingonlysupportive
oronlycorrectivefeedback.Bothareessentialandvaluable,anditisimportantto
understandhoweachworkssothatthemaximumgaincanbereceivedfromtheprocess.
CORRECTIVE FEEDBACK
Correctivefeedbackisusedtoalterabehaviorthatisineffectiveorinappropriate.Itisas
essentialtothegrowthprocessassupportivefeedback.Acorrectivefeedbacksession,
althoughneverhurtfulifdoneproperly,isnotaparticularlypleasantexperience.Under
thebestofcircumstances,thesubordinatewillprobablyfeelalittledefensiveor
embarrassed.
Ingivingcorrectivefeedback,themanagershouldhaveanoptionreadytopresent.
Whentheemployeeismadeawareoftheinappropriatebehavior,havinganimmediate
alternativecanbeeffectiveandpowerfulinshapingbehavior.Bypresentingthe
alternativeimmediatelyafterthecorrectivefeedback,themanagerishelpingthe
subordinatetocomeoutofapersonallyuncomfortablesituationintheshortestpossible
time.Thisprotectsthedignityofthesubordinate.Themanageralsoisestablishing
himselforherselfasasupporterofgoodworkandgoodworkers,whichgoesalongway
indevelopingstrong,productive,andsupportiveworkingrelationships.Alsovery
important,themanagerispresentinganalternativethattheemployeemightneverhave
consideredorthatwasconsideredandrejected.Thisprovidesforimmediatelearning.
Mostimportant,however,isthefactthatthemanagerismakingtheemployeeawarethat
analternativewasavailableatthetimetheemployeechosetoactotherwise.This
awarenesscanhelptheemployeetotakeresponsibilityforhisorherownchoices.In
otherwords,theemployeewouldrealize,Thatsright;Icouldhavedoneitthatway.
Thefollowingexampleshowshowanalternativecanbeeffectivelyaddedtothe
feedback:WhenyousnappedatAnninfrontofthegroup,sheappearedtobevery
embarrassedandangry.Whenyoumustremindanemployeetobeontime,itsless
embarrassingforeveryonetodiscussitwiththeemployeeprivatelyafterthemeeting.

220
GUIDELINES FOR EFFECTIVE FEEDBACK
Thefollowingguidelinesarehelpfulformanagerswhoaretryingtoimprovetheir
feedbackskills,andtheymayalsobeusedasareviewpriortogivingfeedback.
1. Deal in Specifics
Beingspecificisthemostimportantruleingivingfeedback,whetheritissupportiveor
corrective.Unlessthefeedbackisspecific,verylittlelearningorreinforcementis
possible.Thefollowingexamplesillustratethedifferenceingeneralandspecific
statements.
General:Imgladtoseethatyourworkisimproving.
Specific:Impleasedthatyoumeteverydeadlineinthelastthreeweeks.
General:Youreaverysupportiveperson.
Specific:Iappreciateyourtakingtimetoexplainthecontracttoournew
employee.
General:Yourefallingdownonthejobagain.
Specific:Lastmonthmostofyourcostreportswerecompletelyaccurate,butlast
weekfourofyourprofit/lossfigureswerewrong.
Thelastsetis,ofcourse,anexampleofcorrectivefeedback.Generalstatementsin
correctivefeedbackfrequentlyresultinhostileordefensiveconfrontations,whereas
specificstatementssetthestageforproblemsolvinginteraction.Carryingthelast
illustrationonestepfarther,themanagercouldaddanalternative:Startcheckingthe
typedreportagainstthecomputerprintouts.Someoftheerrorsmaybetypos,not
miscalculations.
Iftheemployeeistolearnfromfeedbackandrespondtoit,thenheorshemustsee
itintermsofobservableeffects.Inotherwords,theemployeemustbeabletosee
clearlyhowhisorherbehaviorhadadirectimpactonthegroupsperformance,morale,
andsoon.Whentheemployeeseesthepointofthefeedbackobjectively,theissuewill
bedepersonalized;andtheemployeewillbemorewillingtocontinuewithappropriate
behaviorsortomodifyinappropriatebehaviors.Althoughthemanagerspersonal
approval(Imgladtosee...)ordisapproval(Imdisappointedthat...)cangive
emphasistofeedback,itmustbesupportedbyspecificdatainordertoeffectachangein
behavior.
2. Focus on Actions, Not Attitudes

Justasfeedbackmustbespecificandobservableinordertobeeffective,itmustbe
nonthreateninginordertobeacceptable.Althoughsubordinatesliketheirsupervisors
arealwaysaccountablefortheirbehavior,theyareneveraccountablefortheir
attitudesorfeelings.Attitudesandfeelingscannotbemeasured,norcanamanager
determineiforwhenanemployeesfeelingshavechanged.Forfeedbacktobe
acceptable,itmustrespectthedignityofthepersonreceivingthefeedback.
221
Noonecanattackattitudeswithoutdealingingeneralities,andfrequentlyattacks
onattitudesresultindefensivereactions.Thefollowingexampleillustratesthe
differencebetweengivingfeedbackonbehaviorandgivingfeedbackonattitudes.
Feedbackonattitude:YouhavebeenactinghostiletowardJim.
Feedbackonbehavior:YouthrewthepapersdownonJimsdeskandused
profanity.
Anattitudethatmanagersoftentrytomeasureisloyalty.Certainactionsthatseem
toindicateloyaltyordisloyaltycanbeobserved;butloyaltyisaresult,notanaction.It
cannotbedemanded;itmustbeearned.Whereaspeoplehavetotalcontrolovertheir
ownbehavior,theyoftenexerciselittlecontrolovertheirfeelingsandattitudes.They
feelwhattheyfeel.Ifamanagerkeepsthisinmindandfocusesmoreenergyonthings
thatcanbeinfluenced(thatis,employeebehavior),changesaremorelikelytooccur.
Themorethatcorrectivefeedbackiscastinspecificbehavioralterms,themoreit
supportsproblemsolvingandtheeasieritistocontrol.Themorethatcorrective
feedbackiscastinattitudinalterms,themoreitwillbeperceivedasapersonalattack
andthemoredifficultitwillbetodealwith.Themorethatsupportivefeedbackiscast
intermsofspecificbehaviors,thehighertheprobabilitythatthosebehaviorswillbe
repeatedandeventuallybecomepartofthepersonsnaturalwayofdoingthings.
3. Determine the Appropriate Time and Place

Feedbackofeithertypeworksbestifitisgivenassoonasfeasibleafterthebehavior
occurs.Waitingdecreasestheimpactthatthefeedbackwillhaveonthebehavior.The
passageoftimemaymakethebehaviorseemlessimportanttothemanager;other
importanteventsbegintodraintheenergyofthemanager,andsomeofthedetailsofthe
behaviormightbeforgotten.Ontheotherhand,dwellingonitforalongperiodcould
blowitoutofproportion.Fromthesubordinatesviewpoint,thelongerthewaitforthe
feedback,thelessimportantitmustbe.Thefollowingexampleillustratesthispoint.
Tardyfeedback:Severaltimeslastmonthyoufellbelowyourquota.
Immediatefeedback:Thereareonlytenproductshere;yourquotafortodaywas
fourteen.
Enoughtimeshouldbeallottedtodealwiththeissuesintheirentirety.Amanager
canundercuttheeffectivenessbylookingattheclockandspeedinguptheinputsothat
anappointmentcanbemet.Answeringthetelephoneorallowingvisitorstointerruptthe
conversationcanhavethesameeffect.Themanagercanalsocauseunnecessarystress
bytellinganemployeeattenoclockinthemorning,Iwanttoseeyouatthreethis
afternoon.Amoreappropriateprocedurewouldbetosay,Wouldyoupleasecometo
myofficenoworWhenyoureachastoppingpoint,dropbymyoffice.Ihave
somethinggoodtotellyou.
Inadditiontoanappropriatetime,thesettingforthefeedbackisimportant.Theold
proverbPraiseinpublic,censureinprivateispartiallycorrect.Almostwithout
exception,correctivefeedbackismoreappropriatelygiveninprivate.Inthecaseof
supportivefeedback,however,discretionisneeded.Inmanyinstances,praiseinpublic

222
isappropriateandwillbeappreciatedbythesubordinate.Inotherinstances,privacyis
neededtokeepthepositiveeffectfrombeingshortcircuited.Forexample,somepeople
makeavirtueoutofhumility;anyfeedbackthatreinforcestheirsenseofworthis
embarrassing.Ratherthanappreciatinganaudience,thistypeofemployeewouldfindit
painfulandperhapsresentit.
Sometimesanormarisesinaworkgroupthatpreventsanyonefrommakingabig
dealoutofgoodwork.Thisdoesnotmeanthatthegroupdoesnotvaluegoodwork,but
supportivefeedbackinprivatemightpreventtheemployeefromfeelingheorshewas
responsibleforbreakingthenorm.Inotherinstances,publicpraisecancausejealousy,
hostility,ortenseworkingrelationships.Therefore,aconsciousdecisionshouldbemade
aboutwhetherornottogivethesupportivefeedbackpublicly.
Anotherimportantconsiderationistheactuallocationselectedforgivingthe
feedback.Thedeliveryofthefeedbackshouldmatchitsimportance.Ifthefeedback
concernsanimportantaction,themanagersofficewouldbebetterthananaccidental
encounterinthehall.Ontheotherhand,themanagermightconveyaquickobservation
bytellingsomeoneatthewaterfountain,Say,thatwasbeautifulartworkonthe
Madisonreport.Choosingthetimeandplaceisamatterofmixingalittlecommon
sensewithanawarenessofwhatisgoingon.
4. Refrain from Inappropriately Including Other Issues

Frequentlywhenfeedbackisgiven,otherissuesaresalient.Whensupportivefeedback
isgiven,anytopicthatdoesnotrelatetothespecificfeedbackpointshouldnotbe
discussedifitwouldundercutthesupportivefeedback.Forexample,themanagercould
destroythegoodjustaccomplishedbyadding,Andbytheway,aslongasyouarehere,
Iwanttoaskyoutotrytokeepyourfilesalittleneater.Whileyouwereaway,Icouldnt
findathing.
Whencorrectivefeedbackisgiven,however,thesituationisdifferent.Themanager
willwantthefeedbacktobeabsorbedasquicklyandaseasilyaspossible,withthe
employeesnegativefeelingslastingnolongerthannecessary.Therefore,assoonasthe
feedbackhasbeenunderstoodandacknowledged,themanagerisfreetochangethe
subject.Themanagermaywanttoadd,Imgladthatyouseewheretheerroroccurred.
Now,aslongasyouarehere,Idliketoaskyouropinionabout....Thistypeof
statement,whenusedappropriately,letsthesubordinateknowthatheorsheisstill
valued.Obviously,themanagershouldnotcontriveasituationjusttoaddthistypeof
statement;butwhenthesituationisnaturallythere,themanagerisfreetotakeadvantage
ofit.
Incertainsituations,itisappropriatetogivesupportiveandcorrectivefeedback
simultaneously.Trainingperiodsofnewemployees,performanceappraisalsessions,
andtimeswhenexperiencedemployeesaretacklingnewandchallengingtasksareall
goodexamplesoftimeswhenbothtypesoffeedbackareappropriate.Nevertheless,
somecautionsarenecessary:
223
Neverfollowthefeedbackwiththewordbut.Thiswordwillnegateeverything
thatwassaidbeforeit.Ifitisappropriatetogivesupportiveandcorrectivefeedback
withinthesamesentence,theclausesshouldbeconnectedwithand.Thismethod
allowsbothpartsofthesentencetobeheardclearlyandsetsthestageforapositive
suggestion.Thefollowingexamplesillustratethedifference:
Connectedwithbut:Yourfirstreportwasaccurate,butyourothersshouldhave
measureduptoit.
Connectedwithand:Yourfirstreportwasaccurate,andyourothersshould
havemeasureduptoit.
Connectedwithbut:Youwerelatethismorning,butAndersoncalledtotellyou
whatagreatjobyoudidontheMilleraccount.
Connectedwithand:Youwerelatethismorning,andAndersoncalledtotell
youwhatagreatjobyoudidontheMilleraccount.
Alternatethesupportiveandcorrectivefeedback.Whenagreatdealoffeedback
mustbegiven,itisfrequentlybettertomixthesupportivefeedbackwiththecorrective
feedbackthantogiveallofonetypeandthenalloftheother.Ifallofonetypeisgiven
first,regardlessofwhichtypecomesfirst,thelatterwillberememberedmoreclearly.If
achronicselfdoubterisfirstgivensupportivefeedbackandthenonlycorrective
feedback,heorsheislikelytobelievethesupportivefeedbackwasgivenjusttosoften
theblowoftheothertype.Alternatingbetweenthetwotypeswillmakeallofthe
feedbackseemmoregenuine.
Whenfeasible,usethesupportivefeedbacktocushionthecorrectivefeedback.
Whenbothtypesoffeedbackareappropriate,thereisusuallynoreasontostartwith
correctivefeedback.However,thisdoesnotmeanthatcorrectivefeedbackshouldbe
quicklysandwichedbetweensupportivefeedbackstatements.Eachtypeisimportant,
butfrequentlysupportivefeedbackcanbeusedasanexcellentteachingdeviceforareas
thatneedcorrecting.Thisisespeciallytrueiftheemployeehasdoneagoodjob
previouslyandthenfailedlaterundersimilarcircumstances.Forexample,themanager
mightsay,ThewayyouhelpedFredtolearnthecodeswhenhewastransferredtothis
departmentwouldbeappropriateintrainingthenewemployees.
PRINCIPLES OF FEEDBACK
Twomajorprinciplesgoverntheuseoffeedback.Thefirstprinciple,whichrelatesto
howfeedbackisconducted,canbeparaphrasedasIcanttellyouhowyouare,andyou
canttellmewhatIsee.Inotherwords,thepersongivingthefeedbackisresponsibleto
relatethesituationasheorsheobservesit;andthepersonreceivingthefeedbackis
responsibleforrelatingwhatheorshemeant,felt,orthought.Thesecondprincipleis
thatfeedbacksupportsgrowth.

224
Giving Feedback: You Cant Tell Me What I See
Theobjectofgivingfeedbackisnottojudgetheotherperson,buttoreportwhatwas
seenandheardandwhattheeffectsofthebehaviorwere.Personalapprovalor
disapproval,evenifimportant,issecondary.
Feedbackshouldbegivendirectlytothepersonforwhomitisintended.When
othersarepresent,themanagersometimesaddressesthemalmosttotheexclusionofthe
intendedrecipient,whositsquietlyandgathersinformationbyeavesdropping.Good
contactwiththerecipientisanessentialelementingivingfeedback.
Itisnevernecessarytoapologizeforgivingcorrectivefeedback.Correctiveor
otherwise,feedbackisagift;apologieswilldiscountitsimportanceandlessenits
impact.Nevertheless,correctivefeedbackmustbegiveninawaythatdoesnot
jeopardizetherecipientsdignityandsenseofselfworth.
Itissometimeshelpfultoofferaninterpretationofthebehaviororahunchabout
whatthebehaviormightindicate.Whatisofparamountimportanceisthatthe
interpretationbeofferedasasuggestionandneverasajudgmentorclinicalevaluation
oftheperson.Onlytherecipientiscapableofputtingitintoameaningfulcontext.For
example,themanagermightsay,WhenPeteshowedyoutheerroryoumade,youtold
himitwasnoneofhisconcern.IwonderifyouweremadatPeteforsomeother
reason.Thisstatementshowstherecipientthebehaviorandallowshimorherto
considerapossiblecauseforthatbehavior.
Receiving Feedback: You Cant Tell Me How I Am

Fromtherecipientsviewpoint,thefirstprincipleisYoucanttellmehowIam,andI
canttellyouwhatyousee.Althoughmostpeoplerealizethatgivingfeedback
correctlyrequiresskillandawareness,theyarelessawareoftheimportanceofknowing
howtoreceivefeedback.Whenreceivingfeedback,manypeopletendtoargueabout,
disown,orjustifytheinformation.StatementslikeIdidntsaythat,ThatsnotwhatI
meant,andYoudontunderstandwhatIwastryingtodoareattemptstoconvince
thepersongivingthefeedbackthatheorshedidnotseeorobservewhatheorshe
claims.However,therecipientneedstounderstandthattheobserverwhethermanager,
peer,orsubordinateisrelatingwhatheorsheexperiencedasaresultoftherecipients
behavior.Thegiverandtherecipientmaywellhavedifferentviewpoints,andthereis
nothingwrongwiththat.Thepurposeoffeedbackistogiveanewviewortoincrease
awareness.Ifanargumentensuesandtheobserverbacksdown,therecipientistheloser.
Theappropriateresponse,asaruleofthumb,istosaythankyouwheneithertype
offeedbackisreceived.Itisalsoappropriate,ofcourse,toaskforclarityormoredetail
onanyissue.
Thepurposeoffeedbackistohelptherecipient.Feedbackcanbethoughtofas
food.Itisverynourishing.Whenpeoplearehungry,foodiswhattheyneed;butwhen
theyarefull,foodisthelastthingtheywantorneed.Thesameappliestoingesting
feedback.Whenpeoplehavehadenough,theyshouldcallahalt.Attemptingtoabsorb
allofthefeedbackthatmightbeavailable,orthatvariouspeoplewouldliketogive,is
225
likeforcingfoodintoafullstomachjustbecausesomeonesays,Pleasehavesome
more.
Therecipientisresponsiblefordemandingspecificityinfeedback.Nofeedback
shouldbeacceptedaslegitimateifitcannotbeclearlydemonstratedbyanobservable
behavior.Forexample,ifsomeonesays,Youreveryarrogant,anappropriate
responsewouldbeWhatspecificallyhaveIsaidordonetocauseyoutothinkthat?If
thatresponseiscounteredwithIdontknow;Ijustexperienceyouthatway,thenthe
accusationshouldbeimmediatelyforgotten.Peoplecannotaffordtochangejusttomeet
everyonespersonallikesorexpectations.
Infact,itisimpossibletochangetomeeteveryonesexpectations,andthesituation
becomescompoundedasmoreandmorepeoplegivethefeedback.Asingleactcan
generatedisparatefeedbackfromdifferentpeoplewhoobservethebehavior.For
example,aloudexclamationcouldbeviewedasappropriatelyangrybyoneperson,
overlyharshbyanother,andmerelyuncouthbyathird.Eachpersonwillseeitfromhis
orheruniqueperspective.Therefore,feedbackrequiresactionfromboththegiverand
therecipient.Onlythegivercantellwhatheorsheobservedorexperienced,andonly
therecipientcanusetheinformationindecidingwhetherornottochangethebehavior.
Forfeedbacktobeeffective,therecipientmusthearwhatthegiverissaying,weigh
it,andthendeterminewhetherornottheinformationisrelevant.Thefollowingexample
illustrateshowthiscanbedone:
Departmentmanager:Wasteinyourunitisupby4percent.Areyouhavingany
problemswithyouremployees?
Supervisor:Iwasnotawareofthewasteincrease.No,Iamnothavingtrouble
withmyemployees.IsupposeIhavebeenfocusingonthequalitysomuchthatIlost
sightofthewastefigures.Thanksforbringingthistomyattention.
Feedback Supports Growth

Thesecondmajorprinciple,feedbacksupportsgrowth,isimportant,becausewe
cannotalwaysseeourselvesasothersseeus.Althoughapersonmaybetheworlds
foremostauthorityonhimselforherself,therearestillpartsofthatpersonthataremore
obvioustootherpeople.Althoughpeoplemaybemoreawareoftheirownneedsand
capabilitiesandmoreconcernedabouttheirownwelfarethanotherpeopleare,theyare
abletostretchthemselvesandgrowiftheypayattentiontofeedbackfromothers.
Althoughfeedbackmaybeextremelyuncomfortableatthetime,apersoncanlookback
laterandrecognizesuchfeedbackasthesparkthatinspiredadirectionalchangeinhisor
hercareerorpersonallife.Ifthefeedbackisnotrejectedoravoided,recipientscan
discoveranddevelopwaystobehavethattheydidnotthinkwereavailable.
FEEDBACK STRATEGIES
Thestrategiessuggestedherearenotstepbystepprocedurestobeblindlyfollowed.
Theirpurposeistohelpinplanningandorganizinganapproachtodealingwithanissue.

226
Theyofferalogicalandeffectivesequenceofeventsforthefeedbacksession.The
personplanningthesessionmustdecideonthedesiredfutureobjective.(Thefuture,
however,couldbefiveminutesafterthesessionortwoyearslater.)Duringthefeedback
session,attentionmustbefocusedonwhatishappeningintermsoftheoutcome.In
otherwords,thefocusmustbeonobtainingthegoal,notonstickingtothestrategy.This
focusallowsthegivertochangetacticsorevenmodifytheoriginalstrategyifconditions
changeorunforeseeneventsoccur.Afterthestrategyhasbeenselected,thefollowing
threerulesshouldbekeptinmind:
1. Beclearaboutwhatyouwantintermsofspecific,identifiableoutcomesfor
yourself,yoursubordinate,andtheorganization.
2. Planwhatyouintendtosayandhowyouintendtoconductthemeeting,
accordingtotheparticularstrategyyouwilluse.
3. Havethestrategyinmindasyouengagetheperson,butkeepitinthe
background.
Supportive Feedback Strategy

Thefollowingstepsaresuggestedasastrategyforsupportivefeedback:
1.Acknowledgethespecificactionandresulttobereinforced.Immediatelyletthe
subordinateknowthatyouarepleasedaboutsomethingheorshedid.Bespecificand
describetheeventinbehavioralterms.Youfinishedtheproject(action)ontime
(result).
2.Explaintheeffectsoftheaccomplishmentandstateyourappreciation.Forthe
behaviortobereinforced,thepersonmustbeabletoseetheeffectsofthatbehaviorin
specific,observableways.Yourappreciationisimportantbutasanadditional
reinforcingelement.Themainreinforcementistheeffect.Whatyoudidontheproject
wasamajorfactoringettingthecontract(effect),andIampleasedwithyour
outstandingwork(appreciation).
3.Helpthesubordinatetotakefullresponsibilityforthesuccess.Iftheemployee
acknowledgesthefeedback,thisstepisaccomplished.Iftheemployeeseemsoverly
modest,moreworkisneeded.Unlessheorshecan,tosomedegree,internalizethe
successandreceivesatisfactionfromit,verylittlegrowthwilloccur.Oneapproach
wouldbetoaskhowthesuccesswasaccomplishedorifanyproblemswereencountered
andhowtheywereovercome.Intalkingaboutwhathappened,theemployeeislikelyto
realizehowmuchheorshewasreallyresponsiblefor.Itisimportantforbothyouand
theemployeetohearhowthesuccesswasaccomplished.
4.Askifthesubordinatewantstotalkaboutanythingelse.Whiletheemployeeis
feelingpositiveandknowsthatyouareappreciativeandreceptive,heorshemaybe
willingtoopenupandtalkaboutotherissues.Thepositiveenergycreatedbythis
227
meetingcanbedirectedtowardotherworkrelatedissues,sotakeadvantageofthe
opportunity.
5.Thankthesubordinateforthegoodperformance.Thefinalstep,againthanking
thesubordinatefortheaccomplishment,ensuresthatyourappreciationwillbe
uppermostinhisorhermindasheorsheleavesandreturnstotheworksetting.
Corrective Feedback Strategy

Thefollowingstepsaresuggestedasastrategyforcorrectivefeedback:
1.Immediatelydescribetheeventinbehavioraltermsandexplaintheeffect.Relate
clearlyinspecific,observable,andbehavioraltermsthenatureofthefailureorbehavior
andtheeffectofthefailureorbehaviorontheworkgroupororganization.Ifyoucan
appropriatelysaysomethingtoreducetheemployeesembarrassment,theemployeeis
morelikelytoacceptthefeedbacknondefensively.
2.Askwhathappened.Beforeassumingthatthesubordinateisatfault,askwhat
happened.Inmanyinstances,thesubordinateisnotatfaultorisonlypartially
responsible.Attheworst,theemployeeisgivenanopportunitytoexplainbeforeyou
proceed;atthebest,youmayreceiveinformationthatwouldpreventyoufrom
censuringtheemployee.
3.Helpthesubordinatetotakefullresponsibilityfortheactions.Themoretime
spentinstep2(findingoutwhathappened),theeasierstep3willbe.Thesubordinate
needstolearnfromtheexperienceinordertoreducetheprobabilityofarecurrence.
Unlessthisstepishandledeffectively,thesubordinatewillseehimselforherselfasa
victimratherthanassomeonewhomadeamistakeandiswillingtocorrectit.
4.Developaplantodealwiththeissues.Oncethesubordinatehasaccepted
responsibility,thenextstepistohelprectifythesituation.Nowthattheemployeeis
willingtobeaccountableforerrors,youcanjointlydeviseaplanthatwillhelpeliminate
them.Inotherwords,bothofyoumustagreetotakeaction.Ifyoubothwantthesame
thing(thatis,betterperformancefromthesubordinate),thenbothofyouareobligatedto
dosomethingaboutit.Thisisalsoanexcellentopportunitytobuildonthesubordinates
strengths(forexample,Idlikeforyoutoshowthesamefineattentiontosafety
regulationsthatyoushowtojobspecifications).
5.Stateyourconfidenceinthesubordinatesability.Oncetheissueisresolved,end
thesessionbystatingyourconfidenceintheabilityoftheemployeetohandlethe
situation.Theobjectistoallowthesubordinatetoreentertheworksettingfeelingas
optimisticabouthimselforherselfasthesituationpermits.Thesubordinatemustalso
understandthatyouwillfollowupandgiveadditionalfeedbackwhenthesituation
warrantsit.

228
REFERENCE
Blanchard,K.,&Johnson,S.(1982).Oneminutemanager.NewYork:Morrow.
229
TYPES OF PROCESS INTERVENTIONS
Arthur M. Freedman
Duringarecentconsultingexperiencesharedbyseveralconsultants,someuseful
discussionsurfacedconcerninghow,howoften,andwhentointerveneingroupsand
whatkindsofinterventionstomake.Theconsultantsexpressedsimilaruncertaintiesand
insecuritiesregardingtheirownorganizationdevelopment(OD)skillsandknowledge.
Howcouldtheybesurethattheywouldinterveneeffectivelyatjustthepointwhenan
interventionwouldbemaximallyfacilitativeduringaprocessconsultation?The
appropriatemomentforaparticularinterventionmighteasilycomeandgowithout
eithertheconsultantsortheclientsrealizingit.
Thisdiscussionpromptedoutliningthefollowingoperationalphilosophyof
makinginterventions,withthethoughtthatitmaybeofsomevaluetootherOD
practitioners.Althoughallprocessinterventionscanbecalledmerelyprocess
interventions,theycanbedifferentiatedintothreedistinctandseparateclasses.These
typesmightbelabeledconceptualinput,coaching,andprocessobservation
interventions.Eachtypecould(andprobablyoughtto)beconsideredintermsof(1)
whatitmightlookorsoundlikewhenitismade;(2)theobjective(s)thatitcan
facilitate;(3)whenitcanbemade;and(4)theformorstyleitmighttake.
CONCEPTUAL-INPUT INTERVENTIONS
Example
Thefollowingisanexampleofaconceptualinputintervention:
MemberA,asupervisor(totheclientgroup):Iambeginningtoseethatyou
peoplegetprettyupsetwhenIcomeovertodiscusstheworkIwantyoutodo.Icansee
thatwhenyougetupset,theworkdoesntgetdoneaswellorasfastasIthinkitshould.
ButwhatIdontknowiswhatIdothatgetsyouallsoupset.MaybeIneedtoheara
littleofwhattheseconsultantscallfeedback.
MemberB(toMemberA,afteralongsilence):Well,IguessIcouldgiveyou
some.Youknow,A,youcanbeprettyoverbearingsometimes,andsomeofthesenew
peopledontknowhowtohandleyou.
MemberA:(Pause)Whatthehellareyoutalkingabout?Whatsthatsupposedto
mean?

OriginallypublishedinThe 1978 Annual Handbook for Group FacilitatorsbyJ.WilliamPfeifferandJohnE.Jones(Eds.),
SanDiego,CA:Pfeiffer&Company.TheauthorwishestoexpresshisappreciationtoDrs.IrvinRothandFranklinWeingartenforencouraging
himtowritethispaper.

230
Consultant(totheclientgroup):Itseemstomethatweredoingalittle
experimentingwithgivingfeedbackonhowouractionsaffectoneanother,butwere
runningintoaproblem.AsIseeit,theproblemmightbethis:Justwhatisfeedbackand
howdoyougiveitsothattheperson[statingtheproblem]whoisgettingitcanuseit?
Doesthatsoundrighttoyou?[doublecheckingforagreementordisagreement].
Theclientgroupindicatesgeneralagreement;membersnodtheirheadsandoffer
short,affirmativestatements.
Consultant(toclientgroup):O.K.MaybeitwouldhelpifIlaiddownsomeground
rulesforgivingfeedback.(Themembersoftheclientgroupengageinmorenonverbal
affirmation.)Differentconsultantsusetheideaoffeedbackindifferentways.But,for
me,good,usefulfeedbackhasthreepartstoit;andifanypartisleftout,thevalueofit
decreases.Thefirstofthethreepartsisyourdescriptionofwhattheotherpersonis
sayinganddoingthatisofconcerntoyou;thesecondpartisyourdescriptionofwhat
youfeelwhenyoufocusyourattentionontheotherpersonsactions;andthethirdpart
isyourindicationofwhatyouwouldmostlikelydo,yourself,ifyouwereonthe
receivingendoftheotherpersonsactionstheimplicationsoftheotherpersons
behavior.
Anexampleofacompletepieceoffeedbackwouldbesomethinglikethis:I
noticedamomentagothatyoureachedoverandpattedmeonthebackwhenI
commentedonBillsidea;andwhenIturnedaroundtolookatyou,Isawthatyouwere
smiling[descriptionofthefocalbehavior].AtthetimeIfeltprettygood,asifyouwere
tellingmethatyouthoughtIwassayingtherightthing.IlikethatbecauseIknowIneed
somereassurance.Ifeltgood,almostproudofmyselfforbeingabletothinkup
somethingtosaythatledtogettingapatontheback.AndIguessIdidfeelthatIwas
approvedofandthatmyideaswereactuallywanted[expressionoffeelings].NowIm
thinkingthatIllprobablybemoreofanactiveparticipantatthesemeetingsinthe
future.IdontthinkIllholdmyselfbacksomuch[statementofimplications].
MemberB(toMemberA):Yeah.Thathelpsmetoorganizemythoughtsbetter.
WhatIwastryingtosaytoyouwasthatwhenyoucomeovertouswhenwere
working,youseemtoseeyourselfastryingtodiscussourworkwithus.But,frommy
pointofview,youcomeacrossasacritic.
Consultant(toMemberB):Canyousaywhatitisthathesaysordoesthatgives
youtheimpressionheisacritic?[coaching]
MemberB(toMemberA):Yes.YounevertellusthatweredoingO.K.Instead,
yousaythingslikehowyouwouldapproachtheprobleminadifferentwayfromthe
waywedalreadydoneit[descriptionofbehavior].Andwhenyousaythingslikethat,I
justwanttohidesomewhereandgetoutoftheway[closetoexpressionoffeelings].So
IsometimeschangethesubjectifIcan,orIrememberanotherappointmentIhaveto
goto.Naturally,theworkstops[statementofimplications].
231
Objectives
Aconceptualinputtypeofprocessinterventionisintendedtoprovidemembersofa
clientgroupwithanorganizingprinciplethathas,asitspayoff,thepowertohelp
themclearlyseedistinctionsbetweentypicalbutnotoptimalbehavior(thethingspeople
sayanddoand/orthestylewithwhichthethingsaresaidanddone)andlesstraditional
butmoreeffectivebehavior.Conceptualinputsalsotendtobeeasilyrememberedand
can,therefore,bereferredtointhefuture.Whenaconsultantintervenesinthisway,he
orsheisprovidingclientswithanewvocabularyandaconceptualsystemthatisquite
explicitandissharedandunderstoodbyallclientgroupmembers.Confusionand
misunderstandingsshouldthusbeminimized,asclientsaremorelikelytoremember,
understand,andmakeuseofthekindsofbehaviorstowhichthenewlanguagerefers.
Timing
Aconceptualinputtypeofinterventioncanbeusedatanytimeduringaprocess
consultationaslongasthecontractbetweentheconsultantandtheclientgroup
legitimizesthistypeofconsultantbehavior.Formaximumeffectivenessandimpact,the
interventionshouldcomeimmediatelyafteratransactionbetweenmembersthatclearly
illustratestheundesirableconsequencesofdysfunctionalorineffectivebehavior.Inthe
precedingexample,theconsultanttimedhisorherinterventiontotakeplaceafter
MemberAsexpressedconfusion(onesortofundesirableconsequence).Thiswasthe
pointatwhichtheinterventionwasmostlikelytomakeimmediatesensetotheclient
groupmembers.Whenaninterventionmakessense,peoplearealsomorelikelytomake
useofit.
Form or Style
Aconceptualinputshouldbebriefandsuccinct.Wordsandphrasesthatare
comprehensibletothemembersoftheclientgroupshouldbeused.Itdoesnothelpto
maketheperfectlyappropriateinterventionatexactlytherighttimeif,forexample,the
consultantstermsaresopedagogicalthatthelistenerscannotunderstandthem.Sucha
stylecouldresultinclientsdisregardingtheconsultantasunabletorelatetothem.
COACHING INTERVENTIONS
Asecondtypeofprocessinterventionaimsatfacilitatingtheacquisitionofdesirable,
functionalhabitsofinteracting.
Example
Thescenetakesplaceafterthegrouphasreceivedaconceptualinputongivingand
receivingfeedback.
MemberA(toMemberB):Iexperienceyouasactinginanarbitrarymanner.
(Silence.)[AislabelingB.]

232
Consultant(toMemberA):WhatisitaboutMemberBsbehaviorthathasledyou
toconcludesheisarbitrary?[Thisisaninvitationtofocusonobservablebehavior
ratherthanuseabstractlabels.]
MemberA(toConsultant):Shesometimesasksusforinformationtohelpher
makedecisions.
Consultant(toMemberA):Talktoher.
MemberA(toMemberB):Butafteryougetit,evenifyousayyouappreciateour
ideas,youdontseemtousethem[descriptionofbehavior].YouactinsuchawaythatI
gettheimpressionyouneverreallywantedourideasinthefirstplaceandyouwerejust
goingthroughaformality...asifyouknewallalongthatyouwouldsticktoyour
originaldecisionregardlessofwhatwemightsay[conjecture].
Consultant(toMemberA):Doyouhavefeelingsthatyouarewillingtosharewith
MemberBaboutMemberBsnotusingyourideas?[invitationtocompletethesecond
componentoffeedback,ignoringthenonproductiveconjecture].
MemberA(toMemberB):Yes,Ido.Ifindmyselfabitconfusedandwondering
whetheranythingImightsaytoyouhasanymeaningorsignificanceinyoureyes.Its
asifIambeingdisregardedandheldoffatadistancewhenIreallywanttogetcloseto
youandworkwithyou.Idontwanttobepacified.IguessIfeelprettydisappointed.
(Pause.)IhadalwayshopedIcouldcomeupwithideasthatwouldbevaluablefor
helpingusdoourwork.Yes,Imverydisappointed.IfeelImsomethingofafailure
sinceIdontseemtobegettingtheresponse...theaffirmationIvebeenlookingfor
[anexpressionoffeeling].NowImnotsureifIllevenbothergivingyouany
informationaboutmethenexttimeyouaskforit.Iprobablywont.Idontseewhat
valueitwouldhave.YoudprobablyjustdisregardwhatIsay[astatementof
implicationssomewhatgarbledbyapredictionofMemberBsfuturebehavior,which
maynotbeaccurate].
MemberB(toMemberA,afteralongpause):Ihearwhatyouresayingpretty
clearly.Ithelpsmetomakesomesenseoutofwhathasbeenhappeningbetweenusover
thelastseveralweeks.IrecognizenowthatIvesortofbeenawareofsometension.But
IguessIjustletmyselfpretendthatitdidntmeananything.NowIdontknowquite
whattodoaboutitall[anacknowledgmentofthefeedbackandofhavingreachedan
impasse.ThisimpliesthepossibilitythatBmightbereadytoaccepthelpinidentifying
somefunctionalalternativesfordealingwiththeproblembutsheisnotexpressing
this.]
Consultant(toMemberB):Wouldyoubeinterestedinspendingsometimenowto
seeiftheresanythingwecandoaboutthisproblem?[aninquirytotestwhetherBis
willingtoassumeresponsibilityforsearchingfornewalternatives].
MemberB(toConsultant,afterapause):No,IguessImfeelinganeedtothink
aboutthisforawhile.Ithasalotofimplications,andImnotyetreadytosharethemall
withanyoneelse.RightnowIwantsomequiettimealone.Illcheckbackwiththerest
ofyouafterIvehadachancetomullitover[owninguptoandbeingresponsiblefor
herdesiretodisengagetemporarily,withanoptiontoreopentheissueatalaterdate].
233
Objective
Suchcoachinginterventionsareintendedtoassistmembersofaclientgroupinforming
thehabitofusingnewexperimentalbehaviorsthattheyhavesaidtheywanttopractice.
Timing
Coachinginterventionsaremosteffectivelymadeeither(1)duringtheearly,standard
settingphasesoftheconsultativeprocess(toshapethekindsandsequenceof
interpersonalcommunicationsatanearlypoint)or(2)justafteraconceptualinputhas
beenmadethatprovidesajustifiabletheoreticalframeworkforthecoachingefforts.In
eitherinstance,coachinginterventionsshouldbediscontinuedassoonastheclient
groupsmembersdemonstratethattheycanemploythenewbehaviorswithout
assistance(orwhensomemembersbeginsystematicallytoperformthecoaching
functionforothermembers).
Form or Style
Coachinginterventionsshoulduseupverylittleoftheclientgroupsairtime.They
shouldbesuggestionsratherthandemandsorreprimands.Andtheyshouldbequite
precise,notatallambiguous.Nooneshouldhavetoguessaboutwhattheconsultantis
aimingat.
PROCESS-OBSERVATION INTERVENTIONS
Example A
Thefollowingisanexampleofaprocessobservationintervention:
MemberA(totheclientgroup):AlittlewhileagoIwantedtoshareanobservation
thatIthoughtmighthavebeenusefulatthetime,butIrestrainedmyself.Iwantedtosay
thatyouvebeenonthistopicfortwentyminuteswithoutcomingtoaconclusion.
Yourewastingmytime.Youguysarentaccomplishinganything,andyououghtto
moveontoadifferentissue[ataskrelatedfunction].IguessIwasafraidthatIwould
alienatemyselffromtherestofyoubydoingsomethingunpopular[expressionof
feelings].
Severalmembers(simultaneouslytoMemberA):Waitaminute.Wheredidthis
comefromallofasudden?[probablyadefensiveresponse].
Consultant(toMemberA):IfIamhearingitaccurately[anattempttoreach
groupmembersinapreventivemove],youseemtobesayingthatyouwerereluctantto
performataskfunctionforthegroup,eventhoughyouthoughtitwasneeded,because
youwereafraidyouwouldberiskingthepossibilityofgettinghurtbytherestofthe
group[paraphrasing].AmIhearingyouright?[doublechecking].
MemberA(toConsultant):Thatsaboutit.
Consultant(toMemberA):Well,itseemstomethatanadditionalissuemightbe
thestyleorthemannerinwhichyouwerethinkingofperformingthatfunction.By

234
sayingwhatyouwantedtosayinthewayyoujustexpressedyourself,youprobably
wouldhavegivenme,atleast,abasisforfeelingbadaboutmyself,asifIhaddone
somethingwrong.Andthatmighthaveledtomywantingtohurtyouorputyoudownor
cutyouoff[somewhathypotheticalpersonalfeedback].Iwonderifyoucanthinkofa
differentwayofsayingthesamething...awaythatislesslikelytoresultinyourfeeling
cutofffromthegroup?[aninvitationtoconsiderandexperimentwithanalternative
formofperformingneededtaskormaintenancefunctions].
MemberA(totheclientgroup,afteralongpause):Yeah,Ithinkso.Letmeknow
howthiscomesacross[unilateralnegotiationforfocusedfeedback].(Pause.)Itseems
tomethatwevegoneoverthesamepointsseveraltimes.Itsasifwevebeenrecycling
[descriptionofgroupbehavior].Imfindingmyselffeelingunproductive,asifImnot
abletodoanythingthatseemsusefulorhelpful...andthatleavesmeprettyimpatient.
(Pause.)Hasanyoneelsebeenexperiencinganythinglikethis?Ifso,whatdowewant
todoaboutit?[Considerablymoreselfdisclosureandownershipofthespeakers
ideasandfeelingsarepubliclyexpressedhere;also,insteadofmakingacriticaland
punitiveaccusationabouttheothermembersoftheclientgroup,Aisincludinghimself
asapartoftheproblemandisinvitingtherestofthegrouptocollaborateindealing
withit.Action,takenonthebasisofthepersonsobservationsandfeelings,carriesthe
ideaofimplicationsonestepforward:outofthehypotheticalandintotangiblereality.]
Example B
Hereisanotherexampleofaprocessobservationintervention:
Consultant(totheclientgroup):Ivenoticedthatwevebeenspendingalotof
timejumpingfromoneissuetoanotherwithoutfinishinganyofthem.Forexample,
Samraisedthequestionaboutwhetherornotwewantedtospendourtimegivingone
anotherfeedback.ThenTonipointedoutthatwecouldhandlefeedbackinawaythat
wouldenabletherecipienttodecidewhetherheorshewantedtorenegotiatesome
interpersonalcontractswiththepersongivingthefeedback.Inmakingthispoint,Toni
seemedtodirectthegroupsattentionawayfromSamakindoftopicjumpabout
whichSamdidnothing.Then,beforethegrouprespondedtoTonisidea,Joestatedthat
hethoughtweoughttofocusonsomeofthethingsthathadhappenedthreedaysago
duringthegeneralsession,thingsthathethoughtweregettingushungupthisafternoon
anothertopicjump[ademonstrationofthetrackingorsummarizingtaskfunction].
Allofthisseemstoindicatetomethatwerehavingtroublefiguringouthowwecan
makegroupdecisionsaboutwhatweregoingtodowithourtime[spellingoutthe
apparentproblemthatisconfrontingthegroup].NowImfindingmyselfrather
uncertainaboutjustwhatisgoingonandabitimpatient[expressionoffeelings]fora
clear,explicit,groupdecision.Justwhatisitthatwewouldliketodo?[statementof
expectationsandadirectrequesttotheclientgroupsmemberstodisclosetheir
opinionsandtherebyfleshouttheproblemstatement].
235
Objectives
Aprocessobservationinterventionmayhavenumerousobjectives,including,among
others,thefollowing:
1.Itcanheightentheclientgroupmembersawarenessofthedistinctionbetween
thecontentandprocessdimensionsoftransactionsoccurringwithinagroup.In
ExampleB,theconsultantillustratedbothwhattopicsorissuesthegroupwasworking
on(thecontent)andhowthegroupseemedtobeoperatingthatis,jumpingfrom
topictotopicandavoidingexplicit,groupleveldecisionmaking(theprocess).
2.Anotherkindofprocessobservationmightbeintendedtoheightenthegroups
awarenessoftheimplicationsandconsequencesofitsmembersactions.Forexample,
anindividualsbehaviormaycontributetothecreationorcontinuationofnormative
standards(bothfunctionalandnonfunctional)governinggroupmembersbehavior.In
ExampleB,Tonistopicjumpmighthavecontributedtothecreationofagroupnorm
thatitispermissibletojumpfromonetopictoanotherandcutoffanotherperson;when
JoedidthesametoToni,itwasanothercontributiontothelegitimizationand
continuationofthatnorm.Aprocessobservationcanalsobeusedtohighlight
implicationsandconsequencesbypointingouthowthegroupisaffectedwhenneeded
taskandmaintenancefunctionsarenotbeingperformedorwhathappenswhendifferent
groupdecisionmakingproceduresareemployed.
3.Aprocessobservationalsoprovidesanobservablemodeloffunctional
behaviorsthatdemonstrateinatangiblemannerhowagroupsmovementinthe
directionofitsobjectivescanbefacilitated.InExampleA,theconsultantmodeledquite
anumberoffunctionalactivities,forexample,paraphrasing,doublechecking,personal
feedback,andhelpinganotherpersontoexperimentwithnewwaysofbehaving.In
ExampleB,theconsultantmodeledtrackingandsummarizing,statingtheissue,
expressingfeelingsandexpectations,andaskingforopinionsandinformation.
Timing
Aprocessobservationinterventionislikelytobemosteffectiveduringtheearlyphase
oftheconsultativeprocess.Whenanyprocessobservationhasbeenmodeledonceor
twice,theconsultantshouldrefrainfrommakingfurthersuchinterventions.Thisgives
clientgroupmembersmoreopportunitiestoexperimentwithandtopracticeperforming
thesefacilitativefunctions.Totheextentthattheydothis,theyacquireincreasedself
sufficiency.Thistendstoprecludetheirbecomingdependentontheconsultant,the
expert,toperformsuchfunctions.
Iftheclientgroupmembersdonotassumeresponsibilityforperformingthese
functionsaftertheyhavebeenmodeledonceortwice,theconsultantmightkeeptrackof
theimplicationsandtheconsequencesofthisfailure.Then,duringastopactionor
someotherdesignatedprocesssession,thesedatacouldbefedbacktothegroupalong
withaquestion:What,ifanything,dowewanttodoaboutthissituation?This

236
explicitlyinvitesandallowstheclientstonegotiateacontractamongthemselves(1)to
ensurethatneededfunctionsareusedwhentheywouldbemostrelevantand(2)toavoid
theunnecessary,undesiredconsequencesthathavebeenobservedtofollow
nonperformanceofthefunctions.
Form or Style
Instyle,processobservationsshouldbepersonalized,invitational,andnotpunitive.But
almostbydefinitionthisclassofinterventionsusuallytakesabitlongerthanothers.
Theconsultantisattemptingtodrawaverbalportraitofdynamic,constantlyshifting
groupprocessesinordertohelptheclientgroupmemberstoseewhatishappening
rightnowandalsotomodelbehaviorthatthemembersthemselvesmightattemptat
somefuturetime.Togetthisdoublemessageacrossadequately,sufficientcareandtime
mustbetaken.
CONCLUSION
SaulAlinskysironruleDonteverdoanythingforpeoplethattheycandofor
themselvescomestomind.Ifoneormoreclientgroupmembershavetheskillsand
knowledgetoactinafunctionalandobjectivemanner,theyareentitledtoopportunities
tousesuchskillsandknowledge.Theconsultantshouldletthemdoit.Iftheydonot
possesssuchresources,theymayrequireassistanceinacquiringthem.However,
excessiveassistanceonthepartoftheorganizationalconsultantwhetherwith
process,theory,structuredskillpracticeactivities,orsimulationsleadsto
stultification,dependence,andindifferenceorapathy.Inordertobeaseffectiveas
possible,theconsultantmustlearnthefinelinebetweennotenoughhelpandtoomuch
help.
SUGGESTED READINGS
Banet,A.G.,Jr.(1974).Therapeuticinterventionandtheperceptionofprocess.InJ.W.Pfeiffer&J.E.Jones,The
Blake,R.R.,&Mouton,J.S.(1976).Consultation.Reading,MA:AddisonWesley.
Cohen,A.M.,&Smith,R.D.(1976).Thecriticalincidentingrowthgroups:Amanualforgroupleaders.San
Diego,CA:Pfeiffer&Company.
Cohen,A.M.&Smith,R.D.(1976).Thecriticalincidentingrowthgroups:Theoryandtechnique.SanDiego,
CA:Pfeiffer&Company.
Schein,E.H.(1969).Processconsultation:Itsroleinorganizationdevelopment.Reading,MA:AddisonWesley.
237
DEFENSIVE AND SUPPORTIVE
COMMUNICATION
Gary W. Combs
Muchofourtimeasteachers,parents,andworkersisdevotedtosocialinfluence.We
attempttomodifytheviewsofothersandmovethemtoaction;othersattempttodothe
samewithus.Thequalityandeffectivenessofoureffortstoinfluenceoneanother
dependonourstylesofinteraction.
Avarietyofprescriptionshavebeensuggestedforcommunicatingeffectively:
speakclearlyandthoughtfully,avoidstereotyping,maintainanattentiveposture,be
honestandtimely,listencarefully,andrepeatforemphasisandretention.These
principlesareimportantandusefulforimprovingourskillsofexpressionandlistening,
butclimateismorefundamentaltosuccessfulcommunication.Supportiveclimates
promoteunderstandingandproblemsolving;defensiveclimatesimpedethem.
DEFENSIVE COMMUNICATION
Aswithweatherclimates,communicationclimatesrepresentmoreforcesthanwecan
readilysee.Thedominantmotivebehinddefensivecommunicationclimatesiscontrol.
Althoughcontrolcantakemanyforms,itisoftenmanifestedbycommunication
designedtopersuade.Thespeakermaybefriendly,patient,andcourteous;thegoal,
nevertheless,istoconvincethelistener.
Thespeakersconsciousorunconsciousdesiretoprevailinthesituationelicitsa
characteristicsetofresults:evaluation,strategy,superiority,andcertainty(Gibb,1961).
Astheinteractioncontinues,thesebehaviorsbecomeincreasinglypronounced.Each
partybecomeslessabletoheartheotherortoaccuratelyperceivetheothersmotives,
values,andemotions.Inshort,communicationbreaksdown.Anexampleofdefensive
communicationfollows:
NancyRussell,directorofadministrativeservices,istalkingwithBobWheeler,directorof
finance.WheelerasksRusselltoprepareanadditionalweeklyreportthatsummarizesselected
financialdata.WheelerbalksatRussellsrequestandcitesseveralreasonsthatanadditional
summaryisunnecessary.Russell,whoisdeterminedthatsuchareportbeprepared,patiently
answersWheelerbyexplainingwhysheneedsthesupplementarydata.Wheelerrespondsby
defendinghisposition.

OriginallypublishedinThe 1981 Annual Handbook for Group FacilitatorsbyJohnE.JonesandJ.WilliamPfeiffer(Eds.),
SanDiego,CA:Pfeiffer&Company.ThislecturetteisbasedonBarriersandGatewaystoCommunicationsbyC.R.RogersandF.J.
Roethlisberger,1952,Harvard Business Review, 30,4652,andonDefensiveCommunicationbyJ.R.Gibb,1961,Journal of
Communication, 11,141148.

238
Whatislikelytohappen?
Evaluation
IfWheelercontinuestoquestionthevalidityofRussellsrequest,oneorbothofthem
willinwardlyoroutwardlybecomecriticaloftheother.Theirdialoguemayappearcalm
andfriendly;theymayormaynotbeawareoftheirownjudgmentalfeelings,butthese
feelingswillbeobvious.Thelongertheconversationgoeson,thegreatertheir
frustrationwillbecomeuntileachbeginstoevaluatetheotherasstubborn,unreasonable,
ordownrightstupid.
Strategy
Astheconversationprogresses,eachwillstrategizeandpreparerebuttalswhiletheother
isspeaking.Energywillbefocusedonwinningandovercomingratherthanonlistening
andproblemsolving.
Superiority
Oneorbothofthespeakerswillbegintofeelsuperiortotheother.Inwardlyorout
wardlyeachwillstarttoquestionwhytheothercannotseethelogicorcorrectnessof
hisorherviewsandbegintothinkoftheotherasbeinginferiorinintelligenceand
savvy.
Certainty
Theenergyoftheirargumentswilllocktheopponentsintothecorrectnessoftheir
originalviews.Anyfeelingoftentativenesseithermayhavehadabouthisorher
positiongraduallywillbereplacedwithconvictionsofcertainty.
Wecanpredictthateventuallyoneofthepartieswillwithdraworcapitulate,thata
compromisewillbenegotiated,orthattheindividualsinvolvedwillleaveinanger.
Regardlessoftheoutcome,theirfeelingsabouteachotherarelikelytobenegative;and
commitmenttofollowingthroughwithagreedonactionwillbelow.Inalllikelihood,
theirfeelingsabouteachotherwillbemanifestinfutureencounters.Theloserwill
admittohavinglostthebattle,butnotthewar.
SUPPORTIVE COMMUNICATION
Thedominantgoalunderlyingsupportivecommunicationclimatesisunderstanding.
Supportivecommunicationclimatesoftenfacilitateasynergisticresolutiontoconflict.
Synergydescribesoutcomesthatcombineelementsofcontrastingpositionsintoanew
andmeaningfulsolutionthatsatisfiestheneedsofboth(awinwinsituation).Itdiffers
fromcompromisewhereineachreceivesonlypartofwhatisdesired(aloselose
strategy),becausetheemphasisisonintegration.Thespeakersseektoestablisha
dialogue,tolisten,andtoappreciateandexploredifferencesofopinion.
239
Theresultscharacteristicofsuchcommunicationareempathy,spontaneity,problem
solving,andsynergy.Aseachspeakerlistenstoandattemptstounderstandtheothers
position,heorshe,inturn,becomesfreetofullyhearandappreciatethefirstspeakers
viewsofaparticularsituation.Asupportiveclimateallowsbothtoseekacreative
resolutionoftheirdifferences.Asupportivecommunicationclimatecouldbeillustrated
bytheearlierexample,exceptthatRussellcouldchoosetoexploreWheelers
objections.Whatislikelytohappennow?
Empathy
IfRusselllistensanddiscussesWheelersreasonsfornotdoinganadditionalreport,she
naturallywillcometounderstandhispositionbetter.Herwillingnesstotalkabouttheir
differenceswillconveytoWheelerherrespectforhisthoughtsandherevaluationofhis
importance.IfWheelerfeelsunderstoodandrespected,hisneedtodefendhimselfwill
diminishandhewillfeelfreetohearwhatRussellhastosay.Thenetresultwillbethat
eachpartywillgainanappreciationoftheotherspointofview.
Spontaneity
IfRussellisopenandresponsive,lessenergywillbefocusedonstrategicrebuttal.Both
willbeabletoconcentrateonwhatisbeingsaid,andeachwillfeelfreetoexpresshisor
herownthoughtsandfeelings.
Problem Solving
Russellswillingnesstoexploretheirdifferenceswillimplythatsheisopento
collaborativeresolution,andWheelerwillrespondinkind.Oncebotharelessconcerned
withwinning,theywillbemoreinclinedtotolerateeachothersperspectivesandto
settletheconflictinawaythatismutuallysatisfying.
Synergy
ThereisagoodchancethatRussellandWheelerwillfindawaytosatisfyRussells
concernforadditionaldataandWheelersdesiretokeepdownthenumberofreports
produced,iftheycommunicateinawaythatallowsthemtoappreciate,scrutinize,and
fusetheirrespectiveandrespectedviewsintoanewwholethatispleasingtoboth
(Jones,1973).
BARRIERS TO CREATING SUPPORTIVE COMMUNICATION

CLIMATES
Supportivecommunicationseemssimple,butitisverydifficultforthosewhoarenotin
thehabitofdevelopingsupportiveclimates.Ourculturaltrainingisamajorbarrierto
creatingsuchclimates.Weareoftenrewardedfordevelopingskillsofargumentand
persuasion.Littleornotimeisgiventoteachingustheattitudesandskillsoflistening

240
andunderstanding.Therefore,itisnecessaryforustopracticetheskillsofsupportive
communicationuntiltheybecomesecondnature.
Lackoftimeandenergyisalsoabarriertosupportivecommunication.Creatinga
positivemilieutakeswork!Atleastonespeakermustassumeresponsibilityfor
developinganatmospherethatpermitsbothtounderstandandtorespondtowhatis
actuallybeingsaid.Itisoftenmoreconvenienttorespondsuperficiallyor
inappropriately.
Supportivecommunicationalsoinvolvesrisk.Ifwepermitourselvestoknow
realityasothersperceiveit,weruntheriskofbeingchangedourselves(Rogers&
Roethlisberger,1952).Butsuchrisksmustbetakenifwearetoshareourthoughtsand
feelingswithoneanotherauthentically.
Additionally,itisdifficulttogivepositivesupporttoanotherpersonwhenoneis
feelingangryandhostile.Onesinclinationunderthesecircumstancesistoattackand
hurt.Yetitisatsuchtimesthatempathiccommunicationcanbemosthelpful.Sharing
theotherpersonsperspectivedefusesotherwisehostileenvironmentsandincreases
eachpartysappreciationfortheotherspointofview.
FACILITATING SUPPORTIVE COMMUNICATION

Agenuinedesiretodefinesituationsthroughinteractionwithothersisthemost
importantingredientforsupportivecommunication.Ifthisdesireisnotgenuineanda
pretenseofopennessismade,itwillbeeasilydetected,otherswillnolongerfeelfreeto
expressthemselvesopenly,andcommunicationwillbreakdown.
Activelisteningisalsoessentialtosupportivecommunication.Wemusttrytograsp
thefullmeaningbothfactandfeelingofwhatotherssayandtestourunderstanding
byclarifyingandchecking.
Wemustalsoshareourperspectiveswithothersand,whenthereisconflict,search
foranendresultthatwillsatisfybothourownandourpartnersobjectives.This
requiresashiftofthinkingfrommeversusyoutohowwecanbothgaininthis
situation.Pragmatically,supportivecommunicationmeansmovingfromthinkingin
termsofpreconceivedanswerstothinkingintermsoftheendresultsthatwewantto
accomplishandthenseekingsolutionsthatsatisfythoseends(Filley,1975).
CONCLUSION
Supportivecommunicationrequiresasharingandunderstandingattitude.When
speakingandlisteningsupportively,peoplebecomelessdefensiveandmoreopento
theirexperiencesandtheexperiencesofothers.Theybecomemorereadytointegrate
otherpointsofviewandseeksolutionstoconflictthatsatisfytheneedsofbothparties.
REFERENCES
Filley,A.C.(1975).Interpersonalconflictresolution.Glenview,IL:Scott,Foresman.
241
Gibb,J.R.(1961).Defensivecommunication.JournalofCommunication,11,141148.
Jones,J.E.(1973).Synergyandconsensusseeking.InJ.E.Jones&J.W.Pfeiffer(Eds.),The1973annual
handbookforgroupfacilitators.SanDiego,CA:Pfeiffer&Company.
Rogers,C.R.,&Roethlisberger,F.J.(1952).Barriersandgatewaystocommunication.HarvardBusinessReview,
30,4652.

242
ENCOURAGEMENT: GIVING POSITIVE
INVITATIONS
Daniel G. Eckstein
Parents,teachers,andmanagers(hereinaftercalledhelpingpersons)frequentlyask
howtomotivateothersmoreeffectively.Thephilosophyandskillofencouragementare
ameansbothofincreasingmotivationandofcombatingfeelingsofinadequacy.
Encouragementcommunicatestrust,respect,andbelief.Manypsychologists
contendthatthereareonlytwobasichumanemotions:loveandfear.Encouragement
communicatescaringandmovementtowardotherslove,whereasdiscouragement
resultsinloweredselfesteemandalienationfromothersfear.Yet,despitethe
intentiontobeencouraging,alltoooftenhelpingpersonsare,infact,discouragingin
theircommunicationswithothers.Anexampleisthemanagerorparentwholetsthings
goaslongastheyaregoingwellandwhocommentsonlywhenthingsgowrong.
Acrucialbeginningtobeingamoreencouragingpersonistobecomemoreaware
ofandtoeliminatediscouragingmessages.Thefivetelltalesignsthatamessageis
discouragingarethese:
1.TheRedPencilEffect,CirclingtheMistakesofOthers.Afrequent
consequenceofsuchconstructivecriticismisthattherecipientofthemessage
becomespreoccupiedwithhisorhermistakes.
2.TheVerticalPlaneofInteraction.Theverticalplaneischaracterizedby
oneupmanship.Thehorizontalplane,incontrast,ischaracterizedbyequalityanda
mutualrespectforall;classificationofpeopleassuperiororinferiorandsexual,racial,
andreligiousprejudicedonotexistonthislevel.
3.Overperfectionism.Theunrealisticnotionthatpeopleshouldnotmakemistakes
leadsthemtobecomeoverlycriticalofthemselvesandtowanttodiscoverthatothers
areworse.Ifpeoplecannotmakepeacewiththemselves,theyneverwillmakepeace
withothers.
4.ClingingtoOldPatterns.Aprimaryprincipleofchildpsychologyisthatchildren
aregoodobserversbutpoorinterpreters.Whentheyobservedeath,manychildren,being
egocentricatthetime,concludethattheykilledtheperson.Manysuchirrational
decisionsandconclusionsarehabitsthatareheldoverfromthepast.Bymeansofa
systematiclifestyleassessment,acounseloroftengentlyconfrontsaclientbynoting,
Nowthatyouarenotachildanymore,perhapsyouwouldliketolookatsomethings

OriginallypublishedinThe 1983 Annual Handbook for Facilitators, Trainers, and ConsultantsbyLeonardD.Goodstein
andJ.WilliamPfeiffer(Eds.),SanDiego,CA:Pfeiffer&Company.
243
differently.Reinforcingastaticphilosophy(Youvealwaysbeenthatway;yourenot
goingtochange)canactuallyinhibitchangeorgrowth.
5.MisusedPsychologicalTests.Forpeoplewhodoubttheirownabilities,an
objective,scientifictestcanbetheultimatediscourager.Suchtestsoftenlabel
peopleandthepeoplethenactinaccordancewiththelabels.Althoughalltests
obviouslyarenotharmful,itiswisetorememberthatwebuildonstrengths,not
weaknesses.Thus,itisimportanttofocusonpeoplesassetswheneverpossible.
Thegoalisnottoceasealldiscouragementcompletely;indeed,allhelpingpersons
attimesneedtoconfrontothers.Thegoalistocombinesuchconfrontationwith
encouragementasameansofmaximizingtheabilitytoimpactotherspositively.
DinkmeyerandDreikurs(1963)notethattheproperuseofencouragementinvolvesthe
following:
1. Valuingindividualsastheyare,notastheirreputationsindicateorasonehopes
theywillbe.Believinginindividualsasgoodandworthwhilewillfacilitate
actingtowardtheminthismanner.
2. Havingfaithintheabilitiesofothers.Thisenablesthehelpertowinconfidence
whilebuildingtheselfrespectoftheotherperson.
3. Showingfaithinothers.Thiswillhelpthemtobelieveinthemselves.
4. Givingrecognitionforeffortaswellasforajobwelldone.
5. Usingagrouptohelpthepersontodevelop.Thismakespracticaluseofthe
assumptionthat,forsocialbeings,theneedtobelongisbasic.
6. Integratingthegroupsothattheindividualcandiscoverhisorherplaceand
beginworkingpositivelyfromthatpoint.
7. Planningforsuccessandassistinginthedevelopmentofskillsthatare
sequentiallyandpsychologicallypaced.
8. Identifyingandfocusingonstrengthsandassetsratherthanonmistakes.
9. Usingtheinterestsoftheindividualinordertomotivatelearningandinstruction.
Inaddition,CarlReimer(1967)liststenspecificwordsofencouragement:
1. Youdoagoodjobof....Peopleshouldbeencouragedwhentheydonot
expectencouragement,whentheyarenotaskingforit.Itispossibletopointout
someusefulactorcontributionofeveryone.Evenacommentaboutsomething
thatmayseemsmallandinsignificantcouldhaveanimportantpositiveimpact.
2. Youhaveimprovedin....Growthandimprovementarethingsweshould
expectfromall.Ifanyprogressisnoted,thereislesschanceofdiscouragement
andindividualsusuallywillcontinuetotry.
3. Welike(enjoy)you,butwedontlikewhatyoudo.Peoplefrequentlyfeel
dislikedafterhavingmademistakesoraftermisbehaving.Aperson,especiallya
child,shouldneverthinkthatheorsheisnotliked.Rather,itisimportantto

244
distinguishbetweentheindividualandhisorherbehavior,betweentheactand
theactor.
4. Youcanhelpme(us,theothers)by....Tofeelusefulandhelpfulis
importanttoeveryone.Mostpeopleneedonlytobegiventheopportunity.
5. Letstryittogether.Peoplewhothinkthattheyhavetodothingsperfectly
oftenareafraidtoattemptsomethingnewforfearofmakingmistakesorfailing.
6. Soyoumadeamistake;nowwhatcanyoulearnfromit?Thereisnothingthat
canbedoneaboutwhathashappened,butapersonalwayscandosomething
aboutthefuture.Mistakescanteachagreatdeal,especiallyifpeopledonotfeel
embarrassedforerring.
7. Youwouldlikeustothinkthatyoucantdoit,butwethinkthatyoucan.This
approachcanbeusedwhenpeoplesay(orconveytheimpression)that
somethingistoodifficultforthemandtheyhesitateeventotry.Apersonwho
triesandfailscanbecomplimentedforhavingthecouragetotry.Ones
expectationsshouldbeconsistentwithhisorherabilityandmaturity.
8. Keeptrying;dontgiveup.Whensomeoneistryingbutnotmeetingwith
muchsuccess,acommentlikethiscanbehelpful.
9. Iamsurethatyoucanstraightenthisout(solvethisproblem);butifyouneed
anyhelp,youknowwhereyoucanfindme.Expressconfidencethatothersare
abletoandwillresolvetheirownconflicts,ifgivenachance.
10. Icanunderstandhowyoufeel,butImsurethatyouwillbeabletohandleit.
Sympathizingwiththeotherpersonseldomhelpsbecauseitsuggeststhatlifehas
beenunfair.Empathizing(understandingthesituation)andbelievinginthe
personsabilitytoadjusttothesituationareofmuchgreaterhelp.
Givingpositiveinvitationsisanotherwaytodescribetheprocessof
encouragement.Suchinvitationshelptoincreasepeoplesselfconfidencebyatleast
fourdifferentmethods:
1. Selfaffirmationarenewedappreciationofonespersonalstrengths,
motivators,values,andpeakexperiences;
2. Selfdeterminationbeingabletotakeresponsibilityforoneslifewithout
blamingothers;
3. Selfmotivationsettinggoalsandtakingtheactionnecessarytoreachthose
goalsbyintegratingonesemotionsandintellectwithonesbody;and
4. Increasedempathicregardforothers.
Manypeoplesfeelingsofinadequacycanbeovercomebyprolongedexposureto
positiveaffirmation.Ofcourse,theprocessofencouragementmaytakelongerwith
somepeoplethanwithothers.Onemaybetemptedtoadmitdefeatanddiscouragement
muchtoosoon.Anoptimisticratherthanapessimisticattitudeandaproactiverather
thanareactiveaffirmationofthebasicworthofallpeoplecanhelpanyonetobeamore
245
effectivehelper.Encouragementcanassistpeopleinrediscoveringtheirvaluesand
joys,inidentifyingtheirstrengthsinsteadofdwellingontheirmistakes,inchallenging
andchangingoldpatterns,andinhavingthecouragetobeimperfect!
REFERENCES
Dinkmeyer,D.,&Dreikurs,R.(1963).Encouragingchildrentolearn:Theencouragementprocess.Englewood
Cliffs,NJ:PrenticeHall.
Reimer,C.(1967).Tenwordsofencouragement.InV.Soltz,Studygroupleadersmanual.Chicago:Alfred
AdlerInstitute.

246
CREATING CONDITIONS THAT
ENCOURAGE MENTORING
Kathy E. Kram
Thepracticeofmentoring(counselingandcoachingofneweremployeesbyexperienced
employees)hasthepotentialtosignificantlybenefitboththeorganizationandthepeople
init.Forpeopleatmidcareerandbeyond,mentoringcanprovideanopportunitytomeet
generativeneeds,tostayinformedabouttechnologicaladvancements,andtoattain
confirmationinpassingonwisdomandexperience(Dalton,Thompson,&Price,1977;
Hall&Kram,1981;Levinson,1978).Fromtheorganizationsperspective,mentoring
reducestheshockofentryfornewcomers,facilitatespreparationforadvancement,and
providesasocializingmechanism(Levinson,1976).Memberswhoareaidedin
becomingacquaintedwiththeorganizationarelesslikelytoleaveinconfusion,
frustration,oralienation.Thesedevelopmentalrelationshipshelptheorganizationto
nurturetalent(Digman,1978),topassoncentralvaluesandpractices,andtoreduce
undesirableturnover(Daltonetal.,1977;Levinson,1976;Missirian,1982).
Inadditiontobeingresponsivetothepredictabledilemmasofeachcareerstage,
mentoringalsocanbeavehicleforaddressingspecialconcerns.Forexample,in
organizationsinwhichpeopletendtoreachmidcareerplateaus,encouragementto
assumetheroleofmentorforyoungercolleaguescanprovidenewopportunitiesfor
growth(Hall,1980;Hall&Kram,1981).Insettingsinwhichaffirmativeactionisan
importantobjective,mentoringcanprovideawaytocounteracttheinherent
disadvantagesofnotbeingamemberofthedominantgroupandcanprovidemembers
ofminoritygroupswithaccesstoimportantcoaching,modeling,andcareercounseling
opportunities(Missirian,1982;PhillipsJones,1982).
Certainconditionsmustexistinanorganizationinorderforthepotentialbenefitsof
mentoringtoberealized.First,opportunitiesmustexistforfrequentandopeninteraction
betweenorganizationalmembersatdifferentcareerstagesandhierarchicallevelssothat
peoplecaninitiateandcultivaterelationshipsthatareresponsivetotheircurrent
developmentalneeds.Second,organizationalmembersmusthavetheinterpersonalskills
tobuildsupportiverelationshipsaswellasthewillingnesstodosoandaninterestin
doingso.Third,theorganizationsrewardsystem,culture,andnormsmustvalueand
encouragerelationshipbuildingactivitiesascentraltoorganizationalgoalsand
objectives(Deal&Kennedy,1982;Peters&Waterman,1982;Tichy,1983).These

OriginallypublishedinThe 1985 Annual: Developing Human ResourcesbyLeonardD.GoodsteinandJ.WilliamPfeiffer
(Eds.),SanDiego,CA:Pfeiffer&Company.AdaptedfromthechapterCreatingConditionsthatEncourageMentoringfromMENTORING
ATWORKbyKathyE.Kram.Copyright1985byScott,Foresman.Adaptedbypermission.
247
requisiteconditionsarenotachievedeasily,andanumberofindividualand
organizationalobstaclesinterferewithrealizingthem.
MAJOR OBSTACLES TO MENTORING

Peopleintheorganizationmaydiscounttheimportanceofrelationshipsatworkornot
havetheskillsneededtobuildsupportivealliances.Studiesofmentoring,superior
subordinate,andpeerrelationshipsinnumerousorganizationalsettingsindicateseveral
obstaclestoestablishingeffectivementoringrelationships(Clawson,1980;Kram,1980;
Kram&Isabella,1985;Levinson,Darrow,Klein,Levinson,&McKee,1978).These
individualandorganizationalfeatures,summarizedinTable1andexplainedfurtherin
thefollowingparagraphs,alsohavebeennotedbythosewhohaveattemptedtosetup
formalmentoringsystems(Klauss,1979;Lean,1983;PhillipsJones,1982).
Obstacle1:Arewardsystemthatemphasizesbottomlineresultsand,atthesame
time,doesnotplaceahighpriorityonhumanresourcedevelopment.Therewardsystem
ofanorganizationsignificantlyinfluenceshowpeoplebehaveandwhattheyconsiderto
bevaluedactivity(Lawler,1977).Inabottomlinecontext,peopleareinclinedto
viewrelationshipbuildingeffortsasadistractionfromwork.Thus,anyattemptsto
providementoringtojuniorcolleaguesortoseekoutsupportiverelationshipswithother
colleagueswilloccurbecauseofpersonalneeds(Kram,1983).Criteriaforpromotion
arerelatedonlytotechnicalperformance.Itisunlikelythatapersonwillembracethe
roleofmentorwhentherearenoorganizationalrewardsfordoingso.
Whenrecognitionandrewardsaretiedtoeffortstocoachandmentor,peopleare
morelikelytoseekoutopportunitiestodoso.Researchonwellmanagedcompanieshas
confirmedthatrewardsforsubordinatedevelopmentresultinmoreattentiontocoaching
andmentoringeffortsandinanincreaseofhighlytalentedmanagersfortheorganization
(Digman,1978;Peters&Waterman,1982).
Anotheraspectoftherewardsystemthatcanhindermentoringconcernsthe
rewardsavailabletothoseatmidcareerwhonolongerhaveopportunitiestoadvancein
theorganizationalhierarchy.Iftherearenoalternatives,peoplearelikelytofeel
discountedandresentful(Hall,1980).Thiscontributestoselfdoubtandtoalackof
interestinsupportingthegrowthofothers.Indeed,thementorrelationshipfrequently
becomesdestructivewhenthementorforeseesnofurtheradvancementandnoother
rewardsforhisorhercontinuedcontributionstotheorganization(Kram,1983).
Finally,althougharewardsystemmayencouragementoringbypromotingthose
whodeveloptalentfortheorganization,thispracticecanencouragedevelopmental
relationshipsonlyforthosewhohavebeenlabeledashighpotentialcandidates,rather
thanforawiderrangeoforganizationalmembers.Indeed,thecoachingandmentoring
functionssometimesareexplicitlyassignedtopeoplewhoaretwolevelsabovethose
whohavebeenlabeledfasttrackers.Thishastheeffectofmakingmentoringavailable
onlytothosewhohavedemonstratedhighpotentialearlyintheircareers.

248
Table 1. Obstacles to Mentoring
Feature Potential Obstacles

1. Pay and promotion decisions are based solely on bottom-line
results.
Reward 2. No recognition exists for developing subordinates or building
System relationships that provide mentoring functions.
3. No rewards are offered to people in mid-career who might provide
mentoring functions; they become stagnant, resentful, and
withdrawn.
4. Relationship-building efforts are viewed as a distraction from the
work.
1. The design of jobs provides little opportunity for junior workers to
interact with senior workers.
Work Design 2. Job definitions do not include the responsibility to provide
mentoring functions.
3. Tasks are highly individualized, requiring little or no collaboration
among those who may have complementary relationship needs.
1. To legitimize and clarify predictable personal and professional
dilemmas.
Performance- 2. No performance-management systems exist; thus, there is little
Management opportunity or encouragement to discuss objective, performance,
Systems and potential.
3. Formal systems exist but are not utilized effectively; little
coaching or counseling is provided.
4. Formal systems exist, but organizational members do not have the
interpersonal skills or the motivation to utilize them.
1. Values and rituals support results" and discount the importance
of relationships in career development.
Organization 2. The leaders of the organization are concerned with short-term
al results and do not model or reward concern for personnel
Culture development.
3. Trust among organizational members, particularly at different
hierarchical levels, is low.
1. Organizational members are not aware of the importance of
Peoples mentoring in career development.
Assumptions, 2. Organizational members lack the interpersonal skills to initiate,
Attitudes, build, and maintain supportive relationships.
and 3. Self-confidence is low; junior workers are afraid to ask for
Skills guidance and coaching, or senior workers are too unsure of
themselves to offer advice.
Obstacle2:Thedesignofworkinterfereswitheffortstobuildrelationshipsthat
providementoringbyminimizingopportunitiesforinteractionbetweenpeoplewhohave
complementaryrelationshipneeds.Inorganizationsinwhichworkishighly
individualizedandtheworkrelatedreasonsforcontactwithothersatdifferent
hierarchicallevelsarefew,theopportunitiestoinitiatementoringrelationshipsare
249
minimal.Incontrast,inorganizationsinwhichworkisaccomplishedbyprojectteams,
theworkitselfprovidesfrequentopportunitiesforcoachingandmentoring.
Itisnotuncommonfornewcomerstobeuncertainabouttheirowncompetenceand
potentialandaboutorganizationalnorms,andthisuncertaintycausesthemtobe
cautiousaboutmakingcontactwiththoseinmoreseniorpositions.Unlessjobsare
structuredtopromoteinteractionwithcolleaguesinotherdepartmentsandatother
levels,itisdifficultforpeopletoinitiaterelationshipsthatmightprovideavarietyof
mentoringfunctions.
Ingeneral,workthatrequirescollaborationandinterdependencealsoprovides
opportunitiesfordevelopmentalrelationships.Whenjuniorworkersareassignedto
projectsthatinvolvemoreexperiencedemployees,theyfrequentlyreceivecoachingon
howtodothejob,howtonavigateintheorganization,andhowtopreparefor
advancement.Arelationshipthatprovidesthesedevelopmentalfunctionscanexpandto
provideothersaswell.
Structuringworkaroundteamsinvitesmentoringandcoachingactivities.Itdoes
not,however,ensurethatsuchrelationshipswillemerge.Ifsenioremployeesareviewed
asevaluatorsratherthancoaches,orifjuniormembersareconcernedaboutproving
theircompetenceattheexpenseofaskingforguidance,effectivementoringconnections
willbedifficulttoattain.Unlesstheexpectationexiststhatlearninganddevelopment
willoccurthroughworkontheteam,oneofthepotentialbenefitsofthejobdesignwill
notberealized.
Jobdesignalsocandeterminetheextenttowhichpeoplefindalternativestoa
mentorrelationshipintheirrelationshipswithpeers.Themutualityandreciprocityina
peerrelationshipthatfacilitatesbothpeoplesdevelopmentisenhancedbyworkthat
fosterscollaborationratherthancompetition.Whenworkishighlyindividualizedand
thereislittlerewardforinteractingwithothers,peoplearelesslikelytobuildsupportive
allianceswiththeirpeers.
Obstacle3:Poorperformancemanagementsystemsorthosethatdonotprovidea
forumandspecifictoolsforcoachingandcounseling.Ahumanresourcedevelopment
(HRD)systemhasthepotentialtofacilitatementoringbylegitimizingthediscussionof
careergoals,plans,anddilemmas,andbyprovidingthetoolswithwhichtoconduct
suchdiscussions.Whenthesystemclearlycommunicatestheexpectationthatmanagers
areresponsibleforholdingcareerdiscussionswiththeiremployeesandthatemployees
areresponsibleforassessingtheirownaspirations,skills,andspecificobjectives,
discussionsbetweenmanagersandsubordinatesarelikelytoprovidementoring
functions.However,ifmanagersfeartheconsequencesofholdingsuchcareer
discussions,theyarelikelytoavoidtheresponsibility.Similarly,ifemployeesviewthe
systemasineffectual,theyarenotlikelytodothebackgroundworkthatwouldmakeit
beneficial.

250
TheinitialdesignandimplementationofanHRDorcareerdevelopmentsystem
largelydetermineswhetheritwilleffectivelycreateaforumformeaningfulcareer
explorationandplanning.Ifthesystemisviewedasbeingresponsivetomembers
needs,ifpeoplefeelpreparedtocarryouttheirresponsibilitieseffectively,andifthe
rewardsystemandtheculturereinforceitasanimportantsetofactivities,employees
andmanagersarelikelytoembraceitinwaysthatbenefittheorganizationaswell.
Similarly,performanceappraisalandmanagementbyobjectives(MBO)systems
havethepotentialtoreinforceanumberofthementoringfunctionsbyprovidingforums
fordiscussionofperformance,objectives,andaccomplishments.Forthesubordinate,a
performanceappraisalprovidesanopportunitytoreceivecoachingandfeedback.The
supervisorisgivenastructureinwhichtoprovidetheseimportantdevelopmental
functionsandistrainedinhowtodoso.Unfortunately,theseconditionsdonotexistin
manyorganizations.
Obstacle4:Thecultureoftheorganizationthroughitssharedvalues,systemsof
informalrulesandrituals,andthebehaviorofitsleaderslabelsmentoring,and
relationshipsingeneral,asnonessential.Liketherewardsystem,theculture
significantlyaffectswhetherpeoplewillinvesttimeindevelopingrelationshipsthat
supportpersonalandprofessionalgrowth(Deal&Kennedy,1982).Anorganization
whoseleadersprovidementoringfunctionsdowntheline,rewardsubordinatesfor
developingtheirsubordinates,andmodeleffectivementoringbehaviors,islikelytohave
arewardsystemthatvaluesrelationshipsanddevelopmentalactivities.
Equallyimportantarethevaluemessagesconveyedbythecultureaboutwhattypes
ofcommunicationarelegitimate,thedegreetowhichpeoplecantrustoneanother
(particularlyatdifferenthierarchicallevels),theextenttowhichopennessandtrustare
valuedandrespected,andsoon.Meaningfulcoaching,counseling,friendship,androle
modelingarealmostimpossibleinasituationcharacterizedbylowtrustandminimalor
purelypoliticalcommunication.
Itisnotdifficulttoassesshowtheorganizationalcultureencouragesordiscourages
mentoring.Observationsofcommunicationpatternsandinterviewswithorganizational
memberscanprovideinsightabouthowthecultureaffectsrelationships.
Mostorganizationshavenotconsciouslyassessedtheirculturesinrelationto
mentoring.Thosethathavegenerallyhaveemphasizedtheimportanceofsponsorship
andmentoringforthosewhohavebeenidentifiedashavinghighpotentialfor
managerialresponsibilities(AnOldGirlNetworkIsBorn,BusinessWeek,1978;
Collins&Scott,1978).Leadersoforganizationsconsciouslymodelwhattheyconsider
tobeappropriatebehavior,andnewcomerswithhighpotentialarelinkedwithsenior
managerswhoareexpectedtoprovideavarietyofmentoringfunctions.Suchmentoring
foranelitegroupratherthanforawiderangeoforganizationalmemberscreatesa
significantlossfortheorganization.
Theculturethatmostseverelydiscouragesmentoringistheoneinwhich
relationshipsareconsidereddistractionsfromthework.Leadersmodelaresults
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orientation,inquireonlyaboutthebottomline,andinvestlittletimeorenergyintalking
withemployeesabouttheirjobsorpersonallives.Concernsforefficiency,high
production,andmaximumuseoftechnicalresourcesdonotincludeconcernforthe
qualityofworklifeorthedevelopmentofhumanresources.Thus,peoplefeel
discountedanddisaffected,thequalityofcommunicationandthelevelsoftrustarelow,
andsupportiverelationshipsarealmostnonexistent.
Obstacle5:Peoplesassumptions,attitudes,andskillsinterferewithrelationships
thatprovidementoringfunctions:Peopleassumethatsenioremployeesdonothavethe
timeorinteresttocoachandcounselothers,andmanypeoplelacktheinterpersonal
skillstoinitiateandmanagesuchrelationships.Amajorobstacletoinitiatingand
buildingrelationshipsthatprovidementoringfunctionsisthelackofawarenessofthe
importantrolethatrelationshipsplayincareerdevelopment.Earlyintheircareers,most
peopleareconcernedwithmasteringtechnicalcompetence;thenotionthatrelationships
mightaidinpreparingforadvancementisrare(Daltonetal.,1977;Louis,1980;
Webber,1976).Similarly,peopleinmidcareerandbeyondfrequentlydonot
understandhowprovidingguidancetootherscansupporttheirowncontinued
development.Withoutthisrecognition,anymentoringthatdoesoccurisaresultof
intuitive,ratherthandeliberate,action.Attitudesaboutonesowncompetenceand
careerpotential,assumptionsaboutthoseinauthority,andattitudesaboutthe
organizationingeneralcanaffecttheextenttowhichpeoplewillattempttobuild
relationships.Apositiveattitudegenerallyisaprerequisiteforproactivebehavior.
Peoplefurtheralongintheircareerswhohaveencounteredblockedopportunity
and/orthethreatofobsolescencearelikelytohaveattitudesthatmakethem
psychologicallyunavailabletoprovidementoringfunctionstoothers.Thesemayinclude
resentmenttowardyoungercolleagueswhofaceopportunitiesforgrowthand
advancement.Theorganizationsresponsetoapersonsmidcareerdilemmasiscritical
indetermininghisorherpotentialvalueinhelpingtodevelopotheremployees.
Finally,lackofinterpersonalskillscanharmthesupportiverelationshipsthat
providementoring,evenwhenattitudesandassumptionsarepositive.Skillsinactive
listening,communication,buildingtrustandempathy,providingcoachingand
counseling,andmanagingconflictandcompetitionareessentialtothemaintenanceof
relationshipsthatcontributetogrowthanddevelopment.
TYPES OF INTERVENTIONS
Systematicdiagnosis,planning,andactionstepscanmodifytherewardsystem,culture,
performancemanagementsystem,jobdesign,andindividualskillsandattitudeswithin
theorganization.Anopensystemsperspectivesuggeststhatchangeinanyonefeature
ofanorganizationwillaffectotherpartsofthesystemaswell(Beer,1980;Nadler&
Tushman,1980;Rice,1969).Thisperspectivealsosuggeststhatthereareseveralways
toachieveadesiredobjective;thus,theappropriateinterventionstrategyforagiven

252
situationwilldependonwhichfeaturesaretobemodified,wherethereadinessand
motivationforchangeexist,theextenttowhichtopmanagementsupportstheobjective,
andwhatresourcesareavailabletosupporttheeffort(Beckhard,1969).
Therearetwotypesofinterventionstoencouragementoring.Educational
interventionsaretraininganddevelopmenteffortsdesignedtocreateawarenessand
understandingofmentoringanditsroleincareerdevelopmentandtodevelop
relationshipskills.Structuralinterventionsareplannedeffortstomodifyexisting
structuresandsystemsintheorganizationinordertoelicitdifferentbehaviorsfrom
organizationalmembers.Eachtypehasadvantagesandlimitations;inmostinstances,
educationalandstructuralinterventionsshouldbedesignedandimplemented
simultaneouslyorinsequenceinordertoreinforceeachother.
Educational Interventions
Inadditiontoincreasingknowledge,skills,andpositiveattitudes,educational
interventionscancontributetoachangeinthecultureoftheorganizationbyreinforcing
newvalues.
Theinterventionusedwilldependontheparticularsettingandtheobjectivesthat
havebeendefined.Forexample,inasettinginwhichacareerdevelopmentsystemis
functioningwell,educationrelatedtomentoringcouldbeincorporatedintotrainingthat
supportsthesystem.Inasettinginwhichthereisaninterestinenhancingthequality
andavailabilityofmentoringforwomenandminoritygroupmembers,specialized
trainingforthesegroupsaswellasforthepotentialmentorswouldbeappropriate.
Itispossibletooutlinethepredictableissues,topics,andconcernsthatwouldbe
relevantfortargetgroupsatdifferentcareerstages(seeTable2).Researchonmentoring
andonlifeandcareerstagesindicatesthatadifferenttrainingprogramwouldbe
appropriateforeachagegrouporcareerstage(Baird&Kram,1983;Hall,1976;
Levinsonetal.,1978;PhillipsJones,1982).
ForPeopleinEarlyCareer.Thistargetgroupislikelytobeconcernedwith
learninghowtofunctionintheorganizationand/orpreparingforadvancement(Dalton
etal.,1977;Hall,1976;Schein,1978;Webber,1976).Theprimarytrainingobjective
shouldbetoeducatethesepeopleabouttheimportanceofrelationshipswithsenior
colleagueswhocancoach,guide,andsponsorthemastheyattempttobuildcompetence
intheirnewcareers.Thisinputmayencouragethesepeopletoconsiderhowtheymight
developsupportiverelationshipsintheirworksettingsandalsocanhelptolegitimize
theiruncertaintyabouttheircompetence,potential,orcareerplansatthisstage.
Selfassessmentandskilldevelopmentactivitiesalsoarenecessarysothatpeople
canassesstheirowndevelopmentalneedsandtheircurrentrelationshipsandsetgoals
fortheirowndevelopmentandforrelationshipsthatcansupportthemalongtheway.
Equallyimportantistheopportunitytodevelopinterpersonalskillsthroughavarietyof
253
experientialmethodsthatstrengthentraineesabilitiestoinitiateandbuildsupportive
alliances.
ForPeopleinMidCareer.Thispopulationvariesconsiderablyintermsofageand
careerexperiences.Ranginginagefromthirtyfivetofiftyfive,someofthesepeople
alreadymayhavereachedaplateauintermsoffutureadvancementwhileothersstill
maybeadvancing.Eachofthesepeoplehasasubstantialhistoryintheorganizationor
inaparticularcareer,aswellasahistoryofrelationships.Midcareergenerallyisa
periodofreassessmentandredirection(Levinsonetal.,1978;Osherson,1980).The
trainingforthispopulationshouldincludeareviewoflifeandcareergoalsaswellasa
perspectiveontheroleofmentoringindevelopingpeopleinbothearlyandmidcareer
stages.Theopportunitytorelateonesownexperiencesandconcernstotheeducational
inputprovidesaforumfordiscussionaboutassumingtheroleofmentorinrelationships
withjuniorcolleagues.

254
Table 2. Objectives of Educational Interventions for Different
Target Populations
Target Major Objectives

Population*
People in 1. To legitimize and clarify predictable personal and professional

Early Career dilemmas.
2. To clarify the role of mentoring in career development, outlining
the range of possible mentoring functions.
3. To highlight the mutual benefits of mentor relationships and the
value of peer relationships as alternatives.
4. To provide an opportunity for self-assessment regarding
relationship needs, current and potential relationships, and
personal resources.
5. To provide an opportunity to develop the interpersonal skills
needed to initiate and maintain relationships with senior
colleagues and peers.
Mid-Career dilemmas.
2. To clarify how assuming the role of mentor can be responsive to
current developmental concerns.
3. To provide an opportunity for review of accomplishments,
significant relationships, and concerns about the future.
4. To provide an opportunity to explore concerns about aging,
obsolescence, and competence in a supportive context.
5. To provide an opportunity to develop the interpersonal skills
needed to coach and counsel others.
Late Career dilemmas.
2. To clarify how the role of mentor can be responsive to current
developmental concerns.
3. To provide an opportunity to review the past and to prepare for
leaving the organization.
4. To provide an opportunity to discuss the experiences of late
career with peers and to generate ways to pass on wisdom to
younger colleagues.
*Ineachtargetpopulation,itmayberelevanttoaddspecialinterestconcernstotheagenda,
dependingondemographicandorganizationalobjectives.Forexample,explorationofthecomplexitiesof
crosssexandinterracialmentorrelationshipsshouldbeincludedwhenthereisdiversityintheworkforce.
Itistobeexpectedthatthesepeoplewillhavedifferentattitudesaboutmentoring,
stemmingfromtheirpersonalexperiencesaswellasfromtheorganizationscurrent
treatmentofpeopleatthiscareerstage.Theopportunitytoexploretheseattitudesina
supportivecontextincreasesthelikelihoodthatparticipantswillleavewithan
inclinationtoprovidementoringfunctionsinamannerthatisalsoselfenhancing.Itis
mostrealistictoassumethatsome,notall,willembracetheroleofmentorwith
255
enthusiasm.Insettingsinwhichemployeesinmidcareerreceivefewrewardsandlittle
recognition,fewarelikelytowanttoactivelycoachandguideyoungercolleagues.
Opportunitiesforselfassessmentandskilldevelopmentarecriticalforthis
population.Peoplecanexaminetheirowncareersandstatehowmentoringeitherplayed
asignificantroleorhowitwasmissedatcriticalpointsalongtheway.Skill
developmentactivitieshelpthemtodevelopconfidenceandcompetenceinproviding
mentoringfunctionstojuniorcolleaguesandalsoinbuildingallianceswithpeersand
superiorswhomightprovidedevelopmentalfunctionsthatareneededduringthemiddle
careeryears.
ForPeopleinLateCareer.Membersofthispopulationarelikelytobeanticipating
retirementoratleastexperiencingsomeconflictabouthowmuchtoinvestinthe
organizationandhowmuchtoinvestinotherlifedomains(Kram&Jusela,1978;
Levinsonetal.,1978).Concernsaboutwhattheywillleavebehindbecomesalient.
Mentoringcanprovideanimportantvehicleforpassingontheirwisdomand
experiencestoyoungergenerations,andbothindividualandorganizationalbenefitsare
derivedfromtheprocess.
Theeducationaldesignshouldencouragepeopletoreviewtheirpasts,toidentify
positiveandnegativeexperiences(particularlyinrelationships),andtodefine
opportunitiestoprovidementoringfunctionsthatwouldbemutuallybeneficialto
themselvesandtojuniorcolleagues.Withthisgroup,cognitiveinputandskilltraining
arenotascriticalastheopportunitytoidentifywaysinwhichtocreateconsultative
rolesforthemselves(Hall&Kram,1981).Ofcourse,somemembersofthisgroup
alreadymaybeprovidingmentoringfunctionstojuniorcolleagues.
Educationalprogramsforemployeesgroupedbyageorcareerstagemaynotbe
practicalinmanyinstances.Althoughthesehavetheadvantageofbringingtogether
peoplewithsimilardevelopmentalconcernsandopportunities,heterogeneousgroups
haveadvantagesaswell.Intraininggroupsthatincludepeopleateverycareerstage,
peopledevelopgreaterempathyforthosewithwhomtheyarelikelytodevelopmentor
relationships.
Forheterogeneouspopulations,thetrainingdesignsmustbemoregeneralized.
Perspectivesonlifeandcareerstagesandtheroleofmentoringincareerstagesare
appropriatetopics.Italsoisvaluabletoaddressspecialinteresttopicswiththegroupas
awholeorinsmallerdiscussiongroups.Forexample,neweremployeesmightdiscuss
theirconcernsaboutlearningtheropes,andwomenandmenmightdiscussthe
complexitiesofcrosssexrelationships.Clearly,particulargroupswillhaveconcerns
uniquetotheirhistoriesintheorganization;anopportunitytoexploretheseinan
educationalcontextcontributestotheawareness,attitudes,andskillsnecessaryfor
buildingsupportivealliancesintheworksetting.
Theappropriateobjectives,designs,andtargetpopulationsforeducational
interventionsdependonthenatureoftheprogramsthatcurrentlyexistinthe
organization,theroleoftrainingintheorganization,andthereadinessandneedsof

256
organizationalmembers.Forexample,someorganizationsintegrateeducationabout
mentoringintoexistingcareerplanningworkshops;thus,separateprogramson
mentoringarenotnecessary.Indeed,theintegrationwithotherprogramsgivesgreater
credibilitytothetopicanditsrelevanceforpeopleatallcareerstages.
Regardlessoftheparticulartargetpopulationorspecialobjectives,however,
experiencesuggeststhatcertainprinciplesoflaboratoryeducation(seeFigure1)are
importantindevelopingnewattitudesandbehavioralskills(Bass&Vaughn,1966;
Porter,Lawler,&Hackman,1975;Beer,1980).
1. Define learning objectives for specific target population.

2. Emphasize exploration of attitudes about mentoring and the behavior required to
initiate and manage relationships that provide mentoring functions. Supplement
skill training and self-reflection with cognitive learning about life and career
stages and the role of mentoring in career development.
3. Provide opportunities to practice the interpersonal skills of active listening,
communication, building rapport, managing conflict, collaboration, coaching,
counseling, and so on in role-play situations and/or in discussions of on-the-job
relationships.
4. Provide opportunities for constructive feedback from facilitators and participants
on interpersonal styles and on specific strategies for initiating relationships that
provide mentoring functions.
5. Provide opportunities to experiment with new behavior and to observe modeling
of effective coaching and counseling.
6. End with planning for back-home applications of learnings to current and future
job situations and relationships.
Figure 1. Principles of Laboratory Education
Theseprinciplesstresstheimportanceofafocusonbehaviorandattitudesrather
thanoncognitivelearning,althoughcognitivelearningshouldbeprovidedtosupport
skilldevelopment.Inadditiontoskillpractice,theopportunitytoobtainconstructive
feedback,toexperimentwithnewbehaviors,andtoobservethemodelingofeffective
coachingandcounselingwillreinforcethedevelopmentofnewskillsandattitudes.
Becausenotallparticipantswillbeinterestedinoropentolearningabout
mentoring,theeducationalprogrammustbeintroducedwithaclearrationaleabouthow
itfitswiththeparticipantsjobsituationsandbroaderorganizationalobjectives.If
organizationalstructuresandmanagersdonotsupporttheattitudesandskillsdeveloped
intheeducationalprogram,thenewlearningislikelytofaderapidly(Argyris,1970).
Educationalprogramsofthistypeshouldbevoluntary.Researchhasindicatedthat
somepeoplearemoreinclinedtoprovidementoringfunctionsthanothers(Alleman,
1982;Kram,1980;Levinsonetal.,1978).Ataminimum,withinthelearningcontext,it
isimportanttoacknowledgeandaddressindividualreluctanceandanxietyaboutmentor
relationships.
257
Coachingandcounselingofpeopleastheyattempttobuildsupportiverelationships
withpeers,superiors,andsubordinatessubsequenttotheeducationalexperiencewill
helptofacilitatethetransferofnewattitudesandskills.Ifresourcesareavailable,the
opportunitytotalkwithathirdpartyabouttheirexperienceswillprovidethesupport
thatpeopleneedastheyventureintonewrelationshipbehaviors.Peercounselingcan
augmentstaffresourcesinthisregard.
Thesupportofseniormanagementiscriticalinensuringthateducational
interventionsareviewedaslegitimateandimportant.Topmanagersshouldstate
explicitlythatmentoringeffortscontributetoorganizationalobjectives.Inaddition,they
shouldmodeleffectivementoringbehaviorsintheirrelationshipswithsubordinates.
Finally,seniormanagementmustensurethatthestructuralchangesneededtoencourage
mentoringareimplemented;therewardsystem,aspectsoftaskdesign,cultureofthe
organization,andfeaturesofperformancemanagementsystemsareunlikelytochange
significantlywithouttheactivesupportofthisgroup(Argyris,1970;Beckhard,1969;
Beer,1980).
Structural Interventions
Educationalinterventionsfocusonchangingtheattitudesandskillsoforganizational
members.Structuralinterventionsfocusonchangingtheexistingsystemsinthe
organizationoronintroducingnewonestocreatenewstimuliandreinforcementsto
whichmembersmustrespond.Theprimaryadvantageofstructuralinterventionsisthat
theyproducechangesinbehaviorrapidly(Beer,1980).Iftheyaresupplementedby
appropriateeducationalinterventions,theyhavethepotentialtochangeorganizational
normsandpracticesinadirectionthatencouragesmentoringformembersatallcareer
stages.
Educationalandstructuralinterventionsshouldbeimplementedinsequenceor
simultaneouslytoreinforceoneanother.Ifaneducationalinterventionismadebutthe
rewardsystem,taskdesign,andperformancemanagementsystemsdonotsupportthe
behaviorsandattitudesacquiredthroughthelearningprocess,theorganizational
membersarelikelytobecomefrustrated,angry,andresentfulastheyattemptto
implementtheirnewlyacquiredskills.Similarly,whenstructuralinterventionis
implementedwithoutaneducationalinterventiontodeveloptheownershipandtheskills
neededtomeettherequirementsofthenewsystem,theorganizationalmembersare
likelytobecomeuncertain,anxious,andresentfulofthechange(Tushman,1974).
Table3listsstructuralinterventionsthatcanbeusedtoencourageandsupport
mentoringrelationships.
Table 3. Structural Interventions That Encourage Mentoring
Interventi Alternative Methods Major Advantages Major Disadvantages

on
Modify the 1. Base decisions about Has high impact on Is likely to engender
Reward pay and promotion on peoples behavior at significant

258
System both bottom-line all career stages resistance.
results and how well
people develop
subordinates and
build relationships
with senior continued
colleagues and peers.
Table 3 (continued). Structural Interventions That Encourage Mentoring

on
2. Develop a human- Operationalizes Specific measures
resource accounting rewards for that reflect quality of
system to provide developing relationships are
data for evaluating relationships and difficult to define.
performance in people.
developing people.
3. Develop a formal Provides qualitative Is likely to engender
process for eliciting data that can help to significant
feedback from peers improve performance resistance from
and subordinate to be organizational
utilized in members who want
performance to maintain one-way
appraisal, communication and
development feedback.
planning, and
decisions about pay
and promotion.
4. Develop explicit Reduces stagnation It is difficult to
rewards at mid-career and withdrawal of determine which
for providing coaching people at mid-career specific rewards
and counseling to while developing would have value and
junior colleagues. their potential to be consistent with
provide mentoring. ongoing systems.
Modify the 1. Modify space Affects daily Is likely to change
Design of arrangements to interaction patterns. the frequency of
Work encourage interaction Is easy to interaction, but not
among junior and implement. necessarily the
senior employees quality.
who have
complementary
relationship needs.
2. Modify newer Legitimizes regular People may not have
employees jobs to contact with the requisite
require more contact potential mentors interpersonal skills,
with clients and or the new design
senior colleagues may violate norms of
who can provide interaction.
mentoring functions.
259
3. Modify senior Legitimizes the role Some people may not
employees jobs to of mentor or coach, want to assume new
include giving it value and responsibilities or
responsibilities for priority. may not have the
coaching and interpersonal skills
counseling younger to do so.
colleagues.
4. Create project teams Provides an ongoing People may not have
that include vehicle for mentoring the requisite
individuals at activities as part of interpersonal skill, or
different career the work itself. the work technology
stages who can learn may prohibit the
from one another. change.
continued

260
Table 3 (continued). Structural Interventions That Encourage Mentoring

on
Modify 1. Introduce Provides a forum for Is likely to engender
Performan performance mentoring activities, considerable
ce appraisal, MBO, and including coaching, resistance,
Manageme developmental counseling, role particularly without
nt planning processes if modeling, and adequate skill
they do not exist. sponsorship. training.
Systems
2. Offer educational Changes attitudes Will be viewed with
programs on the and enhances skepticism unless
rationale and skills interpersonal skills. systems are
required for each endorsed by senior
system. management.
3. Allow other than Voluntary May threaten
immediate participation immediate
supervisors to encourages positive supervisors.
provide mentoring interaction.
functions.
Introduce 1. Set up pairs of Ensures pairing and People may feel
a colleagues who are mentoring as coerced and
Formal expected to build assigned. confused or anxious
Mentoring relationships that about their
provide mentoring responsibilities;
Program
functions. destructive dynamics
may emerge.
2. Define a target Increases the Those who are not
populations for whom likelihood that selected are likely to
formalized matches will work feel deprived,
relationships should because they are resentful, and
be established and based on similar increasingly
provide a process for values, interests, and pessimistic about
identifying and interpersonal styles. their futures.
matching pairs.
3. Set up procedures for Provides support the Evaluation can put
monitoring the pairs pairs and a vehicle people in the
and providing for ending program on the
feedback to the relationships that do defensive.
organization. no work.
4. Offer educational Changes attitudes Some volunteers may
opportunities to aid and builds requisite be ill suited for their
members in interpersonal skills, new responsibilities.
participating preparing people to
effectively in the initiate and manage
program. the new
relationships
261
Modifying the Reward System
Therewardsystemhastremendousimpactonbehaviorbecausepayandpromotion
issuesaresoimportanttopeople(Beer,1980;Lawler,1977).Inmostorganizations,this
systemisdesignedtorewardperformanceandpotentialrelatedtobottomlineresults.
Thereareseveralwaysinwhicharewardsystemcanbemodifiedtoencourage
relationshipbuildingactivities.Decisionsaboutpayincreasesandpromotioncanbe
basednotonlyonfinancialresultsbutalsoonhowwellpeopledevelopsubordinatesand
howwelltheybuildrelationshipswithcolleagues.Feedbackfrompeersand
subordinatesconcerninghowwellapersonprovidesdevelopmentfunctionscanbecome
partofthedataonwhichsuchdecisionsaboutrewardsarebased.Rewardsotherthan
promotionandpay,suchasjobenrichmentandeducationalopportunities,canbemade
availabletopeopleinmidcareertoprovidethemwithencouragementandtheincentive
toassumetheroleofmentor.Finally,mentoringskillscouldbecomepartofthe
prerequisitesforadvancementtomanagerialpositionsintheorganization.Aclear
statementfromseniormanagementabouttheimportanceofmentoringindeveloping
humanresourceswithintheorganizationisnecessarytosupportsuchstructural(or
educational)interventions.
Itisdifficulttomeasurehowwellpeopleassumetheroleofmentor.Bottomline
resultsarefareasiertoevaluate.Severalorganizationsarenowattemptingtodevelop
humanresourceaccountingsystemstomeasurethecostsincurredtorecruit,train,and
developtheirhumanresources(Flamholtz,1974).Suchanaccountingapproachenables
peopletoreportthetimetheyspendinmentoringactivities,butdoesnotreflectthe
qualityofthatrelationshiptime.Ifarewardsystemtrulyistoacknowledgethe
importanceofdevelopmentalrelationships,subjectivedataconcerningthequalityofthe
mentoringorcoachingexperiencesalsomustbeconsidered.
Feedbackfrompeersandsubordinatesisoneimportantsourceofinformation.This
maybedifficulttoimplementinanorganizationinwhichthecultureisauthoritarian,
withonlytopdowncommunication.However,insettingsinwhichtwoway
communicationisvalued,feedbackprovidesapowerfulmechanismforhelpingpeople
toimprovetheirskillsandforproducingdatathatcanbeutilizedindecisionsaboutpay
andpromotion.
Changingtherewardsystemisacomplextask.Itisimportanttoeducatemembers
aboutthechangesinexpectationsandtoprovideeducationandskilltrainingthatenable
themtomakementoringactivitiesahigherpriority.Ifthisisnotdone,membersare
likelytobecomeanxiousandresentfulaboutthechangesintherules(Tushman,1974).
Resistancetochangesintherewardsystemispredictable.Changecreatesfearand
anxiety(Watson,1969;Zaltman&Duncan,1977).Perhapsthebestwaytointroduce
changeintoasystemistoinvolvethemembersofthesysteminplanningand/or
implementingthechange.Thisnotonlyhelpstoensuremodificationsthatarerelevant
tothosewhowillbeaffectedbutalsohelpstoreducesomeofthepredictableresistance
tothechange(Beer,1980;Lawler,1977).

262
Modifying the Design of Work
Opportunitiesforinteractionareessentialforencouragingrelationshipsthatprovide
mentoringfunctions.Mentorrelationshipsfrequentlybeginasaresultoftwopeoples
collaboratingonataskanddiscoveringamutuallikingandtrust.Although
modificationsintherewardsystemgenerallyarequitesignificant,andthereforesubject
toconsiderableresistanceandscrutiny,modificationstothedesignofworkinorderto
fosterinteractioncanrangefromminorchangestoamajorreorganization.
Theimpactofthephysicalspaceofanorganizationonfrequencyandqualityof
interactionsamongorganizationalmembersoftenisoverlooked(Steele,1973;Steele&
Jenks,1977).Conditionsthatencouragerelationshipbuildingeffortscanbecreatedby
makingiteasierforpeopletohaveinformaldiscussionswiththosewhohave
complementarydevelopmentalneeds.Indeed,insomeorganizations,aconscious
decisionismadetohavejuniorandseniorengineersshareofficespace,particularly
duringthefirstsixmonthsofemploymentforthenewcomer(PhillipsJones,1982).
Organizationalmemberswhohaveacommitmenttomentoringcanmodeleffective
managementofphysicalspacebycreatinganopendoorpolicythroughtheirown
actions.Perceptionsofavailabilityappeartohaveatremendouseffectonpeoples
willingnesstoseekguidancefromtheirseniorcolleagues.
Theredesignofworkneednotbesystemwide;individualjobsalsocanbemodified
tomeetindividualandorganizationalneeds.Jobscanberedesignedtoincludecontact
withclients,withotherpartsoftheorganization,orwithseniorcolleagueswhocan
providefeedbackonperformance.Thisenrichesthejob(Hackman&Oldham,1980;
Hackman,Oldham,Jansen,&Purdy,1975),aswellasincreasingopportunitiesfor
interactionwithpeoplewhocanprovidementoringfunctions.
Amoreradicalmodificationinthedesignofworkinvolvesthecreationofproject
teamscomposedofpeopleatdifferentcareerstageswhohavecomplementaryneeds.
Thisinterventionhasthepotentialtoenhanceproductivityaswellasthequalityof
relationships.
Modificationsinthedesignofworktoencouragementoringaredictatedbythe
natureoftheworkandtheskillsandattitudesoforganizationalmembers.Aswiththe
redesignoftherewardsystem,theinvolvementofthosewhowillbeaffectedbythe
changeispreferable.
Modificationstothedesignofworkcanhavesignificantimpactonthequalityof
interpersonalrelationsintheorganization,theleveloftrustacrosshierarchicallevels,
andthegeneralcultureofthesystem,aswellasonotherstructuresandsystems.
Considerationofhowothersystemsmustchangeinordertomaintainafitamong
organizationalcomponentsisessentialforeffectiveimplementation(Beer,1980;
Hackman&Oldham,1980;Nadler&Tushman,1980).
263
Modifying the Performance-Management System
Theperformancemanagementsystemhasthepotentialtoprovideongoing
developmentalfunctions.Managementbyobjectives(MBO)isaprocessinwhichthe
managerandemployeeregularlysetandreviewachievablegoalsthatareconsistentwith
organizationalobjectives(Odiorne,1965).Performanceappraisalisaprocessinwhich
thesubordinatesperformanceisreviewedandfeedbackisprovidedonboth
performanceandpotential.Finally,incareerdevelopmentorperformancedevelopment
programs,thesubordinateandsupervisorjointlyassessthesubordinatesstrengthsand
weaknessesandthendevelopaplanforhisorherdevelopment.Alloftheseactivities
involvearangeofmentoringfunctions,includingcoaching,counseling,rolemodeling,
andfeedback.
Ifoneofthesesystemsisinplacebutnotoperatingeffectively,itmaybebecause
thepeopleinvolveddonothavetheskillstoperformtheirrequiredrolesorbecausethe
systemwasnotintroducedand/orexplainedadequately.Strategiesformodifyingthese
systemssothattheywillencouragementoringaredictatedbythecurrentstateofaffairs.
Ifnoformalsystemisyetinplace,introductionshouldinvolveaplanned,stepbystep
processthatincludestheendorsementoftopmanagement;pilotprojectsthat
demonstratesuccess;andeducationalinterventionsthatprovideknowledge,attitudes,
andskills.
Ifasystemisinplacebutunderutilizedornothighlyvalued,asystematicdiagnosis
isneededtodeterminewhatiswrong.Aneducationalinterventionmaybewarranted,or
thesystemsdesignmaybeinappropriatefortheparticularpopulation,inwhichcase
changesinthesystemmustbeconsideredbeforeaneducationalinterventionwouldhave
positiveimpact.Organizationalmembersmaybecomeunwillingtoembracethe
responsibilitiesthataperformancemanagementsystemrequires(Meyer,Kay,&
French,1965).Therecognitionthatnotallorganizationalmembersmaybeabletocarry
outtheconflictingrolesrequiredbythesesystemsisanimportantfirststeptoward
makingperformancemanagementsystemsmoreeffective.Asystemmayhaveto
legitimizesomeoneotherthantheimmediatesupervisortodiscussperformanceand
plansfordevelopment.Inoneengineeringorganization,theroleofalternativeadvisor
wasintroducedinthecontextofanewcareerdevelopmentprogram(Lewis,1982).The
alternativeadvisorsweremanagerswhovolunteeredtobeavailableforcareer
discussionswithemployeeswhodidnotfeelcomfortableintalkingwiththeirimmediate
supervisorsaboutpersonalandprofessionaldevelopmentissues.
The Problems of Formal Mentoring Programs

Aformalmentoringprogramconsistsofanexplicitgoalandsetofpracticesforpairing
juniorandseniororganizationalmembersinordertofacilitatetheeffectivesocialization
ofnewcomersandtohelpthemtoprepareforcareeradvancement(PhillipsJones,
1982).
Avarietyofformalmentoringprogramshavebeenintroducedinboththeprivate
sectorandtheFederalgovernment.IntheFederalgovernment,theInternalRevenue

264
Service,theFederalExecutiveDevelopmentProgram,thePresidentialManagement
InternalProgram,andtheU.S.DepartmentofAgriculturehaveutilizedformalsystems
inwhichthetraininganddevelopmentstaffsassigncoachesormentorstojuniorlevel
employees.Intheprivatesector,theJewelCompaniesassigneachnewmanagertoa
seniormanagerforcoachingandmentoring(Collins&Scott,1978);AT&TBellLabs
haveajuniorandaseniorengineersharethesameofficeforseveralmonths;Glendale
FederalSavingsandLoanhasvoluntaryleadersineachunitactascounselorsfor
employees;andMerrillLynchhasbossesnominateemployeeswhoarethenassignedto
mentors(PhillipsJones,1982).FederalExpresshasamentoringsystemthatalso
includestheeducationandinvolvementoftheimmediatesupervisorsofthejunior
employees,aswellasanadvisoryboardthatmonitorsthesystemseffectivenessand
dealswithanyproblemsthatoccur(Lean,1983).
Althoughnosystematicevaluationoftheseformalmentoringprogramshasbeen
completed,thereissufficientevidencetoraiseanumberofquestionsabouttheirvalue
increatingconditionsthatencouragementoring.Itappearsthatalthoughtheirprimary
objectiveistoprovideaneffectivesocializationexperiencefornewcomers(and,insome
instances,forparticulargroupsofnewcomerssuchaswomen,minorities,and/or
employeeswithhighpotential),theyarenotaccomplishingthisgoaland,insome
instances,havehaddestructiveconsequencesforthepeopleinvolved.Someofthese
negativeresultscanbeavoidedthroughcarefuldesignandimplementationofthe
system;othersaretheconsequencesofattemptstoengineerrelationshipsthatmust
evolvenaturallyandvoluntarilyasaresultofmutualattractionandinterests(Kram,
1980).
Whenmentorsandprotgsareassignedtoeachother,theyarelikelytofeel
coercedintotherelationship.Senioremployeesmaybegintoresenttheirresponsibilities
asmentors,andjunioremployeesmayresentthepatronizedaspectsoftheirroleor
doubtthevalueoftherelationship.Evenifthepartnersseepotentialvalueinthe
relationship,theymayexperienceanxietyorconfusionabouttheirnewroles.
Educationalinterventionscanalleviatesomeofthisanxietyandconfusionbydefining
mentoringfunctionsandprovidinginterpersonalskilltraining.
Negativementoringexperiencescanbeminimizedbymakingsurethatparticipation
inaformalmentoringsystemisvoluntary.Screeningprocedurescanhelppeopleto
thinkthroughthedecisiontoparticipate,anddatacanbecollectedtofacilitatethematch
betweenpotentialmentorsandprotgs(PhillipsJones,1982).However,thevery
existenceofaformalsystemthatisendorsedbyanorganizationsmanagementmakesit
unlikelythattheprogramwillbegenuinelyvoluntary.
Voluntaryparticipationinamentoringprogramcanreducetheriskofdestructive
experiences;itcannot,however,eliminatethepossibilityofnegativereactionsfrom
thosewhohavenotbeenselectedtoparticipateorfromthosewhoareaffectedbythe
relationshipsthathavebeenarranged.Forexample,inamentoringsystemdesignedfor
employeeswithhighpotential,thosewhoarenotselectedarelikelytofeeldeprived,
resentful,andpessimisticabouttheirownopportunitiesfordevelopment.Similarly,ina
265
mentoringprogramdesignedtofacilitateaffirmativeaction,majoritygroupmembers
maybecomeresentfuloftheguidanceandsupportbeingofferedtospecialinterest
groupmembers.Thesesideeffectscanaffectrelationshipsamongpeersaswellas
peoplescommitmenttotheorganization.
Eveniftheformalmentoringsystemisavailabletoallemployees,theimmediate
supervisorsofthejuniorsinthementoringpairsmaybethreatenedbythenewalliances.
Theriskoflosinginfluenceovertheperformanceandcareerdecisionsofasubordinate
increasesasthebondbetweenmentorandprotgstrengthens.Itisessentialtoinvolve
supervisorsintheprocessofarrangingthepairsinordertomitigatetheirresentment.At
thesametimeitmustberealizedthatsomeoftheirresponsibilitieswillbeinfringed
withtheformalizationofthementorrelationships.
Therisksofaformalmentoringsystemaresignificant,andthepotentialbenefits
havenotbeendemonstratedclearly.Thereissomeindicationthatcertainpreconditions
canreducesomeoftherisks.First,participationshouldbevoluntary;andsome
systematicscreeningprocedureshouldbeusedtoenhancethedecisiontoparticipateas
wellasthematchingofmentorsandprotgs.Second,thesupportoftopmanagementis
essentialtoconveytheseriousintentoftheprogramanditsimportanceindeveloping
humanresourcesintheorganization.Third,educationalinterventionsshouldbe
providedinordertoincreaseemployeesunderstandingofmentoringfunctionsandtheir
interpersonalskillssothattheiranxietyaboutenteringnewrelationshipsisreduced.
Finally,theremustbeflexibilityinthesystemsothatmismatchescanberemediedand
pairscancontinuerelationshipsonlysolongastheyarefulfillingmutualneeds.These
preconditionsarefeasible,butnoteasilyachieved.
Researchtodateindicatesthatamentoringrelationshipcannotbeengineeredbut,
rather,mustemergefromthespontaneousandmutualinvolvementoftwopeoplewho
seepotentialvalueintherelationship(Kram,1980;Levinsonetal.,1978).Theresearch
alsoindicatesthatpeoplearemorelikelytodevelopavarietyofrelationshipsthat
providementoringfunctionsratherthanattempttomeetalltheirdevelopmentalneedsin
onealliance(Rowe,1980;Shapiro,Haseltine,&Rowe,1978).Itappearsthata
formalizedmentoringprogrammaybeunnaturaland,thus,basicallyunrealistic.It
alsoseemsthatalternativestructuralandeducationalinterventionsultimatelymayhave
greaterpositiveimpact.Opportunitiesforinteractionandpairingofjuniorsandseniors
canbecreatedthroughappropriatetaskdesign,rewardsystems,andperformance
managementsystems;andpeoplecanbeofferedtheeducationalexperiencestobuildthe
requisiteinterpersonalskills.Thesestrategiesincreasethelikelihoodthatpeoplewith
complementaryneedswillfindoneanotheranddecreasetherisksassociatedwith
attemptstoformalizesuchalliances.
DETERMINING A STRATEGY FOR INTERVENTION

Becauseeffectivementoringrequiresconsiderablepersonalinvolvementand
commitmentoftime,energy,andhumanresources,astrategyforinterventionmustbe

266
basedonathoroughunderstandingoforganizationalmembersattitudes,knowledge,
andskills,aswellasthenatureofsystems,structures,andproceduresthatcanpromote
orinterferewithrelationshipbuildingefforts.Withthisunderstanding,itispossibleto
definewhicheducationalandstructuralinterventionsaremostappropriate.
Thevalueofanorganizationdevelopmentapproachtodeterminingand
implementinginterventionscannotbeoverstated.Theprocessoforganization
developmentandchangeisadynamicone;andthemajorphasesofdatacollection,
diagnosis,actionplanning,intervention,andevaluationdonotoccurinlinearfashion
butarereiteratedovertime(Kolb&Frohman,1970).Aninterventionstrategyis
necessarilydefinedovertime,stepbystep,aslearningoccursthrougheachnewcycleof
datacollection,diagnosis,intervention,andevaluation.Thisisnecessaryinorderto
ensurecongruenceamongstructure,people,process,strategy,andculture(Beer,1980;
Nadler&Tushman,1980).Thefollowingisanoutlineofasystematicintervention
strategy:
1. Establishtheobjectivesandscopeoftheintervention.
Whoisinneedofmentoring?
Whocanprovidementoring?
Areresourcesavailableforasystemwideintervention,orisasmaller,
departmentalinterventionmoreappropriate?
2. Identifythefeaturesthatcreateobstaclestomentoringandalternativemethods
foralleviatingthem.
Whichfeaturesdiscouragerelationshipbuildingefforts?Therewardsystem?
Thedesignofwork?Theculture?Theabsenceofeffectiveperformance
managementsystems?Individualattitudes,assumptions,orskills?
Whicheducationalandstructuralinterventionsarefeasible?Whichwould
addresstheobstaclesidentified?
Arethereexistingchangeeffortsorestablishedprogramsintowhichastrategy
toencouragementoringcouldbeincorporated?
Whoshouldbeinvolvedinchoosingtheappropriateinterventionsothatthe
supportofmanagementisassuredandresistanceisminimized?
3. Implementtheintervention.
Whichshouldhappenfirst,aneducationalorstructuralintervention?
Whoshouldbeconsultedandinvolvedintheimplementation?
Whatdepthofinterventionisrequired?
4. Evaluatetheimpactoftheinterventionanddeterminethenextsteps.
Howdidpeoplerespondtotheinterventionovertime?
Whatotherinterventionsareneededtosupportthedesiredchangesinattitudes
andbehavior?
Whoneedstobeinformedoftheimpactoftheinterventioninordertoensure
longtermsupportforthechange?
267
Systematicdiagnosisofthesituationenablesdefinitionofthepotentialobstaclesto
mentoring,includingstructures,processes,andpeople.Theprocessofdatacollection,
diagnosis,andactionplanningshouldinvolvethetargetpopulationforwhommentoring
isdesired,membersofthemanagementgroupwhomustcommitresourcesandsupport
forchange,aswellastheinternaland/orexternalchangeagentswhohavethe
knowledgeandskillstoorchestratetheprocess.
Data Collection
Peopleatallcareerstagesshouldbeconsultedaboutthefactorsthatencourageor
interferewiththeireffortstoestablisheffectiverelationshipswithcolleagues,including
theorganizationsrewardsystem,performancemanagementsystems,taskdesign,and
culture.Throughsystematicinterviewswithmembersoftherelevantgroups,datacanbe
collectedtodeterminetheappropriateobjectives(forexample,toprovidementoringfor
womenandminorities,toenhancementoringforallemployees,toexpandcareer
developmentprocessesintheorganization),theappropriatesubsystemstobeinvolved
(onedepartment,onedivision,theentireorganization),thewillingnessandcapabilityof
memberstosupporttheproposedobjectivesandrequiredchange,andtheresources
availabletosupporttheinterventiongoalsandstrategy(Beckhard,1969).
Thedatacollectionphaseofsuchanapproachlaysthefoundationfora
collaborativeeffortsothatorganizationalmembersdevelopasenseofownershipforthe
proposedchanges(Beckhard&Harris,1977;Beer,1980).Resistancetochangeisthen
minimized(Alderfer&Brown,1975).
Diagnosis and Action Planning

Thesephasesincludeasynthesisoftheinformationgatheredandidentificationof
possiblealternativeactions.Forexample,ifthedatashowthatonlybottomlineresults
currentlyarerewarded,changesintherewardsystemarenecessary.Thedataarelikely
toshowfactorsthatalreadyencouragementoringbehavior;forinstance,taskdesign
alreadymayfosterfrequentinteractionbetweenjuniorandsenioremployees,or
performanceappraisalsystemsalreadymayrequiremanagerstoprovidesome
mentoringfunctions.Thesesupportingfactorsshouldbebuiltonduringtheaction
planningprocess.
Alternativeoptionsmustbeassessedinlightofotherchangeprocessesand
developmentaleffortsintheorganizationintowhichthedevelopmentofmentoring
relationshipscouldbeincorporated.
Intervention
Thereisnoonerightwaytointerveneinanysituation;anumberofstrategiescanlead
towardthesameend(Nadler&Tushman,1980).Thechoiceandsequencingof
educationalandstructuralinterventionsmustbemadeonthebasisofpredictingthe
potentialcostsandbenefitsofeachalternative.Inparticular,itisnecessarytoanticipate

268
possibleresistanceandhowitmightbeaddressed(Kotter&Schlesinger,1979;Watson,
1969;Zalman&Duncan,1977).Thepotentialmentorsmayberesistantbecausethey
haveneverreceivedmentoringand/ortheyresenttheopportunityprovidedtojunior
colleagues.Thepotentialprotgsmayberesistantbecausetheydonottrustsenior
managerstohavetheirinterestsatheart,theydonotrespectthecompetenceandadvice
ofseniorcolleagues,and/ortheydonothavetheattitudesandskillsrequiredtoinitiate
relationshipswithpotentialmentors.Seniormanagersmayberesistantbecausetheir
concernforresultsquestionstheenergythatwillbedirectedtowarddevelopmentof
people.Eachofthesesourcesofresistancecanbecomeafocusforintervention(Bennis,
Benne,&Chin,1969;Lewin,1951).
Harrison(1970)suggeststhataninterventionbenodeeperthanisrequiredto
achievetheobjectivesforchange,norshoulditsurpasstheenergyandresourcesthatcan
becommittedbysystemmembers.Becausementoringrelationshipsrequirethatpeople
haveparticularinterpersonalskillsaswellasselfawarenessandanunderstandingofthe
mentoringprocess,itislikelythataneducationalinterventionwillbenecessary.If
limitedresourcesmakeitimpossibleforeducationtobeoffered,orifachangeinthe
designofworkortherewardsystemrequiresmorestudyandhumaneffortthan
currentlycanbeallocated,seriousconsiderationshouldbegiventonotinitiatingthe
processatall.
CONCLUSION
Anorganizationdevelopmentapproachtocreatingconditionsthatencouragementoring
ensuresthatsucheffortsarerelevant,acceptable,andhavetheintendedimpact(Beer,
1980).
Thisapproachrequiresasystematicprocessofdatacollection,diagnosis,action
planning,andcarefulevaluation.Interventionsthatareeffectiveinonesettingmaybe
inappropriateinanother.
Anorganizationmustconsideritsobjectivesandresourcescarefullywhenchoosing
amongeducationalandstructuralinterventions.Frequently,theinclinationistochoose
theinterventionthatappearsmostefficientinordertoconserveresources.Butthat
alternativemaynotalterthesystemsthatcreatethemostsignificantobstacles.
Theintroductionofaformalmentoringsystem,whileapparentlyadirectsolutionto
thelackofeffectivementoring,mayproducethemostnegativeeffects.Thosewhoare
matchedmayresenttheformalizedrelationship;thosewhoarenotmatchedmayfeel
deprived;andwithoutadequateskilltrainingandarewardsystemandperformance
managementsystemsthatsupportmentoringbehaviors,participantsarelikelytobecome
frustratedeveniftheyinitiallyareenthusiasticandcommittedtotheprogram.
Thispointstotheneedforsystematicdiagnosisofthesituationandidentificationof
thesequenceofeducationalandstructuralinterventionsthatwillcreatetheconditions
foreffectivementoringtoevolve.Ifopportunitiesforinteractionarelacking,changesin
taskdesign,performancemanagementsystems,ornormsrelatingtocrosshierarchical
269
contactmaybeneeded.Iforganizationalmembersateachcareerstagedonot
understandtheroleofmentoringincareerdevelopmentoriftheydonothavethe
requisiteinterpersonalskills,educationalinterventioniswarranted.Finally,ifhuman
resourcedevelopmentandrelationshipbuildingactivitiesarenotconsideredin
performanceevaluationandpromotiondecisions,changesintherewardsystemwill
havetobemadebeforementoringactivitiesareencouraged.
Anorganizationdevelopmentapproachtointerveninginvolvesorganizational
membersinthediagnosis,actionplanning,andevaluationphases.Apoolof
representativesfromeverylevel(seniormanagementondowntonewemployees)
shouldbeinvitedtoparticipateintheplanningandimplementationofeducationaland
structuralinterventions(Alderfer,1976;Beckhard&Harris,1977;Beer,1980).
Althoughanumberofinterventionstrategieshavebeendiscussed,othersarelikely
tobediscoveredastheseareimplemented.Itiscriticalthatevaluationbeconductedin
ordertodeterminethestrengthsandweaknessesofvariousapproaches.Evaluation
researchshouldincludeinterviewsandquestionnairestoassesstheimpactofchangesin
systemsandproceduresorparticipationineducationalevents.Asthesedataare
collected,theywillprovidethebasisforfurtherdiagnosisandsubsequentinterventions.
Morebasicresearchshouldcontinueaswell.Wehaveonlybeguntounderstandthe
psychologicalandstructuralfactorsthatshapeapersonswillingnessandcapacityto
initiaterelationshipswithcolleaguesofanothergeneration.Therealsoisagapinour
understandingofhowtomanagecrosssexandinterracialdynamicsindevelopmental
relationships;aswedevelopfurtherinsight,itwillbepossibletoinventnewstrategies
forovercomingthesesignificantobstacles.Similarly,asourunderstandingofmentoring
alternativesincreases,interventionstoenhancetherangeofrelationshipoptions
availabletoorganizationalmemberswillevolve.
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272
IMPROVING THE USE OF BEHAVIOR
MODELING IN COMMUNICATION AND
COACHING-SKILLS TRAINING
Dennis C. Kinlaw
Behaviormodeling(BEM)isawidelyacceptedtechniqueinthefieldofhumanresource
development,especiallyintraining.Behaviormodelingcanbedefinedasalearning
methodologythatenables
learnerstodevelopspecificskillsandtheconfidencetousethoseskillsbyviewing
amodelwhousesaspecificsetofstepsinadefinedsituation,enactingthebehaviors
demonstratedbythemodel,thenreceivingfeedbackontheireffectiveness(Robinson,
1982,p.181).ThegeneralvalueofBEMprogramsiswellestablished(Robinson,1982;
Zenger,1980).Ithasbecomethemethodofchoiceinmanyinterpersonal
communicationprograms,suchasCoachingSkillstrainingandotherprogramsthat
focusonskillacquisitionandthepracticalapplicationoflearning.
ResearchersandtheoristshavedebatedthestrengthsandweaknessesofBEM
programs(Dobbs,1983;Parry&Reich,1984).Someproblemsresultfromtheuseof
simplisticmodelsthatleadtoparticipantboredom(Zenger,1984).However,other
behaviormodelingprogramsarelesseffectivethantheymightbebecausetheymake
onlypartialapplicationofthetheoryfromwhichtheyarederived,thatis,thesocial
learningtheoryofAlbertBandura(1971).Iftheprinciplesofthistheoryweretobe
appliedmorecarefully,thetrainingresultsofbehaviormodelingcouldbeenhanced.
OVERVIEW OF THEORY
Sociallearningtheory(SLT)isacognitiveandbehavioraltheoryoflearning.One
distinctivecharacteristicofSLTisthatitdifferentiatestheprocessofacquisitionfrom
theprocessofperformance.Sociallearningtheoryresearchersemphasizethatpeople
typicallyacquiretheabilitytoperformacertainskillbyobservingsomemodel.Models
maybebehavioral,pictorial,orverbal.Theprocessofacquisition,orlearningfroma
model,isacognitiveoneandtakesplacebymeansofmentalcodingandorganization.
Acquisitiontakesplacebeforelearnersactuallydemonstratetheabilitytoperformthe
skill.Peopleoftenlearnaskillandrehearseitsperformanceintheirmindsbefore
actuallyhavingtheopportunitytoperformit.

OriginallypublishedinThe 1990 Annual:Developing Human ResourcesbyJ.WilliamPfeiffer(Ed.),SanDiego,CA:
Pfeiffer&Company.AdaptedfromTrainers Guide To Coaching for Commitment byDennisC.Kinlaw,1989,SanDiego,CA:
Pfeiffer&Company.Usedwithpermission.Coaching for Commitment:Managerial Strategies for Obtaining Superior
PerformanceandTrainers Guide To Coaching for CommitmentareavailablefromPfeiffer&Company.
273
Sociallearningtheoryalsoemphasizesthatbehaviororperformanceispartofthe
learningprocessandthatperformance,feedback,andreinforcementstrengthenskill
development.Thedualnature(cognitiveandbehavioral)ofSLTisapparentinthree
importantsubprocessesofobservationallearningidentifiedbyBandura(1971):
attention,retention,andreproduction.Eachofthesesubprocessesisaffectedbya
varietyoffactors,asoutlinedinFigure1.(Afourthsubprocess,motivation,isnot
relevanttothisdiscussion.)
Social-Learning
Subprocess Factors Affecting the Subprocess
Attention Distinctiveness or perceptual clarity of what is modeled
Complexity of the model
Learners perceptions of the value of what is modeled
Learners perceptual (mind) set
Learners past reinforcement
Retention Symbolic coding
Cognitive organization
Symbolic rehearsal
Motor rehearsal
Reproduction Physical capabilities
Availability of component responses
Self-observation
Accuracy of feedback
Figure 1. Factors Affecting Behavior Modeling
Attention
Thissubprocessdescribesthewayinwhichlearnersorientthemselves.Thepresentation
ofamodeldoesnotensurethatlearnerswillattendcloselyenoughtothemodel,that
theywillselectfromthemodelthemostrelevantattributes,orthattheywilleven
perceiveaccuratelywhatisbeingmodeled.Attentionisinfluencedbysuchvariablesas
thedistinctivenessorperceptualclarityofwhatismodeled,thecomplexityofthemodel,
thelearnersperceptionofthevalueofwhatismodeled,thelearnersperceptual(mind)
set,andthelearnerspastreinforcementpatterns.
Retention
ThissubprocessofSLTemphasizesanelementinobservationallearningthatisignored
intheoriesofimitation(suchasbehaviorismandotherreinforcementtheories).
Researchershaveshownthatwhenlearnersacquireamodeledresponsewithout
performingitasitismodeled,theymustberetainingthemodeledresponseinsome
mentalorsymbolicform.
Theprocessofretentionincludessymboliccoding,cognitiveorganization,
symbolicrehearsal,andmotorrehearsal.Longtermretentionofmodeledbehaviorsis

274
mostdependentoncoding.Asimpleillustrationofcodingisthewayinwhichaperson
translatesasetoftraveldirectionsintoaseriesofleftandrightturns;thatpersonmay
furthercodethedirectionsbyRforrightandLforleft.
InSLT,learnersarenotpassiverecorderswhostorereplicated(isomorphic)
representationsofmodeledevents.Instead,theyareactive,cognitiveagentswho
transform,codify,andorganizemodeledinformationintotheirownmnemonicschemes.
Reproduction
ThebehavioralaspectofSLTbecomesapparentinthesubprocessofreproduction,
whichreferstotheperformanceofamodeledpattern.Reproductionincludesthe
elementsofphysicalcapabilities,availabilityofcomponentresponses,selfobservation;
andaccuracyoffeedback.
Inabehaviormodelingtrainingprogram,successfultransitionthroughthis
subprocessdependslargelyontheavailabilityofthecomponentresponsesrequiredto
reproducethemodel.Learningtoreproduceacomplex,modeledinteractionrequires
thateachoftheconstituentskillsintheinteractionbemodeledforthelearnersand
performedbythembeforetheygoontothemorecomplexbehaviorsrequiredinthe
completeinteraction.
OPPORTUNITIES FOR IMPROVING BEHAVIOR MODELING

Behaviormodelingprogramsexpectmorethanmimicry.Ifmerelyproducingimitative
behaviorweretheirgoal,trainerscouldusearepeatedmodelwithcorrectivefeedback
andvaluedrewardsandeventuallyevokeamatchedresponse.Themorecomplex
objectiveofenablinglearnerstodevelopspecificskillsandtheconfidencetousethese
skillsrequirescarefulconsiderationofthethreesubprocessesofattention,retention,and
reproductiontoenhancethedesignandresultsofsuchprograms.Figure2outlinesthe
variablesthatcanenhancetheeffectivenessofbehaviormodeling.
Attention
Themodeledstimulusmustbedesignedandpresentedinsuchawaythatitisclearand
freeofambiguity.OneoftherecurringproblemsinsomeBEMprogramsisconfusion
aboutwhatisbeingmodeled.
Someprogramsusebehavioralmodelstomodelrules,principles,values,andso
on.Morethanasetofbehaviorsisbeingmodeled,yetthemodelsarediscussedas
thoughonlybehaviorwerebeingmodeled.Theuseofbehaviormodelingto
communicatemorethanasetofbehaviorscanbeappropriateattimes.However,
regardlessofthepurpose,themoreexplicitlythemodelispresentedtothelearners,the
moredistinctivethemodeledinformationbecomesandthemoretheattentionprocessis
strengthened.
Notonlycanthissubprocessbestrengthenedbyincreasingthedistinctivenessof
themodeledstimuli;attentionalsocanbestrengthenedbymorecarefulpreparationof
275
Social-Learning
Subprocess Factors Enhancing Effectiveness
Attention Clear design and presentation of modeled stimuli
Increased distinctiveness of the modeled stimuli
Learner preparation and awareness of what is to be
observed
Use of an observation sheet requiring explicit responses
Reliability of the model and observation sheet
Absence of any elements in the modeled stimuli that
interfere with attractiveness to learners
Retention Distinctive model and rigorous definitions of what is to be
observed
Graphic or pictorial models describing what is to be
observed in the behavioral model
Learners development of alternative graphic and verbal
descriptions of what will be modeled
Use of generic cognitive models on which a variety of
subsequent applications or related models can be built
Modeling and practicing of constituent skills prior to
modeling and practicing a complex process
Post-modeling review of how observers coded and
organized what they viewed
Reproduction Carefully designed practice activities
High-quality and well-timed feedback
Use of preliminary activities to ensure that the requisite
skills have been modeled and learned
Participant practice with feedback skills.
Figure 2. Factors Enhancing Behavior Modeling
thelearnertoreceivethemodeledstimuli.Suchpreparationrequiresprecisioninthe
verbaldescriptionsofwhatistobemodeled.Theobserversneedtoknowwhetherthey
arelookingforprinciples,rules,values,orskills.Oncethisquestionhasbeenanswered,
takingthefollowingtwostepscanhelptoensurethatthemodelwillserveitstraining
purpose:
1. Developanobservationsheetwithaformatthatrequiresthelearnerstomake
veryexplicitresponses(theclosertheobservationscanbereducedtoyesor
noresponses,thebetter).
2. Testthemodelandobservationsheetwithobserversandmodifythemodeland
observationsheetuntilconsistentresultsareobtainedandthereliabilityofthe
modelandobservationsheethavebeenestablished.
Anotherwaytostrengthentheattentionsubprocessistobesurethatthemodeled
stimulusisclearofanyelementsthatmakeitunbelievableorunacceptabletothe
learners.Onepracticaltacticistouseavideomodelthathasatrainingsettingrather
thananauthenticorganizationalsetting.Suchamodel(forexample,inaninterpersonal
skillstrainingprogram),coulddepicttraineesinatrainingsettingastheyperformthe

276
skillsthattheobserverlearnerswillbeexpectedtoperformaftertheyhaveviewedthe
model.ThiswouldpreventobjectionssuchasThatsnotthewayitisinour
organization.Usingatrainingsettingformodelingalsoenhancestheattractivenessof
themodelforlearners,becausetheyperceivetheactorstobelikethemselvesinthe
samelearningenvironmentandfacingthesamelearningchallenges.
Ifthevideomodelmakesuseofprofessionalactorsorpeopleexperiencedinusing
themodeledbehaviors,theyshouldstrivetoactnaturally(notperfectly);andthesetting
shouldbeasgenericaspossible.
Retention
Observerslearnfromamodel,firstofall,byperformingthecognitiveprocessesof
classifying,organizing,andcoding.Intheattentionphaseoflearning,makingthemodel
distinctiveandusingrigorousdefinitionsofwhatistobeobservedenhancecognitive
processes.
Theseprocessesalsocanbestrengthenedintheretentionphase.Onewaytodothis
istousegraphicorpictorialmodelstodescribewhatistobeobservedinthebehavioral
model.If,forexample,learnerswillbeviewingaproblemsolvingsituation,theywill
retainmoreiftheprocesstobeviewedisbothdiagramedanddescribedverbally.
Anotherusefulmethodistohavelearnersdeveloptheirowngraphicandverbal
descriptionsofwhatwillbemodeled.Thenlearnerscanrehearsewithoneanotherwhat
willbemodeledandchecktheaccuracyofthecognitivepreparationthattheyhave
made.
Someofthemostusefulaidstoretentionaregenericcognitivemodelsonwhicha
varietyofsubsequentapplicationsorrelatedmodelscanbebuilt.Forexample,ageneric
interpersonalproblemsolvingmodelcanbeusedtodescribethecoreskillsand
processesinvolvedinawholeseriesofspecificsupervisorandsubordinateinteractions,
suchasestablishingworkobjectives,counselingonperformance,andcoaching(Kinlaw,
1981,1989).Eachmodelofeachsubsequentinteractionisrelatedtothegenericmodel,
resultinginbetterretention.
Retentionalsocanbestrengthenedbymodelingandpracticingtheconstituentskills
ofacomplexprocessbeforemodelingandpracticingthewholeprocess.Inatraining
programoncoachingorinterpersonalcommunication,forexample,theBEMprocessis
enhancedifskillssuchasprobing,reflecting,andsummarizingaremodeledandare
practicedindividuallybeforeacompleteinteractionismodeledandpracticed.
Postmodelingreviewofhowobservershavecodedandorganizedwhattheyhave
viewedisanotherwaytoenhancetheuseofbehaviormodeling.
OnemistakethattrainersinBEMprogramsoftenmakeisusingvideotapemodels
tosparkdiscussionaboutthecontentofthemodeledinteractionandencouraging
learnerstoidentifywhatwouldimprovethemodel.Thesediscussions,ifnotcarefully
controlled,caninhibittheretentionprocessbycreatingindefinitenessaboutwhatis
beingmodeledandimprecisionaboutwhatisbeinglearned.
277
Reproduction
ThegoalofBEMprogramsisthatlearnerswillbeabletomatchthebehaviorspresented
inthemodeledstimuli.Reproductionisassisted,ofcourse,ifclearanddistinctmodels
areused,iftheguidelinesforobservationaredefinedrigorously,andifaccurate
cognitivecodingandorganizationofmodeledbehaviorhaveoccurred.However,the
twocriticalelementsinreproductionarepracticeandfeedback.Behaviormodeling
programstypicallycanbeimprovedbydesigningthepracticeactivitiesmorecarefully
andbyimprovingthequalityandtimingoffeedback.
MostBEMactivitiesaredesignedlikethefollowingexampleofaperformance
counselingsituation:
1. Participantscreatearoleplaysituationinwhichasupervisorinteractswithan
employeewhohasperformanceproblems.
2. Participantspracticeathoroughandcompleteinteractionoftheperformance
counseling.
3. Participantsreceivefeedbackabouttheirperformance.
Severalproblemsareinherentinthisdesign.First,usingreallifeproblemsinorder
toincreasetherelevanceofthetrainingandtodemonstrateitsapplicationusually
confusesthelearningprocess.Thereallifesituationsdistractthelearnersfromthemain
issue,whichisthecorrectreproductionofthemodeledstimuli.
Asecondproblemisthatthisdesignencouragesglobalfeedbackconcerningalarge
segmentofbehavior.Thelearnermayreceivetoolittlespecificfeedbacktobeofuse
andtoomuchglobalfeedbacktoberememberedandused.
Thethirdproblemariseswhenparticipantsdonothaveachancetopractice
improvedperformanceafterthefeedback.Somemodularprogramsovercomethis
problembecauseparticipantsaregiventhechancetobuildonthelearningfromeach
moduleandtomodifytheirbehaviorsintheactivitiesastheprogramprogresses.
Practiceactivitiesand,therefore,reproduction,canbestrengthenedbyensuringthat
therequisiteskillsforanactivityoraninteractionhavebeenmodeledandlearnedina
seriesofpreliminaryactivities.
Participantsmustbechallengedtomatchthemodeledbehaviorthattheyhave
observed.Theycannotproperlyvaluethemodeledbehavioruntiltheyhave
demonstratedit.Furthermore,iflearnersarenotabletomatchthemodeledbehavior
duringtheBEMprogram,itbecomesunlikelythattheywillapplythebehaviorsonthe
job.
Anotherelementinthesubprocessofreproductionthatcanbeimprovedinmost
BEMprogramsistheuseoffeedback.Manyprogramspaylittleattentiontoteaching
participantshowtogivefeedback.Ironically,programscoulduseBEMveryeffectively
toteachfeedbackskillstoparticipants.
Inexpensiveandefficientfeedbacktrainingforparticipantscanbeachievedby
meansofthefollowingprocess:

278
1. Giveparticipantsaverbalmodelofusefulfeedback(forexample,itisconcrete
andconcise,anditdescribesbehavior).
2. Applytheverbalmodeltotheobservationguidelinesusedineachactivity.
3. Asktheparticipantstopracticegivingfeedbacktothevideooraudiomodelwho
isdemonstratingthebehaviorsforthepracticeactivity.Thismeanstellingthe
participantstospeaktothepersonmodelingthebehaviorinthetapeasthough
thatpersonwereafellowparticipant.
FeedbackcanbefurtherstrengthenedinBEMprogramsifitisgiveninregardto
smallperformanceelements,ifitisgivensothatitcanbeactedonimmediately,andifit
permitsnewbehaviortobetestedandperformancetobeimproved.Onewaytoachieve
alloftheseobjectivesistouseastopactionprocessduringthereplayofataped
interaction.Thisprocessisasfollows:
1. Stopthetapeandgivefeedbackaboutaspecificbehaviorofthelearner.
2. Askthelearnertodemonstrateabehaviorthatmorecloselyapproximateswhat
hasbeenmodeledpreviously.
3. Askthelearnertocompareandevaluatethebehaviorusedinthetapeandthe
behaviorusedinthestopactionprocess.
CONCLUSION
Behaviormodelingprogramshaveproventobepowerfullearningtechnologies;they
havemadesignificantcontributionstohumanresourcedevelopment,especiallyinthe
areasofmanagementandsupervisoryeducationandinterpersonalcommunication.
However,behaviormodelingcanbeimprovedbycarefulattentiontotheconceptsfrom
whichitisderived:AlbertBandurassociallearningtheory(SLT).Threeofthe
subprocessesinSLT(attention,retention,andreproduction)provideastandardfor
evaluatingBEMprogramdesigns.Emphasizingthesesubprocessesenablestrainersto
identifypracticalwaystoassertboththecognitiveandbehavioralelementsinBEM,
therebyimprovingitseffectiveness.
REFERENCES
Bandura,A.(1971).Psychologicalmodeling.Chicago,IL:Aldine.
Dobbs,J.H.(1983).DoesbehaviormodelingworkoutsidetheU.S.?TrainingandDevelopmentJournal,37(10),
5354.
Kinlaw,D.C.(1981).Listeningandcommunicatingskills:Afacilitatorspackage.SanDiego,CA:Pfeiffer&
Company.
Kinlaw,D.C.(1989).Coachingforcommitment:Managerialstrategiesforobtainingsuperiorperformance.San
Diego,CA:Pfeiffer&Company.
Parry,S.B.,&Reich,L.R.(1984).Anuneasylookatbehaviormodeling.TrainingandDevelopmentJournal,
38(3),5762.
279
Robinson,J.C.(1982).Developingmanagersthroughbehaviormodeling.SanDiego,CA:Pfeiffer&Company.
Zenger,J.(1980).Thepainfulturnaboutintraining.TrainingandDevelopmentJournal,34(12).
Zenger,J.(1984).Lettertotheeditor.TrainingandDevelopmentJournal,38(7),68.

280
USING MENTORING FOR PROFESSIONAL
DEVELOPMENT
J. Barton Cunningham
INTRODUCTION
Thementoringprocesscantakeplaceineitheraformaloraninformalcontext.Levine
(1985)estimatesthatformalizedmentoringprogramsprobablyonlyconstituteabout3to
4percentofthementoringthatisactuallyoccurring.Informalmentoring,byfarthe
moreprevalentform,typicallyoccurswhenaprotgjusthappenstobechosenbya
mentorwhopossessesmuchgreaterexperienceandexpertise.Thisphenomenonis
frequentlydescribedasbeingintherightplaceattherighttimetobenoticedbythe
rightperson.
However,formalmentoringprograms,inwhichtheorganizationassignsormatches
mentorsandprotgs,arerapidlyincreasinginpopularityinboththepublicandthe
privatesectors.Inasurveyconductedineightcountries(Murray&Owen,1991),18
percentofthosesurveyed(sixtysevencompanies)hadsomekindofformalmentoring
program.Mostreportedthattheseprogramsweregenerallysuccessfulandthatthey
plannedtocontinuethem.
Inviewofthereportedsuccessofformalmentoringprograms,organizationswould
bewelladvisedtoconsiderthem.Inimplementingaformalizedmentoringprogram,
however,anorganizationneedstoresolveseveralissues:howtoidentifymentorsand
prospectiveprotgs,howtodevelopalearningcultureforsuccessionplanningand
employeedevelopment,andhowtorecognizetheskillsandcharacteristicsthatpeople
needinordertolearn.Thisarticleprovidesaperspectiveonfacilitatingaformal
mentoringprocessanddevelopingacultureformentoring.Itdescribesthebenefitsof
mentoring,discusseswhyinformalmentoringandperformanceappraisalsystemsare
insufficientwaystodevelopemployees,pinpointssomecriteriaforasuccessful
mentoringprogram,andthendiscusseshowtosetupamentoringprogram.
THE BENEFITS OF MENTORING

Mentoringoffersbenefitsfortheorganization,formentors,andforprotgs.For
example,itiscriticalforanorganizationtodevelopmanagerialandleadershiptalent
amongtheranks.Althoughitistruethatorganizationscaneasilyrecruitpeoplefrom

OriginallypublishedinThe 1994 Annual: Developing Human ResourcesbyJ.W.Pfeiffer(Ed.),SanDiego,CA:Pfeiffer&
Company.
281
outsidetofilltheirmanagerialneeds,mostorganizationsrecruitfromwithin.Recruiting
fromoutsidetheorganizationnotonlycannegativelyaffectmoraleandorganizational
loyaltybutalsocanintroducenewpeoplewhoconflictwiththeorganizationsculture.
Introducingnewmanagersoremployeesintoanorganizationisanalogoustothe
introductionofnewstrainsofbacteriaintothebody:Somestrainscanstrengthenthe
immunesystem,butotherscanbedangerous.Similarly,insomecasesnewpeopleinan
organizationcanbeaverypositiveinfluence,butinotherstheresultsmaybe
catastrophictotheculture.
Obviously,theprocessofpromotingfromtheranksinvolvesmuchmorethan
choosingandpromotingthemosttalentedtechnicalspecialists.Talentedlineworkers
maypossesshighlevelsofskillintheirareasoftechnicalexpertise,butsuch
competenciesarequitedifferentfromthoserequiredtocreateandmanageteamwork
withinaworkgroup.Theprocessofdevelopingcompetentleadersrequiresan
awarenessoftheorganizationspersonnelneedsaswellasmechanismsfordeveloping
managerialpotentialandability(Sveiby&Lloyd,1987).
Mentoringprogramsrecognizethatonthejobexperienceandcoachingarevaluable
waystodevelopmanagerialcapabilities.Whenpeopleinorganizationsareaskedto
indicatethewaysinwhichtheylearnedmost,theyrarelymentionuniversitycourses,
managementseminars,oronthejobtraining.Rather,theymentiononthejob
experience.Thisfindingcoincideswithresearchindicatingthateffectiveleadersare
mostoftenabletoidentifyasmallnumberofmentorsandkeyexperiencesthat
powerfullyshapedtheirphilosophies,personalities,aspirations,andoperatingstyles
(Bennis&Nanus,1985,p.188).
Mentoringalsooffersobviousbenefitsforprotgs.Ayoung,newemployee,for
example,formsanoccupationalidentityandrelationshipwithotheremployeesduring
theinitialstagesofhisorhercareer.Thisistheperiodduringwhichquestionsof
competenceandabilitytoachievefutureoccupationaldreamsaremostsalient.The
employeemustlearnhowtofunctioneffectivelywithintheorganizationbydeveloping
technical,interpersonal,andpoliticalskillsaswellasasenseofcompetenceinhisorher
work.Thenecessaryskillsandasenseofcompetenceareacquiredprimarilythrough
interactionandfeedback,andmentoringcanbeextremelyusefulinthisacquisition
process.
Inaddition,mentorsbenefitfromthementoringexperience.Duringmidcareerthe
moreexperiencedemployeeislikelytobereappraisingaccomplishmentsand
reassessinggoals.Enteringintoamentoringrelationshipwithanew,ambitiousworker
providesthesenioremployeewithanopportunitytoredirecthisorherenergiesinto
creativeandproductiveendeavor.Italsoprovidesanopportunitytoparticipate
vicariouslyinanotherpersonsresolutionofthechallengesassociatedwithasuccession
ofdifficultcareerstages.Inaddition,iftheprotgisyoung,thementorcanhelpthat
youngpersontomeetthechallengesofearlyadulthood.Arelatedbenefitisthatthe
protgmayenablethementortoseeissues,situations,andconditionsinanewlight.

282
WHY INFORMAL MENTORING AND PERFORMANCE-
APPRAISAL SYSTEMS ARE NOT ENOUGH
Althoughinformalmentoringhasalwaysoccurredandwillcontinuetodoso,thereare
severalreasonsfornotwaitingformentoringtojusthappen(Gray,1983):
1.Averysmallpercentageofmotivatedandcapableemployeeseverreceive
informalmentoring.Oftenexcludedfrommentoringarewomenandminorities,groups
thatinmanycasesrequiretheassistanceofmentorsthemost.Instead,itisfrequentlythe
casethatanorganizationeitherconsciouslyorunconsciouslyendeavorstogroom
specifictypesofemployeeswithdistinctbackgroundsforkeymanagementpositions.
Thisformofsuccessionplanningisoftenundertakeninordertoreinforcethe
organizationsculturalnorms,traditions,andunderlyingvaluesystem.However,this
approachcanperpetuateanoldboysnetworkwherebywhoyouknowismore
importantthatwhatyouknow.
2.Capablepeoplewhodonotreceiveinformalmentoringfrequentlyfeelenviousof
thosewhodoand,asaresult,feelbitternesstowardtheorganization.Thesenegative
byproductsofinformalmentoringcanseverelyunderminethecredibilityofthemerit
principlewithinthepublicsector.Employeesmayperceivethatcareeropportunitiesare
determinedinlargepartonthebasisofonesconnectionsratherthanonthebasisof
onesperseverance,dedication,andacquisitionofrequisiteskills.
3.Whenhumanpotentialgoesunrecognizedandundeveloped,everyoneloses.
Employeesendupresigningorworkingfarbelowtheirpotentialandcapacitybecause
theyfeelthatnooneistrulyconcernedaboutthemortheircareerexpectations.Inturn,
theorganizationmaylosevaluablehumanresourcesthatarecapableofmaking
significantcontributions.
Performanceappraisalsystemsalsodonotmeasureuptoformalmentoring
programs.Theycannotfosteranemployeespsychologicalgrowthinthesamewaythat
mentoringcan,norcantheyprovidetheopportunitytoassociateandidentifywiththose
whohaveexperience,skill,andpower.Thisdeficiencymaybedue,inpart,tothefact
thatmanyperformanceappraisalsystemsarehighlyjudgmentalinnatureandtendto
inhibitmeaningfultwowaycommunicationbetweenamanagerandanemployee.Also,
thesesystemsarenotalwaysusedinaregularandongoingmannertofacilitate
employeelearninganddevelopment;theymaybeusedforevaluationsalone.In
addition,theyarefrequentlyperceivedastheexclusiveresponsibilityandprerogativeof
management,becausemanagementfrequentlyestablishestheperformancecriteria,
standards,andobjectivesalongwiththeevaluationscheduleandlocation.
CRITERIA FOR A SUCCESSFUL MENTORING PROGRAM

Interviewswithninementorsandthirteenprotgssuggestedthefollowingcriteriafor
successfulformalmentoringprograms:
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1. Theprogrammusthavethesupportoftopmanagement.
2. Mentorsandprotgsmustbecarefullyselected.
3. Mentorsandprotgsmustundergoanextensiveorientationprogram
emphasizingthedevelopmentofrealisticexpectationsconcerningthe
relationship.
4. Theresponsibilitiesofmentorsandprotgsmustbeclearlystated.
5. Minimumsofdurationandfrequencyofcontactbetweenmentorsandprotgs
mustbeestablished.
6. Theprogramshouldrecognizeandtakeintoaccounttheskillsandcharacteristics
requiredofmentorsandprotgs.(SeeDevelopinganAwarenessofMentoring
Skillsinthisarticle.)
7. Theprogramshouldrecognizethatthementorprotgrelationshipflourishes
whenthementorandprotgshareresponsibilityfortherelationship;whenthere
isregular,structuredcontactbetweenmentorandprotg;whenthementorand
theprotgrespecteachother;andwhenchallengingandsubstantiveissuesand
protgassignmentsaredealtwith.
8. Theprogramshouldrecognizethattherearebenefitsformentors,forprotgs,
andfortheorganization.
9. Theprogramshouldrecognizetheadvantagesofthementoringexperience,
includingthedevelopmentofplansforemployeedevelopmentandemployee
succession.
10. Theprogramshouldalsorecognizethepossibledrawbackstothementoring
experience,suchasperceivedfavoritismandexploitationofmentorandprotg
(Cunningham&Eberle,inpress).
Thesuccessfulmentoringprogramisonethattakesthesefindingsintoaccountand
includesplanstouseanddeveloptheskillsandcharacteristicsofbothmentorsand
protgs,tofostertheappropriateatmosphereandclimate,topublicizeandpromotethe
benefitsforprogramparticipants,tomaximizetheadvantagesofmentoring,andto
minimizethedrawbacks.
HOW TO ESTABLISH A MENTORING PROGRAM

Toestablishformalmentoring,anorganizationfirstassessesitsneedsformentoringand
thendesignsandimplementsamentoringprogram.Manyofthestepsinvolvedin
assessingneedsandindesigningandimplementingaprogramcanbeundertakenduring
aconferenceoraseriesofmeetingsattendedbymanagersandpossiblysome
nonmanagerialemployeesrepresentingthedifferentfunctionsoftheorganization.In
suchaconference,tasksubgroupscanmeetanddiscussthevarioustopicswithineachof
theplanningsteps.Subsequentstepsoftheplanningprocessleadingtoprogram

284
implementationareundertakenafterthetasksubgroupsreporttheirresultstothetotal
group.
Assessing the Organizations Needs for Mentoring

Theinitialstepsofestablishingamentoringprogramareconcernedwithassessingthe
needforsuchaprogram:(1)identifyingtheorganizationspersonnelneeds,(2)
developingamissionstatement,and(3)establishinganorganizationalphilosophy.Ifthe
conferenceparticipantsdeterminethatparticularskillsmustbedevelopedtomeetfuture
needs,thatemployeedevelopmentispartoftheorganizationsmission,andthatthe
organizationalphilosophysupportsmentoring,thenproceedingwithamentoring
programisappropriate.
Identifying the Organizations Personnel Needs

Inassessingwhethertheorganizationreallyneedsamentoringprogram,firstthe
conferenceparticipantsmusttakeagoodlookattheorganizationspersonnelneedsin
thefutureandmustdeterminethemethodsthattheorganizationwillusetomeetthese
needs.Thisformofpersonnelorsuccessionplanningisdependentondefiningthe
organizationsfutureenvironmentandidentifyingtheskillsthatwillbeneededmostin
thatenvironment.Boththeexternalandtheinternalenvironmentsshouldbedefined.
Figure1offersasampleanalysisofoneorganizationsexternalandinternal
environmentaltrends.Fourtypesofskillsshouldbeconsideredasnecessaryresourcesin
connectionwithwhatisorwillbehappeninginbothenvironments:
1.Problemsolvingskills.Theseskillsaredesignedtohelptheorganizationraise
questionsaboutitsstrengthsandweaknesses.Thepurposeofidentifyingandanalyzing
strengthsandweaknessesistodetermineandinterpretpresentdirectionsaswellas
futuredirectionsthatmaybepossiblewithamoreorganizedanddeliberateplan.These
skillsaregenerallyusedaftertheproblemorneedhasbeenthoroughlydefined.
2.Adaptiveskills.Unlikeroutineproblemsolvingskills,whichareusedtoresolve
onlyimmediateorganizationalissues,adaptiveskillsincorporatenewideasfromoutside
thefirm.
3.Coordinativeskills.Theseskillsarebroughttobearinimprovingthe
administrativesystemtokeepupwithnewtechnologiesandwithchangesofstaff.
4.Productiveskills.Productiveskillsfocusontheregular,ordinaryrequirements
forthesurvivalandstabilityoftheorganization.Theyaregenerallyusedtohelpthe
organizationtoproduceitsproductsand/ortoprovideitsservices.
Differentandoftenconflictingneedsandvaluesareinherentineachoftheseskill
areas.Inatypicalmanufacturingorganization,forexample,thesedifferencesmay
manifestthemselvesininterdepartmentalwarfare:Theproductiondepartment,which
dependsonproductiveskills,mayfailtounderstandandappreciatetheconstant
modificationofproductsandplansthatcharacterizestheresearchanddevelopment
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EXTERNAL ENVIRONMENT
1. Technological Change. The rapidly changing technological environment will

hasten and aid the decentralization process. Technology improvements will
provide the means for less direct centralized operational control and will
permit effective decentralized functional control, while at the same time
enabling senior management to obtain timely and usable financial
information for decision making.
2. Demographic Change. The baby boom will slow down the rate of career
progression and in-crease the need for career development, that is,
changes in work assignment through lateral transfers.
3. Economic Change. Free trade zones will result in increased competitiveness

in most countries. This competitiveness will increase the rate of change in
the economy.
INTERNAL ENVIRONMENT
1. Technological Change. The focus of technology implementation will continue

to shift from automating what we are currently doing to developing new and
better ways of doing things and to improving the range and quality of
services provided. Additional staff training in the use of computer
technology will be required if we are to realize the full potential of existing
and future computer hardware and software.
2. Human-Resource Change. The company has a good mix of age groups and
should not be faced with a sudden turnover due to retirements. It will be an
ongoing challenge to keep performance and morale up in a climate of
increasing work loads, change, and uncertainty. There is a risk of cutbacks
and freezes, particularly if there is a downturn in the economy.
3. Work-Load Change. The work load will continue to increase, and the work
will become less routine.
Figure 1. Sample Environmental-Trend Analysis
department,whichreliesonadaptiveskills.Suchdifferencesareareflectionofthe
conflictinherentinthetasksactedoutbythedifferentsubsystems.
Atcertaintimesinanorganizationslife,itmaybenecessarytohighlightcertain
skillsoverothers.Forinstance,attimesitmaybeappropriatetodevelopskillsthatassist
inchangingandadapting.Also,changesinonefunctionalarea(inonesubsystem)will
affectotherareas.Thus,afteramajorchange,itmightbeappropriatetoemphasize
problemsolvingskills.
Inmostcases,theconferenceparticipantswillbeabletoforecastskillresponsesto
environmentaltrendsbybrainstorminganswerstofourquestions:
Whatskillswillweneedtorespondtofuturechanges?
Whatskillswillweneedtoimproveourinternalmanagement?

286
Whatskillswillweneedtoimproveourinternalefficiencyandcost
effectiveness?
Whatskillswillweneedtoimproveourmaintenanceandrepair?
Thosewhoparticipateintheconferencecanprioritizetheseskillsintermsofthe
degreetowhichtheywillberequiredandthedegreetowhichtheyarenowpresentin
theorganization.
Developing a Mission Statement

Anorganizationsmissionstatementdescribesitsjustificationforexistence,whatitisin
businessfor,theuniqueaimthatsetsitapartfromothers.Ifthemissionstatement
establishestheorganizationscommitmenttoemployeedevelopment,thenthe
organizationcansupportmentoring;ifsuchacommitmentisdeterminedtobe
inappropriateandisabsentfromthemissionstatement,thenamentoringprogramis
inappropriate.Figure2offersanexampleofamissionstatementthatincorporates
employeedevelopmentand,therefore,supportsmentoring.Tobeginconstructinga
missionstatement,theconferenceparticipantsshouldanswerthefollowingquestions:
Whoarethecustomersorclientgroups?
Whatmakestheorganizationdistinct?
Whydowehavethegoalsandmotivatorsthatwehave?
Whereareourfacilitiesandmarkets?
The objective of the Government Branch if Accounting and Reporting are to

achieve goals of excellence in service, accounting, and financial reporting and
to create the working environment that will accomplish these goals.
Excellence in service is striving to meet the needs of our clientstaxpayers,
Treasury Board, ministries, suppliers to government, etc.in a manner that is
efficient, effective, and friendly.
Excellence in accounting and financial reporting is ensuring that there is an
effective system for accurately recording government expenditures, revenues,
assets, and liabilities on a timely basis and ensuring that financial information
produced from records is accurate, timely, understandable, and useful to the
reader.
The skills, ability, and dedication of our staff are our most valuable resources.
This belief is supported by our commitment to enhancing the knowledge, skills,
and experience of our people and by encouraging risk taking, greater two-way
communication, more decision making, a greater sense of trust at all levels,
and a better work environment overall.
We want our clients, as well as each staff member, to regard the Branch as
professional, innovative, fair, efficient, and responsive and as providing
leadership in the areas of our accountability, experts, and responsibilities.
Our objective is to promote the Canadian model for consultation, teamwork,
and cooperation with our clients and with one another.
Our goal is to become the Canadian model for service, accounting, and
reporting in public sector financial administration.
287
Howarewecarryingoutproduction,marketing,sales,anddistribution?
Whatskillsdoweneed?
TheparticipantsintheconferencealsoneedtoconductwhatiscalledaSWOT
analysis.TheacronymSWOTstandsforStrengths,Weaknesses,Opportunities,and
Threats.Ananalysisofthesefourareasprovidesaperspectiveontheorganizations
internalandexternalenvironments.Theideasofconferenceparticipantsareparticularly
valuableinidentifyingtheopportunitiesandthreatsimpactingpersonneldevelopment.
Consequently,brainstormingandotherideagenerationactivitiesshouldbeusedto
identifysituationsandtrendsthattheorganizationwillhavetorespondtointheshort
andlongtermaswellastopinpointstrengthsandweaknessesintermsofresourcesand
procedures.ToconductaSWOTanalysis,theconferenceparticipantsanswerquestions
suchasthese:
Whataretheorganizationspersonnelstrengthsandweaknesses?
Whataresomeopportunitiesandthreatsconnectedwiththedevelopmentofour
staff
Establishing an Organizational Philosophy

Thetestofanorganizationscommitmenttoestablishingamentoringprogramis
whetherthatorganizationwouldratherdevelopitsstafffromwithinorobtainpeople
fromoutside.Todeterminewhethertheorganizationiscommittedtodevelopingfrom
within,theconferenceparticipantsshouldgenerateaphilosophystatement,which
describestheorganizationsvaluesorthebroad,generalbeliefsthatitfeelsarerealistic,
credible,attractive,anddesirable.Suchastatementisonetoolfordevelopingan
organizationalculture;ifthestatementpromotesaculturethatemphasizesdevelopment
fromwithin,thentheorganizationalculturewillfostermentoring.Thefollowingisan
exampleofanorganizationalphilosophystatementthatexpressesthedesiretodevelop
fromwithin:
Ofalltheenvironmentalinfluencesinourorganization,themostpowerfulonesare
personalrelationships
Ofallrelationships,itisthemanager/employeerelationshipthatleavesthedeepest
impressionsandhasthegreatesteffectonus
Fundamentaltotheworkofthisorganizationisarespectforthedevelopmentofthe
employeethroughguidance.Webelievethattrainingshouldrespondtoourneeds.
Toconstructastatementoforganizationalphilosophy,theconferenceparticipants
shouldanswerthefollowingquestions:
Whatareourvaluesregardingachievingtheorganizationsmissionandserviceto
customersorclients?
Whatareourvaluesandbeliefsregardingemployeedevelopment?

288
Ifwewanttoencouragedevelopmentfromwithin,whatarethementors
responsibilities?Whataretheprotgsresponsibilities?
Theprocessofarticulatingaphilosophystatement,likethatofgeneratingamission
statement,isjustasimportantastheresultingwords.Theopportunityforthorough
discussionshouldbeprovidedsothattheconferenceparticipantscanlearnwhatvalues
othersfindimportant.Debateshouldbeencouraged,andultimatelytheparticipants
shouldreachconsensus.
Aftertheconferenceparticipantshaveidentifiedtheorganizationspersonnelneeds,
developedamissionstatement,andestablishedanorganizationalphilosophy,they
shouldreviewtheseissuesbeforeproceedingtodesignandimplementamentoring
program:
Whatenvironmentalneedsdowehavethatjustifytheneedforamentoring
program?
Aretoplevelexecutivespreparedtocommittimeandenergy?Inwhatways?
Atthisstagewhatisthescopeoftheprogramwithregardtotargetgroup,
functionalareas,hierarchicallevels,duration,andsize?
Designing and Implementing the Mentoring Program

Mentoringprogramsvarywidelyintermsoftheirformality.Perhapsthemostimportant
ruleofthumbthattheconferenceparticipantscanfollowistomaketheprogramflexible
andvoluntary.Thefollowingstepsencouragethedesignandimplementationofsucha
program:(1)selectingmentorsandprotgs,(2)developinganawarenessofmentoring
skills,(3)creatinganactionplanforthementoringprogram,(4)makingtheplanwork,
and(5)monitoringandevaluatingtheprogram.
Selecting Mentors and Protgs

Mentoringprogramsaremoresuccessfulwhenpeoplearenotrequiredtoparticipatebut
dosobecauseoftheircommitmenttotheircareerandlifegoals.Thisprincipleis
necessaryinordertoensurethatonlyemployeeswhoaresincerelymotivated,
interested,andcommittedwillparticipateintheprogram.
Ifemployeesarenotwillingtoparticipateintheirowncareerdevelopment,some
investigationiswarranted.Thosewhoarereluctantmaynottrusttheprograms
objectivesorthepeopleinvolved,ortheymaynotunderstandtheprogram.
Alternatively,theconferenceparticipantsmightneedtolookatthepeopletheyare
recruiting.
Therearevariouswaysinwhichtheconferenceparticipantscanrecruitmentors,
rangingfromsolicitationofvolunteerstonominationbyexecutives.Oneofthebest
strategiesistoaskeachpotentialprotgtonominatethreepeoplewhomheorshe
thinkswouldmakegoodmentors.Whenoneofthethreeismatchedwithaprotg,the
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othertwomaybeaskedtobemembersofthementorpoolandconsideredbyother
potentialprotgs.
Developing an Awareness of Mentoring Skills

Obviously,therearecertainskillsandcharacteristicsrequiredofmentorsandprotgs,
justastherearecertainrequirementsofthepartiesofanycoachingrelationship(Murray
&Owen,1991).Thefollowingareskillsandcharacteristicsthatmentorsmusthave:
Knowledgeoftheorganization;
Technicalcompetence;
Exemplarysupervisoryskills;
Statusandprestige;
Personalpowerandcharisma;
Willingnesstoberesponsibleforsomeoneelsesgrowth;
Personalsecurityandselfconfidence;
Willingnesstotrust;
Abilitytogeneratetrust;
Openness;
Abilitytocommunicateeffectively;
Innovativeness;
Willingnesstosharecredit;
Patienceandtolerance;
Abilitytobeintrospective;
Accessibility;and
Willingnesstotakerisks.
Someofthemoreimportantmentorassetsarepersonalsecurityandselfconfidence,
accessibility,theabilitytogeneratetrust,andopennesstosharingexperiences.
Protgsneedtheseskillsandcharacteristics:
Desiretolearn;
Interestinpeople;
Orientationtowardagoal;
Conceptualability;
Initiative;

290
Abilitytobeintrospective;and
Assertiveness.
Inaddition,theninementorsandthirteenprotgswhowereinterviewedsuggestedthatthe
mentoringrelationshipisbestcultivatedunderthefollowingconditionsinvolvingmentorand
protgbehavior:
1.Sharedresponsibility.Mentorsemphasizedtheimportanceofprotgs
formulatingtheirownstrategiesandsolutionstoproblemspriortoengagingtheadvice
andwisdomoftheirmentors.Mentorsalsostatedthatprotgsmustrecognizethe
interactivenatureofthementorprotgrelationshipandthatprotgshavea
responsibilitytochallengetheirmentorspreconceivedideasandpositions.
2.Regular,structuredcontact.Protgsplacedsubstantialvalueonmeeting
regularlywithmentorsforspecificperiodsoftime;regular,structuredmeetingsgave
themneededaccesstotheirmentors.Mentorsweremoreconcernedwiththequalityof
theinteractionthattookplaceduringtheirmeetingswithprotgsthantheywerewith
thefrequencyanddurationofthosemeetings;consequently,theytendedtoemphasize
theimportanceofcreatingasafeandsupportiveatmospherethatisconducivetoopen
communication.Thequalityofinteraction,asdefinedbymentors,impliedthe
provisionofappropriatepsychologicalreassuranceandaffirmation,especiallyduring
periodsofstruggleandcrisis.
3.Mutualrespect.Mentorsperceivedmutualrespectasencompassingrespectfor
theprotgsdesiretolearn.However,mentorsalsoemphasizedtheimportanceofeach
personsdemonstratingrespectfortheprofessionalandpersonalintegrityoftheother.
4.Challengingandsubstantiveissuesandassignmentsfortheprotg.Mentorsfelt
theyshouldmakesurethatprotgsdevelopanunderstandingofthebroad,
philosophicalandconceptualissuesthatimpactboththemandtheorganization.Both
mentorsandprotgsstatedthatmentorsmustteachcertainnecessaryskillsandcareer
strategiesandmusthelptoensurethatprotgsreceiveworkassignmentsthatare
challengingandstimulating.
Itisprobablynotpossibletofindallofthecharacteristicsoftheidealmentoror
protginasingleperson,norisitpossibletoconstructtheidealenvironmentfor
mentoring.However,attheoutsetofthementoringrelationship,itisagoodideafora
mentorandaprotgtoprioritizetheskillsandcharacteristicsthataremostimportant
forthemtohaveandthentoprioritizetheelementsoftherelationshiptheydesire.On
thebasisofthisprioritization,itshouldbepossibletoconstructarelationshipthatmeets
theestablishedpriorities.Theconferenceparticipantsmayfinditusefultoconducta
grouporientationsessionformentorsandprotgsforthepurposeofassistingthese
peopleinidentifyingtheskillsandcharacteristicstheyfindmostimportant.
Creating an Action Plan for the Mentoring Program

Theactionplanisalistofstepstotakeinordertoreachtheobjectivesoftheprogram.
Althoughcreatinganactionplandoesnotguaranteethatthebestmeansforachieving
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objectiveswillbeselected,itincreasesthechancesofsuccess.Furthermore,theveryact
ofplanningisusefulinthatitmayrevealthattheoriginalobjectiveshavetobeadjusted.
Theconferenceparticipantscancreateanactionplanbyfollowingthisprocedure
(Bryson,1988;Murray&Owen,1991):
1.Determiningwaysinwhichmentorsandprotgscanacquireneededskills.The
conferenceparticipantsshouldchoosepracticalalternativesthatprovidearangeofways
tolearnskills.Twoparticularlyusefulalternativesaretrainingprogramsandcoaching.
Anotherimportantconsiderationisthatmanagementmustbewillingtoallowmentors
andprotgstopracticeskillsonthejob.Regardlessofthealternativeschosenfor
teachingskills,feedbackmustbeacomponent;noskillscanbeacquiredwithout
adequatefeedback.
2.Identifyingthenegativefactorsthatmightkeepamentoringprogramfrombeing
successful.Theconferenceparticipantsshouldidentifypotentialdifficultiesthatmaybe
faced.Itisimportant,however,toavoidassociatingthosedifficultieswithaparticular
personorgroupofpeople.Lackoftraining,lowmorale,poormanagementskills,and
otherpeoplerelateddeficienciesshouldbeseenasproblemstobesolved,notas
failures.Oncethesedifficultieshavebeenidentified,theconferenceparticipantscan
determineactionstotaketoamelioratethem.
3.Identifyingthepositivefactorsthatmightdrivetowardsuccessinamentoring
program.Severalconditionsorsituationsmightbeusefulinimplementingasuccessful
mentoringprogramandstrengtheningthementorprotgrelationship.Thesefactorscan
betangible(theplant,inventory,marketshare,salarylevels,patents)orintangible
(qualityofmanagement,employeeloyalty,publicsupport).Thequalitiesofcertain
peoplemightalsobeimportantstrengths.Theconferenceparticipantsshouldpinpoint
suchfactorsanddeterminewaystocapitalizeonthem.
4.Choosingproposalsandprojectstoimplementtheprogram.Eachproposalor
projectshouldcorrespondtooneoftheobjectivesoftheprogram.Theconference
participantscanbeginbybrainstormingproposalsorprojectsandthendiscussingthe
possibilities,choosingthosethataremostfeasible.
Theinitialproposalsandprojectswillprobablybevagueandmuchlargerinscope
thanisnecessary.Totestthefeasibilityofanyoneofthem,theconferenceparticipants
maywanttotalktovariouspeople,lookforexamplesofsimilarsituationsinother
settings,andingeneralchecktoseeiftheideawillworkwithintheorganization.
5.Identifyingactionstepsandresourcesneeded.Aftertheproposalsandprojects
areoutlined,theconferenceparticipantsmustdeterminespecificactionstepstobe
taken,whowilltakethem,deadlinesforallsteps,andtheresources(money,people,and
equipment)neededtocarrythemout.Thepeoplewhoareassignedtoeachstepcanthen
identifythemeanstoaccomplishthatstep.
6.Establishingcriteriaforjudgingtheaccomplishmentofprogramobjectives.The
criteriachosenbytheconferenceparticipantsshould,ineffect,serveasstandardsthat
mentorsandprotgscanusetofocustheirdevelopment.Agoodwaytostartin

292
establishingcriteriaistoconsiderwhattheprojectwilllooklikewhenitisfully
developedandsuccessful:Howwillmentorsandprotgsbefunctioning?Whatkindof
careerprogresswillprotgsbemaking?
Making the Plan Work

Thesixstepsofcreatinganactionplanshouldhelptocrystallizetherolesand
responsibilitiesofmentorsandprotgs,thegoalsoftheprogram,thephilosophythat
mentorsandprotgswilluseinworkingtogether,theskillstheywilltrytouse,the
expectationstheywillhave,andthemethodstheywillusetoreportprogress.
Atthispointtheconferenceparticipantsmightwanttoprepareasuitableformto
posttoassistpeopleinvolunteeringtoparticipateinthementoringprogram.Thisform
shouldincludeinformationsuchasname,currentlocation,education,experience,
reasonsforinterestinmentoringorbeingmentored,typeofmentoringrelationship
wanted,amountoftimeavailableformentoringactivities,andanyconstraints(Bryson,
1988;Murray&Owen,1991).Therewardsofferedforparticipatingwillhaveamajor
impactonthesuccessoftheprogram.Thesurestwaytoencouragepeopletotakethe
rolesofmentorandprotgseriouslyistotietheserolestotheperformanceappraisal
process.
Theconferenceparticipantsalsomaywanttohavementorsandprotgssummarize
theirrolesandexpectationsinadocumentofexpectations.Althoughformulating
documentsmaysoundformalandbureaucratic,suchdocumentsdoprovideaframework
fordiscussingexpectations,values,goals,androles.
Variousstrategiesortacticscanbeusedforimplementingthementoringplan:
educationalandtrainingactivities(inlistening,problemidentification,problemsolving,
andsoon),communicationsandbriefings,andchangesintheorganizationalstructure
andtherewardsystem.Generally,thesestrategieshelptomanagetheprocessofchange.
Monitoring and Evaluating the Program

Periodicallyitisappropriatetosummarizethemajoroutcomesandresultsofthe
mentoringprogram,includingproblemsencountered,positiveaspectsoftheexperience,
andareasinwhichchangesmightbeneeded.Thiskindofevaluationisconductedfor
thepurposeofimprovingtheprogramasopposedtodeterminingwhethertheprogramis
effective.Itmightbethoughtofasaseriesofsystematic,informationgathering
activitiesthatfacilitatetheorganizationalchangetoamentoringenvironment.Inthis
sense,then,evaluationisnotaseparateactivitythattakesplaceaftertheprogramhas
beenimplemented;rather,itoccursatvariousstagesoftheintervention.
Whenmonitoringandevaluatingtheprogram,itisusefultoreviewsomeofthe
issuesconsideredearlyintheprocess,beforethedecisionwasmadetodesignand
implementtheprogram:
1. Willvoluntaryparticipationworkhere?
2. Arethereenoughmentors?
293
3. Howwillwerecruitmentors?
4. Howwillwerewardmentorsandprotgs?
5. Howdoweencourageandmakeiteasyforpeopletovolunteerforthementoring
program?
6. Whatwillweincludeinthedocumentofrolesandexpectationsformentorsand
protgs?
7. Howcanweguardagainstobstaclestosuccess?
8. Howdoweorientmentorsandprotgs?
SUMMARY
Themostimportantcriterionofahealthymentoringprogramisthatitinvolvespeople
appropriatelyinassistingpersonneldevelopment.Inanymentoringprocess,acritical
massofpeopleisnecessarytoensureimplementation.Thecriticalmassconsistsof
thoseindividualsorgroupswhoseactivesupportwillensurethattheprogrambecomes
animportantelementinemployeedevelopment.Theirnumbermaybesmall,butitis
critical(Cunningham,1993).
Itwouldbeunrealistictomaintainthatmentoringwillworkinallorganizations.
Therearecircumstancesinwhichtheprocessisunusable.Forexample,mentoringisnot
suitableinanorganizationwhoseseniorexecutivesrefusetoconsidertheinputof
organizationalmembersorinanorganizationinwhichaunionforbidsitsmembersto
participate.Becausethementoringapproachdescribedinthisarticleisbuilton
participation,onlycompaniesthatencourageemployeestoparticipateactivelyshould
considerinstitutingaformalmentoringprogram.
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Bennis,W.,&Nanus,B.(1985).Leaders:Thestrategiesfortakingcharge.NewYork:Harper&Row.
Bryson,J.M.(1988).Strategicplanningforpublicandnonprofitorganizations.SanFrancisco:JosseyBass.
Cunningham,J.B.(1993).Actionresearchandorganizationaldevelopment.NewYork:Praeger.
Cunningham,J.B.,&Eberle,T.(inpress).Characteristicsofthementoringexperience:Aqualitativestudy.
PersonalReview.
Gray,W.A.(1983).Challengingthegiftedthroughmentorassistedenrichmentprojects.Bloomington,IN:Phi
DeltaKappaEducationalFoundation.
Levine,H.Z.(1985).Consensusoncareerplanning.Personnel,62,6772.
Murray,M.,&Owen,M.(1991).Beyondthemyths&magicofmentoring:Howtofacilitateaneffective
mentoringprogram.SanFrancisco:JosseyBass.
Sveiby,K.E.,&Lloyd,T.(1987).Managingknowhow.London:Bloodsbury.

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ATTRIBUTION THEORY: APPLICATIONS TO
THE MANAGERIAL COACHING PROCESS
J. Craig VanHouten
Abstract:BernardWeiners(1986)attributionaltheoryofmotivationandemotionisrichin
potentialapplicationstothehumanresourcedevelopment(HRD)field.Thisarticleoutlinesits
majorpremisesanditspossibleapplicationstothemanagerialcoachingprocess.
Successandfailureusuallyareattributedtocauses,suchasability,effort,luck,andtask
difficulty.Therearethreedimensionsofachievementrelatedattribution:locus(internal/external),
stability(stable/unstable),andcontrollability(controllable/uncontrollable).Someattributionsare
moreadvantageousthanothersbecausetheyincreasetheexpectationofsuccessatsimilartasksin
thefuture.Otherattributionsaredisadvantageousbecausetheyincreasetheexpectationoffailure
atsimilartasksinthefuture.
Managersandemployeesgivecuesabouttheirattributionsandtheeffectsthatthesehaveon
theirmotivationsandemotions(i.e.,bydemonstratingpride,anger,pity,guilt,orshame).
Managerswholearntorecognizesuchcuescanimprovetheirownattributionsandthoseoftheir
employeesand,thus,canmoreeffectivelycoachemployeestoimproveperformance.
Youhavejustwalkedoutofameetingwithyourorganizationsexecutivesinwhichyou
presentedaproposalforamajortrainingprogram.Youpreparedmoreforthis
presentationthaneverbeforebecausseyouthinkthistrainingisgreatlyneededatthis
time.However,notonlydidtheexecutivessayno,theyseemedtotallyunimpressed
withthetrainingproposed,whichmeansalongdelaybeforeitcanbeproposedagain.
Whetheryouareawareofitornot,youareabouttoaskyourself,WhydidIfail?
Again,whetheryouareawareofitornot,howyouanswerthatquestionmayhavea
tremendousimpactonyourfuturesuccess.
Successcomeseasilyattimes,butformostofus,successfullyreachingourmost
importantgoalsrequiresmotivation,confidence,andpersistence.Theseareparticularly
importantwhenthechallengeisgreatorwhenwefailinitially.Whenwesucceedorfail
inanattempttoaccomplishsomethingimportanttous,wewillusuallyaskourselves,
WhydidIsucceed?orWhydidIfail?Theanswerwilldetermine,toalargeextent,
ourfuturesuccessatachievingthisobjectiveandotherrelatedobjectivesbecausethe
answerhelpstoshapeourperceptionsofourability.Theseperceptionsthenaffectwhat
weattemptandhowwereactifweattemptsomethingandeithersucceedorfail.How
theWhy?questionisansweredispartofwhatallowssomepeopletobesuccessful
whileothersfailagainorevenfailtotry.
Toreturntotheexampleatthebeginningofthisarticle,theanswermaybe:These
peopleonlycareaboutthisquartersprofits;theywillneverspendadimetoinvestin
ouremployees.Althoughthismaybeaccurate,itisnotaneffectiveanswertoWhy?

OriginallypublishedinThe 1996 Annual: Volume 1, Training byJ.WilliamPfeiffer(Ed.),SanDiego,CA:Pfeiffer&Company.
295
becauseitmeansthatonewouldprobablynotattempttoimplementthiskindoftraining
programinthefuture,perceivingitasanimpossibletask.Evenattributingthefailureto
badluckwouldbepreferable.Atleastluckcanchange,leavingopenthepotentialfor
futuresuccess.
Unfortunately,insuchasituationapersonmightsay,Ijustcannotcommunicate
withthesepeopleor,evenworse,Iamjustnotabletopresentaproposaleffectively.
Byattributingfailuretoalackofability,thepersonmayunderminewhatever
confidenceheorshehadinhisorherabilitytoaccomplishsimilarobjectives.
Ontheotherhand,adifferentpersonmightsay,Ididntprepareenough
informationaboutthefinancialbenefitsofthistrainingorIshouldhavefoundout
whattheirmostimmediateconcernsareandfocusedthepresentationontraining
solutions.Thispersonisattributingfailuretoalackofeffortortotheuseofan
ineffectivestrategy.Thisisamuchmoreeffectiveanswerbecauseitleavestheperson
withtheopportunityandconfidencetopersistinattemptingtoaccomplishtheobjective.
ATTRIBUTIONS AND MOTIVATION

AccordingtoBernardWeiner(1986),anattributionisananswertothequestion
Why?,whichweaskourselvesinordertomakesenseofeventsthathappentousand
toothers.Inmanyways,attributionsareattemptstolearnaboutourselvesandour
environment.Ofcourse,ourperceptionsofourselvesandourenvironmentmaydiffer
fromtheperceptionsofothers;evenourownperceptionsaresubjecttochange.
Weinersattributiontheoryisfirstconcernedwithwhenweaskthequestion;second,it
isconcernedwiththeanswertothequestionandhowitaffectsoursubsequentthoughts
andbehaviors.
Inachievementrelatedactivitiessuchaswork,weusuallyaskWhydidI
succeed?orWhydidIfail?whenwesucceedorfailtocompleteataskorachievean
objective.WemostoftenaskWhy?whenwefailorwhenanoutcomeisotherthan
expected.Thismaybebecausewehaveananswerfortheexpected.
Causal Explanations: Ability, Effort, Luck, and Task Difficulty

Althoughthereareanalmostinfinitenumberofcausalexplanations,inachievement
relatedactivities,ability,effort,luck,andtaskdifficultyarethemostcommon.Among
these,ability(howcompetentweare)andeffort(howhardwetry)aremostfrequently
usedasexplanationsofoursuccessesandfailures.Becauseachievementissoimportant
inmanycultures,thesearchfortheanswertoWhydidIsucceed?orWhydidIfail?
isacommonpractice.
Dimensions of Attributions
Therearethreegenerallyagreedondimensionsofattributions:locus,stability,and
controllability.Causalattributionsmaybeclassifiedaccordingtowheretheyappear
alongacontinuumbetweentheextremesofeachdimension.

296
Forlocus,theextremepointsareinternalandexternal.
Forstability,theextremepointsarestableandunstable.
Forcontrollability,theextremepointsarecontrollableanduncontrollable.
Therearenoabsolutesherebecausetherelativelocus,stability,orcontrollabilityof
anyparticularattributionisafunctionoftheattributorsperceptions.However,the
predominantattributionsinachievementrelatedactivities(ability,effort,luck,andtask
difficulty)canbeclassifiedwithingenerallyacceptedrangeswithinthethreedimensions
(Figure1).
Abilityismostoftenconsideredtobeinternal,relativelystable,andrelatively
uncontrollable,particularlywhenitisthoughtofasaptitude.Abilityalsomaybethought
ofasacombinationofgeneticallyinheritedcharacteristics(e.g.,aptitude)andlearning,
whichmakesitmorecontrollableandlessstable.
Effortisinternal,controllable,andoftenconsideredtobeunstableinthecaseof
failureandstableinthecaseofsuccess.Forexample,intheeventoffailure,onecan
choosetotryharderand,intheeventofsuccess,onemaythinkofoneselfasahard
workeracharacteristicthatisrelativelystable.Thismakeseffortaparticularly
effectiveattributionforeithersuccessorfailure.Effortmaybeinternalyet
uncontrollableif,forexample,itisaresultoftirednessratherthanchoice.Effortmaybe
externalanduncontrollableif,forexample,itisreferringtotheeffortofamanageras
perceivedbyasubordinate.
Luckisexternal,uncontrollable,andgenerallyconsideredunstable.However,ifwe
thinkofsomeoneasbeingaluckypersonwemayperceiveluck,inthiscase,asstable.
Taskdifficultyisexternal,stable,anduncontrollable.However,ourperceptionsof
thedifficultyofataskareinfluencedbyourperceptionsofourabilityandexpenditure
ofeffortinrelationtothetask.Becauseourabilityandeffortmaychange,therelative
stabilityandcontrollabilityofataskisalsosubjecttoindividualinterpretation.
Justasthereareanunlimitednumberofpossibleattributionsforsuccessorfailure,
thereareanunlimitednumberofperceptionsofthelocusandrelativestabilityand
controllabilityofanyparticularattribution.However,thoselistedpreviouslyare
generallyagreedon.
Advantageous and Disadvantageous Attributions

Someattributionsaremoreadvantageousthanothersbecausetheyincreaseones
expectationofsuccess,whichincreasesonesmotivationandpersistence.Accordingto
Weiner,attributingsuccesstomorestablecausesandattributingfailuretolessstable
causesgenerallyincreasespersistence.Therefore,whenoneissuccessful,itismore
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298
advantageoustoattributethesuccesstoabilityandeffort(effortoftenbeingconsidereda
stableattributionincasesofsuccess).Bydoingthis,thepersonincreaseshisorher
confidenceinhisorherabilitytobesuccessfulinfutureattemptsatsimilartasks.Ifone
attributessuccesstoluckanunstableattributiononewillnotincreasehisorher
expectationofsuccess.Inaddition,attributingsuccesstoluckmayindicatealackof
confidenceinonesability.Eventhoughapersonhassucceeded,heorshemaynot
persistifheorshefailsinfutureattemptsatthetask.Successdoesnotnecessarily
followsuccess.
Afterfailure,itismoreadvantageoustoattributethefailuretounstablecausessuch
asalackofeffortortheuseofanineffectivestrategy.Althoughstrategyisnotoneof
thecommonlyusedattributions,itcanbeparticularlyeffectiveifthefailurewas
precededbyalargeexpenditureofeffort.Thisisbecausethereisaperceivedinverseor
compensatoryrelationshipbetweeneffortandability.
Forexample,ifapersonisworkinghardtoaccomplishthesamelevelofsuccessas
anotherpersonwhoappearstobeexpendinglittleeffort,thefirstpersonprobablywill
assumethatheorshehaslessabilitythantheotherperson.Thisisparticularlycriticalin
casesoffailure.Ifapersonworksashardorharderthanothersandstillfailswhilethe
othersaresucceeding,thepersonoftenwillbeleftwithnootherexplanationthanlackof
ability.Thus,thepersonprobablywillnotpersistinanattempttoaccomplishthetask.
However,byattributingfailuretotheuseofanineffectivestrategy,thepersonismore
likelytopersist.
Thereusuallyaremanydifferentwaystoaccomplishatask.Therefore,explaining
failureastheuseofanineffectivestrategyisoftencorrectaswellasadvantageous.Both
explanationslackofeffortandtheuseofanineffectivestrategywillpreservea
personsperceptionofhisorherabilityandprovidethepersonwiththeoptionofeither
puttingforthmoreeffortorfindingandusingadifferentstrategyinthenextattempt.
Bothattributionswillincreasepersistence.
Applications to the Managerial Coaching Process

Evenwhensubordinatesobjectivesareclearlydefinedandsubordinatesarecommitted
toachievingthem,theymaynotpersistintheirattemptstoaccomplishthoseobjectives.
Inmanycases,itisnotthesubordinateslackofcommitmentbuttheirlackof
confidenceintheirabilitiesinrelationtotheobjectivethatdetermineswhethertheywill
initiallyattemptitand,iftheyfail,whethertheywillpersistandmakefutureattempts.
Fromacoachingperspective,itisimportanttoaccuratelyassesstheabilitiesand
efforts(includingpasteffortasreflectedinknowledge,skills,andexperience)of
subordinatesand,whentheyfailorfailtotry,toguidethemtowardadditionaltraining,
effort,orstrategiesinordertohelpthempersistinachievingtheirobjectives.
Somesubordinatesmaytendtoexplaintheirsuccessesorfailuresin
disadvantageousways.Apotentiallyeffectivemotivationalstrategywouldbetoidentify
thesubordinatesexplanationsforsuccessesorfailuresandtosuggestmore
advantageouscauses.Ithasbeendemonstratedthatsimplysuggestingmoreappropriate
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andadvantageousattributionsforfailurewillincreaseindividualspersistenceand
performance(Weiner,1986).
Whensuccessisobserved,managersshouldbealerttounstableattributionsand
suggeststableones.Thefollowingisanexample:
Subordinate:Iwasjustlucky(luck).
Manager:No,youhavegoodcommunicationskills(ability)orNo,youdid
yourresearch(effort).
Whenfailureisobserved,managersshouldbealerttostableattributionsand
suggestunstableones.Thefollowingareexamples:
Subordinate:Icantmotivatemyteam(lackofability).
Manager:Yesyoucan,butyouwillneedtocompleteyourtraininginorderto
learnhow(effort,inthiscase,prerequisitelearning).
Subordinate:Itisimpossibletogetthisteamtoworkcooperatively(task
difficulty).
Manager:Noitisnt,butyoumayneedtotryanotherapproach(strategy).
Ifamanagerattributesasubordinatesfailuretolackofabilityratherthantolackof
effort,lackofprerequisiteknowledge,oruseofanineffectivestrategy,themanagermay
notpersistinhelpingthesubordinatetosucceedbyprovidingencouragementand/or
additionaltraining.Amanageralsomayattributefailuretoastabletrait(e.g.,
laziness),whichwillreducetheexpectationsofchangeandaffectthewayinwhichthe
managerinteractswiththesubordinate.Itismuchbettertothinkintermsoflessstable
states(e.g.,Hehasnotbeenworkingashardthisquarter).Again,thelessstable
attributionforfailureleavesopentheopportunityforchange.
Ashasbeensuggested,managersmaycommunicatetheirperceptionsofthecauses
ofsubordinatessuccessesandfailuresand,therefore,communicatetheirperceptionsof
subordinatesrelativeabilities.Thesecommunicationscanhaveatremendouseffecton
subordinatesperceptionsoftheirownabilities.Becauseofthis,managersshouldbe
mindfuloftheirownattributionsaswellastheattributionsoftheirsubordinates.
ATTRIBUTIONS AND EMOTIONS

Justasthereisapowerfulconnectionbetweenattributionsandexpectations,thereisa
powerfulconnectionbetweenattributionsandemotions.Howwethinkinfluenceshow
wefeelandwhatwedo.Ourattributionsandtheperceiveddimensions(locus,stability,
andcontrollability)ofthoseattributionsinfluenceouremotions.Becausethe
relationshipsbetweensomeemotionsandattributionsareunderstood,emotionsmay
providecuesaboutourattributions(Weiner,1986).Althoughthereisawiderangeof
emotionalresponses,forourpurposestheemotionsofpride,anger,pity,guilt,and
shamearemostrelevant.

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Pridereflectsselfesteem.Inordertoexperiencepride,wemustattributesuccessto
internalcauses(ability,effort,orpersonality)asopposedtoexternalcauses(easeoftask
orluck).Manyofushaveaselfservingbiasthatencouragesustotakecreditforsuccess
byattributingthesuccesstointernalcauses(abilityandeffort)andtodenyresponsibility
forfailurebyattributingthefailuretoexternalcauses(taskdifficultyorbadluck).This
allowsustoenhanceourselfesteemwhenwesucceedandprotectitwhenwefail.
Theemotionsofanger,pity,guilt,andshamearelinkedtotheperceived
controllabilityofthecauseofanevent.Theseassociationsareunderstoodbychildren
andappeartospanculturesaswell(Weiner,1986).
Angeriselicitedwhenfailureofothersisperceivedtobecausedbyacontrollable
factor,suchaslackofeffort.Lackofeffortaccompaniedbyhighabilityelicitseven
greateranger.Ifoneobservessomeoneelsefailingandbelievesthatfailureisduetoa
lackofeffort,onewillmostlikelyfeelanger.Ifonethinkstheotherpersonisvery
capable,onemaybeevenmoreangry.
Pity(sympathy)iselicitedwhenfailureofothersisperceivedasbeingdueto
uncontrollablecauses,suchaslackofability.Pityalsoisassociatedwithperceived
fundamentaldifferences.Becauseofthis,expressingpityorsympathywhensomeone
failsmaycommunicateaperceiveddifferenceordeficiency.Thus,sometimesbeing
caringandunderstandingsendsthewrongmessage.
Guiltiselicitedwhensomeoneperceiveshisorherownfailuretobeattributableto
controllablecauses,suchaslackofeffort.Forexample,wedemonstratefeelingsofguilt
whenwefailtoproducereportsontimebecauseweputthemoffuntilthelastminute.
Theguiltcommunicatesthatweattributethecauseofthefailuretolackofeffortor
anothercontrollablecause.Becausethecauseisunstableandcontrollable,weexpectto
dobetternexttime.
Shameiselicitedwhensomeoneattributeshisorherfailuretoanuncontrollable
cause,suchaslackofability.Usingthesameexample,ifwefailtoproducereports
becausewelackconfidenceinourabilitytowrite,wearemorelikelytofeelashamed.
Inthiscase,ourshamecommunicatesthatweattributeourfailuretolackofabilityor
anotheruncontrollablecause.Inattributingfailuretoastableanduncontrollablecause,
wedonotexpecttodobetterinthefuture.
Thereareotherwaystocommunicateattributions.Forexample,wetendtopunish
thosewhomwebelievetohaveabilityandwhofailbecauseoflackofeffortmorethan
wepunishthosewhomwebelievetohavelessabilityandwhofailbecauseoflackof
effort.Wewouldnotbeaslikelytopunishfailureifweweretoperceivethecausetobe
lackofability,whichisuncontrollable.Incasesofsuccess,werewardlowabilitymore
thanwerewardhighability.Again,wemaybesendingthewrongmessageifwereward
someoneforsucceedingatarelativelyeasytask.
Applications in the Managerial Coaching Process

Eventhemostwellintentionedmanagercanattributeasubordinatessuccessorfailure
toadisadvantageouscause,whichmaycontributetothesubordinateslackof
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confidenceandachievement.Managerscancommunicatetheirdisadvantageous
attributionsverbally(e.g.,Youwereluckythistime)ornonverballythroughtheir
emotionalresponsestosubordinatessuccessesorfailures.Atthesametime,
subordinatescancuethemanagersabouttheirownattributionsthroughtheiremotional
responsetosuccessorfailure.
Whenasubordinateexpressesprideafteranaccomplishment,thepridemaycuethe
managerthatthesubordinateattributesthesuccesstoabilityand/oreffort
advantageousattributions.Ifasubordinatedoesnotexpresspridefollowingan
accomplishment,itmaycuethemanagerthatthesubordinateattributesthesuccessto
externalcauses,suchasluckortaskeasedisadvantageousattributions.Ifthisisthe
case,themanagershouldsuggestthateffortandabilitycausedthesuccess.Attributing
successtothesecauseswillincreasethesubordinatesconfidenceandmotivation.
Ifamanagerbecomesangrywithasubordinate,theangermayindicatethatthe
managerattributesafailuretoacontrollablefactor,usuallylackofeffort.Atthesame
time,itmaycuethesubordinatethatthemanagerhasconfidenceinthesubordinates
ability.Becauseangerprovidesacuetoperceptionofhighability,itmaybeamore
effectiveresponsetofailureinmanycases,particularlyifthemanagerfollowsupwitha
statementsuchas,Howcanyouexpecttobesuccessfulwhenyouhavenottakenthe
timetounderstandthis?Youregood,butyouwillhavetoworkhardertosucceedwith
this.
Ifamanagerexpressespitywhenasubordinatefails,thepitymaycuethe
subordinatethatthemanagerlacksconfidenceinthesubordinatesability.Anger,
followedbyasuggestednewstrategy,maybeabetterresponse.Thisdemonstrates
confidenceinthesubordinatesabilityandsuggestsanunstablefactoruseofan
ineffectivestrategyasthecauseoffailure.
Thesubordinatesemotionsalsoprovidecuestothemanageraboutthe
subordinatesperceivedabilityandeffort.Ifthemanagersangerelicitsthe
subordinatesguilt,theguiltcuesthemanagerthatthesubordinatehasattributedthe
failuretoacontrollablecauseandwillprobablybemotivatedtodobetterinthefuture.
Inthiscase,thesubordinateandmanagerbothattributethefailuretoaninternal,
unstable,andcontrollablecause,suchaslackofeffort.Improvementisexpected.
Ifthemanagersangerelicitsthesubordinatesshame,theshamecuesthemanager
thatthesubordinateattributesthefailuretoanuncontrollablecausesuchaslackof
ability,andprobablywillnotdobetterinthefutureunlessthemanagerprovidesamore
advantageousexplanation.Themanagercouldsuggestthatthecauseoffailureislackof
effort,demonstratedbyalackofprerequisiteknowledgeandexperience.Forexample,if
thesubordinatefailstoproduceareportandexpressesshame,themanagermaysay,I
haveagoodbookonreportwritingthatIuseallthetime.Withthatandalittle
experience,youlldofine.
Often,findinganadvantageouscauseforfailureisnotenough.Italsoisimportant
tosearchfortheactualcauseoffailure.Attributingasubordinatesfailuretotheuseof
anineffectivestrategywhen,infact,itwasduetoalackofeffortwillnotleadthat

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subordinatetosuccess.Evenanewstrategywithouteffortwilllikelyendinfailure,just
asadditionaleffortusedwithanineffectivestrategywillseldomleadtosuccess.
Managersneedtobeawareoftheirexplanationsoftheirsubordinatessuccessesor
failuresaswellasthesubordinatesownexplanationsoftheirsuccessesorfailures.
Understandingcuesleadstoaskingsubordinates,Whydoyouthinkyoufailed?or
Whydoyouthinkyousucceeded?Theabilitytoidentifydisadvantageousattributions
andtheabilitytosuggestmoreadvantageousattributionscanbeeffectivemotivational
strategies.
CONCLUSION
BernardWeiners(1986)attributionaltheoryofmotivationandemotionprovidesarich
resourceforassistingHRDprofessionalsinunderstandingindividual,team,and
organizationalperformanceproblemsandindevelopingnewmotivationalstrategiesfor
employeesatalllevels.Italsoprovidesthebasisforaneffectivemotivationalstrategy
formanagerstouseintheirownprofessionaldevelopmentaswellasinthecoaching
processwithsubordinates.
REFERENCE
Weiner,B.(1986).Anattributionaltheoryofmotivationandemotion.NewYork:SpringerVerlag.
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CONFRONTATION: TYPES, CONDITIONS,
AND OUTCOMES
Robert R. Kurtz and John E. Jones

Interpersonalconfrontationisoneofthemorepotentexperiencesinhumaninteraction.
Assuch,itcanbeeithergrowthfacilitatingorharmfultothepeopleinvolved.Perhaps
becauseofitspotency,confrontationhascometohaveanegativeconnotation,aswhen
apersonyellsatanotherordeliberatelytriestohurtanother.Theseexamplesrepresent
popularmisconceptionsofthemeaningandthepurposeofconfrontationingrowth
groups.Confrontationisnotalwaysnegative.Forexample,itmaybepositiveand
directedtowardanothersstrengthoranencouragementtotakeaction.
Thepurposeofthisarticleistoexploretheconceptofconfrontationandtodiscuss
theconditionsandprocessesthatmakeitultimatelyeitherapositiveoranegative
experienceforgroupmembers.
A MODEL OF CONFRONTATION
Egan(1970)statesthatconfrontationtakesplacewhenoneperson(theconfronter),
eitherdeliberatelyorinadvertently,doessomethingthatcausesordirectsanotherperson
(therecipientoftheconfrontation)toreflecton,examine,question,orchangesome
aspectofhisorherbehavior.
Berensonandhisassociates(Berenson,Mitchell,&Laney,1968)have
distinguishedfivemajortypesofconfrontation:(1)experiential,(2)strength,(3)
weakness,(4)didactic,and(5)encouragementtoaction.Thesetypesofconfrontation
aredefinedasfollows:
Experiential:aresponsetoanydiscrepancyperceivedbytheconfronterbetween
therecipientsstatementsabouthimselforherselfandtheconfrontersown
experienceoftherecipient;
Strength:focusedontherecipientsresources,especiallyifheorshedoesnot
realizethem;
Weakness:focusedontherecipientspathologyorliabilities;
Didactic:clarificationofanothersmisinformationorlackofinformation;and
EncouragementtoAction:pressingtherecipienttoactonhisorherworldin
someconstructivemanneranddiscouragingapassivestancetowardlife.

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Theresultsoftheresearchdoneonthesetypesofconfrontationsuggestthat
effectivehelpersuseexperientialandstrengthconfrontationsmorefrequently,whileless
effectivehelperstendtoconfronttheirclientsweaknesses.Itmaywellbe,however,
thatvariablesotherthanthecontentoftheconfrontationaremoreimportantfactorsin
determiningtheoutcomesoftheconfrontation.
CONDITIONS FOR HELPFUL CONFRONTATION

Thepurposesofhelpfulconfrontationshouldbeprimarilytobringtherecipientinto
moredirectcontactwithhisorherownexperiencingandtocreateasituationinwhichit
becomespossiblefortherecipienttoexploreandchangethosebehavioraspectsthat
hinderhisorherowngrowthanddevelopment.
Whetherornotaconfrontationishelpfultotherecipientdependsontheconfronter,
therecipient,andtheconditionsthatexistinthesituationinwhichtheconfrontation
takesplace.
ConfronterConditions.Aconfrontationisprobablymorehelpfuliftheconfronter:
(1)hasagoodrelationshipwiththerecipientoratleastissensitivetothequalityoftheir
relationship;(2)acceptstherecipientandiswillingtogetmoreinvolvedwithhimorher
asaperson;(3)phrasestheconfrontationasasuggestionorrequestratherthana
demand;(4)directstheconfrontationtowardconcretebehaviorratherthantoward
motives;(5)makestheconfrontationpositiveandconstructiveratherthannegative;(6)
statestheconfrontationsuccinctlyanddirectly;and(7)representsfactsasfacts,
hypothesesashypotheses,andfeelingsasfeelings.
RecipientConditions.Arecipientwillprobablybenefitmorefromaconfrontationif
heorshe:(1)acceptsitasaninvitationtoexplorehimselforherself;(2)isopento
knowinghowheorsheisexperiencedbyothers;(3)iswillingtotoleratesome
temporarydisorganizationthatmayresultfromaconfrontation;and(4)respondsin
differentwaystodifferentmodesofconfrontationratherthaninthesame,stereotyped
way,toallconfrontations(forexample,byacceptingallconfrontationsastruthorby
dismissingallofthemasworthless).
GroupConditions.Confrontationthattakesplaceinagroupsituationisfacilitated
byahighdegreeofacceptanceandtrust.Itisdifficulttoreceiveconfrontationwithout
beingdefensiveifyoudonottrustorfeelacceptedbythegroupmembers.Confrontation
isalsobetterreceivedifitfitsthegoalsandpurposesofthegroup.Aninterpersonal
confrontationatafacultymeetingoratasocialgathering,forexample,canhave
disruptiveeffects.Thisissobecausethesegroupsaremeetingfordifferentpurposes
thanthetypicalgrowthgroup,andtheconfrontationcomesasasurprise.
Somebehaviorsthatmaynotseemtobeconfrontingcanbe.Sharingtenderfeelings
aboutafellowgroupmembercanhaveaconfrontingeffectbecausethisissomething
thatsomemembersexperiencelittleofintheireverydaylives.Ignoringothersornot
reinforcingcertainbehaviorsmayhavethesameimpact.
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Insummary,thepurposesandmotivesoftheconfrontationhaveastrongeffecton
theoutcomeofthatconfrontation.Ifgivenwithsensitivityandwiththedesiretohelp
andifreceivedinthatvein,thentheoutcomeismorelikelytobehelpful.Asnoonecan
predictwithabsolutecertaintywhatimpactaconfrontationwillhaveonanotherperson,
itiswisetoelicitfeedbackfromtherecipientabouttheimpactithadonhimorher.
GAMES CONFRONTERS PLAY

Notallconfrontationresultsfromthealtruisticmotivesmentionedinthehelpful
confrontationsectionofthisarticle.Manyconfrontershaveulteriormotivessimilarto
theonesdescribedinBernesGamesPeoplePlay(1964).Forexample,themotivefora
confrontationmaybetogiveventtojealousrage,topunishanother,ortoseekrevenge.
AgamethatBernecallsNIGYSOB(NowIveGotYou,YouSonofaBitch)fitsthe
punitivemotive.Theconfrontercarefullywatchestherecipientuntiltheothermakes
somemistake.Aftertheconfronterhascaughttheotherinthemistakeorhasbuilt
enoughevidence,heorsheisjustifiedinventingangerontherecipient.Some
confronters(especiallythoseinthehelpingprofessions)willrationalizethiskindof
behaviorwithexpressionssuchasImonlytryingtohelpyouorImonlydoingthis
foryourowngood.
Sometimesaconfronterwillconfrontanothertoshowoffhowperceptiveor
knowledgeableheorsheisinpsychologyorpsychiatry.Confrontationsarisingfromthis
typeofmotivesoundveryclinical,interpretive,andaloof.Theconfrontermayinterpret
whytherecipientbehavesthewayheorshedoesormaypinsomediagnosticlabelon
theother.Regardlessofthecontent,theseinferencesareoflittleusetotherecipient.We
haveoftenwonderedwhethertheoperationaldefinitionofpassiveaggressive
personalityisthatthecliniciandislikestheclient.
Someconfronterswillconfronttorelieveboredomortowardoffapossible
confrontationdirectedtowardthemselves.Thesemotivesareoftenrevealedby
expressionssuchasIonlywantedtostirthingsup.Aconfrontermayalsomanipulate
othergroupmembersintoconfrontingoneanother.ThisbehaviorissimilartoBernes
gameLetsyouandhimfight.Afterengineeringsuchaconflictbetweenothers,the
confrontermayassumetheroleofthejudgewhodecideswhoisright.Thisisa
variationofthegameCourtroom.
Aconfrontermighttakeoutfrustrationandangeronanothermembereventhough
heorsheisreallyfrustratedwiththefacilitatororwiththegroupasawhole.Thistype
ofconfrontationisanexampleofscapegoating.Alongsimilarlines,aconfrontermay
blameanothergroupmemberforallofthedifficultiesheorsheishavinginthegroup,
thusrelievinghimorheroftheresponsibility.BernelabelsthisgameIWFY(IfIt
WerentforYou).
Attheotherextremeisthecaseinwhichgroupmembersavoidconfrontinganother
forfearthattheotherwillbehurtorwillbeunabletohandletheconfrontation.Some
groupmembershandleotherslikefragilevasesthatwillbreakifconfronted.Thismay

306
haveaconfrontingeffectontheothersaswell.Beingtreatedverygentlymaybethe
stimulustowonderaboutwhyothersarerespondingtoyouinsuchamanner.Thegroup
memberwhoistreatedinthiswaymayconcludethatothersaresayingheorshecannot
handlethetruthabouthimselforherself.Actually,mostpeoplearemoreresilientthan
wegivethemcreditforbeingandareabletohandleconfrontationquitewell.
Occasionally,whenonememberofagroupreceivesaconfrontationfromanother,
othergroupmemberswilladdtheircomments,pickingawayattherecipientssore
points.Themotivecouldbetobuildonesstatusasagroupmemberattheexpenseof
therecipientortobeacceptedassimilartoothergroupmembers.Webelievethatthis
kindofinteractioncanhaveharmfuleffectsontherecipientandthatitisimportantthat
afacilitatororsomememberintercedetostopit.
Thishasbeenanillustrativeratherthananexhaustivelistoftheulteriormotives
behindsomeconfrontationsandofthegamesconfrontersplay.Ingeneral,whenhidden
agendasareinvolved,suchastheonesdiscussed,theoutcomesoftheconfrontationare
morelikelytobeharmfultotherecipient.
A SELF-EXAMINATION FOR CONFRONTERS

Afterreadingaboutsomeofthegamesconfrontersplayandlearningthatthesetypesof
confrontationsprobablyhaveharmfuleffectsontherecipient,thereadermayhavethe
impressionthatweconsiderconfrontationsomethingtobeavoided.Actually,webelieve
thatinterpersonalconfrontationisoneofthemostpotentandtherapeuticforcesfor
membersingrowthgroupsifgivenundertherightconditionsandshouldbeencouraged
forthisreason.Becauseofthepotencyofconfrontationandbecauseitcanbeharmful,
wesuggestthataconfronterdosomepriorselfexamining.
Whatshouldtheconfronterexamine?Webelievethataconfrontershouldassessthe
conditionsinthegroupatthetimeoftheconfrontation,shouldbesensitivetothe
recipientandtotherelationshipthatheorsheshareswiththatperson,andshouldbe
awareofhisorherownmotivesforconfronting.Wewouldliketoproposeaseriesof
questionsthatconfrontersmightaskthemselvesasawaytoaidinthisexamination.
1.Whatisthepurposeofthegroup?Isthisgroupsituationanappropriateplacefor
aconfrontation,anddothemembersexpecttobeconfronted?Howmuchtrustand
supportexistinthegroupatthistime?Aconfrontationgivenbeforeasenseoftrustand
acceptancehasdevelopedislikelytoberegardedasanattackandtoberespondedto
defensively.Doestheconfrontationariseoutofthegroupinteraction?Aconfrontation
thatisnotbasedonthehereandnowinteractioninthegroupislesslikelytobehelpful
becauseitislessconcreteandimmediate.
2.WhatisthecurrentpsychologicalstateofthepersonwhomIamaboutto
confront?Istherecipientlikelytoreceivetheconfrontationasaninvitationtoexplore
himselforherself,oristherecipientlikelytoreactdefensively?Inotherwords,whatis
theconfrontationlikelytomeantotherecipient?Howcloseismyrelationshiptothe
personIamconfronting?Ifmyrelationshipisdistant,heorshemaybemoreinclinedto
307
dismisstheconfrontationandmeasaperson.DoIexpectthepersontochangejust
becauseIconfrontedhimorher?AsIcannotpossiblyexperiencetheworldastheother
persondoes,Icannotbesurethatthechangewouldberightforhimorher.IfIdonot
givetheothertherighttodecidewhetherandhowtochange,Iamimposingmyvalues
onhimorher.
3.Whataremyownmotives?DoIwanttobecomemoreinvolvedwiththepersonI
amconfronting?Ifnot,Iamintrudingonanotherpersonandpryingintohisorherlife.
AmIdirectingmyconfrontationtotherightperson?AmIconfrontingtorelieve
boredomortowardoffconfrontationmyself?Topunishortodominate?Toshowoff
myintelligenceorperceptiveness?IfIamconfrontingforthesemotives,Iam
attemptingtomeetmyneedsattheotherpersonsexpense;andmybehaviormaybe
harmfultohimorher.
4.AmIconfrontingbehaviorortheothersmotives?Asmotivesmustbeinferred
fromtheothersbehaviorandaremuchmoredifficulttodescribeaccurately,
confrontingtheothersbehaviorismorehelpful.AmImakingmyselfclear?AmI
checkingtheimpactthatmyconfrontationishavingontheotherperson?
Someoftheanswerstothesequestionsliewithinyourself.Someoftheanswerslie
withintherecipientandsomewithintheothergroupmembers.Themosteffectiveway
tofindtheanswersistobeopentoyourselfandtoelicitfeedbackastohowyouare
experiencedbyothers.
REFERENCES
Berenson,B.G.,Mitchell,K.M.,&Laney,R.C.(1968).Leveloftherapistfunctioning:Typesofconfrontationand
typeofpatient.JournalofClinicalPsychology,24,111113.
Berne,E.(1964).Gamespeopleplay.NewYork:GrovePress.
Douds,J.,Berenson,B.G.,Carkhuff,R.R.,&Pierce,R.(1967).Insearchofanhonestexperience:Confrontation
incounselingandlife.InR.R.Carkhuff&B.G.Berenson(Eds.),Beyondcounselingandtherapy(pp.170
179).NewYork:Holt,RinehartandWinston.
Egan,G.(1970).Encounter:Groupprocessesforinterpersonalgrowth.Monterey,CA:Brooks/Cole.

308
THE INTERPERSONAL CONTRACT
Clark Carney and S. Lynne McMahon

Theideaofcontractingforchangeinintimaterelationshipstendstoelicitnegative
reactionsfrommostpeople.IntheUnitedStatesthewordcontractoftenconnotesan
impersonalprocessoftoughbargaininginsmokefilledroomsbetweendeclared
opponents.Negotiationevokesapictureofwilydiplomatsjostlingforpowerthrough
subterfuge,manipulation,andhintsofarmedintervention.
Neitherofthesescenesisreadilyapplicabletopersonalrelationships.Yetall
relationshipsinvolvenegotiatedagreementsthatvaryaccordingtoexplicitness,duration,
andrestrictiveness.Husbandsandwives,forexample,developpactsabouthousehold
chores,whileneighborscontracttoformacarpool.Roommatesreachagreementsabout
visitors,payingbills,andstudytimes.Teachersandstudentsspecifyindividuallearning
objectives.
Givenitsprevalenceinourdailylives,theinterpersonalcontractmightbedescribed
asthemortarthatbindsrelationships;itlendspredictabilitytoourinteractionsand
providesuswithabasisfortrust.
IMPLICIT AND EXPLICIT AGREEMENTS

Mostoftheagreementsthatpeopleworkoutamongthemselvesareimplicitandare
rarelyverbalized.Peoplenormallyfunctiononthebasisofunwrittencompacts,seldom
recognizingthattheyhaveindeednegotiatedanagreement.
Themostfulfillingmeansoffacilitatingchangeinarelationship,however,occurs
whenpartnersmakeaconsciousandconsistentefforttonegotiatetheirexpectations
openlyinanatmosphereofmutualtrustandrespect.Inmakingapubliccommitment,
bothpartnersaremorelikelytocarryouttheiragreements.Suchexplicitagreementsare
easilyrenegotiatedandmodifiedforthemutualbenefitofparticipants.
PROBLEM-CENTERED PERSPECTIVE
Peoplegenerallyapproachtheprocessofcontractingforchangeinarelationshipfroma
problemcenteredperspective:Wearedoingallright,butwehaveaproblemwith....
Theproblemmaybeoneofagreeingonfamilyfinances,learninghowtoexpressanger,
orfindingasatisfyingmeansofcompletingatask.Thesituationisseenaslackinga
necessaryelementorasanirritanttoberemedied.

309
Althoughcreativegrowthisseldomgivenequalattention,ittoocanserveasa
subjectforaninterpersonalcontract.Partnerscanusetheircontractstodeterminehow
muchenergytheywillspendonproblemsolvingandhowmuchoncreative
development.
TWO APPROACHES
Regardlessofthecircumstancethatpromptsthemtoseekchange,partnerscanuseone
orbothoftwoapproachesinnegotiatinganinterpersonalcontract.Theycandevelopa
minicontracttodealwithsituationsthathavearestrictedtimelimitorscope,orthey
canseekthemorecomprehensivegoalsofadevelopmentalcontracttomaximizethe
growthpossibilitiesforbothpeopleandtheirrelationship.
Aminicontractmight,forexample,specifyacceptablemeansofexpressing
affectionformembersoftheoppositesex,provideforcompletingjobassignmentson
time,determinegradingprocedures,dividehouseholdtasks,setupahomework
schedule,ordesignatethechildrensvacationbedtime.
Thedevelopmentalcontractismorecomprehensive,involvingdecisionsabouthow
toimplementtheidealsofthepartnership,howtoprovideforfuturechanges,andhow
toworkthroughproblems.Acouple,forinstance,mightdevelopacontracttoenhance
growthandintimacyinamarriage.Toshareintheprocessoflearningtogether,the
maritalpartnerscouldcontracttoattendmarriageenrichmentworkshopsandfree
universityclasses.Theymightseektoprovidearenewedbasisforintimacyintheir
relationshipbycontractingtospendoneweekendamonthasacouplecamping,
visitingnearbycities,orhavingatrystatalocalhotel.
GUIDELINES FOR NEGOTIATING AN INTERPERSONAL

CONTRACT
The Process
Negotiatinganinterpersonalcontractcanbearewardingandilluminatingexperience,
especiallywhenbothpartnersagreetonegotiateinanatmospherethatisfreeofcoercion
andmanipulation.Sittingdownandtalkingthingsthroughsharingyouraspirationsas
peopleandpartnersoffersyounewinsightsintoyourselves,yourvalues,feelings,
priorities,andpersonalviewpoints.Itcanalsohelpyoutofindandrealizerewarding
newpossibilitiesforyourrelationship.
Ifpossible,findaquiet,private,pleasantplace,freefromoutsidedisturbances,to
negotiateandwriteyourcontract.Whileyouareatit,begoodtoyourselves.Treat
yourselvestoaglassofwine,somefreshlybakedcookies,oranyspecialtreat.
Allowyourselvesampletimetonegotiateandwriteyourcontract;atleastonehour
persittingismosthelpful.Guidelinesforimplementingseriousreadjustmentsina
relationshipareseldomdevelopedinonesittingtaketimeoverseveralsessionstolet
yourideasandfeelingspercolateandsortthemselvesout.Eachofyoucouldwellspend

310
sometimealonedefining,clarifying,andnotingyourpersonalbehavioralgoalsbefore
sharingthemwithyourpartner.
Whenyouattempttodefineandshareyourgoals,consistentlychecksignalswith
eachothertomakesureyouhaveheardandunderstoodwhattheotherissaying.During
theearlystagesofgoalsharing,youmaypracticetheartoflisteningandrespondingby
followingthisexercise:
Step1.Oneperson,PersonA,takesresponsibilityforinitiatingaconversation
aboutaspecifictopicinthisinstanceWhatIdlikeourcontracttodoforus.AsA
talks,Bbecomesactivelyinvolvedintheprocessoflisteningbynoddinghisheadwhen
hefeelsheunderstands,sittingforwardinhischair,takingnoteofthingsheagreesor
disagreeswith,andsortingoutwhatheunderstandsfromwhathedoesnot.
Step2.AfterAcompletesherstatement,Bresponds,Iheardyousay...and
repeatswhatAhassaid.AfterBsummarizestoAssatisfaction,theycontinuetothe
nextstep.
Step3.Battemptstoclarifytheircommunicationfurtherbyexpressinghis
understandingofthefeelingaspectofAsmessage.Hecompletesthesentence,Ithink
youmean(feel)....
Step4.AfterBhascompletedtheprocessofsummarizingandclarifyinghis
feelings,Arespondswithherthoughtsandreflections:Myresponseis....
Step5.Theprocessisreversed,andBthenengagesinamonologueonthesame
subject.
Taperecordingyourconversationsmayhelptopromoteeffectivecommunication
betweenyouandyourpartner,bygivingbothofyouamoreobjectiveviewofyour
interaction.
Mosthumanbehaviorisguidedbyselffulfillingprophecies.Weoftengetwhat
weexpectoutofarelationshipsimplybecauseourexpectationsguideourbehaviorin
waysthatproducecomplementaryresponsesfromothers.Forexample,ifamansees
himselfasbeingunattractivetowomen,hemorethanlikelywillapproachtheminaway
thatcommunicateshisexpectationsofhimselfYouwouldntwanttogooutwithme,
wouldyou?
Accordingly,asyouenteryourcontractnegotiations,itisimportanttoconsider
yourexpectationsforyourselvesandeachotherandtheinfluencetheymayhavein
determiningthesuccessorfutilityofyourefforts.Someassumptionsthatfacilitateor
hinderinterpersonalcommunicationcanbeusefulasasetofguidelinesduringyour
contractnegotiations.
Thesearesomeassumptionsthatfacilitatesuccessfulcontractnegotiations:
TheHumilityAssumption:Iamnotperfect;Iwouldliketoimprovemy
interpersonalrelationshipsandamwillingtolearnfromyou.1
1
Thisassumptionandseveraloftheothersinthislistingaretakenfrom The Interpersonal Game(p.4)byK.Hardy,1964,Provo,
UT:BrighamYoungUniversityPress.
311
TheHumanDignityAssumption:Ivalueyouandfeelyouareequaltome.
TheConfidentialityAssumption:Iwillrespectconfidencesthatareentrustedto
me.2
TheResponsibilityAssumption:Iwillshareequallywithyouinbuildingand
maintainingourpartnership.
TheChangeabilityAssumption:Icanchangeandamwillingtotry.Our
relationshipcanchange.Wearenotsetinourways.
Assumptionsthathindercontractnegotiationsareasfollows:
One(orboth)ofusneedshelp,ismentallydisturbed.
Ourrelationshipispoor,hopeless,doomed.2
Mypartnerdoesnotknowwhatheisreallylike.Iamgoingtogethimtoseethe
Truthabouthimself.2
Allofourproblemsaremypartnersfault.Sheistheonewhoneedstochange.
Mypartnerhadbetterchange,orelse.
Mypartnerhashurtme.NowIamgoingtogeteven.
Wearethewayweare.Thereisnosenseinstirringthingsup.
Itseemsapparent,then,thatanatmosphereoftrust,respect,andunderstanding,in
whichsuccessfulcontractnegotiationsthrive,ismostlikelytooccurwhenpeopleare
willingtolistenandrespondtoeachotherwithoutfeelingthattheyaretakingtheriskof
beingmanipulatedorcoerced.
The Product
Whenwritingyourcontract,strivetoavoideitherextremerigidityorexcessive
generalizationinyourstatement.
Trytodetermineyourpersonalprioritiesbeforespecifyingyourgoals.Identify
yournonnegotiablesearlyintheprocesssothatyoucanworkwithoraroundthem.
Veryuseful,especiallyduringinitialnegotiations,isanoutlineformat;itreads
easilyandencouragessuccinctnessandclarity.
Inwritingeachsection,gofromageneralobjectivetothespecificstepsthatyou
willtaketorealizeit.Stateyouractionstepssothatbothofyoucanunderstandyour
goalorpurpose.Usespecificbehavioralexamplestoclarifywhatyoumean.For
instance,ifyouareexperiencingdifficultyinmanagingconflict,youmightstate
dealingwithconflictasageneralobjective.Asactionsteps,youmightlistthe
following:Bothpartnerswilldefinetheissuebeforepursuingtheargument;
2
Thisassumptionandseveraloftheothersinthislistingaretakenfrom The Interpersonal Game(p.4)byK.Hardy,1964,Provo,
UT:BrighamYoungUniversityPress.

312
John/Margaretcallstimeoutwhenhe/sheisnolongerabletolisteneffectively;
Margaretsummarizeswhathasbeensaidbeforepresentingnewinformation.
Itisalsohelpfultovisualizeasequenceofactionsteps.Intheexamplegivenabove,
definingtheissuelogicallyprecededtheotherstepsasitisimportanttoagreeonthe
subjectforargumentbeforebeginningtodiscussit.
Toavoidconfusion,separateeachgeneralobjectiveandtheactionstepsconnected
withit,justasyouwouldaclauseinacontract.Ifyouaredevelopingamethodfor
dealingwithconflictinonesectionofyourcontract,forexample,youshouldnot
includeguidelinesforcompletingchores,unlessthechoresaredirectlyrelatedtoyour
conflict.
Thebestwaytochangeistoactdifferentlynow.Peoplehaveatendencyto
postponeremedialactions,especiallywhentheyseemdifficultorcostly,butthepast
cannotberelived.Specifyyouractionstepsinthepresenttenseandintheactivevoice,
suchassummarizes,clarifies,asks,takes,names.
Haveanobjectiveoutsiderreadyourcontracttomakesurethatyourgoalsand
termsareclear.Remember,however,thatyourpurposeshouldnotbetopersuadethis
persontotakesideswitheitherpartneronanissue.
Finally,specifyatimeinthefuturetoreviewyourcontractandrenegotiateitif
necessary.Whenreviewingyourcontract,youmightasksomeofthefollowing
questions:
Arethebehaviorscalledforbythecontractappropriatetotheissue?
Dotheactionstepsadequatelyrepresentthebehaviorassociatedwiththegeneral
objective?
Isthecontracttoorigidortooflexible?
Astheyarestated,aretheobjectivesattainable?
Dotheobjectivesagreewiththephilosophyofourrelationshipandwiththeaim
ofsharedresponsibility?
Contractingexplicit,negotiatedinterpersonalcontractscanbeaveryusefuldevice
forchangeinintimaterelationships.Thesuccessoftheprocessrequiresanatmosphere
ofmutualtrust,time,helpfulassumptionsabouteachother,clearobjectives,anda
sequenceofspecificactionstepstowardthegoalofmutualchange.
REFERENCE
Sherwood,J.J.,&Glidewell,J.C.(1973).Plannedrenegotiation:AnormsettingODintervention.InJ.E.Jones&
J.W.Pfeiffer(Eds.),The1973annualhandbookforgroupfacilitators(pp.195202).SanDiego,CA:
Pfeiffer&Company.
313
ASSERTION THEORY
Colleen Kelley
Afriendaskstoborrowyournew,expensivecamera....Someonecutsinfrontofyou
inaline....Asalespersonisannoyinglypersistent....Someonecriticizesyouangrily
infrontofyourcolleagues....Formanypeopletheseexamplesrepresentanxious,
stressfulsituationstowhichthereisnosatisfyingresponse.Onebasicresponsetheory
beingtaughtmoreandmorefrequentlyintrainingprogramsisatheorycalled
assertivenessorassertion.
Someimportantaspectsofassertiontheoryinclude(1)thephilosophyunderlying
assertion,(2)thethreepossibleresponsestylesinanassertivesituation,(3)somemeans
ofoutwardlyrecognizingtheseresponsestyles,(4)somefunctionaldistinctionsamong
thethreestyles,and(5)thesixcomponentsofanassertivesituation.
THE PHILOSOPHY OF ASSERTION

Assertiontheoryisbasedonthepremisethateveryindividualpossessescertainbasic
humanrights.Theserightsincludesuchfundamentalsastherighttorefuserequests
withouthavingtofeelguiltyorselfish,therighttohaveonesownneedsbeas
importantastheneedsofotherpeople,therighttomakemistakes,andtherightto
expressourselvesaslongaswedontviolatetherightsofothers(JakubowskiSpector,
1977).
THREE RESPONSE STYLES

Peoplerelatetothesebasichumanrightsalongacontinuumofresponsestyles:
nonassertion,assertion,andaggression.
Assertion
Theactofstandingupforonesownbasichumanrightswithoutviolatingthebasic
humanrightsofothersistermedassertion(JakubowskiSpector,1973).Itisaresponse
stylethatrecognizesboundariesbetweenonesindividualrightsandthoseofothersand
operatestokeepthoseboundariesstabilized.

OriginallypublishedinThe1976 Annual Handbook for Group FacilitatorsbyJ.WilliamPfeifferandJohnE.Jones(Eds.),

314
Forexample,whenoneofherfriendsaskedtoborrowJansnewsportscarfora
trip,shewasabletorespondassertivelybysaying,Iappreciateyourneedforsome
transportation,butthecaristoovaluabletometolendit.Janwasabletorespectboth
herfriendsrighttomaketherequestandherownrighttorefuseit.
Nonassertion
Thetworemainingresponsestyles,nonassertionandaggression,representaninabilityto
maintainadequatelytheboundariesbetweenonepersonsrightsandthoseofanother.
Nonassertionoccurswhenoneallowsonesboundariestoberestricted.InJanscase,a
nonassertiveresponsewouldhavebeentolendthecar,fearingthatherfriendmight
perceiveheraspettyordistrustful,andtospendtherestoftheafternoonwishingshe
hadnot.Thus,Janwouldnothavebeenactingonherrighttosayno.
Aggression
Thethirdresponsestyle,aggression,takesplacewhenonepersoninvadestheothers
boundariesofindividualrights.Aggression,inJanscase,mightsoundlikethis:
Certainlynot!orYouvegottobekidding!Here,Janwouldbeviolatingtheother
personsrighttocourtesyandrespect.
RECOGNIZING RESPONSE STYLES

Somehelpfulkeystorecognizingnonassertive,assertive,andaggressiveresponsestyles
inanygivensituationare(1)thetypeofemotionexperienced,(2)thenonverbal
behaviordisplayed,and(3)theverballanguageused.
Emotion
Thepersonrespondingnonassertivelytendstointernalizefeelingsandtensionsandto
experiencesuchemotionsasfear,anxiety,guilt,depression,fatigue,ornervousness.
Outwardly,emotionaltemperatureisbelownormal,andfeelingsarenotverbally
expressed.
Withanaggressiveresponse,thetensionisturnedoutward.Althoughtheaggressor
mayhaveexperiencedfear,guilt,orhurtatonetimeintheinterchange,eitherthis
feelinghasbeenmaskedbyasecondaryemotionsuchasanger,orithasbuiltupover
timetoaboilingpoint.Inanaggressiveresponse,thepersonsemotionaltemperatureis
abovenormalandistypicallyexpressedbyinappropriateanger,rage,hate,ormisplaced
hostilityallloudlyandsometimesexplosivelyexpressed.
Incontrasttotheothertworesponsestyles,anindividualrespondingassertivelyis
awareofanddealswithfeelingsastheyoccur,neitherdenyinghimselforherselfthe
righttotheemotionnorusingittodenyanothersrights.Tensioniskeptwithina
normal,constructiverange.
315
Nonverbal Behavior
Eachresponsestyleisalsocharacterizedbycertainnonverbalorbodylanguagecues.A
nonassertiveresponseisselfeffacinganddependent;itmovesawayfromasituation.
Thisresponsemaybeaccompaniedbysuchmannerismsasdowncasteyes;theshifting
ofweight;aslumpedbody;thewringingofhands;orawhining,hesitant,orgigglytone
ofvoice.
Aggressionrepresentsanonverbalmovingagainstasituation;itisother
effacingandcounterdependent.Thisresponsemaybeexpressedthroughglaringeyes;
byleaningforwardorpointingafinger;orbyaraised,snickering,orhaughtytoneof
voice.
Assertion,incontrast,isfacinguptoasituation;itisanapproachbywhichonecan
standupforoneselfinanindependentorinterdependentmanner.Whenbeingassertive,
apersongenerallyestablishesgoodeyecontact,standscomfortablybutfirmlyontwo
feetwithhandslooselyathisorhersides,andtalksinastrong,steadytoneofvoice.
Verbal Language
Athirdwayofdifferentiatingamongassertion,nonassertion,andaggressionistopay
attentiontothetypeofverballanguagebeingused.Certainwordstendtobeassociated
witheachstyle.
Nonassertivewordscanincludequalifiers(maybe,Iguess,Iwonderifyou
could,wouldyoumindverymuch,only,just,Icant,dontyouthink),
fillers(uh,well,youknow,and)andnegaters(itsnotreallyimportant,
dontbother).
Aggressivewordsincludethreats(youdbetter,ifyoudontwatchout),
putdowns(comeon,youmustbekidding),evaluativecomments(should,bad),
andsexistorracistterms.
AssertivewordsmayincludeIstatements(Ithink,Ifeel,Iwant),
cooperativewords(lets,howcanweresolvethis),andempathicstatementsof
interestintheotherperson(whatdoyouthink,whatdoyousee).
Emotional,nonverbal,andverbalcuesarehelpfulkeysinrecognizingresponse
styles.Buttheyshouldbeseenasgeneralindicatorsandnotasameansoflabeling
behavior.
FUNCTIONAL DISTINCTIONS
Outwardly,thethreeresponsestylesseemtoformalinearcontinuumrunningfromthe
nonassertivestyle,whichpermitsaviolationofonesownrights,throughtheassertive
style,totheaggressivestyle,whichperpetratesaviolationofanothersrights.
Functionally,however,asindicatedinFigure1,nonassertionandaggressionappear
notonlyverymuchalikebutalsoverydifferentfromassertion.Nonassertionand
aggressionaredysfunctionalnotonlybecausetheyuseindirectmethodsofexpressing
wantsandfeelingsandfailtorespecttherightsofallpeople,butalsobecausethey

316
createanimbalanceofpowerinwhichthetwopositionsmaymixorevenchange
positionswitheachother.Thenonassertiverespondercreatesapowerimbalanceby
accordingeveryoneelsemorerightsthanhimselforherself,whiletheaggressive
respondercreatesapowerimbalancebyaccordinghimselforherselfmorerightsthan
everyoneelse.
Figure 1. Functional and Dysfunctional Assertive1
Thispowerimbalanceisunstable.Therestrictednonassertiverespondermay
accumulateguilt,resentment,orfearuntilheorshebecomestheaggressiveresponderin
aburstofrage;orthispersonmaymixanonassertivefrontwithasubversivebehind
thescenesattempttogetbackatanother.2
Theassertiveresponderseeksasolutionthatequalizesthebalanceofpowerand
permitsallconcernedtomaintaintheirbasichumanrights.Thus,animbalanceof
power,causedbyafailuretorespecttherightsofallpeopleandperpetuatedbytheuse
ofindirectmethods,createsaveryvulnerablepositionforboththenonassertiveandthe
aggressiveresponders,whilethemorefunctionalassertiveresponderrespectsallhuman
rights,usesdirectmethods,andseeksabalanceofpower.
COMPONENTS OF AN ASSERTIVE SITUATION

Assertiontheorycanbehelpfulinsituationsinwhichapersonisanxiousaboutstanding
upforhisorherbasichumanrights.Thesesituationsincludesayingyesandnowith
conviction,givingandreceivingcriticism,initiatingconversations,resistinginter
ruptions,receivingcompliments,demandingafairdealasaconsumer,dealingwith
1
AdaptedfromJ.WilliamPfeifferandJohnE.Jones,1972,Openness,CollusionandFeedback,inJ.WilliamPfeifferandJohnE.
Jones(Eds.), The 1972 Annual Handbook for Group Facilitators(p.199),SanDiego,CA:Pfeiffer&Company.
2
ThemixedorindirectresponsecanrangefromguiltinductiontosubversioninstyleandisrepresentedinFigure1bythebrokenline
area.
317
sexistremarks,andhandlingvariousotherspecificsituationsencounteredinones
personal,social,andprofessionallife.
Apersonmayfeelcapableofbeingassertiveinasituationbutmakeaconscious
decisionnottobeso,becauseofsuchthingsaspowerissuesorthetimeoreffort
involved.Beforemakingadecisiontobeassertive,itishelpfultoexaminethesix
componentsofanassertivesituation:
1. Thepotentialassertersbasichumanrightsandlevelofconfidencethatheorshe
hastheserights;
2. Thespecificbehaviortowhichthepotentialasserterisresponding;
3. Thepotentialassertersfeelingreactionstothisspecificbehavior;
4. Thespecificbehaviorthatthepotentialasserterwouldprefer;
5. Thepossiblepositiveandnegativeconsequencesfortheotherpersonifthat
personbehavesasthepotentialasserterwishes;and
6. Thepotentialconsequencesoftheassertiveresponseforthepotentialasserter.
Oncethesituationalassertivecomponentshavebeendetermined,assertiontraining
techniquesprovideameansofformulatingandenactinganassertiveresponse.
CONCLUSION
Assertiontheoryoffersamodelforthosewhowishtostandupfortheirownrights
withoutviolatingthehumanrightsofothers.Itisamodelthatcanbeusedinalltypesof
situationspersonal,professional,andsocialtofacilitatehonest,direct,functional
communication.
REFERENCES AND READINGS

Alberti,R.E.,&Emmons,M.L.(1974).Yourperfectright:Aguidetoassertivebehavior(2nded.).SanLuis
Obispo,CA:Impact.
Alberti,R.E.,&Emmons,M.L.(1975).Standup,speakout,talkback!:Thekeytoselfassertivebehavior.New
York:Simon&Schuster.
Bloom,L.L.,Coburn,K.,&Pearlman,J.(1975).Thenewassertivewoman.NewYork:Delacorte.
Cummings,E.,etal.(1974).Assertyourself.Seattle:SeattleKingCountyN.O.W.
Fensterheim,H.,&Baer,J.(1975).Dontsayyeswhenyouwanttosayno:Howassertivenesstrainingcan
changeyourlife.NewYork:McKay.
JakubowskiSpector,P.(1973).Facilitatingthegrowthofwomenthroughassertivetraining.TheCounseling
Psychologist,4(1),7586.
JakubowskiSpector,P.(1977).Selfassertivetrainingproceduresforwomen.InD.Carter&E.Rawlings(Eds.),
Psychotherapywithwomen.Springfield,IL:CharlesC.Thomas.
Lazarus,A.,&Fay,A.(1975).IcanifIwantto:Thedirectassertiontherapyprogramtochangeyourlife.New
York:WilliamMorrow.

318
Osborn,S.M.,&Harris,G.G.(1975).Assertivetrainingforwomen.Springfield,IL:CharlesC.Thomas.
Pfeiffer,J.W.,&Jones,J.E.(1972).Openness,collusionandfeedback.InJ.W.Pfeiffer&J.E.Jones(Eds.),The
Phelps,S.,&Austin,N.(1975).Theassertivewoman.SanLuisObispo,CA:Impact.
Smith,M.J.(1975).WhenIsayno,Ifeelguilty.NewYork:McKay.
319
DEALING WITH ANGER
John E. Jones and Anthony G. Banet, Jr.

Angeristhefirstemotionthathumanbeingsexperience,anditisthelastonethatwe
learntomanageeffectively.Asearlyasfourmonthsofage,thehumaninfantsvague
feelingsofdistressdifferentiateintorecognizableanger;formanyofus,alifetimeis
spentindenying,suppressing,displacing,oravoidingthistroublesomeemotional
experience.Becauseangerusuallyoccurswithinaninterpersonalcontext,itisafrequent
groupphenomenonandpresentsamanagementchallengetoallconcerned.
Angerhappenswhenweperceiveanexternalevent(objectorperson)asthreatening
orwhenweexperiencethefrustrationofunmetexpectations.Althoughangerseemsto
bearesponsetosomethingoutsideofus,itmostoftenisanintrapersonalevent:We
makeourselvesangry.Butbecauseangerissounpleasantandhumanbeingsareso
adeptatprojection,weusuallyattempttolocatethesourceofourangeroutside
ourselveswithstatementssuchasYoumakemeangryorYouhaveirritatinghabits
orYoubotherme.
ANGER AND THREAT

Whenweperceiveanexternaleventasthreateningtoourphysicalorpsychological
wellbeing,acycleofinternalmovementsisinitiated.Astheperceptionisformed,
assumptionsaremadeinternallyaboutthepossibledangerofthethreat.Theassumption
isthencheckedagainstourperceivedpowerofdealingwiththethreat.Ifweconclude
thatthethreatisnotverygreatorthatwearepowerfulenoughtoconfrontit
successfully,acalm,unflusteredresponsecanoccur.Butifweconcludethatthethreatis
dangerousorthatwearepowerlesstohandleit,angeremergesinanefforttodestroyor
reducethepersonalthreatandtoprotectourassumedimpotence.Theangercycleis
graphicallyrepresentedinFigure1.
Resentment and Expectations

IntheGestaltview,angerisresentment,anexperienceaccompanyingademandor
expectationthathasnotbeenmadeexplicit.Unanswereddemandsorunmet
expectationsarefrustrating;theybecomeanotherkindofthreat,whichtripsoffthe
angercyclewithinus.

Originallypublishedin The 1976 Annual Handbook for Group FacilitatorsbyJ.WilliamPfeifferandJohnE.Jones(Eds.),

320
U se Word 6.0c o r later to
view Macintosh picture .
Figure 1. The Anger Cycle
Maladaptive Expressions of Anger

Unlikemostotherfeelings,angerhasnospecificbodyorgansforexpression.1
Physiologically,angerisaccompaniedbyanincreaseinbloodpressureandmuscle
tightness;psychologically,thereareimpulsestosayaggressivewords,strikeout,
commitviolence.Buttheexpressionofangercanbesoterrifyingandthreateningthat,
ratherthanexpressitoutwardly,wesometimesturnitinward,againstourselves.This
shortcircuitingoftheangercycleproducesdistortionsofanothermagnitude:Anger
turnedinwardisexperiencedasguilt;guiltproducesfeelingsofdepression,
incompetence,helplessness,and,ultimately,selfdestruction.
Anothercommonwaytoshortcircuittheangercycleistoventthefeeling,notat
theperceivedthreateningeventbutatsomeoneorsomethingelsethatisconvenient.We
areangryatthetrafficjam,butwesnapataninnocentspouse.Thechildrenconsistently
refusetomeetourexpectations,butwekickthedog.Weareangryatthegroupleader,
butwecomplainaboutthefood.Suchdisplacementofangryfeelingservestoventilate
butnottoresolve:theangercyclestilllacksclosure.Whendisplacementbecomes
generalizedtothesystem,thegovernment,orthestateofourculture,webegintoseethe
wholeworldashostileandwedevelopawrathful,attackingbehaviorstyle.
Expressionofangercanleadtoviolence;turningitinwardproducesdepression.
Displacementisultimatelyineffectiveandcandamageinnocentthirdparties.Repeated
failuretoclosetheangercyclecanproduceahostile,cynical,negativeviewofreality.
Andeventhoughangerusuallyoccursinaninterpersonalcontext,itisnotan
interpersonalevent,butselfgenerated.Wemakeourselvesangry,andthereisnoone
elsewhocanhonestlybeblamed.Sufferingtheangeroftenseemstobetheonly
alternative.
1
Bodilyresponsesduringangerandinsexualarousalarenearlyindistinguishable;theonlydifferenceisthatinsexualarousal,rhythmic
muscularmovement,tumescence,andgenitalsecretionorejaculationmayoccur.
321
DEALING WITH PERSONAL ANGER
Theobviouswaytoeliminateangerfromourlivesistobecomesopersonallysecure
thatnothingthreatensus.Shortofthatlevelofselfactualization,theprocedures
describedheremayhelp.
Owninganger.Acknowledgingangerclaimingitasourownbehaviorisa
helpfulfirststep.Itincreasesselfawarenessandpreventsunwarrantedblamingof
others.TurningblameandattributionintoIstatementslocatestheangerwhereit
actuallyisinsideus.Thisprocedurecanhelptodevelopasenseofpersonalpower.
Calibratingtheresponse.Angerisnotanallornothingexperience.Itrangesfrom
relativelymildreactionssuchasIdisagree,Idontlikethat,andImbothered,
throughmediumresponsessuchasImannoyed,Impissedoff,andImirritated,
tointensereactionssuchasImfurious,Imenraged,andIfeellikehittingyou.
Learningtodifferentiatebetweenlevelsofangerhelpsustoassessaccuratelyour
capacityfordealingwithit.
Diagnosingthethreat.Whatisfrighteningabouttheperceivedthreat?WhatdoI
standtolose?Angerhappensbecausewequicklyassumethatthesituationisdangerous
soquicklythatwefrequentlydonotknowwhythestimulusisthreatening.
Diagnosingthethreatfrequentlyrevealsthatitissimplyadifferenceinvalues,opinion,
upbringing,orstylesofbehaving.
Sharingtheperceivedthreat.Sharingisawaytomaketheinternalangercyclea
publicorinterpersonalevent.Itdiffusestheintensityoffeelingandclarifiesour
perceptions.Itpermitsustoreceivefeedbackandconsensualvalidation.
Forgiveness.Forgivenessinvolveslettinggooftheangerandcancelingthecharges
againsttheotherandourselves.Forgivingandforgettingcleantheslateandconstitute
awayofopeningyourselftofuturetransactions.Forgivenessisamagnanimousgesture
thatincreasespersonalpower.
DEALING WITH ANOTHERS ANGER

Ininterpersonalsituationsweoftenrespondtoanotherpersonsanger,whetherornot
wehaveoccasioneditbymeansofthreateningorfrustratingbehavior.Itfrequently
happensthatwereceiveanothersangerjustbecausewehappentobethere.Laura
Huxley(1963),inheraptlytitledbookYouAreNottheTarget,viewstheangerof
anotherasnegativeenergythatisdumpedonus,justasoceanwavesdumptheirenergy
onthebeach.
Angerfromanotherhashighpotentialforhookingusintowhatisessentially
someoneelsesproblem.Ifweviewanothersangerasthreatening,westarttheanger
cycleinourselves;andthenwehaveourangertodealwith,aswellastheother
persons.Tobeangrysimplybecausesomeoneelseisangrymakesnosense,butit
frequentlyhappensanyway.Contagionisausualbyproductofintensity.

322
Angerfromanother,ifrespondedtoappropriately,canincreaseinterpersonal
learningandstrengthenarelationship.Thefollowingstepsmaybehelpful.
Affirmtheothersfeelings.AnoldJulesFeiffercartoondevotesninepanelstoone
charactersbuildinguphisangertowardanother.Finally,heverballyconfrontstheother
withIhateyou,yousonofabitch!Theothercharacterreplies,Letusbeginby
definingyourterms.Toaffirmanothersangeristoacknowledgethatyouarereceiving
itandtoexpressawillingnesstorespond.Disallowinganothersangerusuallyheightens
itsintensity.
Acknowledgeyourowndefensiveness.Lettheotherpersonknowwhatyouare
feeling.Acknowledgethatyourowntensenessmayleadtomiscommunicationand
distortion.Developanawarenessoftheimpactofreceivedangeronyourbody.
Clarifyanddiagnose.Giveandrequestspecificfeedback.Distinguishbetween
wantsandneeds.Checkexpectations.Discovertogetherwhoownswhatinthesituation.
Wheninterpersonalneedsandwantsareonthetable,theresolutionofangerbecomes
moreprobable.
Renegotiatetherelationship.Plantogetherhowsimilarsituationswillbedealtwith
inthefuture.Contractingtopracticenewbehaviormayhelptoeliminatethesourcesof
friction.Acknowledgeregretandexchangeapologiesifthatiswarranted.Agreeona
thirdpartymediatortohelpifthetwoofyouaregettingnowhere.
Angerdoesnotdisappearifwerefusetodealwithit;itcontinuestogrowwithinus.
Ifwedealwithangerdirectly,thediscomfortandunpleasantnessaremitigatedbythe
newlearningandselfstrengtheningthatoccur.Ifwedealwithitindirectly,weeasily
trapourselvesintopolarization,passivity,gunnysacking,namecalling,blaming,
gaming,andviewingourselvesandouradversariesasweakandfragile.Angerisnotthe
worstthingintheworld.Itisapowerfulsourceofenergy,which,ifcreativelyand
appropriatelyexpressed,leadstopersonalgrowthandimprovedinterpersonal
functioning.
REFERENCE
Huxley,L.(1963).Youarenotthetarget.NewYork:Farrar,Straus&Giroux.
323
CONTRACTING: A PROCESS AND A TOOL
Francis L. Ulschak
Wouldyoutellme,please,whichwayIoughttogofromhere?Thatdependsagooddealon
whereyouwanttogetto,saidtheCat.IdontmuchcarewheresolongasIgetsomewhere,
Aliceaddedasanexplanation.Oh,youresuretodothat,saidtheCat,ifyouonlywalklong
enough.
AlicesAdventuresinWonderland
Contractingmaybeusedbyafacilitator(therapist,consultant,leader,andsoon)to
accomplishcertaingoals:
1. Toclarifyanddefinetherelationshipbetweenthefacilitatorandtheclient(the
personororganizationseekingthefacilitatorsservices);and/or
2. Toclarifywithaclientwheretheclientispresently,whereheorshewouldlike
tobe(goalsandobjectives),andalternativeways(strategies)forgettingthere.
Inthefirstcase,contractingisusedasaprocesstoexploreanddefinethe
relationshipbetweenthefacilitatorandtheclient.Theclientswantsandneedsfor
servicesaredetailedalongwiththerangeofservicesthatthefacilitatoriswillingand
abletoprovide.Thisperiodisatimeofdeciding(1)whatthevariouspartiesinvolved
wantfromeachother,(2)whethertheyhavetheabilityandresourcestoprovidewhatis
wantedfromtherelationship,and(3)whethertheyarewillingtoenterintothe
relationship.
Inthesecondcase,contractingisaspecifictoolthatthefacilitatorcanusewitha
clienttoassisttheclientinevaluatingthepresentsituation(A),thedesiredposition(B),
andhowtogettothedesiredposition.HollowayandHolloways(1973)contracting
modeldepictstheclientspresentanddesiredpositionsandthedecisionthattheclient
needstomakeinordertomovefromonetotheother.Thedecisioncanbeseenasthe
choiceofastrategy(strategies)thatwillaccomplishthemovementfromAtoB.
Thefacilitatorcanunderstandcontractingbothasaprocessandasaframeworkthat
maybeused(1)toestablisharelationshipwiththeclientandtosetmutualgoalsand
objectivesand(2)asaspecifictechniquetoinvolvetheclientactivelyindetailingAand
BandthepossiblestrategiesformovingfromAtoB.Thislatteruseencouragesthe
clienttotakeactiveresponsibilityforhisorherpresentconditionandfuturestate.

SanDiego,CA:Pfeiffer&Company.TheauthorwishestogiveaspecialnoteofthankstoRolandWeissforhiscritiqueofanearlierdraftofhis
paper.

324
Contracting as a Process
Contractingcanbeseenasadynamicprocessalongatimeline,asopposedtoasingle
event.Thefacilitatorandclientbeginwithadirectionalcontract,partofwhichmay
includetheintenttorecyclethecontract:Insixweekswewillreviewthecontractand
updateit.Thompson(1974,p.31)referstoprocesscontractingandstatesthatthe
originalcontractcanbeanagreementtoworktogethertoprogressivelydefinethe
relationshipandtocommunicatedesiredchangestooneanotheraseachpartysees
moreclearlythedevelopmentofitsinterests.Partofcontractingasaprocessis
definingtherelationship;onevitalaspectofthisiskeepingtheotherpartiesinvolvedin
thecontractexplicitlyinformedofanychanges.
Contracting as a Tool
Contractingisalsoausefultoolthatcanbeusedatvariouslevels.Atonelevel,the
intrapersonal,anindividualexperiencinganinnerconflictmayusethemodelasanaid
indecidingonstrategiesthatwillresultinclarifyingandeliminatingtheconflict.
Asecondlevelofcontractinginvolvestwoormorepeople.Forexample,inagroup
setting,onepersonmayfeelthatshedominatesthediscussionandmaymakeacontract
withothermembersofthegroupthat(1)theywilltellherwhentheyexperienceheras
dominatingthediscussionandthat(2)shewillcheckwiththemwhensheexperiences
herselfasdominatingthediscussion.Athirdlevelofcontractingmaybebetweenthe
facilitatorandtheclient,group,ororganization.Inthiscase,contractingmayinvolve
specifyingissuessuchastimecommitments,financesinvolved,orgroupmaintenance
issues.
TWO APPROACHES TO CONTRACTING

Twogeneralapproachestocontractingcanbeusefulasguidelines.Thefirstapproach
concentratesonestablishingtherelationshipbetweentheclientandthefacilitator.The
secondapproachattendstodefiningtherelationshipbetweentheclientandtheproblem.
Inthisapproach,thefacilitatorassiststheclientinmovingfromAtoB.Althoughthere
isagreatdealofoverlapbetweenthesetwoapproaches,theyarepresentedseparately.
Dependingonthesetting,thefacilitatormayfindoneapproachortheothermoreuseful.
Negotiating the Relationship

Abasicstructure(Steiner,1971)forusingcontractingintherapycanbeusedfor
negotiatingroles,expectations,andmutualbenefitsinnontherapysettingsaswell.There
arefourrequirementsforthisnegotiation:(1)mutualconsent,(2)validconsideration,
(3)competency,and(4)lawfulobject.
Mutualconsentmeansthatbothpartieshaveanadequateunderstandingofthe
agreement.Whatbothwantandexpectfromtherelationshipshouldbeclearlydetailed.
Thefacilitatorneedstoprovidetheclientwithpossibletimeinvolvements,financial
325
costs,coursesofaction,methodsthatmaybeused,expectations,risksinvolved,andso
on.Theclientprovidesthefacilitatorwithinformationconcerningexpectations,the
natureoftheproblem,objectives,peopletobeinvolved,timecommitments,andsoon.
Itisimportantthatboththeclientandthefacilitatorgiveeachothersufficient
informationsothatbothwillbeabletomakeinformeddecisions.Thethreeingredients
ofvalidinformation,commitment,andfreechoice(Argyris,1973)arenecessary
considerations.
Validconsiderationinvolvesanexplicitstatementofthebenefitsthateachpartyto
thecontractwillconferontheother.Benefitsforthefacilitatormightincludemoney,
additionalexperience,enhancedreputation,orpublishablematerial.Fortheclient,they
mightmeannewinformation,thealleviationoftheproblem,ortraining.
Competencyconcernstheabilityofthepartiestoenterintotherelationship.Forthe
facilitator,thequestioniswhetherheorshehasthecompetenciesandthebackgroundto
dowhattheclientisrequesting.Fortheclient,competencymayrelatetohisorher
authoritytoenterintoanagreement.Doestheclienthavethepositionandthesanction
oftheorganizationtoenterintosuchanagreement?
Lawfulobjectrequiresverysimplythatwhatbothpartiesareagreeingtoislegal.
Withtheframeworkoftheserequirements,achecklistofquestionscanbeprovided
forthefacilitatorandtheclientinordertoexploretheirrelationship.
MutalConsent
Whatarethetimerequirements?
Whatarethefinancialcostsinvolved?
Arethereanyrisksthattheclient/facilitatorshouldbeawareof?
Whowillbeinvolved?
Whataretheexpectationsofthefacilitator?
Arethereanyethicalconcernsinvolved?
Whatmethodsmightthefacilitatoruse?
Ifthereisresearchinvolved,howwilltheinformationbeused?
ValidConsiderations
Whatwilltheclientpaythefacilitator?
Arethererewardsotherthanfinancialones?Ifso,what?
Whatrewardswillthefacilitatorprovidefortheclient?
Competency
Isthefacilitatorcompetenttodowhattheclientisasking?Whatkinds
ofbackupservicesareavailable?
Istheclientinapositiontoenterintothecontract?
Doesheorshehavetheauthoritytodoso?
LawfulObject
Istheagreementlegal?

326
Clarifying Goals and Strategies
Inthesecondapproach,contractingfocusesontheclientandtheproblem.This
approachasksfourquestions:(1)Whataretheclientswants?(2)Whatistheclient
willingtodotomeetthesewants?(3)Whataretheclientscriteriaforsuccess?(4)
Whatbenefitsdoestheclientgainoncompletingthecontract?
Determiningtheclientswantsinvolvesaclarificationofboththepresentsituation
andfuturegoalsandobjectives.Themorespecificandbehavioralthetermsofthe
descriptionsare,theeasieritistodeterminewhetherandtowhatextenttheyhavebeen
met.Sometimestheclientmayfeeltotallylackingingoalsorobjectives.Inthiscasethe
firstwantinthisfirststepmaybetodeterminegoals.
Tofindoutwhattheclientiswillingtodotomeethisorherwantsinvolves
strategiesandactionplans.TheremaybemanywaysofmovingfromAtoB,andpartof
thisstepisweighingthevariousalternatives.Again,itisimportantthattheanswerto
thisquestionbeexpressedinthemostspecific,behavioral,andmeasurableterms
possible.
Criteriaforsuccessareessentialinordertoevaluateresults;and,inorderto
determinewhetherthecriteriahavebeensatisfiedandtowhatextent,thecriteriamust
bespecific.
Thequestionofbenefitsislinkedtomotivation.Iftheclientcompletesthecontract
successfully,whatwillthatmeantohimorher?Willtheclientthinkdifferently?act
differently?feeldifferently?havemoreincome?Aretheseoutcomespleasing?
Thisapproach,focusingontheclientandtheproblem,canprovidethefacilitator
withaframeofreference.Althoughthequestionsarepresentedsequentially,theyare
interrelated;andinpracticethefacilitatormayexperienceagooddealofoverlap.Both
thefacilitatorandtheclientalsoneedtobeawarethatthecontractmayberecycledat
anytime.
ADVANTAGES TO CONTRACTING
Contractinghasadvantagesonmanylevels.First,withinthecontractingprocess,the
clientsintegrityandautonomyarerespected.Thefirstapproachemphasizeshow
importantitisforthefacilitatorandtheclienttolevelwitheachother.Bothneedto
revealhiddenagendas,andbothareheldresponsiblefortheiractions.
Second,andcloselyrelated,contractingmayclarifythehelpeehelpersyndrome,
arelationshipfilledwithpitfalls.Thecharismatichelpermayleavetheclientfloatingon
amagiccloudbutwithnounderstandingforselfhelpwhentheclouddisappears.The
helplessclientmayseducethefacilitatorintosolvingtheproblemandthendiscount
thesolutionwithYes,but...(Berne,1964).Contractingavoidssomeofthesepitfalls
byaskingthepartiestolevelwitheachotherandtostateexpectationsclearly.
327
Athirdadvantagetocontractingisthatitcanfunctiontodetectand/oreliminate
latentconflictatanearlystage.Theemphasisonclearunderstandinghelpshere,aswell
astherecyclingpointsbuiltintotheprocess.Contractingcanalsobeusedasaspecific
toolforcontrollingormanagingconflict.
PROBLEMS WITH CONTRACTING

Althoughtheadvantagesofcontractingareclear,problemsmayarise.Thesecanbe
categorizedasfollows:
ProblemsrelatingtoconditionA,thatis,thepresentcondition.Theclientmay
notknowwhatthedifficultyis.
ProblemsrelatingtoconditionB,thatis,goalsandobjectives.Theclientmay
haveaveryconfusedunderstandingofwhatthefuturewilllooklike.
ProblemsrelatingtothestrategiesinvolvedinmovingfromAtoB.Theclient
mayhaveaclearunderstandingofbothsituationsbutbeunawareofalternative
strategiesformovingfromonetotheother.
Problemsrelatingtooneormoreoftheseelements.
Problemscanbeidentifiedasstructuredorunstructured(Thompson,1972):
Structuredproblemshaveonlyoneunknown(forexample,thedesiredcondition[B]
maybeunknown,butthepresentcondition[A]andstrategiesareknown),while
unstructuredproblemshaveatleasttwounknowns(forexample,thepresentcondition
[A]isknown,andthedesiredcondition[B]andstrategiesareunknown).
Thefacilitatorandclientwhoarefacedwithoneormorecategoriesofproblems
haveoptions.WhenconditionAisunknown,acontractmightdetailaprocessfor
determiningA,forexample,theuseofaresearchinstrument.WhenconditionBis
unknown,acontractmaybeformulatedforgoalsettingorlongrangeplanning.When
strategiesareunclear,thecontractmaydealwithproblemsolving,forexample,theuse
offorcefieldanalysistoexaminealternativestrategies.Whentheproblemcombines
severalelements,acontractcanidentifyacriticalstartingpointandthenproceedwith
actionplans.
Problemsthatarisewithinthecontractingprocessmaybecomethefocusofthe
processitself;contractingcanthenbeusedasaproblemsolvingtoolforcontracting.It
isimportantthatthefacilitatorbesensitivetotheproblemsthattheclientexperiences
withthecontractingprocess.Whentheproblemsareidentified,contractingmaybeused
toresolveorcontrolthem.

328
CONCLUSION
TheCatsanswertoAliceprovidesanexcellentmodelforcontracting:Whichwayyou
godependsonwhereyouwanttogo.Contractingisatoolandaprocessthatcanhelp
peoplefindanswerstowheretheyare,wheretheywanttogo,andhowtogetthere.
REFERENCES
Argyris,C.(1973).Interventiontheoryandmethod.Reading,MA:AddisonWesley.
Berne,E.(1964).Gamespeopleplay.NewYork:GrovePress.
Holloway,W.,&Holloway,M.(1973).Thecontractsettingprocess.Medina,OH:MidwestInstituteforHuman
Understanding.
Steiner,C.(1971).Gamesalcoholicsplay.NewYork:GrovePress.
Thompson,C.W.N.(1972).Editedtranscriptongoaldefining.Unpublishedmanuscript.
Thompson,C.W.N.(1974,January).Implementation:Aquestionofhangingtogetherorhangingseparately.
DefenseDepartmentJournal,pp.3031.
329
ENCOURAGING OTHERS
TO CHANGE THEIR BEHAVIOR
Judy Corey Morton and D.M. Blair

Theideaofgettingotherpeopletodowhatyouwantthemtodoraisesuncomfortable
feelingsformanyindividuals.Yetmanypeople(healthprofessionals,teachers,
managers,parents,andcounselors)areexpectedtohavetheabilitytoencourageothers
tochangecertainaspectsoftheirbehavior.Thefollowingmodelsuggestsonewayto
helpindividualsmakedecisionsaboutwhether,when,andhowtohelpotherschange
theirbehavior.Althoughtherearenoguaranteedwaystochangeanothersbehavior,itis
possibletoincreasethelikelihoodthatotherswillchange.Thelikelihoodofchangeis
affectedbythestrategychosen.
ASSUMPTIONS
Thismodelisbasedonanumberofassumptions:
Peoplearecapableofchangingtheirbehavior(thatis,theycanloseweight,learn
toclimbmountains,andsoon).
Peoplecannotbemadetochange;theymusthaveapartindecidingiftheywill
changeand,ifso,how.
Peoplelikeandneedtomaketheirowndecisionsandsolvetheirownproblems,
andtheyhavearighttodoso.
Interveningisonewayofexpressingcareandrespectforothers.
Insomecasespeoplehavearighttoimposetheirwillonthosearoundthem.
Theinterpersonalrelationshipisatoolthatcanbeusedtoassistothersin
consideringbehavioralchange.
DEFINITIONS
Threebasictermsareessentialtounderstandingthemodel:
1.Intervention.Thisistheprocessbywhichapersonentersintoasituationforthe
purposeofassistinganother(others)toconsiderchanginghisorher(their)behavior.


330
2.Mustintervention.Amustinterventionisonethatpeoplefeeltheymust
performforoneorbothoftworeasons:(1)Someoneelseisdoingsomethingthat
concretelyandtangiblyaffectstheintervenor,and/or(2)itispartoftheintervenorsjob
toencourageotherstochangeaspectsoftheirbehavior.Forexample,ateachermayfeel
heorshemustinterveneinasituationinwhichastudentistalkingsoloudlythatothers
cannotheartheclassdiscussion.Insuchacase,thetalkingstudentsbehaviormaybe
affectingtheteachersabilitytohearwhatotherstudentsaresaying.Theteachermay
alsoconsideritpartofhisorherjobtoensurethatallstudentscanhearwhatisbeing
said.
Inamustintervention,theintervenormustbesatisfiedwithwhateveralternative
behaviorisdecidedon.Althoughasituationrequiresamustintervention,itcanbe
discussedatatimeconvenienttobothparties.
3.Canintervention.Acaninterventionisonethatpeoplefeeltheycan
performbecausethey(1)haveastrongenoughrelationshipwiththeotherpersonto
haveareasonablechanceofbeingheard,(2)haveinformationthatmaybehelpfultothe
otherperson,or(3)wanttohelptheotherperson.Forexample,anemployermaynotice
thatoneofheremployeesisstandingsoclosetoaclientthattheclientisuncomfortable.
Ifshehasastrongenoughrelationshipwiththeemployee,shemayfeelshecan
intervenebecauseshehasinformationthatmaybehelpfultotheotherpersonand
becauseshewouldliketohelptheperson.
Inacanintervention,itisuptotheotherpersontodecidehoworiftheinformation
willbeused.Itisnotnecessarythattheintervenorknoworapproveofthebehaviorthat
takesplaceaftertheinterventionoccurs.
Itisimportanttorememberthatthereisnosituationthatinherentlyrequireseither
typeofintervention.Ifthreepeopleobservethesamesituation,onemightdecidethatit
callsforamustintervention,anothermightfeelthatacaninterventionismost
appropriate,andthethirdmightfeelthatnointerventionisrequired.Itisimportantfor
eachintervenor,however,tounderstandwhichtypeofinterventionheorshefeelsthe
situationrequires.Thisdecisiondetermineswhichstrategywillbemoreeffectivein
makingtheintervention.Iftheintervenorbelievesthatamustinterventioniscalledfor,
heorsheshoulduseamuststrategy;acanstrategywouldbemuchlesseffective.
GUIDELINES FOR A MUST INTERVENTION

Theproposedstrategyforanintervenorinamustinterventionisasfollows:
1.Initiatethecommunication.Inamustsituation,thesituationaffectsyouenough
thatyoumustassumetheresponsibilityforchangingit.Althoughyoumustinitiatethe
communication,youcanencouragetheotherindividualtoshareindecidingwhenand
wheretheinterventionwilltakeplace.
2.Stateyourconcern.Whendoingso,itishelpfultobeasdescriptiveaspossible
andtoincludeastatementaboutyourfeelings.Ifthereisaquestionofwhetheritisyour
331
businesstointervene,youmightmakeabriefstatementaboutwhyitispartofyourjob
tobeconcernedorhowtheactionthatishappeningconcretelyaffectsyou.
Itisveryeasytodescribeyourconcerninadamagingway.Considerthefollowing
statements,noneofwhichspecificallydescribeswhatishappeningorwhyitis
bothersometothespeaker:Yourbrotherwouldneverdothat!Stopthatoryoullget
aspanking!Mommydoesntlikeitwhenyoubehavebadly!Imtellingyourfather
tonight!
3.Involvetheindividualinthesolution.Statementsorquestionsthatinvolvethe
otherpersoninthesolutionincreasethechancesthattheproposedsolutionwillbe
implementedandthatyou,theintervenor,maylearnanewsolutiontoaproblem.Itis
importanttoenterintothissolutionfindingstagewithoutknowinghowtheproblemwill
beresolved.
4.Ensurethatyouaresatisfiedwiththesolution.Whileitishopedthatyouwill
enterintothenegotiatingstagewithanopenmind,youmustensurethattheoutcomeof
thenegotiationissatisfactorytoyou,thepersonaffected.Ifyouknowtheminimalresult
youwanttohappen,itiseasiertoensureyoursatisfaction.
Beingsatisfiedwiththesolutionalsomeansthatyouarewillingtofollowthe
situationtoitslogicalconclusion(s)shouldtheotherpersonchoosenottodefinea
mutuallyacceptablesolution.Anexampleisthepatientwhodecidestoseekanother
medicalopinionbecauseheorsheisnotsatisfiedwiththephysiciansresponsetohisor
herconcern.Itisimportanttorememberthatallinterventionsdonotwork.Ifthe
situationistrulyamust,youmustbepreparedtocarryyourinterventiontoitslogical
consequencesandhavethepowertodoso.
5.Ifyoufeelresistance,shifttoactivelistening.Activelisteninginvolvesshowing
theindividualnotonlythatyouheardwhatwassaid,butalsothatyourecognizedthe
feelingassociatedwithwhatwassaid.Whenthepersonwithwhomyouaretalkingfeels
resistant,itisdifficultforhimorhertoconsideralternativesolutions.Activelistening
helpsthatpersontoexpressfurtherhowheorsheisfeeling.Oncetheotherpersonhas
expressedthesefeelingsandfeelsthatyouhaveheardhimorher,problemsolvingis
easier.Tocompletethemustintervention,however,youmustthenreturnthefocusto
findingasolutionwithwhichyoucanbesatisfied.
Other Helpful Hints

Becauseattemptingtochangebehaviorislikelytobestressfulforbothparties,itis
importantfortheintervenortobeasdescriptiveaspossibleandtoavoidlanguagethat
labelstheotherpersonsbehavior.Itisalsoimportanttoavoidcreatingasituationin
whichotherindividualsfeelthattheyhavetodefendtheirbehavior(thatis,Whydid
youdothat?).

332
Harmful Better
WhatdidItellyouyesterday? PleasefollowtheinstructionsIgave
youyesterday.
Thatwasabadthingtodo. Imupsetwithyouforbeingthirty
minuteslate.
GUIDELINES FOR A CAN INTERVENTION

Althoughacaninterventionisnotvitaltotheintervenorsneeds,itmayallowtheother
persontoincreasehisorheroptions.Theintervenor,inthiscase,choosestointervene
becauseheorshe:
Caresabouttheotherperson;
Feelsheorshehasinformationthatmaybehelpfultotheotherperson;and
Hasastrongenoughrelationshipwiththeotherpersontohaveareasonable
chanceofbeingheard.
Theproposedstrategyforacaninterventionisasfollows:
1.Ensurethatyouhavebuiltarelationshipwiththeotherpersonbeforeattempting
tointervene.Astrongrelationshipincreasesthelikelihoodthatwhateverinformation
youhavetosharewillbecarefullyconsidered.Oneofthebestwaystobuilda
relationshipwithothersistoutilizeyourlisteningskills.Showingotherpeoplethatyou
hearwhattheyaresayingandthefeelingsbehindwhattheyaresayingisanextremely
effectivewaytobuildarelationship.
2.Statethegeneralnatureofyourconcernandaskthepersonspermissionto
sharesomeinformation.Signalingthenatureofyourintentandallowingtheother
personsomecontroloverwhetherheorshewantstotalkaboutitaswellaswhereand
whentotalkaboutitincreasethechancesthattheotherpersonwillbereadyand
receptiveatthetimeoftheintervention.
3.Waituntiltheotherpersongivesyoupermissiontogoon.Itisimportantto
refrainfrominterveningunlessitisclearthatpermissionhasbeengranted.Sometimes
theotherpersonmaynonverballyshowreluctancetodiscusstheissue.Ifyousenseany
reluctance,assumethatpermissionhasnotbeengiven.
4.Shareyourpersonalconcern(s).Thiskindofinformationnotonlycanhelpthe
intervenorfeelmorecomfortable,but,moreimportantly,decreasesthelikelihoodthat
theotherpersonwillfeelthreatenedandthereforehelpshimorhertofocusonthe
contentofwhatisbeingsaid.
5.Bespecific.Themorespecificallythebehaviororcircumstanceisdescribed,the
morelikelyitisthattheotherpersoncandosomethingtochange.
333
6.Ifyouencounterresistance,shifttoactivelistening.Thisapproachallowsthe
otherpersontosaymoreabouthisorherconcern.Italsoletsthatpersonknowthatyou
aretryingtounderstandwhatheorsheissaying.Rememberthatifthesituationistruly
acan,youdonothavetomaketheinterventionatall.
7.Bebriefandstateyourconcernonlyonce.Thishelpsavoidtheappearanceof
nagging,anditalsoallowstheotherpersontoassumetheresponsibilityforaskingfor
moreinformationifitiswanted.
8.Allowtheotherpersontodecidehoworifheorshewantstoactonyour
intervention.Withacanintervention,itisnotnecessarytoknowhoworiftheother
persondecidestoactonyourinformation.Ifthepersonwantstodiscussitfurtherwith
you,heorshewilldoso.
Iftheintervenorencountersresistanceand/ornoticesnosignificantchangein
behavior,threethingsmightbeconsidered:
1. Theintervenorsassessmentofthestrengthoftherelationshipwasnotaccurate.
2. Theintervenorcouldhaveimprovedthemannerinwhichtheinformationwas
presented.
3. Theindividualconsideredtheinformationanddecidednottodoanythingabout
it.(Thisalsoincludesthepossibilitythatheorshemightberight.)
SUMMARY
Thekeytothismodelisfortheintervenortounderstandhowheorshefeelsabouta
givensituation.Thereisnosituationthatinherentlyrequiresamustoracan
intervention.Whetheramustoracanstrategyshouldbeusedisbasedonthe
intervenorssetofvaluesand/orworksituation.Thewrongstrategycouldputthe
intervenorinaworsepositionthanheorshewasinoriginally.Forexample,assume
someoneissteppingonMarystoe.IfMaryasksthatpersonforpermissiontospeak,
andhesaysNo,whatdoesMarydo?
Theactofinterveningimpliespersonalrisk.Possiblenegativeconsequencesthat
couldoccurasaresultofineffectiveinterventionsincludenobehavioralchangeonthe
partoftheotherpersonand/oraworseningoftherelationshipbetweenthetwo
individuals.However,ifdoneappropriately,interveningcanresultinbehavioralchange
andadeepeningoftherelationshipbetweentheintervenorandtheotherperson.
Thetwostrategiessuggestedherearewaysofincreasingthelikelihoodthatother
peoplewillconsiderchangingtheirbehavior.Ultimately,peoplewilldecidefor
themselveshowandiftheywillchange.Thus,thesestrategieswillnotguarantee
behavioralchange;theycanonlyincreasethechancesthatitwilloccur.

334
CONSTRUCTIVE NEGOTIATION
Willem F.G. Mastenbroek
TWO DIMENSIONS OF NEGOTIATING BEHAVIOR

Thebehaviorofanegotiatorcanbecharacterizedbytwodimensionsofkeyimportance.
Thefirstdimensionishowthenegotiatorbalancesthetensionbetweencooperationand
fighting.Thenegotiatorsstyleinthisrespectwillbedeterminedbythedegreeto
whichheorshe,inattitudeandbehavior,demonstratesmutualdependenceand
solidarityratherthanaggressiveanddominatingbehavior.Thevitalsignificanceofthis
behavioralpolarityhasbeendescribedelsewhere(Mastenbroek,1980).Thetwo
behavioralpolesaresummarizedschematicallyinFigure1.
Use Word 6.0c or l ater to
view Maci ntosh pi cture.
Figure 1. Negotiating as the Balancing of Cooperation and Fighting
Theseconddimensionishowexplorativethenegotiatoris.Somenegotiatorssearch
persistentlyforsolutionsthatarerelativelysatisfyingtobothparties.Thiscanbedone
withoutatendencytomakeconcessions.Forthispurpose,peopleneedcertain
procedures,andtheymustbeabletousetheseproceduresinaflexibleway.Examples
areexchangingextensiveinformation,tryingoutexperimentalsolutions,thinkingaloud,
andquestioninginformally.Theintegrativepotentialofthesituationthenwillbefully
utilized.Exploringmeanssearchingforcommoninterestsandpresuppositions,
determiningwhethersmallconcessionsmightbepossible(whichmightmeanagreat
dealtotheoppositeparty),andaskingwhetheracombinationofmutualadvantages

OriginallypublishedinThe 1986 Annual: Developing Human ResourcesbyJ.WilliamPfeifferandLeonardD.Goodstein
(Eds.),SanDiego,CA:Pfeiffer&Company.
335
couldbecreatedinapackagedeal.Thebasicideainthistypeofnegotiatingis
interdependence.
Interdependence
Interdependenceimpliescommoninterests.Thetwopolesofthisbehaviorareindicated
inFigure2.
Use Word 6.0c or l ater to
view Maci ntosh pi cture.
Figure 2. Procedural Flexibility: Active Versus Passive
Practitionersaswellasresearchers(Pruitt&Lewis,1977)stresstheimportanceof
anactive,strategicattitudeforskillfulnegotiating.Tounderstandtheactiveversus
passivedimension,onemustrealizethatonecanbepassiveinanapparentlyactive
manner.Onecanrepeatthesameargumentsindifferentwords,sticktoonesoriginal
premiseevenwhennewinformationispresented,defendoneparticularsolutioninall
situations,ormaketheissueaquestionofprinciple.Thisbehaviorcanbeeffectiveas
longasonerealizesthatoneisentrenchingoneselfand(temporarily)nolongerlooking
forintegrativepossibilities.Thisentrenchmentcanbeveryactivebutis,infact,an
avoidanceofthesearchforacompromise.
Thesedimensionshavebeenseenasfundamentalinnumerousotherstudieson
interpersonalbehavior.Schutz(1966)differentiatesbetweenthreebasicinterpersonal
orientations:inclusion,orbehaviorthatvariesfromveryintensiveinvolvement
(active)tocompletedistance(passive);control(fighting);andaffection
(cooperation).Horney(1945)distinguishesbetweenmovingaway(passive),moving
against(fighting),andmovingtoward(cooperation).ZaleznikandKetsdeVries
(1975)usethesedimensionsintheirworkonmanagerialpower.Thedimensionsalso
canbefoundinwellknownbehavioralscienceinstrumentssuchastheManagerial
GridofBlakeandMouton(1969),whichchartsmanagerialbehavior,andinthe
ThomasKilmannConflictModeInstrumentofThomasandKilmann(1974),which
clarifiesconflictmanagementstyles.

336
Therearefouraspectsofthecooperativefightingdimension(Mastenbroek,1980).
Eachischaracterizedinadifferentwaybythetensionbetweencooperatingandfighting.
Eachpresentsitsowndilemma.Thesedilemmasdifferfromoneanotherinthateach
involvesspecialactivitiesproceedingfromadifferentintention.Table1summarizesthe
fourtypesofactivitiesandtheirrelateddilemmas.
Table 1. The Four Aspects of the Cooperation-Fighting Dimension
Thefouraspectsofthecooperationfightingdimension,togetherwiththeactive
passivedimension,compriseamodelofnegotiation.Themodelcanbeusedtodescribe
thebehaviorofnegotiators.Itisalsoprescriptivebecauseitcanspecifywhat
constructivenegotiationis.
337
A MODEL OF NEGOTIATION
Figure3summarizestheprimaryelementsofthenegotiationmodel.Thismodelenables
negotiatorstobetterunderstandandtoreactmoreeffectivelytoactivitiesatthe
negotiatingtable,includingtheirownbehavior.
Figure 3. Primary Elements of the Negotiation Model
A PROFILE OF CONSTRUCTIVE NEGOTIATION

1. Beflexiblebutfirm.Thisisagoldenruleofexperiencednegotiators:Link
tenacityofpurposetoproceduralflexibility.
Schematically:

338
2. Firmlydefendingyourowninterestscanbepairedwithrespectfortheotherside
andapositiveclimate.
Schematically:
3. Firmlydefendingyourowninterestsdoesnotmeanengaginginapower
struggle.Scoringpoints,pushing,usingthreateningbehavior,presentingendless
arguments,manipulating,andothersuchbehaviorshavelittletodowith
negotiating.
Schematically:
U se Word 6.0c or later to
4. Assessthebehavioroftheopposingsideinproperproportion.Bynot
distinguishingthespecificintentionsofcertainbehaviors,oneoftenallowsthe
situationtoescalate.Ifoneisabletoplacecertainactionsinaproper
perspective,effectivenegotiationbecomeseasier.Onethenisabletofocuson
therealinterestsofthepartiesinvolvedandisnothamperedbyadeteriorating
atmosphereoranendlesspowergame.Severalexamplesofthisprinciplecanbe
offered.
339
Exploratorymovesoftenarepreliminaryorinformal.Anegotiatorshouldnot
misusethembyattemptingtousethemagainsthisorheropponent.
Exploratorybehaviorisneitherweaknorsoft;itprovidessomeopportunities
butnottheopportunitytobecomedominating.
Itisunwisetobecomeirritatedbyonewhonegotiatesfirmly,althoughitmay
beusualtopreferanotherstyle.AmoresophisticatedresponseisIfIwerein
thatposition,Imightnotdoitbetter.Therelationshipmustbeseparated
fromthecontent!
Negotiationalwaysinvolvessometrialofstrengthandsometestingofmutual
dependence.Ifchallenged,oneiswisetoshowresistance;thechanceofa
materialcompromiseoraconstructiveatmospherewillnotnecessarilybe
endangered.Ifonedoesnothing,onemayencourageexploitativebehavior.
Sometimesanattempttogainpowerisdisguised.Apatheticapproach(for
example,Wewouldntdaretakethatsolutiontoourpeople!)isone
example.Anotheristobehaveasifonesproposalisamatterofcourse
basedasitisonthereportoftopexperts.
5. Keepimpasseswithinthecontentarea.Ifbothpartiesarefirminstrivingfor
resultsthatarefavorabletothem,impassesandcrisesareunavoidable.
Reproaches,ranting,injuredbehavior,andsoonmayreleasesomepersonal
tensionandirritation,butwillhaveanescalatingeffect.Itisimportanttoprevent
resultorientedbehaviorfromcontaminatingotheraspectsofthenegotiation.
Waysofcontaininganimpassewithinthecontentareaincludethese:
Adjourning;
Askingforasummaryofthedifferentpointsofview;
Makingorsuggestingasmallconcession;
Exploringthepossiblealternativesandconsequencesofallowingtheimpasse
tocontinue;
Alteringthecompositionofthedelegation;
Changingthelocation;
Offeringarevisedproposal;
Postponingthedifficultpartofthenegotiations;
Callinginathirdparty;
Conductinganinformalstudyconsultationorbrainstormingsessionon
possiblesolutions;
Selectingasmallpartofthepackageandtryingtoreachagreementonit;
Systematicallyplacingthepossiblesolutionsnexttooneanother;and
Soundingoutakeyfigureintheotherdelegationduringabreak.

340
Themostimportanttacticistoviewimpassesasnormalandlegitimatemeansof
testingtheargumentsandtheproposalsoftheopposingparties.Thisprovidesastimulus
forexploringotherpossibilities;itconfrontsbothpartieswiththeconsequenceofa
permanentdeadlock.Inthisway,animpassebecomesaconstructiveeventthatcompels
bothsidestolookforalternatives.
6. Negotiatewithyourownside.Onesrelationshipwiththepeoplewhomone
representsisalsoanegotiatingrelationship.Thiscanbekeptopenbythe
followingmeans:
Workingtopreventastrictmandatethat,ineffect,allowsnoroomfor
negotiation;
Moderatingdemandsbyprovidinginformationaboutwhatisattainable;
Keepingpeoplewithunrealisticexpectationsoutsidetheactualnegotiations
(forexample,bykeepingthenegotiatingteamsmallorbyassigningtheteam
memberstosubcommittees);and
Usingonespersonalpowertosellthesettlements.
7. Beawareofyourownbehaviors.Itisalwaysagoodideatoassessonesown
styleandtodevelopthoseareasorcapabilitiesinwhichoneisnotstrong.Score
yourselfonthedimensionsofnegotiatingbehavior.Inwhatrangesdoyou
usuallyoperate?Whatdoyoutendtodounderpressure?Howdoyouthinkyour
opponentswouldscoreyou?
8. Rememberthatnegotiationalwaysinvolvesdilemmas.Allnegotiatorswonder
whethertheyhavebeentoostubbornortoolenient,tooopenortooclosed,too
friendlyortooirritable,andsoforth.Mostnegotiatorslearntolivewiththese
feelings.Manyofthemliketheirrolebecausetheyhavefoundwaystostay
relaxedandincontactwiththeirownfeelingsandsimultaneouslyalertand
competitive.
REFERENCES
Blake,R.,&Mouton,J.(1969).BuildingadynamiccorporationthroughGridorganizationaldevelopment.
Reading,MA:AddisonWesley.
Horney,K.(1945).Ourinnerconflicts:Aconstructivetheoryofneurosis.NewYork:W.W.Norton.
Mastenbroek,W.F.G.(1980).Negotiating:Aconceptualmodel.Group&OrganizationStudies,5(3),324340.
Pruitt,D.G.,&Lewis,S.A.(1977).Thepsychologyofintegrativebargaining.InD.Druckman(Ed.),
Negotiations:Socialpsychologicalperspectives.London:Sage.
Schutz,W.C.(1966).Theinterpersonalunderworld(Originaltitle:FIRO:Athreedimensionaltheoryof
interpersonalbehavior).PaloAlto,CA:Science&BehaviorBooks.
Thomas,K.W.,&Kilmann,R.H.(1974).ThomasKilmannConflictModeInstrument.Tuxedo,NY:XICOM.
Zaleznik,A.,&KetsdeVries,M.F.R.(1975).Powerandthecorporatemind.Boston:HoughtonMifflin.
341

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INTERPERSONAL FEEDBACK:

PROBLEMS AND RECONCEPTUALIZATION

FEEDBACK AS PART OF A CHANGE PROCESS

POSITIVE AND NEGATIVE FEEDBACK

FEEDBACK AND VALUES

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

2. Focus on Actions, Not Attitudes

3. Determine the Appropriate Time and Place

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

4. Refrain from Inappropriately Including Other Issues

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

Receiving Feedback: You Cant Tell Me How I Am

Feedback Supports Growth

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

Supportive Feedback Strategy

Corrective Feedback Strategy

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

BARRIERS TO CREATING SUPPORTIVE COMMUNICATION

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

FACILITATING SUPPORTIVE COMMUNICATION

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The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

MAJOR OBSTACLES TO MENTORING

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Feature Potential Obstacles

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The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

Target Major Objectives

People in 1. To legitimize and clarify predictable personal and professional

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

1. Define learning objectives for specific target population.

Figure 1. Principles of Laboratory Education

Interventi Alternative Methods Major Advantages Major Disadvantages

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

Table 3 (continued). Structural Interventions That Encourage Mentoring

Interventi Alternative Methods Major Advantages Major Disadvantages

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Interventi Alternative Methods Major Advantages Major Disadvantages

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Problems of Formal Mentoring Programs

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

DETERMINING A STRATEGY FOR INTERVENTION

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

Diagnosis and Action Planning

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The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

Figure 1. Factors Affecting Behavior Modeling

The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer

OPPORTUNITIES FOR IMPROVING BEHAVIOR MODELING

Figure 2. Factors Enhancing Behavior Modeling

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The Pfeiffer Library Volume 6, 2nd Edition. Copyright 1998 Jossey-Bass/Pfeiffer