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The manager's role as coach and mentor
By serving as mentors, managers can help employees expand their capabilities and improve their performance, but first a manager must create the proper climate and develop the specific skills needed for effective coaching.
The Managerk Role as
Coach and Mentor Charles D. Orth Harry E. Wilkinson Robert C. Benfari
cCJli
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any effective managers at all levels recognize the need to develop the employees they supervise. By helping staff members expand their capabilities and improve their performance, managers can gain more time to improve their own capabilities and performance. Further, by building a reputation for developing employees, managers can enhance their chances for promotion. Even more important, they can create a lasting source of power through mutually beneficial relationships with the employees they have helped. Managers who are most effective at developing employees have incorporated the skill of coaching into their management style. These managers display behavior and skills that are very similar to the behavior and skills of an athletics coach. Although coaching is an important aspect of every effective manager’s job, it is especially important when a manager is a mentor. Employees who have been fortunate enough to have had a mentor, particularly early in their careers, usually find their careers enhanced by the experience and
frequently incorporate coaching into their own management styles. In The Change Masters (Simon and Schuster, 1984), Rosabeth Kanter argued that all companies that want to achieve excellence should encourage managers to become mentors to their employees. In Power and Influence (The Free Press, 1985), John Kotter agreed that mentors, sponsors, coaches, and role models can be especially important in helping young people during their early careers. He stated, “Virtually all of the successful and effective executives I have known have had two or more of these kinds of relationships early in their careers. Some have had upwards of a dozen people they were able to rely on for different needs-some provided important contacts, others gave key information in specific areas, and still others taught them certain valued skills.” If many managers in an organization would adopt a coaching style, thereby creating an organizational culture that reflected their coaching relationships, the prob-
able result would be stronger management teams at all levels, enhanced management performance, and a less stressful environment for all employees. Many of the personnel problems that occur in an overly competitive organizational climate might be prevented. Teamwork and mutual support among employees would be nurtured, while power struggles and infighting would be reduced. Competition would be directed outward instead of within the organization. Despite these potential benefits, coaching remains a neglected management function in many organizations. As Kotter noted, “Although almost all large corporations, and many small ones too, acknowledge the importance of mentoring, coaching, sponsoring, and role modeling for the development of their next generation of leaders, few seem to do a very good job in this regard.” Why is coaching so often neglected? From the manager’s perspective, at least three factors inhibit greater practice of coaching as a management style: (1) Many organizational climates are not conducive to coaching, and managers are not rewarded for developing employees. As a result, managers have few incentives or role models in this area. (2) Lacking role models, managers do not recognize the benefits, to themselves and to their employees, of a management style that emphasizes coaching. (3) Time, training, changes in attitudes, and sometimes frustrating practice are needed to develop coaching skills and to incorporate these skills into a person’s management style.
THE ROLE OF COACHING
To be effective as a mentor, a manager must be very skilled at acquiring and using power, building and using relationships, and teaching and coaching others. Coaching, however, should not be confused with career counseling (which usually is the responsibility of hu-
man resources professionals) or performance appraisal (a periodic, usually annual, evaluation of performance). Although coaching is related to both of those activities, it differs in that it is a day-by-day, “hands-on” process of helping employees recognize opportunities to improve their performance and capabilities. As such, it resembles on-the-job training, but it requires managers to have skills beyond those of a trainer, including the ability to analyze ways to improve employees’ performance and capabilities, plan mutually acceptable action, create a supportive/helping climate, and influence employees to change their behavior. A manager’s job really encompasses three distinct roles: manager, evaluator, and coach. The role of manager includes responsibility for developing and communicating performance goals and expectations. The role of evaluator includes responsibility for conducting periodic performance appraisals - evaluations of performance against the goals that have been developed and communicated. The role of coach includes responsibility for helping employees improve their capabilities and performance on a day-to-day basis as well as over the long term. Performance improvement can be viewed as a positive modification of behavior. Changing behavior, however, can be difficult since it is the product of a person’s life experiences, self-image, and perception of the expectations that others have of him or her. People tend to use their past successes as proof that they are doing things the right way. When they achieve less than complete success, they tend to blame other factors such as the environment, the marketplace, their boss or other organizational units, or the lack of needed resources to get the job done. To increase motivation, expand capabilities, and develop new and better ways of accomplishing desired results, then, employees must first recognize that these efforts are desirable. (Of course, a mentor should not discount all “ex-
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cuses”; some of them may be valid, in which case management action is needed to remove blocks to performance.) Generally, people are disposed to expand their capabilities and improve their performance (that is, change their behavior) when they know that these actions are expected and when they perceive that change will be nonthreatening and in their own selfinterest. The development of an explicit set of expectations between supervisor and employee or between organization and employee is therefore a vital step in the coaching process. When properly developed, mutually understood expectations lead to specific performance goals, enabling the mentor to observe actual performance and provide helpful feedback when performance does not meet the goals. In most instances, expectations should be renegotiated as often as necessary, usually several times a year. Either the mentor or the employee can initiate the process when either perceives that circumstances or the environment has changed or that old expectations are no longer as useful as they might be.
CREATING THE PROPER CLIMATE
ties that would help the employee achieve career goals as well as the objectives of the organization. If an employee’s career goals are not in line with the organization’s objectives, the matter should be discussed as part of the coaching interaction. For the coaching process to be effective, the mentor must create a climate that contributes to a free and open exchange of ideas and that is perceived by both mentor and employee to be a growth environment. Some characteristics of this kind of environment are described below: Since coaching is intended to help an employee, a mentor should never use words or actions that imply a threat. Expressions such as “If you want to succeed in this job you had better . . .‘I or “If you know what’s good for you, you will . . .” are to be avoided. People generally respond to implied or overt threats with denial, flight, anger, or aggression. These reactions will have a negative effect on the coaching process. Coaching requires a positive relationship between employee and mentor; the employee must respect the mentor’s integrity and capability as a leader and the mentor must respect the employee’s integrity and capacity to do the job. A mentor develops trust by demonstrating an honest interest in an employee and fostering open and candid two-way communication. The mentor listens, tries to understand, is supportive of the employee’s efforts, and respects the employee’s individuality. A coaching session should be free of interruptions or distractions. The location should ensure privacy and be conducive to a frank exchange of views. For example, a coaching session should not be conducted at lunch, on a plane, or in a hallway. An employee’s office or workplace, if privacy can be ensured, may be an appropriate and nonthreatening location. Timing can greatly influence whether coaching sessions will be effective. For example, before a coaching session is l
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Climate, orientation, and behavior are considerably different when mentors function as an evaluator and when they function as a coach. They therefore must carefully differentiate between these two roles when interacting with employees. As an evaluator, mentors express judgments about performance against previously agreed-upon goals and objectives. As a coach, mentors must express concern for helping employees develop to their fullest potential. To play the latter role effectively, mentors must temporarily suspend judgment, listen empathetically, probe for concerns related to an employee’s self-assessment, and be ready to offer specific suggestions regarding training and self-development opportuni-
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held, sufficient time must be allowed to permit an employee to learn new skills or acquire added capabilities. Timing is especially important after an event in which intense emotional feelings are involved, such as after a critical presentation to upper management. An employee may not be ready to accept feedback or coaching right away. On the other hand, the coaching session should not be delayed to the point that it is difficult to recall details of the event. During a coaching session, an employee must clearly recognize that his or her mentor is functioning as a coach, not as an evaluator. As a coach, the mentor should be seen as supportive rather than judgmental, as one who provides helpful feedback rather than criticism. l
Charles D. Orth is a senior associate with University Affiliates, Inc. He has done consulting, research, clinical interviewing, and cuse development and has designed and led numerous management development seminars in the organizational behavior area. He has managed major research and career development projects funded by the Department of Labor and the Department of Health and Human Services and has participated as a facilitator in several major organizational change efforts. Orth has authored or coauthored numerous books, including Managers and Scientists (with Ralph M. Hower, Division of Research, Harvard Business School, 1963), Organizational Behavior and Administration (with Paul R. Lawrence and others, Irwin Doney Press, 1961), Administering Research and Development (with Frank Wolek and Joseph C. Bailey, Irwin Doney Press, 1964). and Social Structure and Learning Climate (Division of Research, Harvard Business School, 1963). He also has written or supervised the writing of numerous articles and cases on organizational behavior and has written extensively about as well as designed and taught seminars dealing with the career problems of -women. Prior to joining /JAI, Orth was an assistant professor and later an assistant dean at the Harvard Business School. He is a member of the American Penonnel and Guidance Association and the American Society for Training Directors and has been listed in Who’s Who in the East. He was, for many years, an associate of the NTL Institute of Applied Behavioral Science. Orth received his M.B.A. degree with distinction from the Harvard Graduate School of Business Administration.
FOUR CRITICAL SKILLS Most managers are not “born” coaches. Just as an athletics coach needs to learn how to coach through experience, observation, and training, so does a manager. Some of the skills needed are implicit in the establishment of the proper climate for coaching (which was discussed above). In addition, managers need to develop four critical skills that are related to the coaching session itself and to the manager’s preparation for it. Observational
Skills
A mentor must be able to monitor an employee’s performance against established goals and expectations. Long before having to evaluate performance during a formal appraisal session, the mentor should spot opportunities for the employee to expand capabilities and improve performance and should take prompt action to help the employee do so. Mentors must therefore observe their employees’ behavior and performance on a dayto-day basis. Some data can be accumulated by
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direct observation (for example, the manner in which a meeting was conducted or a presentation made or an employee’s relationships with other employees). Other data can be acquired indirectly from the mentor’s network of relationships with other employees. Still other data can be obtained by studying an employee’s reports (such as special or routine assignments, memos, and letters) or through control devices (such as expenses incurred versus those budgeted). Harry E. Wilkinson is president and chairman of the board of University Affiliates. Inc. In addition to the activities associated with the administration of the firm, he participates in and manages various consulting projects in such fields as organization, problem solving, group dynamics, engineering management, career development, power and authority, communications, human behavior in organizations, and the research, development, and presentation of tailored executive programs. He has had experience in the use of computers for management education and has taught techniques of operations research and computer applications to top managers. He has also had experience in programs designed for executives and their wives. Before establishing UAI in 1967, Wilkinson was dean of the College of Business Administration at Northeastern University. Under his direction, the Management Institute was formed at the University to bridge the gap between academia and business. Prior to that time, he was a senior consultant and project director with a major consulting organization. He also worked for the General Dynamics Corporation as a market analyst and for the Bell Telephone System as an engineer, taught finance at Washington University in St. Louis, and served as an officer in the U.S. Navy during the Korean Conflict. Wilkinson received an A.B. degree in physics from Princeton University, an M.B.A. degree from Washington University in St. Louis, and a D.B.A. degree from the Harvard Graduate School of Business Administration. He is registered as a psychologist in the Commonwealth of Massachusetts and is listed in Who’s Who in America.
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Analytical
Skills
Mentors must have two types of analytical skills: They must be able to identify opportunities for employees to expand their capabilities and improve performance, and they must be able to determine when coaching is the action needed to help employees improve performance and/or expand their capabilities. The process of deciding when coaching is or is not needed essentially entails analysis of the factors influencing an employee’s performance (behavior). This step-by-step analytical process is outlined in Exhibit 1. Identifying opportunities for employees to improve performance (behavior) requires a somewhat different analytical process based partly on the data mentors have gathered from their own and others’ observations of an employee’s behavior and partly on interviews with the employee. Some of the questions that need to be answered are: How was the work performed? What was done well? What could have been improved? What other strategies or approaches might have been used? What specific improvements would make it easier for the employee to perform at an optimal level? Interviewing
Skills
A mentor must be able to ask employees the right questions the right way and listen ac-
Exhibit l* THE ANALYTICAL PROCESSOF COACHING
Analytical
Questions
Action
Does employee know performance can be improved?
NO ,-)
Does employee know what is expected of him or her?
No
Are there obstacles beyond the employee’s control?
Does employee to improve?
know how
Let employee
t
Steps know.
Reinforce applicable performance standards.
Remove obstacles standards.
Yes -
No
t
or revise
Train employee and/or provide practice or demonstration.
Do negative consequences follow good performance?
Yes -h
Change
the consequences
Do positive consequences follow poor performance?
Yes -+
Change
the consequences.
NO
Consider reassignment, transfer, or other required action.
___)
Could employee make the improvements if he or she wanted to? Yes
+
Redirect employee’s through coaching.
behavior
* Adapted from Coaching for Improued Work Performance by Ferdinand F. Fournies, Van Nostrand Reinhold, 1978.
tively. Essentially, there are three types of questions that can be used by the skillful interviewer: the open-ended question, the closed question, and the reflective question. Each is used for a specific purpose to accomplish a desired result. Open-ended questions are used to
encourage the respondent to rethink the problem, think of things that he or she has not considered previously, achieve insight or understanding, or draw his or her own conelusions. For example, when discussing a problem involving an opportunity for an employee to improve performance, a mentor
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should not respond to the employee’s proposed solution by saying, “It won’t work; we’ve tried it before. Try this approach.” Instead, any of the following open-ended questions, among others, might be asked: What other approaches have you considered? What are the advantages and disadvantages of your approach? What have others done when faced with a similar problem? Closed questions are used to guide a discussion into a specific area or to get specific information when a discussion is producing too many generalities. For example, a mentor might ask an employee: Who in the section has been responding to your requests for information? How much additional time do you think you need to get the job done in a superior manner? Have you had a chance to talk with other people about their concerns? Reflective questions are a restatement in question form of something a person has said. They are used to prevent misunderstanding and to communicate concern about and/or interest in what the person has said. For example, if an employee says, “The system just isn’t working, ” the mentor might ask, “You mean it isn’t running at all?” If an employee says, “I can’t get Ann to do anything
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I ask,” the mentor might ask, “She refuses to follow your directions?” Or if an employee says, “There isn’t enough in the budget to handle current training requirements,” the mentor might ask, “You think we didn’t forecast very well?” Real listening, active listening, is a skill that most managers need to learn. People tend to be too concerned about what they want to communicate next instead of listening for sometimes buried ideas, feelings, or beliefs that the other person is trying to communicate. To signal to employees that they are really listening, mentors can use nonverbal behavior such as obvious attentiveness, smiles, nods, or eye contact and/or verbal behavior such as making accepting statements, paraphrasing what the employee has said, and asking probing questions to elicit more information or opinions. Feedback
Skills
If a mentor’s feedback to an employee causes defensiveness, withdrawal, anger, and/or intimidation, the feedback has not been given effectively and is not likely to produce desired changes in behavior. Employees
“Real listening, active listening, is a skill that most managersneed to learn. People tend to be too concernedabout what they want to cowlmunicatenext instead of listening for sometinzesburied ideas, feelings, or beliefs that the other person is trying to couununicate.”
should perceive feedback as being helpful to them in their efforts to expand their capabilities and/or improve their performance. Some guidelines for delivering feedback to employees are discussed below: Be specific, not general. For example, telling an employee that he or she is’abrasive” is not helpful. Instead, a mentor should provide details, such as “Jack was visibly angry with you for cutting him down at the team meeting yesterday. What can you do to repair your relationship with him?” Be descriptive, not evaluative. For example, telling an employee that he or she “handled that situation very badly” is not helpful. A better approach would be to say, ‘When you made your presentation yesterday, if you had focused more attention on your audience you might have sensed their impatience and kept your explanations shorter.” Take both your own and your employee’s needs into account. Feedback can be destructive when it is self-serving and fails to be sensitive to the needs of the person receiving the feedback. For instance, a mentor needs to be careful not to give feedback when angry or tense. The temptation to relieve one’s anger or tension by assailing the employee may be hard to resist. Be sure that feedback is directed toward behavior that can be changed. A mentor will only generate frustration by identifying a shortcoming over which an employee has no control. The following scenario provides an example of skillful coaching: Mentor: You seem to be falling behind on your inspection schedule. Employee: I’ve been asked to do a lot of other things. Mentor: There are always other things to do, but until recently you managed to keep up with your inspections. Employee: In the last month, your boss has given me two special assignments that I thought you knew about.
Robert C. Benfari is principle consultant for professional programs at University Affiliates, Inc. He has done consulting, research, cuse development, and instruction in mnnugement development seminars, primarily in professional and/or technical organizations. Benfuri also is u senior lecturer in the Huruurd Graduate School of Public Health and the Harvard Graduate School of Arts and Sciences. He has directed many behavioral science research grunts sponsored by various agencies of the Department of Health, Education, and Welfare. He has undertaken advanced study and research of social and industrial systems and behavior change in both small groups and large organizations. As un organizational behavior consultant to industry, he has conducted extensive management development selection programs, sensitivity sessions, personnel selection programs, and assessment studies. Earlier activities included research and teuching experience with the Office of Naval Research and the Albert Einstein College of Medicine. He was director of the Harvard Center of the Multiple Risk Factor Intervention Trials (MRFIT), u major national research program to study the impact of psychological, nutritional, and smoking interventions on the incidence of cardiovascular disease in thousands of mule subjects. Benfuri has over 75 scientific publications in the fields of psychology and behavioral science. He received an A.B. degree in social science from Colby College, an M.B.A. degree from the Wharton School of the Univenity of Pennsylvania, un M.S. degree in industrial hygiene from Harvard University, and a Ph.D. degree in psychology from Albert Einstein College of Medicine.
Mentor: I didn’t know. I guess I have a problem. What were the assignments? Employee: (Gives details.) Menfor: I’m glad we’ve identified the real problem here. One thing, hereafter if my boss gives you assignments, don’t assume that I know about it. Come and tell me. In the example above, the mentor did not assume that the employee was slacking off. Instead, he attempted to discover an explanation for a problem that he had observed. He quickly learned that the problem was not the employee’s but his own -a problem involving his relationship with his boss. At the same time, he was able to take the first step toward solving the problem by asking the employee to report any special assignments given to him. Be sure the feedback
is well timed.
Feedback should be given as soon as possible after an action (or lack of action) unless a cooling-off period is indicated. When emotions are strong, an employee may not listen to or make effective use of feedback. Make sure that you and the employee
have clearly
understood
each other.
There are too many filters in the normal communication process to guarantee mutual understanding of what is said.
A WAY OF MANAGING
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Coaching is a management technique that is based on knowledge about how and under what conditions employees improve and grow and on specific skills that managers need to practice, develop, and incorporate into their management style. These skills are not those of a psychologist, psychiatrist, or analyst; they are management skills. Once learned, coaching becomes an integral part of any manager’s way of managing. Coaching is not a way of solving one-time problems. It is a way of helping em-
ployees, over time, improve (change) their performance (behavior and results) to outstanding levels or at least to the highest level of which they are capable. As such, the development and practice of coaching knowledge and skills can and should result in improved performance for all who are exposed to it.
CD SELECTED BIBLIOGRAPHY
Power and influence skills are a critical part of the set of tools a mentor needs to use as well as instill or develop in those he or she is trying to help. John Kotter’s book Power and Influence (The Free Press, 1985) is an excellent source of information on the general approach to the acquisition and use of power in organizations. He also discusses network building and the role a mentor can play in helping young employees develop these skills. His earlier articles, such as “Managing Your Boss” (Harvard Business Review, January-February 1980) and “Power, Dependence and Effective Management” (Harvard Business Review, July-August 1977), are useful as well. Rosabeth Kanter’s book The Change Masterr (Simon and Schuster, 1984) also discusses the important role of mentors in organizations that want to achieve excellence. For a more specific discussion of power and influence skills, see our article “The Effective Uses of Power” (Business Horizons, May-June 1986) and our monograph Influencing People in Organizations (University Affiliates, Inc., 1986). In Beyond Freedom and Dignity (Bantam Books, 1971), B. F. Skinner, among others, discusses the importance of positive reinforcement as a way of influencing behavior.
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DYNAMICS,
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The Managerk Role as
Coach and Mentor Charles D. Orth Harry E. Wilkinson Robert C. Benfari
cCJli
66
any effective managers at all levels recognize the need to develop the employees they supervise. By helping staff members expand their capabilities and improve their performance, managers can gain more time to improve their own capabilities and performance. Further, by building a reputation for developing employees, managers can enhance their chances for promotion. Even more important, they can create a lasting source of power through mutually beneficial relationships with the employees they have helped. Managers who are most effective at developing employees have incorporated the skill of coaching into their management style. These managers display behavior and skills that are very similar to the behavior and skills of an athletics coach. Although coaching is an important aspect of every effective manager’s job, it is especially important when a manager is a mentor. Employees who have been fortunate enough to have had a mentor, particularly early in their careers, usually find their careers enhanced by the experience and
frequently incorporate coaching into their own management styles. In The Change Masters (Simon and Schuster, 1984), Rosabeth Kanter argued that all companies that want to achieve excellence should encourage managers to become mentors to their employees. In Power and Influence (The Free Press, 1985), John Kotter agreed that mentors, sponsors, coaches, and role models can be especially important in helping young people during their early careers. He stated, “Virtually all of the successful and effective executives I have known have had two or more of these kinds of relationships early in their careers. Some have had upwards of a dozen people they were able to rely on for different needs-some provided important contacts, others gave key information in specific areas, and still others taught them certain valued skills.” If many managers in an organization would adopt a coaching style, thereby creating an organizational culture that reflected their coaching relationships, the prob-
able result would be stronger management teams at all levels, enhanced management performance, and a less stressful environment for all employees. Many of the personnel problems that occur in an overly competitive organizational climate might be prevented. Teamwork and mutual support among employees would be nurtured, while power struggles and infighting would be reduced. Competition would be directed outward instead of within the organization. Despite these potential benefits, coaching remains a neglected management function in many organizations. As Kotter noted, “Although almost all large corporations, and many small ones too, acknowledge the importance of mentoring, coaching, sponsoring, and role modeling for the development of their next generation of leaders, few seem to do a very good job in this regard.” Why is coaching so often neglected? From the manager’s perspective, at least three factors inhibit greater practice of coaching as a management style: (1) Many organizational climates are not conducive to coaching, and managers are not rewarded for developing employees. As a result, managers have few incentives or role models in this area. (2) Lacking role models, managers do not recognize the benefits, to themselves and to their employees, of a management style that emphasizes coaching. (3) Time, training, changes in attitudes, and sometimes frustrating practice are needed to develop coaching skills and to incorporate these skills into a person’s management style.
THE ROLE OF COACHING
To be effective as a mentor, a manager must be very skilled at acquiring and using power, building and using relationships, and teaching and coaching others. Coaching, however, should not be confused with career counseling (which usually is the responsibility of hu-
man resources professionals) or performance appraisal (a periodic, usually annual, evaluation of performance). Although coaching is related to both of those activities, it differs in that it is a day-by-day, “hands-on” process of helping employees recognize opportunities to improve their performance and capabilities. As such, it resembles on-the-job training, but it requires managers to have skills beyond those of a trainer, including the ability to analyze ways to improve employees’ performance and capabilities, plan mutually acceptable action, create a supportive/helping climate, and influence employees to change their behavior. A manager’s job really encompasses three distinct roles: manager, evaluator, and coach. The role of manager includes responsibility for developing and communicating performance goals and expectations. The role of evaluator includes responsibility for conducting periodic performance appraisals - evaluations of performance against the goals that have been developed and communicated. The role of coach includes responsibility for helping employees improve their capabilities and performance on a day-to-day basis as well as over the long term. Performance improvement can be viewed as a positive modification of behavior. Changing behavior, however, can be difficult since it is the product of a person’s life experiences, self-image, and perception of the expectations that others have of him or her. People tend to use their past successes as proof that they are doing things the right way. When they achieve less than complete success, they tend to blame other factors such as the environment, the marketplace, their boss or other organizational units, or the lack of needed resources to get the job done. To increase motivation, expand capabilities, and develop new and better ways of accomplishing desired results, then, employees must first recognize that these efforts are desirable. (Of course, a mentor should not discount all “ex-
67
cuses”; some of them may be valid, in which case management action is needed to remove blocks to performance.) Generally, people are disposed to expand their capabilities and improve their performance (that is, change their behavior) when they know that these actions are expected and when they perceive that change will be nonthreatening and in their own selfinterest. The development of an explicit set of expectations between supervisor and employee or between organization and employee is therefore a vital step in the coaching process. When properly developed, mutually understood expectations lead to specific performance goals, enabling the mentor to observe actual performance and provide helpful feedback when performance does not meet the goals. In most instances, expectations should be renegotiated as often as necessary, usually several times a year. Either the mentor or the employee can initiate the process when either perceives that circumstances or the environment has changed or that old expectations are no longer as useful as they might be.
CREATING THE PROPER CLIMATE
ties that would help the employee achieve career goals as well as the objectives of the organization. If an employee’s career goals are not in line with the organization’s objectives, the matter should be discussed as part of the coaching interaction. For the coaching process to be effective, the mentor must create a climate that contributes to a free and open exchange of ideas and that is perceived by both mentor and employee to be a growth environment. Some characteristics of this kind of environment are described below: Since coaching is intended to help an employee, a mentor should never use words or actions that imply a threat. Expressions such as “If you want to succeed in this job you had better . . .‘I or “If you know what’s good for you, you will . . .” are to be avoided. People generally respond to implied or overt threats with denial, flight, anger, or aggression. These reactions will have a negative effect on the coaching process. Coaching requires a positive relationship between employee and mentor; the employee must respect the mentor’s integrity and capability as a leader and the mentor must respect the employee’s integrity and capacity to do the job. A mentor develops trust by demonstrating an honest interest in an employee and fostering open and candid two-way communication. The mentor listens, tries to understand, is supportive of the employee’s efforts, and respects the employee’s individuality. A coaching session should be free of interruptions or distractions. The location should ensure privacy and be conducive to a frank exchange of views. For example, a coaching session should not be conducted at lunch, on a plane, or in a hallway. An employee’s office or workplace, if privacy can be ensured, may be an appropriate and nonthreatening location. Timing can greatly influence whether coaching sessions will be effective. For example, before a coaching session is l
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Climate, orientation, and behavior are considerably different when mentors function as an evaluator and when they function as a coach. They therefore must carefully differentiate between these two roles when interacting with employees. As an evaluator, mentors express judgments about performance against previously agreed-upon goals and objectives. As a coach, mentors must express concern for helping employees develop to their fullest potential. To play the latter role effectively, mentors must temporarily suspend judgment, listen empathetically, probe for concerns related to an employee’s self-assessment, and be ready to offer specific suggestions regarding training and self-development opportuni-
l
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held, sufficient time must be allowed to permit an employee to learn new skills or acquire added capabilities. Timing is especially important after an event in which intense emotional feelings are involved, such as after a critical presentation to upper management. An employee may not be ready to accept feedback or coaching right away. On the other hand, the coaching session should not be delayed to the point that it is difficult to recall details of the event. During a coaching session, an employee must clearly recognize that his or her mentor is functioning as a coach, not as an evaluator. As a coach, the mentor should be seen as supportive rather than judgmental, as one who provides helpful feedback rather than criticism. l
Charles D. Orth is a senior associate with University Affiliates, Inc. He has done consulting, research, clinical interviewing, and cuse development and has designed and led numerous management development seminars in the organizational behavior area. He has managed major research and career development projects funded by the Department of Labor and the Department of Health and Human Services and has participated as a facilitator in several major organizational change efforts. Orth has authored or coauthored numerous books, including Managers and Scientists (with Ralph M. Hower, Division of Research, Harvard Business School, 1963), Organizational Behavior and Administration (with Paul R. Lawrence and others, Irwin Doney Press, 1961), Administering Research and Development (with Frank Wolek and Joseph C. Bailey, Irwin Doney Press, 1964). and Social Structure and Learning Climate (Division of Research, Harvard Business School, 1963). He also has written or supervised the writing of numerous articles and cases on organizational behavior and has written extensively about as well as designed and taught seminars dealing with the career problems of -women. Prior to joining /JAI, Orth was an assistant professor and later an assistant dean at the Harvard Business School. He is a member of the American Penonnel and Guidance Association and the American Society for Training Directors and has been listed in Who’s Who in the East. He was, for many years, an associate of the NTL Institute of Applied Behavioral Science. Orth received his M.B.A. degree with distinction from the Harvard Graduate School of Business Administration.
FOUR CRITICAL SKILLS Most managers are not “born” coaches. Just as an athletics coach needs to learn how to coach through experience, observation, and training, so does a manager. Some of the skills needed are implicit in the establishment of the proper climate for coaching (which was discussed above). In addition, managers need to develop four critical skills that are related to the coaching session itself and to the manager’s preparation for it. Observational
Skills
A mentor must be able to monitor an employee’s performance against established goals and expectations. Long before having to evaluate performance during a formal appraisal session, the mentor should spot opportunities for the employee to expand capabilities and improve performance and should take prompt action to help the employee do so. Mentors must therefore observe their employees’ behavior and performance on a dayto-day basis. Some data can be accumulated by
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direct observation (for example, the manner in which a meeting was conducted or a presentation made or an employee’s relationships with other employees). Other data can be acquired indirectly from the mentor’s network of relationships with other employees. Still other data can be obtained by studying an employee’s reports (such as special or routine assignments, memos, and letters) or through control devices (such as expenses incurred versus those budgeted). Harry E. Wilkinson is president and chairman of the board of University Affiliates. Inc. In addition to the activities associated with the administration of the firm, he participates in and manages various consulting projects in such fields as organization, problem solving, group dynamics, engineering management, career development, power and authority, communications, human behavior in organizations, and the research, development, and presentation of tailored executive programs. He has had experience in the use of computers for management education and has taught techniques of operations research and computer applications to top managers. He has also had experience in programs designed for executives and their wives. Before establishing UAI in 1967, Wilkinson was dean of the College of Business Administration at Northeastern University. Under his direction, the Management Institute was formed at the University to bridge the gap between academia and business. Prior to that time, he was a senior consultant and project director with a major consulting organization. He also worked for the General Dynamics Corporation as a market analyst and for the Bell Telephone System as an engineer, taught finance at Washington University in St. Louis, and served as an officer in the U.S. Navy during the Korean Conflict. Wilkinson received an A.B. degree in physics from Princeton University, an M.B.A. degree from Washington University in St. Louis, and a D.B.A. degree from the Harvard Graduate School of Business Administration. He is registered as a psychologist in the Commonwealth of Massachusetts and is listed in Who’s Who in America.
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Analytical
Skills
Mentors must have two types of analytical skills: They must be able to identify opportunities for employees to expand their capabilities and improve performance, and they must be able to determine when coaching is the action needed to help employees improve performance and/or expand their capabilities. The process of deciding when coaching is or is not needed essentially entails analysis of the factors influencing an employee’s performance (behavior). This step-by-step analytical process is outlined in Exhibit 1. Identifying opportunities for employees to improve performance (behavior) requires a somewhat different analytical process based partly on the data mentors have gathered from their own and others’ observations of an employee’s behavior and partly on interviews with the employee. Some of the questions that need to be answered are: How was the work performed? What was done well? What could have been improved? What other strategies or approaches might have been used? What specific improvements would make it easier for the employee to perform at an optimal level? Interviewing
Skills
A mentor must be able to ask employees the right questions the right way and listen ac-
Exhibit l* THE ANALYTICAL PROCESSOF COACHING
Analytical
Questions
Action
Does employee know performance can be improved?
NO ,-)
Does employee know what is expected of him or her?
No
Are there obstacles beyond the employee’s control?
Does employee to improve?
know how
Let employee
t
Steps know.
Reinforce applicable performance standards.
Remove obstacles standards.
Yes -
No
t
or revise
Train employee and/or provide practice or demonstration.
Do negative consequences follow good performance?
Yes -h
Change
the consequences
Do positive consequences follow poor performance?
Yes -+
Change
the consequences.
NO
Consider reassignment, transfer, or other required action.
___)
Could employee make the improvements if he or she wanted to? Yes
+
Redirect employee’s through coaching.
behavior
* Adapted from Coaching for Improued Work Performance by Ferdinand F. Fournies, Van Nostrand Reinhold, 1978.
tively. Essentially, there are three types of questions that can be used by the skillful interviewer: the open-ended question, the closed question, and the reflective question. Each is used for a specific purpose to accomplish a desired result. Open-ended questions are used to
encourage the respondent to rethink the problem, think of things that he or she has not considered previously, achieve insight or understanding, or draw his or her own conelusions. For example, when discussing a problem involving an opportunity for an employee to improve performance, a mentor
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should not respond to the employee’s proposed solution by saying, “It won’t work; we’ve tried it before. Try this approach.” Instead, any of the following open-ended questions, among others, might be asked: What other approaches have you considered? What are the advantages and disadvantages of your approach? What have others done when faced with a similar problem? Closed questions are used to guide a discussion into a specific area or to get specific information when a discussion is producing too many generalities. For example, a mentor might ask an employee: Who in the section has been responding to your requests for information? How much additional time do you think you need to get the job done in a superior manner? Have you had a chance to talk with other people about their concerns? Reflective questions are a restatement in question form of something a person has said. They are used to prevent misunderstanding and to communicate concern about and/or interest in what the person has said. For example, if an employee says, “The system just isn’t working, ” the mentor might ask, “You mean it isn’t running at all?” If an employee says, “I can’t get Ann to do anything
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I ask,” the mentor might ask, “She refuses to follow your directions?” Or if an employee says, “There isn’t enough in the budget to handle current training requirements,” the mentor might ask, “You think we didn’t forecast very well?” Real listening, active listening, is a skill that most managers need to learn. People tend to be too concerned about what they want to communicate next instead of listening for sometimes buried ideas, feelings, or beliefs that the other person is trying to communicate. To signal to employees that they are really listening, mentors can use nonverbal behavior such as obvious attentiveness, smiles, nods, or eye contact and/or verbal behavior such as making accepting statements, paraphrasing what the employee has said, and asking probing questions to elicit more information or opinions. Feedback
Skills
If a mentor’s feedback to an employee causes defensiveness, withdrawal, anger, and/or intimidation, the feedback has not been given effectively and is not likely to produce desired changes in behavior. Employees
“Real listening, active listening, is a skill that most managersneed to learn. People tend to be too concernedabout what they want to cowlmunicatenext instead of listening for sometinzesburied ideas, feelings, or beliefs that the other person is trying to couununicate.”
should perceive feedback as being helpful to them in their efforts to expand their capabilities and/or improve their performance. Some guidelines for delivering feedback to employees are discussed below: Be specific, not general. For example, telling an employee that he or she is’abrasive” is not helpful. Instead, a mentor should provide details, such as “Jack was visibly angry with you for cutting him down at the team meeting yesterday. What can you do to repair your relationship with him?” Be descriptive, not evaluative. For example, telling an employee that he or she “handled that situation very badly” is not helpful. A better approach would be to say, ‘When you made your presentation yesterday, if you had focused more attention on your audience you might have sensed their impatience and kept your explanations shorter.” Take both your own and your employee’s needs into account. Feedback can be destructive when it is self-serving and fails to be sensitive to the needs of the person receiving the feedback. For instance, a mentor needs to be careful not to give feedback when angry or tense. The temptation to relieve one’s anger or tension by assailing the employee may be hard to resist. Be sure that feedback is directed toward behavior that can be changed. A mentor will only generate frustration by identifying a shortcoming over which an employee has no control. The following scenario provides an example of skillful coaching: Mentor: You seem to be falling behind on your inspection schedule. Employee: I’ve been asked to do a lot of other things. Mentor: There are always other things to do, but until recently you managed to keep up with your inspections. Employee: In the last month, your boss has given me two special assignments that I thought you knew about.
Robert C. Benfari is principle consultant for professional programs at University Affiliates, Inc. He has done consulting, research, cuse development, and instruction in mnnugement development seminars, primarily in professional and/or technical organizations. Benfuri also is u senior lecturer in the Huruurd Graduate School of Public Health and the Harvard Graduate School of Arts and Sciences. He has directed many behavioral science research grunts sponsored by various agencies of the Department of Health, Education, and Welfare. He has undertaken advanced study and research of social and industrial systems and behavior change in both small groups and large organizations. As un organizational behavior consultant to industry, he has conducted extensive management development selection programs, sensitivity sessions, personnel selection programs, and assessment studies. Earlier activities included research and teuching experience with the Office of Naval Research and the Albert Einstein College of Medicine. He was director of the Harvard Center of the Multiple Risk Factor Intervention Trials (MRFIT), u major national research program to study the impact of psychological, nutritional, and smoking interventions on the incidence of cardiovascular disease in thousands of mule subjects. Benfuri has over 75 scientific publications in the fields of psychology and behavioral science. He received an A.B. degree in social science from Colby College, an M.B.A. degree from the Wharton School of the Univenity of Pennsylvania, un M.S. degree in industrial hygiene from Harvard University, and a Ph.D. degree in psychology from Albert Einstein College of Medicine.
Mentor: I didn’t know. I guess I have a problem. What were the assignments? Employee: (Gives details.) Menfor: I’m glad we’ve identified the real problem here. One thing, hereafter if my boss gives you assignments, don’t assume that I know about it. Come and tell me. In the example above, the mentor did not assume that the employee was slacking off. Instead, he attempted to discover an explanation for a problem that he had observed. He quickly learned that the problem was not the employee’s but his own -a problem involving his relationship with his boss. At the same time, he was able to take the first step toward solving the problem by asking the employee to report any special assignments given to him. Be sure the feedback
is well timed.
Feedback should be given as soon as possible after an action (or lack of action) unless a cooling-off period is indicated. When emotions are strong, an employee may not listen to or make effective use of feedback. Make sure that you and the employee
have clearly
understood
each other.
There are too many filters in the normal communication process to guarantee mutual understanding of what is said.
A WAY OF MANAGING
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Coaching is a management technique that is based on knowledge about how and under what conditions employees improve and grow and on specific skills that managers need to practice, develop, and incorporate into their management style. These skills are not those of a psychologist, psychiatrist, or analyst; they are management skills. Once learned, coaching becomes an integral part of any manager’s way of managing. Coaching is not a way of solving one-time problems. It is a way of helping em-
ployees, over time, improve (change) their performance (behavior and results) to outstanding levels or at least to the highest level of which they are capable. As such, the development and practice of coaching knowledge and skills can and should result in improved performance for all who are exposed to it.
CD SELECTED BIBLIOGRAPHY
Power and influence skills are a critical part of the set of tools a mentor needs to use as well as instill or develop in those he or she is trying to help. John Kotter’s book Power and Influence (The Free Press, 1985) is an excellent source of information on the general approach to the acquisition and use of power in organizations. He also discusses network building and the role a mentor can play in helping young employees develop these skills. His earlier articles, such as “Managing Your Boss” (Harvard Business Review, January-February 1980) and “Power, Dependence and Effective Management” (Harvard Business Review, July-August 1977), are useful as well. Rosabeth Kanter’s book The Change Masterr (Simon and Schuster, 1984) also discusses the important role of mentors in organizations that want to achieve excellence. For a more specific discussion of power and influence skills, see our article “The Effective Uses of Power” (Business Horizons, May-June 1986) and our monograph Influencing People in Organizations (University Affiliates, Inc., 1986). In Beyond Freedom and Dignity (Bantam Books, 1971), B. F. Skinner, among others, discusses the importance of positive reinforcement as a way of influencing behavior.
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