High-Performance

Coaching for Managers

“In a world that has become increasingly complex, organizations are look-
ing to their managers to set higher standards of performance for their
employees. William Rothwell and Behnam Bakhshandeh do a stellar job
of explaining how to do this through performance coaching by describing
what it is and how it can be used to achieve results. This book provides
practical and research-based guidance on coaching employees regarding
what they should do, how they should behave, and how best to measure
success. This will be a great resource to any organization attempting to
increase overall productivity and performance on the job”.
Marsha G. King, PhD
Director, Leadership Coaching Certification Program
Center for Leadership and Organization Effectiveness
School of Management, University at Buffalo

“In today’s world, there has been an unprecedented influx and demand for
coaching, where self-proclaimed professional and personal coaches can be
found in every other corner.  Even without an official title most managers
and leaders, need to play the role of coach to fully unleash their people’s
performance and potential.  Whatever your role may be, many coaches lack
a structured approach and practical tools to deliver effective coaching. High-
Performance Coaching for Managers gives managers and coaches alike a
unique practical step by step paradigm to unleashing high performance from
their employees and is a must read for anyone looking to take their coaching
to new heights.”   
Rani Salman
Managing Partner at Caliber Consulting

“I am excited for this book to be published and to be shared with the

full spectrum of managers, clients, and talent development professionals.
Rothwell and Bakhshandeh focus on a very specific use of performance
coaching, and I believe the profession will benefit and come to understand a
facet of coaching in a much more concrete way”.
Ethan S. Sanders
President and CEO
Sundial Learning Systems, Inc.

“If you think of someone you’ve worked with or for that you consider to be
a great leader, they were also likely a great coach. Great leaders are great
coaches. High-Performance Coaching for Managers provides a comprehen-
sive and practical approach to building a culture of coaching in order to
unleash the full potential of today’s workforce.”
Steve King
VP, Chief Learning & Talent Officer
Rich Products Corporation

As a person who operates in the various states of coaching outlined in this

book, I found each chapter insightful and intuitive. The text will serve as
an excellent fundamental foundation for new and experienced coaches.
Rothwell and Bakhshandeh have provided a roadmap for those walking
on the coaching path!
Jamie Campbell
Assistant Dean, Diversity Enhancement Programs
Smeal College of Business
CEO Action for Racial Equity Fellow
 High-Performance
Coaching for Managers
A Step-by-Step Approach to Increase
Employees’ Performance and Productivity
William J. Rothwell
647 Berkshire Drive
State College, PA 16803
Phone: 814–441–4087
Email: [email protected]
or [email protected]

Behnam Bakhshandeh
195 Crystal Park Blvd.
Greenfield Township, PA 18407
Phone: 760–518–9804
Emails: [email protected]
or [email protected]

With a Foreword by
Ethan Sanders
President and CEO
Sundial Learning Systems, Inc.

ROUTLEDGE/ A PRODUC TIVIT Y PRESS BOOK

First published 2023
by Routledge
605 Third Avenue, New York, NY 10158
and by Routledge
4 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN
Routledge is an imprint of the Taylor & Francis Group, an informa business
© 2023 William J. Rothwell & Behnam Bakhshandeh
The right of William J. Rothwell & Behnam Bakhshandeh to be identified as authors of this work has been
asserted by them in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988.
All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by
any electronic, mechanical, or other means, now known or hereafter invented, including photocopying
and recording, or in any information storage or retrieval system, without permission in writing from the
publishers.
Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used
only for identification and explanation without intent to infringe.
ISBN: 978-0-367-74060-3 (hbk)
ISBN: 978-0-367-74058-0 (pbk)
ISBN: 978-1-003-15592-8 (ebk)
DOI: 10.4324/9781003155928
Typeset in Garamond
by Apex CoVantage, LLC
William J. Rothwell dedicates this book to his wife Marcelina,
his daughter Candice, his son Froilan, his grandsons Aden
and Gabriel, and his granddaughters Freya and Lina.

Behnam Bakhshandeh dedicates this book to his three

children: his daughters Poneh (Renee) and Shima and his
son Behzad, and his two beautiful grandchildren: grandson
Gabriel (Behrouz) and granddaughter Darya.
Contents

Foreword .......................................................................................... ix
Preface............................................................................................ xiii
Acknowledgments ......................................................................... xvii
About the Authors .......................................................................... xix
Advance Organizer ....................................................................... xxiii

BUILDING A STRONG FOUNDATION FOR HIGH-

PERFORMANCE COACHING JOURNEY
1 The General Concept of Coaching ...............................................3
2 Performance Coaching...............................................................31
3 Mindset, Attitude, Behavior, and Performance .........................75

PHASE ONE—BUILDING RELATIONSHIP

AND RECOGNIZING THE SITUATION
4 Step 1: How to Establish Relatedness and
Building Rapport? ...................................................................109
5 Step 2: What Is the Issue at Hand? .......................................... 145
6 Step 3: What Should Be Happening? .......................................189

PHASE TWO—ANALYZING THE GAP

7 Step 4: What Is the Measurable Gap? ......................................239
8 Step 5: How Important Are the Gaps? .....................................291
9 Step 6: What Are the Root Causes of the Gap?........................325

vii
viii  Contents

PHASE THREE—ANALYZING THE SOLUTION

10 Step 7: How Many Ways Can the Gap Be Closed? ....................349
11 Step 8: What Is the Most Effective Way to Close the Gap? ......367
12 Step 9: What Are the Consequences of Closing the Gap? ........383

PHASE FOUR—IMPLEMENTATION AND EVALUATION

13 Step 10: What Are the Damages of Inaction? ..........................401
14 Step 11: How to Implement the Solution?................................ 415
15 Step 12: How to Evaluate the Successful Implementation? .....427

SUPPORT, MAINTENANCE, SELF-EVALUATION,

AND SELF-RATING
16 How Effective Are You? ...........................................................443

Appendix A: Sources for Education and Implementations.............489

Index .............................................................................................. 519
Foreword

I have spent a large portion of my career trying to convince clients that they
should keep three important concepts in mind: (1) Training is not a pana-
cea to all performance issues; (2) Classroom training is a small part of the
learning universe; and (3) If you put a good performer in a bad system, the
system wins every time (credit to Dr. Geary Rummler for this most appro-
priate of sayings). While I cannot trace these concepts to any particular
event in my career, I know that they crystalized in my mind when I had
the extraordinary opportunity to work on two ASTD Competency studies
with Bill Rothwell (ASTD Models for Human Performance Improvement in
1996 and ASTD Models for Workplace Learning and Performance in 1999).
Bill and I were literally trying to redefine the profession which was rapidly
changing and growing more complex by the moment. Without question, it
was my years working at ASTD and conversing with Bill that launched me
into a meandering journey to better understand how organizational systems
work, how leaders effect these systems, what the role of a consultant truly
is, and how do we affect change in organizations that are often entrenched
in counterproductive practices.
I have often wondered about the true success rate of performance con-
sultants. I have dreamt about a study that calculated the batting average of
all performance consulting projects in the past 50 years. The closest I got
to this answer was when I was fortunate enough to work for the US Navy’s
Human Performance center, where we attempted Performance Consulting
on a historic scale. While I witnessed a great number of successes, I also
saw countless interventions that were well conceived, well designed, and
utterly ignored when it came to implementation. For most of my career, I’ve
believed that success in consulting is primarily predicated on the skill and
the influence of the consultant themselves. However, in recent years, I have
begun to see that a lot of what dictates success is the temperament of the

ix
x  Foreword

client, the willingness of the stakeholders to change, and the availability of

data to answer fundamental questions about the goal and the root causes.
When I was asked to review this book, I assumed it would be a fresh
view of what makes coaches successful. As I reviewed the manuscript, I
was immediately struck by the discussion of “performance consultant versus
performance coach.” In my mind, coaching has always been one of those
“other learning interventions” beyond formal training, but it wasn’t necessar-
ily related to the practice of performance consulting. What I didn’t expect
was this idea that directive coaching is a specific technique that managers
(and consultants) can use to help their employees improve performance and
learn from the manager’s expertise. I should disclose that part of my mind-
set about coaching is influenced by the fact that I am married to a psycho-
therapist. Prior to this book I believed that like a great therapist, coaches
should not provide answers or insights; instead, they should lead people to
their own conclusions and discoveries. Essentially that should act as a mirror
by helping people reflect on their own mindsets and belief, until they reach
new insights. The more I delved into this book, the more brilliant I realized
it was. Perhaps, one of the reasons we struggle at times as performance con-
sultants is because we aren’t doing enough to help the client learn and grow.
The mere fact that performance consultant call their counterparts “clients”
and not “coachees” might indicate that we see our job as serving their needs
and interests, rather than helping them become smarter.
I’ve always been a huge proponent of Action Learning, and I believe
strongly that teams only get better when they get smarter. It is the reflective
nature of Action Learning (through the Socratic method) that helps the team
get smarter and ultimately to gain better insights and make better decisions.
Rothwell and Bakhshandeh have taken a similar idea and applied it in a
revolutionary way. As they point out in the opening chapters of this book,
it is the idea of one-on-one work between a coach and a coachee that truly
holds the promise of improving performance. Layered onto this idea is the
notion that the supervisor can act in this directive coaching capacity. On the
very day that I read Chapters 1 and 2 of this book, I was working on a man-
ager’s course for one of my clients, and we were discussing how realistic it is
to suggest that every manager could be a coach to their subordinates. Years
ago I had read some very interesting research that indicated that coaching
was highly dependent on “chemistry” between the coach and the coachee.
In fact, it was suggested that most people would need to try out multiple
coaches before they found one that they truly connected with (again, similar
to the advice we give people when seeking out a therapist). If this is true,
 Foreword  xi

then it is not realistic to think most managers will be the right fit to be an

employee’s coach, and in fact, a manager’s positional authority (in particular
that they have the right to judge the employee on their performance) might
actually preclude them from acting in a coaching capacity.
By introducing the notion of “directive coaching” versus “non-directive
coaching,” I believe that the authors have cracked the code on how coaching
can be appropriate in a variety of circumstances. When I think of my own
relationships with my team and how much of my effort is involved in coach-
ing versus “managing,” it all seems to make sense. For most of my employ-
ees, I am (and I hope they are) quite comfortable acting in this directive
coaching mode. I do have thirty years of experience in the field, I’ve seen
our profession from a variety of vantage points, and I enjoy seeing people
benefit from my experience. However, I also have a few employees who I
feel responsible for helping them figure out their career goals and aspira-
tions. One in particular began as my graduate student and then worked
for me in several organizations. In this relationship, we are comfortable in
both the directive and nondirective modes; with me offering my experience
around specific tasks and outcomes, and at times helping them reflect on
their career and their future. Of course, I would offer this same opportunity
to any employee who asked for my help, but it seems to have just grown
organically in this circumstance.
I am excited for this book to be published and to be shared with the full
spectrum of managers, clients, and talent development professionals. By
focusing on a very specific use of performance coaching, I believe the pro-
fession will benefit and come to understand a facet of coaching in a much
more concrete way. I hope that many talent development professionals will
weave these concepts into their courses and other learning experiences.
I feel fortunate to have known Bill Rothwell for so many years and I have
enjoyed getting to know Behnam as we collaborated on this foreword.

Ethan Sanders
President and CEO
Sundial Learning Systems, Inc
Preface

Coaching has grown to be highly popular. Many people find themselves

needing a helping hand or find themselves thrust in the role of offering
advice to others. That is especially true of managers who, while conduct-
ing performance reviews, may find a need to provide specific feedback and
advice about what to do to improve job performance to those employees
reporting to them.

The Purpose of the Book

This book offers a step-by-step, systematic approach to high-performance
coaching. While many approaches to coaching could help to facilitate per-
formance improvement, the authors of this book favor a planned approach
to coaching that is geared to helping others identify what they need to do to
improve their job performance.
An effective high-performance coaching effort meets the needs of the
organization and its people. It relies on a positive view of people and a
strong effort to encourage participation and inclusion in all aspects of the
coaching experience.

The Target Audience for the Book

This book provides a comprehensive, step-by-step approach to implement a
high-performance coaching effort for human resource practitioners, consul-
tants, managers, and others who are interested in managing and improving
human performance.
This book is thus written for anyone who seeks to improve human per-
formance for themselves or others.

xiii
xiv  Preface

The Organization of the Book

This book is organized in a step-by-step approach. It is meant to track
what a high-performance coach or a manager-as-coach must do to facilitate
coaching.
Examined in more detail, the book consists of a Preface to summa-
rize the book, an Acknowledgments to thank contributors, an Advance
Organizer to help readers assess chapters they may wish to focus, and a
summary of the Authors’ Biosketches.
The book is organized in six major parts. The first part sets the context
and is entitled “Building a Strong Foundation for High-Performance
Coaching Journey.” It consists of three chapters. Chapter 1 describes the
general concept of coaching; Chapter 2 defines and describes performance
coaching; and Chapter 3 describes the mindset, attitude, behavior, and per-
formance of a performance coach.
The second part is called “Phase One—Building Relationship and
Recognizing the Situation.” It is composed of three chapters. Chapter 4
describes the first step in performance coaching: How to establish related-
ness and building rapport? Chapter 5 describes the second step: What is the
issue at hand? Chapter 6 reviews the third step: What should be happening?
The third part is called “Phase Two—Analyzing the Gap.” In the three
chapters of this part, Chapter 7 (step 4 of performance coaching) poses
this question: What is the measurable gap? Chapter 8 poses this question:
How important is the gap? Chapter 9 poses this question: What are the root
causes of the gap?
The fourth part, called “Phase Three—Analyzing the Solution,” has
three chapters. Chapter 10 poses the question guiding step 7 of perfor-
mance coaching: How many ways can the gap be closed? Chapter 11 poses
the question guiding step 8: What is the most effective way to close the gap?
Chapter 12 poses the question guiding step 9: What are the consequences
of closing the gap?
The fifth part is “Phase Four—Implementation and Evaluation.”
Chapter 13, which reviews step 10 of performance coaching, examines this
question” What are the damages of inaction? Chapter 14 looks at step 11:
How to implement the solution? And, finally, Chapter 15 addresses step 12
of performance coaching: How to evaluate the successful implementation?
The sixth and final part of the book is called “Support, Maintenance,
and Self-Evaluation.” Chapter 16, the last chapter of the book, exam-
ines such questions as these: How effective are you? How do you know if
 Preface  xv

you are effective and productive? Maintaining and implementing learned

disciplines and providing opportunities for high-performance coaches self-
evaluations and self-ratings. An Appendix reviews sources for education
and implementations that will take readers to additional places that can
broaden and deepen their understanding of performance coaching.
Acknowledgments

William J. Rothwell would like to express his special thanks to Behnam

Bakhshandeh for establishing the project plan, setting up our deadlines, and
successfully managing the project to its completion.

Behnam Bakhshandeh would like to express his gratitude to William J.

Rothwell for his vast knowledge of organization development and all related
fields and his contributions to his growth advancement. Thank you for all of
your contributions to academia and all related field of Workforce Education
and Development.
Both authors like to express their special gratitude to Mr. Farhan Sadique
for his masterful work in compiling the Appendix of Resources at the end of
this book.

William J. Rothwell
State College, Pennsylvania
November 2021
Behnam Bakhshandeh
Greenfield Township, Pennsylvania
November 2021

xvii
Authors

William J. Rothwell, PhD, SPHR, SHRM-SCP, RODC,

CPLP Fellow
William J. Rothwell is a professor in the Masters of
Professional Studies in Organization Development
and Change program and also in the PhD program
of Workforce Education and Development at The
Pennsylvania State University. He has authored,
coauthored, edited, or coedited 127 books since 1987.
His recent books since 2017 include Organization
Development (OD) Interventions: Executing Effective Organizational Change
(Routledge, 2021); Virtual Coaching to Improve Group Relationships: Process
Consultation Reimagined (Routledge, 2021); The Essential HR Guide for
Small Business and Start Ups (Society for Human Resource Management,
2020); Increasing Learning and Development’s Impact Through Accreditation
(Palgrave, 2020); Workforce Development: Guidelines for Community College
Professionals, 2nd ed. (Rowman-Littlefield, 2020); Human Performance
Improvement: Building Practitioner Performance, 3rd ed. (Routledge,
2018); Innovation Leadership (Routledge, 2018); Evaluating Organization
Development: How to Ensure and Sustain the Successful Transformation (CRC
Press, 2017); Marketing Organization Development Consulting: A How-To
Guide for OD Consultants (CRC Press, 2017); and Assessment and Diagnosis
for Organization Development: Powerful Tools and Perspectives for the OD
practitioner (CRC Press, 2017).
He can be reached by email at [email protected] or by phone at
814–863–2581. He is at 310B Keller Building, University Park, PA 16803. See
his website at www.rothwellandassociates.com, his videos on YouTube, and
his wiki site at https://en.wikipedia.org/wiki/William_J._Rothwell 

xix
xx  Authors

Behnam Bakhshandeh, PhD, MPS

Behnam’s formal education includes a PhD in the
Workforce Education and Development (WFED) with
concentration on Organization Development (OD)
and Human Resources Development (HRD) from the
Pennsylvania State University, a master’s degree in
Professional Studies in Organization Development and
Change (OD&C) from the Pennsylvania State University,
World Campus, and a bachelor’s degree in Psychology
from the University of Phoenix.
He is also the founder and president of Primeco Education, Inc. (www.
PrimecoEducation.com) a coaching and consulting company working with
individuals, teams, and organizations on their personal and professional
development since 1993. He has authored and published three books
in the personal and professional development industry. His last book
is Organization Development Intervention (Routledge, Taylor & Francis
Group, 2021). The other two titles are Anatomy of Upset; Restoring Harmony
(Primeco Education, 2015) and Conspiracy for Greatness; Mastery of Love
Within (Primeco Education, 2009). Besides these books, he has designed
and facilitated seventeen coaching modules for individuals, couples, pub-
lic, teams, and organizations; 9 audio/video workshops; sixteen Articles on
personal and professional development topics, and twenty one seminars and
workshops.
He is an accomplished business manager, known widely as a dynamic
writer, speaker, personal, and professional development coach and trainer.
Implementing his skills as a passionate, visionary leader, he produces
extraordinary results in record time. Behnam brings his broad experience
and successful track record to each project, whether it involves personal
development, implementing customer-focused programs, integrating tech-
nologies, redesigning operational core processes, or delivering strategic
initiatives.
Before designing Primeco Education technology, Behnam led educational
programs and later managed operations for a global education organization
based in two major US cities. During these seven years, Behnam worked
personally with tens of thousands of participants. He was accountable for
expanding customer participation, training program leaders, increasing sales,
and improving the finance department’s efficiency and management of the
overall operations for the staff and their team of over 400 volunteers, who
together served an annual client base of over 10,000.
 Authors  xxi

Behnam designed the Primeco Education technology in 2001. Since then,

he and his team members have helped countless businesses and individu-
als not only to achieve their goals but also to transform their thinking. His
proven methodology and approach are based on his extensive experience in
business and human relations. Behnam enjoyed expanding into psychology
as an addition to his already strong background in philosophy and ontology.
He particularly enjoyed and was inspired by Applicative Inquiry, Positive
Psychology and the work of many psychologists who used the Humanistic
Psychology approach for empowering and treating their patients. Behnam
finds these two psychological approaches very similar to his own work,
methodology, and approaches.
He can be reached by email at [email protected] and by
phone at 760–518–9804. He is at his office at 27 N. Main Street—Suite 202,
Carbondale, PA 18407.
Advance Organizer

Complete the following Organizer before you read the book. Use it as a
diagnostic tool to help you assess what you most want to know about per-
formance coaching—and where you can find it in this book fast.

The Organizer
Directions
Read each item in the Organizer in the following. Spend about 10 minutes
on the Organizer. Be honest! Think of performance coaching as you would
like to practice it to help others improve their job performance. Then indi-
cate what topics related to performance coaching you would like to learn
more about so as to develop yourself professionally. For each item listed in
the center column, indicate with a Y (for Yes), N/A (for Not Applicable),
or N (for No) in the left column whether you would like to develop your-
self in that area. When you finish, score and interpret the results using the
instructions appearing at the end of the Organizer. Then be prepared to
share your responses with others you know to help you think about what
you most want to learn about performance coaching. If you would like to
learn more about an item, refer to the number in the right column to find
the chapter in this book in which the subject is discussed.

xxiii
xxiv  Advance Organizer

The Questions
Circle Your I Would Like to Develop Myself to: Chapter in the
Response for Book in Which
Each Item the Topic is
Below Covered:
Y N/A N 1. Know more about the general concept of 1
coaching.
Y N/A N 2. Know about performance coaching specifically. 2
Y N/A N 3. Know more about the mindset, attitude, 3
behavior and performance to do performance
coaching effectively.
Y N/A N 4. Address this question: How to establish 4
relatedness and build rapport at the outset of
performance coaching?
Y N/A N 5. Address this question: What is the issue at 5
hand?
Y N/A N 6. Address this question: What should be 6
happening?
Y N/A N 7. Address this question: What is the measurable 7
gap? 7
Y N/A N 8. Address this question: How important is the 8
gap?
Y N/A N 5. Address this question: What are the root causes 9
of the gap?
Y N/A N 10. Address this question: How many ways can the 10
gap be closed?
Y N/A N 11. Address this question: What is the most 11
effective way to close the gap?
Y N/A N 12. Address this question: What are the 12
consequences of closing the gap?
Y N/A N 13. Address this question: What are the damages of 13
inaction?
Y N/A N 14. Address this question: How can the solution be 14
implemented?
 Advance Organizer  xxv

Y N/A N 15. Address this question: How can the success of 15

the implementation be evaluated?
Y N/A N 16. Address this question: How effective are you as 16
a performance coach?
Total

Scoring and Interpreting the Organizer

Give yourself 1 point for each Y and a 0 for each N or N/A listed above. Total
the points from the Y column and place the sum in the line opposite to the
word TOTAL above. Then interpret your score as follows:

Score
16–14 = Congratulations! This book is just what you need.
Points Read the chapters you marked Y.
13–11 = You have great skills in performance coaching already,
Points but you also have areas where you could develop
professionally. Read those chapters marked Y.
10–8 = You have some skills in performance coaching, but you could
Points still benefit to build skills in selected areas.
7–0 = You believe you do not need much development in
Points performance coaching. Ask others—such as mentors—to see if they
agree.
BUILDING A STRONG
FOUNDATION FOR
HIGH-PERFORMANCE
COACHING JOURNEY

It is an honor and a privilege for coaches to provide coaching for individu-

als, teams, organizations, and organizations’ leadership. In whatever capacity,
these individuals or organizations are placing their trust in the coaches, as
internal managers-as-coaches or as external coaches such as Organization
Development (OD), Human Resources Development (HRD), Workplace
Learning & Performance (WLP), Training and Development (T&D) trainers,
facilitators, or consultants. In all these cases, coaches’ skills and competen-
cies make a difference in developing the intent of coaching undertaken. The
primary purpose of this book is to:

(1) educate a performance coach or a manager-as-coach in the concept of

Performance Coaching and
(2) provide models, methods, and tools on how to conduct High-
Performance Coaching.

The following three chapters provide a coaching background and what

high-performance coaches need to know, develop, and deliver for their
subordinates and coachees during the high-performance coaching
journey.

DOI: 10.4324/9781003155928-1 1
2 ◾ A Foundation for the Coaching Journey

Chapter 1—The General Concept of Coaching

What Is Coaching and Its Influence and Presence of Coaching on
Organizations?

Chapter 2—Performance Coaching

What Is Performance, Performance Coaching, and Performance
Management?

Chapter 3—Mindset, Attitude, Behavior, and Performance

How Individual’s Mindset, Attitude, and Behavior Impact Individual and
Team Performance
 
Chapter 1

The General Concept

of Coaching
Behnam Bakhshandeh

Understanding coaching—what it is, how it works, and what is at work dur-

ing coaching—will help you convince executives how coaching will contrib-
ute to their professional growth. Coaching should interest any manager or to
anyone in the human resource fields.
This chapter offers you a summary of what coaching is and what place
it occupies in organizations. In this chapter, we define key terms and some
general information about how coaching contributes to organizational
productivity. This chapter shows how coaching can empower individuals,
teams, and organizations to be more productive. It will lead into Chapter 2,
which distinguishes performance coaching from other coaching categories.
Chapter 1 addresses:

◾ What is coaching?
◾ Performance Coaching versus Performance Consultant
◾ What are different types of coaching?
◾ What is a coaching culture?
◾ How should coaching be used?
◾ What role does coaching play in talent development?
◾ How is coaching used in talent development?
◾ What do selected survey results reveal about coaching effectiveness?

DOI: 10.4324/9781003155928-2 3
4 ◾ A Foundation for the Coaching Journey

What Is Coaching?
During the last few years, coaching has become popular. Despite coaching’s
popularity, few research publications have appeared about it—or about per-
formance coaching. Still, many business writers tout coaching for how much
it can help to increase organizational productivity and improve individual
job performance.

General Definitions of Coaching

There are many definitions of coaching offered by varied professional asso-
ciations. For example:

◾ The Association for Talent Development (ATD) defines coaching as

“applying a systematic process to improve others’ ability to set goals,
take action, and maximize strengths” (ATD 2014a, 4).
◾ The International Coaching Federation (ICF) defines coaching as “using
an interactive process to help individuals develop rapidly and produce
results; improving others’ ability to set goals, take action, make bet-
ter decisions, and make full use of their natural strengths” (Arneson,
Rothwell, and Naughton 2013, 5).
◾ Whitmore (2017) defined coaching as “unlocking people’s potential to
maximize their performance. It is helping them to learn rather than
teaching them” (13).
◾ Cox, Bachkirova, and Clutterbuck (2014) described coaching as “a
human development process that involves structured, focused inter-
action and the use of appropriate strategies, tools, and techniques to
promote desirable and sustainable change for the benefit of the coachee
and potentially for other stakeholders” (1).
◾ Berg and Karlsen (2007) described coaching as “the process of chal-
lenging and supporting a person or a team to develop ways of thinking,
ways of being and ways of learning. The purpose is to achieve personal
and/or organizational goals” (4).
◾ Saporito (1996) stated that “[c]oaching can help the leader to better under-
stand and optimize her impact on the organizational transformation.
Coaching can also facilitate leaders’ commitment to the process and help
to connect all development activities—individual and organizational—
back to core business issues and needs” (96).
 The General Concept of Coaching ◾ 5

◾ Bakhshandeh (2009) described and defined coaching as “a highly effec-

tive tool for individuals and organizations who choose to have their
future realized now instead of someday. It is a systematic but non-linear
inquiry into one’s authenticity; it is for healthy, ambitious, brave, and
open-minded people who strive for excellence” (35).

While specific definitions vary somewhat, it should be clear that coaching

can be a powerful way to improve productivity. This book emphasizes the
value of coaching.

The Prevalence of Coaching

Coaching has emerged as an important area of expertise for managers and
human resource professionals. In 2004, while creating a competency con-
text as a foundation for certification, the American Society for Training and
Development (ASTD DBA Association for Talent Development 2014)—now
called the Association for Talent Development (ATD)—designated coaching
as a specialization area. Coaching remained one of ten elements of exper-
tise in the 2013 version of the competency model of ASTD (Ellinger and
Kim 2014). Coaching is widely used by business consultants, performance
consultants, and OD practitioners to assist organizations in shaping their
vision, achieving their missions, setting goals, carrying out staffing efforts,
and improving job performance. Since the 1980s, many studies have been
conducted on coaching in organizations. The findings of these studies have
refined the concept of coaching, and it is now widely understood to mean a
process in which a coach (personal or professional) and a coachee (an indi-
vidual, a team, a business, or an organization) work in partnership to formu-
late goals and establish plans for improvement (Vidal-Salazar, Ferrón-Vílchez,
and Cordón-Pozo 2012).
According to Arneson et al. (2013):

◾ Over 27% of organizations have effectively integrated professional busi-

ness coaching in their talent development portfolios.
◾ By implementing coaching practices, 47% of organizations have recog-
nized the skills of productive and successful managers.
◾ Fewer than 46% of organizations have ignored coaching.

Establishing coaching cultures in organizations is one effective way to engage

employees. A coaching approach to productivity improvement will enhance
6 ◾ A Foundation for the Coaching Journey

an organization’s ability to leverage the abilities of the workforce. According

to Downs (2017) and ATD (2014b), these statistics are worthy of note:

◾ Eighty percent of employees engaged with coaching improved their

communication, productivity, performance, and business management
strategies.
◾ Sixty-five percent of employees in organizations with a robust coaching
environment grew more engaged with their work and other employees.
◾ Organizations that focus on building coaching cultures reported
higher revenue and employee engagement than those not focused on
coaching.

The ICF Global Coaching Client Study published by iPEC (2020) reported
that “[c]oaching is profoundly beneficial in the eyes of companies and indi-
viduals who hire a coach, with 99% viewing it as ‘satisfied’ or ‘very satisfied’
and 96% stating they’d repeat the process.” In addition, ICF Global Coaching
Client Study reported:

◾ Over 33% of Fortune 500 companies employ Executive Coaching as their

standard leadership development method (Source: The Hay Group).
◾ When combining coaching with training, average individual produc-
tivity increased by 86%, when contrasted to 22% when only provided
training (Source: The Personnel Management Association).
◾ Nearly 86% of organizations who have utilized coaching favorably rated
it for their investment in coaching, and their return on investment (ROI),
by affirming that at the minimum, at least the coaching investment has
paid for itself.

Many studies and reports are available for backing the use and benefit
of coaching and its positive impact on individuals, teams, and organiza-
tions. Given the purpose of this book, we are just mentioning some of such
reports that are related to productivity and performance.
On a special research and report conducted by Zhou (2020) on ROI of
coaching, she provides the following summary:

◾ Over 95% of coaching clients have rated their coaches’ quality as “good”
or “excellent.” (Source: 2009 ICF Global Coaching Study).
◾ Nearly 51% of organizations who established a robust coaching culture
reported noticeably greater productivity and revenue compared to their
industry peer businesses (Source: Human Capital Institute).
 The General Concept of Coaching ◾ 7

◾ According to a study conducted by the International Society for

Performance Improvement, coaching has a 221% return on investment
(Source: International Society for Performance Improvement).

According to Coetzee (2018), a coaching survey conducted by Clear Coaching

Limited in 2007 reported the following tangible benefits and increases in dif-
ferent areas from using coaching programs by a large range of organizations:

◾ developed new skills or improved existing skills by 50%

◾ teams working relationships and connection by 50%
◾ noticed and considered others’ perspectives by 47%
◾ clarity and improvement in work life by 43%
◾ increased individual motivation by 43%
◾ improved work environment by 40%
◾ increased sales and revenue by 23%
◾ attained their goals by 20%

Furthermore, regarding the general benefits of coaching and the positive

influence of coaching on individuals, Coetzee (2018) reported some statistics
from a survey conducted by The International Coaching Federation (ICF)
with 210 coaching clients about the use of coaching and values they have
received from participating in coaching programs.
In this study, 197 out of 210 participants were employed professionals.
All participants had at least nine months of an ongoing formal professional
coaching relationship with a coach. Over 80% of the participants had under-
graduate degrees, and over 33% had Master’s degrees or higher advanced
degrees. The study results:

◾ reported business coaching as “very valuable” 70%

◾ revealed sensitive information in their coach that
had not been confined to their spouses, best friend,
or even their therapist 50%
◾ opened up to their coach more than anyone else
at that time 12%

According to Coetzee (2018) and the study’s findings, and according to the
participants sharing information, some of the notable results of coaching
were as follows:

◾ designed smarter goal setting 62.4%

◾ established more balance in their lives 60.5%
8 ◾ A Foundation for the Coaching Journey

◾ brought down their stress levels 57.1%

◾ developed more self-confidence 52.4%
◾ improved their lives’ quality 43.3%
◾ had more income 25.7%

Public Perceptions of Coaching

Coaching is often a term in search of a meaning. Many definitions exist
of coaching. It bears many similarities to other efforts to develop workers.
Coaching means working with individuals, teams, and organizations to cre-
ate new practices while retiring unworkable behaviors.
Research conducted by the International Coaching Federation (ICF) has
revealed that most people know coaching and have shaped impressions
about it (ICF 2011). Based on many studies’ findings, managerial coaching is
defined as an effective supervisory practice that enhances workforce learn-
ing and performance.

Performance Coaching versus Performance Consulting

Given the close proximity and similar characteristics between coaching and
consulting, there is some confusion among the public, businesses, and orga-
nizations about what Performance Coaching and Performance Consultants
are or do. This distinction lies in the overall concept and differences
between the terminologies of coaching and consulting. “Most dictionaries
will not offer any great distinctions between the terms consulting and coach-
ing. They are defined as the giving of advice, professional or otherwise,
or instruction to those practicing in a profession” (Strosinski 2003, n.p.).
However, both a consultant and a coach concentrate on assisting and help-
ing their clients to resolve their business problems; the distinction, however,
is their approach. Often, the lines between consulting and coaching get
blurry and therefore create ineffective situations that do not serve the client
and do not provide solutions for clients’ needs (Forbes 2018).
Here are some differences between coaching and consulting by several
professionals:

◾ “coaching is ‘done with you’ and consulting is ‘done for you’” (ValuProp
2021, n.p.).
◾ Coaching usually consists of the coaches working directly with one or
several individuals in an organization, but on a one-on-one basis while
 The General Concept of Coaching ◾ 9

consulting mostly consists of the consultants working with many people

in the form of teams, groups, departments, or organizations (Indeed
2021).
◾ Coaching involves developing the coachees’ competencies and abilities
by using tools and techniques to work out and resolve any issues by
themselves. However, consulting includes assisting the clients getting to
the bottom of their issues by providing consulting, training, and other
form of workshops and exercises (Indeed 2021).
◾ “Coaching can help turn an entrepreneur into a great leader. Consulting,
on the other hand, provides that much-needed expertise and assistance”
(Forbes 2018, n.p.).
◾ The distinction between a coach and a consultant is the means by which
they are informing and advising their clients. “As a consultant, your role
is to enhance leadership and organizational capacity. A coach helps
individual leaders develop clarity on what he or she needs to focus on
and create action plans to achieve those goals” (Jordyn 2020, n.p.).

The following are some distinctions between performance coaching and

performance consulting:

Performance Coaching
◾ Performance coaches work with individuals. They focus on the individ-
uals’ future potential and maximize the coachees’ performance with the
main goal of maintaining the coachees’ learning and retention instead
of teaching them. Usually, performance coaching is practiced and
delivered by managers-as-coaches, as an important tool or approach for
enhancing the coachees’ and employees’ capacity and job/work perfor-
mance (Strosinski 2003).
◾ Performance coaching and training programs will advance job per-
formance by “(1) improving individual abilities, (2) stimulating motiva-
tion, (3) matching individual ability to activity requirements, and/or
(4) matching the individual to contextual requirements” (Rothwell and
Kazanas 2003, 402).
◾ In the context of managers/supervisors and employees/workforce
relationship, performance coaching can be characterized simply as the
support which managers/supervisors provide to their subordinates in
appraising their job performance, including their behavior and attitude
in order to increase their productivity and improve their performance
effectiveness at their jobs and related tasks (Pfeiffer 1990).
10 ◾ A Foundation for the Coaching Journey

◾ Performance coaching as a form of coaching and mentoring is increas-

ingly becoming more attractive to organizations and businesses, show-
ing more interest in developing their workforce in KSAs (knowledge,
skills, and abilities) and competencies (Mcleod 2004).

Performance Consulting
◾ A performance consultant analyzes and assesses an organization’s per-
formance inconsistencies and work environment discrepancies regard-
ing production outcomes and results. The performance consultants
assist the organization’s management to come up with a plan, or design
the applicable procedures, techniques, and tools for enhancing teams,
groups, and the departments’ performance for that entire organiza-
tion or workplace (Strosinski 2003). “The intended result often results
in increased productivity, decreased costs, efficient and effective work
practices and a safer working environment” (Strosinski 2003, 1).
◾ Performance consulting comprises recognizing and clarifying an orga-
nization’s needs and offering training strategies and models that poten-
tially would meet that specific need. However, not all organizational
issues can or will be resolved by training. That being said, recognizing
if training would be a solution is a critical process in conducting a per-
formance consult (Training Industry 2018).
◾ Performance consulting is a form of assessing and evaluating an organi-
zation’s current performance status of their operations, and it can offer
some new approaches, practices, and procedures that the organization
can implement in order to increase its productivity and become more
effective (Berg and Karlsen 2012).
◾ The objective of performance consulting is to examine, analyze, and
explain the process of the “how” and identifying the “what” that an
organization needs or wants to undertake or achieve, that eventually
would improve or increase the organizations’ overall productivity and
performance (Mcleod 2004).

Coaching Types
Coaching is based on trust. It can be targeted to individuals, teams, work
groups, departments, and even organizations. Coaching is often categorized
into two areas: (1) personal coaching and (2) professional coaching.
 The General Concept of Coaching ◾ 11

Personal Coaching
Some examples of personal coaching are: (1) life coaching, (2) couples
coaching, (3) relationship coaching, (4) health and velocity coaching, (5)
wealth and finance coaching, (6) spirituality coaching, and (7) mentorship.

Professional Coaching
Some examples of professional coaching are: (1) business coaching, (2)
managers coaching, (3) executive coaching, (4) career coaching, (5) leader-
ship development coaching, (6) team building, (7) performance coaching,
(8) communication coaching, (9) vision, mission, and values coaching, (10)
strategy and goal setting coaching, (11) feedback coaching, and (11) perfor-
mance coaching.
In the professional coaching category, content can be delivered by one-
on-one or group coaching. While sometimes called peer coaching, it is
associated where managers or experienced coworkers offer advice to other
workers. Coaching can also be offered to groups in so-called team coaching

Figure 1.1 Context and Process of Coaching between the High-Performance Coach
and Coachees.
Source: Copyright 2021 by Behnam Bakhshandeh.
12 ◾ A Foundation for the Coaching Journey

in which a manager or experienced coworker offers guidance to others.

Team coaching is sometimes delivered as a seminar to many people at once
(Berg and Karlsen 2012). One-to-many coaching can be delivered by an
internal or external coach.

Executive Coaching
This approach to coaching has become an essential tool for talent
development professionals as a practical strategy for leadership and
team development. Executive coaching finds its place in leadership
development programs within diverse industries around the world
(Gan and Chong 2015).

Team Building and Team Coaching

This coaching is an increasingly common approach for modern organiza-
tions using teams to achieve a competitive advantage in highly competitive
global markets (Hagen and Aguilar 2012).

Managerial Coaching
Among organizations, this approach to professional coaching is considered
a forward motion leadership creativity that can enhance the relationship
between managers and workers (Hsieh and Huang 2018).

High-Performance Coaching
As a general concept, this specialized coaching approach is an effective
team learning process to improve training and develop leaders for specific
projects and implement HPWTs (high-performance work teams) that differ
from other work teams. HPWTs are teams that can perform at the highest
level of effectiveness over long periods, accomplishing many difficult and
complex organizational goals (Hagen and Aguilar 2012). We need to note
here that as much as the topic of our book is similar to the topic of this
concept of coaching for high-performance teams, the approach and
direction focus on high-performance coaching for managers, such as high-
performance coaches’ or managers-as-coaches’ positions, both internally
and externally.
 The General Concept of Coaching ◾ 13

Feedback Coaching
This coaching is used for performance feedback, which is vital to performance
management. It is also used as an important communication vehicle by provid-
ing workers with feedback on their performance (Hsieh and Huang 2018). One
popular technique for feedback coaching is multisource feedback or 360-degree
feedback. In this method, the feedback comes from the managers and subordi-
nates, senior managers, peers, and even people from outside of the organization.

Use of Coaching in Management and

Leadership Development
Coaching could develop managerial skills among managers in organiza-
tions. When used in this way, coaching can directly affect individuals and
team productivity.

Managerial Skills
Coaching could develop leadership in teams and positively influence man-
agement behaviors and attitudes. In many organizations, the concept of
coaching became a natural approach to management skills training (Berg
and Karlsen 2012). This book sheds light on accepted among industry man-
agement and HR departments as reasons for poor worker performance and
reveals how coaching can be used for corrective action.

Developmental Skills
Coaching can inspire, motivate, and encourage personal development among
workers while indirectly nurturing the financial sustainability of the organization.
The coaching process is defined as a direct, interactive, collaborative, and confi-
dential process in which the coach and participants engage in effective ways to
achieve personal and organizational objectives (Vidal-Salazar et al. 2012).
Acquiring, developing, engaging, and retaining talent is growing more
complex. Workplaces are also accelerating, posing challenges for finding
suitable ways to speed up talent acquisition, development, engagement, and
retention. This harsh reality demands more creative approaches. Coaching
provides one such approach (Maltbia, Marsick, and Ghosh 2014).
14 ◾ A Foundation for the Coaching Journey

Coaching and Talent Development

Coaching is becoming one useful tool for Talent Development profession-
als. Vidal-Salazar et al. (2012) expressed their views of coaching as a tal-
ent development tool as “a particularly useful tool in the field of human
resources for small and medium enterprises (SME), as the work of many of
these companies depends on the learning of a job” (426).

Talent Development and Retention

Many organizations are shifting responsibilities that are traditionally connected to
talent development professionals’ work, such as coaching practices and develop-
ment activities, to operating managers. This is an apparent shift in responsibili-
ties of an organization’s leaders and managers from monitoring, managing, and
administrating accountabilities and control to acting as identifying talent and
developing human capital with coaching and mentoring to work toward an
organization’s strategy for managing and developing its workforce (Kim 2014).

Managerial Coaching Skills and Competencies

Given the option of using internal coaches, organizational leaders should
develop the skills of HR practitioners’ coaching skills and competencies.
Coaching competencies and skills can be developed through systematic
training by professional coaches or skillful managers (McLean et al. 2005).

Use of Coaching by Workforce Education

and HRD Professionals
Executive coaching, managerial coaching, performance coaching, and team
coaching are becoming new ways to empower managers and workers to
increase their productivity. Managers and aspiring talent development practi-
tioners should grow more familiar with effective coaching.

Coaching Culture
A coaching culture means a work environment in which organizational
members readily apply coaching with each other. A coaching culture, when
 The General Concept of Coaching ◾ 15

it exists, is not an isolated effort; rather, it is a central theme that runs

throughout the organization. Coaching culture shapes how workers inter-
act with each other. And using coaching in interactions is not regarded as
merely a dyadic (one-on-one) interaction. Instead, it is viewed as the perva-
sive use of a coaching approach in employee engagement efforts and a way
that shapes relationships among individuals and teams (Milner, Milner, and
McCarthy 2020). Vesso (2014) claims,

in a coaching culture, coaching flows in all directions from all par-

ties, making a networked web across the organization consisting
of many connections between people in the same departments,
across departments, between teams, and up and down and across
the hierarchy
(112).

Some Definitions of Coaching Culture

According to research done by Milner et al. (2020), these definitions can help
to understand coaching culture:

◾ Clutterbuck, Megginson, and Bajer (2016), “[t]he principles, beliefs, and

mindsets driving people’s behavior in the workplace are deeply rooted
in the discipline of coaching” (9).
◾ Vesso and Alas (2016), “[It is] an organizational development model that
provides the structure that defines how the organization’s members can
best interact with their working environment, and how the best results
are obtained and measured” (308).
◾ Jones and Gorell (2014), “[w]here [Coaching culture] people are empowered
and where coaching happens at every level. And not only does it happen
at every level, but it adds to bottom-line performance. It is the recognized
development tool that touches every part of the employee lifecycle” (16).
◾ Hawkins (2012), “[w]hen a [This] coaching approach is a key aspect
of how the leaders, managers, and staff engage and develop all their
people and engage their stakeholders in ways that create increased
individual, team and organizational performance and share value for all
stakeholders” (21).
◾ Lindbom (2007), “[a] coaching culture is one in which the regular review
of performance and just-in-time feedback is expected” (102).
16 ◾ A Foundation for the Coaching Journey

◾ Clutterbuck and Megginson (2005), “[c]oaching is the predominant style

of managing and working together, and where a commitment to grow
the organization is embedded in a parallel commitment to grow the
people in the organization” (19).
◾ Hart (2003), “[a]n organizational setting in which not only formal coach-
ing occurs, but also, most or a large segment of individuals in the
organization practice coaching behaviors as a means of relating to, sup-
porting and influencing each other” (2). (Milner et al. 2020, 239).

Coaching cultures occur when individuals and groups adopt coaching to

make changes to improve individual mindsets, attitudes, and behaviors within
their work environments by implementing an official or unofficial coaching
relationship and collaboration (Milner et al. 2020; Bakhshandeh 2009).

What Key Elements Exist in Establishing a Coaching Culture?

Gormley and Nieuwerburgh (2014), after reviewing many publications, sug-
gest that these elements are essential to create coaching cultures:

◾ Senior managers must support and promote a coaching culture through-

out the organization.
◾ A coaching structure should target attempts by the senior managers in
all departments.
◾ Managers and workers should speak and act to support coaching.
◾ Organization leaders must express robust personal commitment by
conducting role-playing and developing their skills as an example of
coaching workability.
(Gormley and Nieuwerburgh 2014)

To create a strong foundation for a coaching culture, Hawkins (2012) sug-

gested that leaders concentrate on developing “a sustainable and meaning-
ful coaching strategy and culture” (Gormley and Nieuwerburgh 2014, 90).
This effort should incorporate a coaching strategy formed by collaborating
with the employees and stated in the organization’s vision, mission, and
strategy (Gormley and Nieuwerburgh 2014).
Figure 1.2 represents the relationship between creating an organization’s
coaching culture (on the background of the organizations’ visions, missions,
and values) and creating a high-performance organization that would increase
the value of the organization. Coaching culture could be a foundation for
 The General Concept of Coaching ◾ 17

Figure 1.2 How to Use a Coaching Culture to Develop an Extraordinary Organization.

Source: Copyright 2021 by Behnam Bakhshandeh.

establishing an extraordinary corporate culture as a new norm (Bakhshandeh

2009). We will have more to say on this issue in Chapter 2.

Effectiveness of Coaching Culture

Research on coaching effectiveness has pointed to these benefits:

◾ increased interest in goal setting, commitment, and achievement attitude

◾ enhanced individual and team performance and productivity
◾ created deeper critical thinking and solution-focused behavior
◾ the increased positive environment of creativity and innovation
◾ enhanced optimism and hope for a better life through resilience and
self-effectiveness
◾ increased individuals’ cognitive endurance, mental and physical well-being
◾ created less resistance and more flexibility with workload and schedule
◾ reduced workplace anxiety, stress, burnout, and overall turnover
18 ◾ A Foundation for the Coaching Journey

◾ increased abilities for accepting change and conversions

◾ advanced developing transformational leadership among managers
(Milner et al. 2020; Whitmore 2017; Gormley and
Nieuwerburgh 2014; Bakhshandeh 2009)

Potential Barriers to a Coaching Culture

Research has identified potential barriers to establishing and sustaining
coaching cultures. Among them:

◾ the organization’s current culture

◾ absence of a clear understanding of how coaching works and the
coaching values
◾ not seeing a coaching culture as significant for the organization
◾ senior management’s resistance and a viewpoint that establishing such a
coaching culture is costly or unnecessary
◾ overall low-level experience, skills, and competencies within the organi-
zation’s managers
◾ a perception that insufficient time, money, or other resources exist to
support the effort
(Rothwell, Stavros, and Sullivan 2016;
Whitmore 2009; Bakhshandeh 2009)

Coaching Delivery Approaches

There are two general approaches to coaching delivery: (1) Directive Coaching
and (2) Nondirective Coaching. The matter of which one is better or more
effective than the other is not the topic of this segment, but just to compare the
two delivery approaches side by side and then underline the delivery approach
that would fit for use by a high-performance coach or manager-as-coach.

Nondirective Coaching
In this approach to coaching, the coaches encourage the clients to form
their views of the issue at hand and come up with their own conclusions in
order to nurture the coaching relationship. On the other hand, this approach
involves coaches listening to clients’ stories, experiences and what they are
 The General Concept of Coaching ◾ 19

facing, along with all their challenges while at the same time conducting
inquires to provide openings and awareness for the clients to make their
own decisions through their inner growth journey (Wilson 2020; Whitmore
2017; Bakhshandeh 2009).
It is apparent that with a nondirective approach, the coachees recog-
nize solution that match their personal or professional desires and needs.
Therefore, given their own direct involvement, there is a higher probabil-
ity for the coachees to take on their actions to implement the recognized
changes in their personal or professional environment. With this approach,
the coach does not need to be a subject matter expert, given the coach’s
job is to ask practical and relevant questions and to provide space of think-
ing and inquire and keep reminding the coachees to remain nonjudgmental,
open-minded, and nonresistant (see Figure 1.3). Nondirective coaching is
one of the popular methods that would work very well for nontechnical and
nonperformance applications (2020, 2017, 2009).
The downside of non-directive coaching is the fact that this approach
can take a long time to produce the outcome and for the coachees to come
to their conclusions. In some cases, they may not reach any conclusions by
themselves.

Directive Coaching
In the directive coaching approach, the coaches are more directly involved
with coaching by providing their knowledge, experience, and profes-
sional advice because they are a subject matter expert. The coaches and
coachees’ relationship in this approach is very similar to athletic coaching
where the coaches ask some questions to understand the mindset of the
coachees or to see what they are resisting, or stopped by, after which the
coaches provide their input and even show the coachees a “how-to” (2020,
2017, 2009). Because of this, directive coaching is popular among technical
and performance-related professionals (see Figure 1.3).
One of the biggest benefits of the directive coaching approach is to be
used when the coachees cannot recognize the issue at hand or simply do
not know what else to do! This deficit might be caused by a lack of experi-
ence, knowledge, or simply an unmatched performance level required for
that particular job, work, or position.
The downside of directive coaching is that the coachees may not understand
the concept or techniques independently and might take a little more time
than usual to practice and build their experience. However, with their effort on
20 ◾ A Foundation for the Coaching Journey

Figure 1.3 Side-by-Side Comparison of Directive and Nondirective Coaching Approaches.

Source: Copyright 2021 by Behnam Bakhshandeh.

learning, their manager or supervisor’s support, their application of examina-

tions, and their evaluation for effectiveness and performance, the knowledge
will saddle in, and the coachees will be able to repeat what they have learned.
While reading this book and applying its tools and techniques, remem-
ber that all coaching conversations and approaches are based on directive
coaching. We attempt to develop you as a high-performance coach and an
effective manager-as-coach to provide professional and relevant performance
coaching for your employees.

Survey About Coaching Effectiveness

In 2020, one of this book’s authors surveyed several organizations’ execu-
tives about their perceptions regarding coaching in their organizations. The
survey helped to learn more about coaching and its models for affecting
productivity and professional growth. The details, methodology, and results
of this research on coaching follow.
 The General Concept of Coaching ◾ 21

Research Main Questions and Survey Statements

To achieve the purpose of this survey, five main questions were selected as
primary research questions for this survey. Each main question (RQ) had
three survey statements (SS) that would enable the survey to allow to expand
its findings. Please note that, on the following questions, when we use the
term Coaching Programs, this includes different forms of coaching—such as
organization coaching, team coaching, executive coaching, managerial coach-
ing, performance coaching, individual coaching, and group coaching.

Criteria for Selecting Participants

All survey participants were executives, senior managers, department man-
agers, or business owners/operators.

Criteria and Approach

Participants had to (1) have at least ten employees, (2) have been in business
for at least five years, and (3) have participated in coaching programs with
Primeco Education. For this survey, this author uses “Coaching Programs” to
mean executive coaching, managers’ training, performance coaching team
training and development, OD, and personal and professional development
seminars and workshops. The research survey (including fifteen statements:
5 RQ and 3 SS for each) went to 70 potential participants by email invitation.
Eighty percent (fifty six out of seventy) of participants responded within the
designated 18-day survey period.

Likert Five-Level Response

To conduct a short study, this author selected the survey and questionnaire
methods. According to Trochim and Donnelly (2008), survey research is one
of the most valuable parts of measurement in many applied social types
of research. One of the most popular interval-level response formats is the
Likert Five-Level Response format, which was used on our survey. The fol-
lowing is an example of such a format used by our research survey:

1 2 3 4 5
Strongly Disagree Neutral Agree Strongly
Disagree Agree
22 ◾ A Foundation for the Coaching Journey

Results
The following are the results of this short survey:
RQ#1: Is coaching an effective approach to an organization’s pro-
ductivity? 86.31% of responses to the three supportive survey statements
resulted in a combination of 54.76% who chose Strongly Agree and 31.55% who
chose Agree with a Mean of 4.39 out of a Maximum of 5 (see Tables 1.1 and 1.6).

Table 1.1 Results of Survey for the Research Question #1.

  Research Questions and Statements
RQ#1 Is Coaching an Effective Approach to an Strongly
Organization’s Productivity? Agree Agree
SS#1 Coaching programs had a positive impact on 71.43% 23.21%
increasing our productivity.
SS#2 Coaching programs increased our employees’ 46.43% 37.50%
attention to detail.
SS#3 Coaching programs positively affected product 46.43% 33.93%
quality and speed of production.
Survey Statements (SS) Average 54.76% 31.55%
Research Question #1 (RQ#1) Total of Strongly Agree and 86.31%
Agree

RQ#2: Could coaching be used for developing leadership among

managers? 93.69% of responses to the three supportive survey statements
resulted in a combination of 59.17% who chose Strongly Agree and 34.52%
who chose Agree, with a Mean of 4.50 out of a Maximum of 5 (see Tables 1.2
and 1.6):

Table 1.2 Results of Survey for the Research Question #2.

  Research Questions and Statements
RQ#2 Can Coaching Be Used for Developing Leadership Strongly
Among Managers? Agree Agree
SS#4 Coaching programs increased the level of leadership 64.29% 32.14%
in our business.
SS#5 Coaching programs increased our manager’s 55.36% 37.50%
involvement with our employees.
 The General Concept of Coaching ◾ 23

SS#6 Coaching programs increased our manager’s initiating 53.57% 33.93%

of a team approach more often.
Survey Statements (SS) Average 59.17% 34.52%
Research Question #2 (RQ#2) Total of Strongly Agree and Agree 93.69%

RQ#3: Is coaching influencing workforce attitude and behavior pos-

itively? 80.69% of responses to the three supportive survey statements resulted
in a combination of 44.98% who chose Strongly Agree and 35.71% who chose
Agree, with a Mean of 4.23 out of a Maximum of 5 (see Tables 1.3 and 1.6):

Table 1.3 Results of Survey for the Research Question #3.

  Research Questions and Statements
RQ#3 Is Coaching Positively Influencing Workforce Attitude Strongly
and Behavior? Agree Agree
SS#7 Coaching programs brought our workforce closer 53.57% 35.71%
together.
SS#8 Coaching programs caused a decrease in our 28.57% 33.93%
employees’ absences and lateness.
SS#9 Coaching programs increased the level of respect and 52.79% 37.50%
camaraderie among our employees.
Survey Statements (SS) Average 44.98% 35.71%
Research Question #3 (RQ#3) Total of Strongly Agree and Agree 80.69%

RQ#4: Does coaching organize a competitive edge? 82.73% of responses

to the three supportive survey statements resulted in a combination of 45.83%
who chose Strongly Agree and 36.90% who chose Agree, with a Mean of 4.27
out of a Maximum of 5 (see Tables 1.4 and 1.6):

Table 1.4 Results of Survey for the Research Question #4.

  Research Questions and Statements
Strongly
RQ#4 Does Coaching Organize a Competitive Edge? Agree Agree
SS#10 Coaching programs had a positive impact on our 42.86% 37.50%
teams, producing fewer errors.
(Continued)
24 ◾ A Foundation for the Coaching Journey

Table 1.4 (Continued)

  Research Questions and Statements
Strongly
RQ#4 Does Coaching Organize a Competitive Edge? Agree Agree
SS#11 Coaching programs increased our customer 48.21% 41.07%
satisfaction and customer retention.
SS#12 Coaching programs expedited and increased our 46.43% 32.14%
business expansion.
Survey Statements (SS) Average 45.83% 36.90%
Research Question #4 (RQ#4) Total of Strongly Agree and Agree 82.73%

RQ#5: Does coaching have a positive influence on employee perfor-

mance? 80.36% of responses to the three supportive survey statements resulted
in a combination of 44.05% who chose Strongly Agree and 36.31% who chose
Agree, with a Mean of 4.22 out of a Maximum of 5 (see Tables 1.5 and 1.6):

Table 1.5 Results of Survey for the Research Question #5.

  Research Questions and Statements
RQ#5 Does Coaching Have a Positive Influence on Employee Strongly
Performance? Agree Agree
SS#13 Coaching programs increased our employees’ 33.93% 35.71%
retention.
SS#14 Coaching programs increased ownership attitude 46.43% 42.86%
among our employees.
SS#15 Coaching programs created an environment of 51.79% 30.36%
partnership among our employees.
Survey Statements (SS) Average 44.05% 36.31%
Research Question #5 (RQ#5) Total of Strongly Agree and Agree 80.36%

Table 1.6 Summary and Distribution of the Survey Results (Measures of Center
and Measures of Spread).
Field Minimum Maximum Mean Std. Deviation Variance Count
RQ#1 Is coaching an effective approach to an organization’s productivity?
SS#1 1 5 4.63 0.72 0.52 56
SS#2 1 5 4.27 0.83 0.70 56
 The General Concept of Coaching ◾ 25

SS#3 3 5 4.27 0.77 0.59 56

Average Mean 4.39
RQ#2 Can coaching be used for developing leadership among managers?
SS#4 3 5 4.61 0.56 0.31 56
SS#5 3 5 4.48 0.63 0.39 56
SS#6 3 5 4.41 0.70 0.49 56
Average Mean 4.50
RQ#3 Is coaching positively influencing workforce attitude and behavior?
SS#7 3 5 4.43 0.68 0.46 56
SS#8 1 5 3.86 0.91 0.84 56
SS#9 3 5 4.41 0.68 0.46 56
Average Mean 4.23
RQ#4 Does coaching organize a competitive edge?
SS#10 3 5 4.23 0.76 0.57 56
SS#11 3 5 4.38 0.67 0.45 56
SS#12 2 5 4.21 0.86 0.74 56
Average Mean 4.27
RQ#5 Does coaching have a positive influence on employee performance?
SS#13 2 5 4.00 0.87 0.75 56
SS#14 2 5 4.34 0.71 0.51 56
SS#15 2 5 4.32 0.80 0.65 56
Average Mean 4.22

Overall, in all five research questions and categories, the survey results
showed strong support and agreement on the positive impact and effect
of coaching programs on OD and employees’ performance, productiv-
ity, and positive attitude. Table 1.6 represents the summary results of the
survey:
The overall results of this survey indicated how business and organiza-
tional professional coaching have a positive impact on workforces (including
management) increasing productivity, performance at a higher level, having
26 ◾ A Foundation for the Coaching Journey

a positive attitude and productive behavior, and providing leadership at all

levels of management.

Tips for Successful Coaching

We have found these tips to be helpful in guiding successful coaching of
any kind:

◾ Remember that coaching is a relationship

– As a coach, you are always in a two-way relationship with your
coachee. Building a background of relatedness and establishing
rapport is a key to starting mutual trust and a workable coaching
environment (Bakhshandeh 2009). We will discuss the concept of
building rapport on a much deeper level in Chapter 4.
◾ Don’t take over
– It is natural for a coach to take over and tell the coachee what to
do during coaching because the coach knows what is needed. This
approach will create resistance to the coaching process and will neg-
atively influence the coaching relationship and damage the coachee’s
trust (Worley 2012; Bakhshandeh 2009).
◾ Select the best coaching method
– Coaching is not a “one size fits all” approach. As a skilled and devel-
oped coach, you need to select the coaching type based on the
apparent needs for change in an individual or the issues relating to
team performance (Bakhshandeh 2009).
◾ Coaching is an inquiry
– As much as individuals or teams express their desires or attention
to get to a certain point during the coaching or by the end of the
coaching structure, there are no pinpoint ends to a change approach.
Coaching magic arises from the journey.

Coaching and Developmental Questions for Managers

We ask you to answer the following discussion questions and express
your perspectives on what coaching is, how the coaching process works,
and some best practices you can implement to lead to practical coaching
approach with your team members, individually or as a team:
 The General Concept of Coaching ◾ 27

(1) How do you rate yourself from 1 to 10 (1 being the lowest and 10 being
the highest) on clearly understanding what coaching is and how it
works?
(2) How do you rate yourself from 1 to 10 (1 being the lowest and 10
being the highest) about your ability to conduct an effective coaching
structure?
(3) What area of coaching do you think you need to develop or experience
more?

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Chapter 2

Performance Coaching
Behnam Bakhshandeh

This chapter defines performance coaching, distinguishing its related ele-

ments and addresses these questions:

◾ What is performance?
◾ What is performance coaching?
◾ What is the high-performance coaching model?
◾ What is performance conversation?
◾ Who is a high-performance coach?
◾ What are the elements of the high-performance coaching process?
◾ What conditions are essential for effective performance coaching?
◾ What competencies do high-performance coaches need?
◾ What is the relationship between coach and coachee?
◾ How does high-performance coaching support business competitive
advantage?

What Is Performance?
According to the Merriam-Webster dictionary (2021), performance is defined as:

◾ the execution of an action

◾ something accomplished: deed, feat
◾ fulfilling a claim, promise, or request: implementation
◾ the action of representing a character in a play
◾ a public presentation or exhibition

DOI: 10.4324/9781003155928-3 31
32 ◾ A Foundation for the Coaching Journey

◾ the ability to perform: efficiency

◾ how a mechanism performs the engine
◾ the manner of reacting to stimuli: behavior

Bailey (1982) defined performance as “the result of a pattern of actions carried

out to satisfy an objective according to some standard” (4). Performance con-
notes not just actions or behaviors; rather, it also implies the results achieved. To
emphasize that point, “performance is equated with results; behavior is equated
only with the actions to achieve results” (Rothwell and Kazanas 2003, 402).
According to Bailey (1982), job performance consists of:

(1) who?—the individual conducting the performance,

(2) what?—the activity, the job, the work, and
(3) where?—the context of the job and work (Rothwell and Kazanas 2003).

But performance may also imply the values demonstrated by the actions and
results. What issues are important to the organization? Values underlie the
actions and results. Further, performance also implies the ethics or morale
stance demonstrated by the actions and results. What is good or bad, and
what does morality indicate about the behaviors displayed and the actions
achieved? (Rothwell 2015).
According to Whitmore (2009), the dictionary described performance as
“the execution of the functions required of one” (95). However, Whitmore
(2009) was not satisfied by this simple definition, and he called it “the mini-
mum necessary to get by” (95) and added “that is not performance in my
view; it is not what I refer to in coaching as performance” (95). The phrase
high performance occurs when individuals, teams, or groups set their own
goals and standards at a level beyond what their coaches, managers, or
organizations expect of them. Customarily, high-performance individuals
and teams establish standards that exceed what others demand or expect of
them (Wilson 2020). We call this the Olympian’s or champion’s quality.
Figure 2.1 displays environmental elements affecting human performance.

What Is Performance Coaching?

The phrase performance coaching refers to a category of coaching that
advises workers about how they should behave and what results they should
 Performance Coaching ◾ 33

Figure 2.1 The Elements of Human Performance.

Source: Adapted from Rothwell and Kazanas (2003).

achieve. It clarifies the means (behaviors) and ends (results) to be achieved.

Unlike nondirective coaching, which prompts coachees to reflect on their
own, performance coaching relies on the experience of the coach to direct
the coachees’ attention to what should be achieved.
Performance coaching can be an important tool for managers faced with
workers who do not achieve the results that the organization requires or
who behave in ways not aligned with organization policies, procedures,
or managerial expectations. Through coaching, managers or experienced
coworkers guide workers through what they should do, how they should
behave, and how best to measure success. Performance coaching often plays
a key role in performance management, performance evaluation, and perfor-
mance reviews. Workers cannot achieve necessary results if they are unclear
what they are. Performance coaching clarifies what measurable results
should be achieved.
34 ◾ A Foundation for the Coaching Journey

Application of Directive Coaching in High-Performance

Coaching
As we underlined the directive coaching approach in Chapter 1, the coaches
are more directly involved with coaching by providing their knowledge,
experience, and professional advice because they are a subject matter
expert. As we have mentioned previously, the primary benefits of the direc-
tive coaching approach are to be used when employees cannot recognize
the issue at hand or simply do not know what to do or what else to do,
directly affecting their performance. This deficit might be caused by a lack
of experience, knowledge, or simply an unmatched performance level
required for that particular job, work, or position.
A high-performance coach or a manager-as-coach needs to add one more
essential element to your toolbox of experience and knowledge. That is your
mindset, which will become one of the most usable tools you can provide
for empowering and developing your employees’ performances.
Figure 2.2 depicts the three main aspects of what we call the Directive
Coach’s Assets Wheels. Please look at Figure 2.2 and as you read the content,

Figure 2.2 Directive Coach Assets Wheels. Author’s original creation.

Source: Copyright 2021 by Behnam Bakhshandeh.
 Performance Coaching ◾ 35

try to recognize the level of possession or lack of such elements within

yourself.
These three main wheels are source directive coaches’ power and ability
to understand their workers and be able to provide direct coaching that is
sourced by their own coach’s mindset, knowledge, and experience.

Mindset
At this segment, we briefly touch on mindset and its effect on our minds
and ultimately on our actions and decisions. In the next chapter, we will go
a little deeper on the topic of mindset. Mindset is based on one’s life events,
experiences, upbringing, perceived reality, beliefs, interests, and motivations.
The individuals collect these experiences and influence during their cogni-
tive growth and personality development (Bakhshandeh 2009). How you
see the world around you affects your decisions and actions for or against
that world, environment, or individuals? As a high-performance coach, with
outmost honesty and authenticity, you need to get clear about how you view
and see yourself (manager, supervisor, coach, boss), others (your employees,
subordinates, workers, coachees), and what you do (your job and the work
itself) (Bakhshandeh 2015; Bakhshandeh 2009). Your mindset will make or
break your relationship with your team and the employees you are coach-
ing. The degree with which your mindset affects your attitude will appear in
your relationship with your coachees. For you to be able to be effective with
your them and provide them with your information and experience is all
dependent on your attitude and the way you are relating to them. Without
that positive and uplifting attitude, your knowledge and experience will not
be welcome by others. Your mindset is the key to be an effective perfor-
mance coach.

Knowledge
After developing and establishing a healthy, positive, and productive mind-
set, the next elements are coaches’ knowledge, information, and compe-
tencies that they have accumulated and built throughout their careers. The
coaches’ knowledge will help the coachees to learn new approaches to
increase performance and productivity. The performance coaches tell the
coachees what needs to get done and the reasons behind what they ask the
them to do; that way, the relationship becomes one of learning and develop-
ment at the same time.
36 ◾ A Foundation for the Coaching Journey

Experience
The Coaches’ experiences (personal or professional) are powerful assets of
a performance coach. There is something that comes with experience that
nobody can buy or just add to their portfolio. These experiences come from
hard work, learned skills, accumulated series of “how-to’s,” and a history of
facing challenges that resulted in many breakdowns before finally earning
that mastery. Combining the coaches’ experiences with their knowledge and
their powerful mindsets will yield productive workers and increased levels
of performance.

Elements of High-Performance Coaching

Process by a Manager-as-Coach
Figure 2.3 displays the general steps in the performance coaching pro-
cess and intervention from start to finish. Consider this process as a broad
approach for encouraging and empowering employees to improve their

Figure 2.3 Elements of High-Performance Coaching Process by a Manager-as-Coach.

Source: Copyright 2021 by Behnam Bakhshandeh.
 Performance Coaching ◾ 37

productivity. The general steps in this process can be modified to address

the needs of specific workers and situations or the type of intervention that
is implemented by high-performance coaches or managers-as-coaches. These
steps, together or individually, can also be used to manage meetings or just
conversations among managers and employees or managers and a team.
The wisdom of these steps and process is in their versatility and application
in many situations or scenarios and the support they are providing for the
implementation of the high-performance coaching model (see Figure 2.6).

Step 1: Establish Rapport

Rapport connects people positively. It means they can relate to each other.
The Merriam-Webster dictionary (2021) defines rapport as a “relation charac-
terized by harmony, conformity, accord, or affinity.” Rapport leads to con-
tinued communication and collaboration between two people. Sometimes
rapport is established immediately; sometimes it takes time to build the
trust necessary for a rapport. However, it takes all parties in a relationship
to establish workable rapport (Angelo 2012). We will describe rapport in a
much deeper fashion in Chapter 4.
The success of performance coaching depends on the depth of the
established rapport and how much people trust managers and welcome the
coaching relationship (Whitmore 2017; Rothwell, Stavros, and Sullivan 2016;
Cummings and Worley 2015; Bakhshandeh 2008).

Step 2: Recognize the Issue or Need

Sometimes people feel the need to improve their performance. Sometimes
a manager notices that workers need to change for the better. Sometimes
other people in teams or groups note that a coworker needs performance
improvement or attitude adjustment because it impacts the team. An issue
or need must be recognized before it can be addressed. Chapter 5 builds a
deeper understanding of how to clarify the present situation or issue.

Step 3: Envision the Outcome

Once the need or issue is recognized, the coaches need to help the
coachees to envision the outcome of the performance coaching process.
They must see the future of what would happen when the gap between the
present issues or needs are closed and what is possible for them and their
38 ◾ A Foundation for the Coaching Journey

teams or departments after going through the performance coaching. This

is not a step to miss or cut because coaches want to save time. This step is
essential to the success of the process and makes the subordinates partners
in the process versus simply resisting the process and just going through
the motions because their managers want them to do something. One very
important note: If the coaches can’t see and envision the outcome, neither
will the coachees! When the coaches see the outcome of coaching, and the
coaches’ goals are clear and owned by the coachees, the processing moves
in a productive direction; motivation is the fuel for the coachees’ perfor-
mance (2017, 2016, 2015, 2008).

Step 4: Establish Positive Mindset and Attitude

In this step, coaches recognize as the coachees’ mindset through the process
of needs assessment. It often results from friendly conversations and informal
interviews that avoid stimulating resistance and self-defense. It is very rare for
managers to know their subordinates well and understand who they are, what
they think, and how they can relate to them. It is easy to judge others based
on what we observe on the surface by just seeing their performance and then
jumping to conclusions about their mindsets and attitudes. Having good rap-
port minimizes resistance in this step. Individuals display resistance to change
because they don’t see the results desired, don’t think they need to change,
think other people around them need to change, or conclude that change
indicates that something is wrong with them. Effective communication and
active listening skills are essential to this step’s success for coaches (2017, 2016,
2015, 2008). More details about the step will be presented in Chapters 5 and 6.

Step 5: Provide Coaching and Conduct Inquiry

First, the coaches and the coachees need to create a structure for the coach-
ing relationship that describes when they will conduct any session, how
long each session will last, and how they will conduct the coaching process
without interfering with the coachees’ departments or team processes. For
this, the coaches/managers need to provide resources to provide a success-
ful process. These resources can be available in length of time, proper time
off for the subordinates, training materials, information, equipment, budget
for providing outsourced information or third-party involvement, privacy for
conducting the coaching, senior managers alignment and support, and the
personal commitment from the subordinates/coachees. Coaches should not
 Performance Coaching ◾ 39

present themselves as experts or bosses. Nor should they expect coachees

to do what they ask without questions.

Step 6: Action Plan for Developing Skills and Competencies

One important element of performance coaching is to understand the com-
petencies that need to be developed. This information can be uncovered
during (1) the needs assessment process, (2) informal conversation and
interviewing the coachees, (3) reviewing coachees’ history and employment
records, and (4) confidential interviewing of coachees’ direct managers and
teammates. After recognizing the needed skills and competencies, coaches
should create an action plan on how they will build competencies in the
coachees. The managers/coaches should use positive coaching approaches to
make sure the coachees are empowered. Many coaching models are avail-
able that could provide a framework—and they include appreciative inquiry
(AI) coaching, positive psychology coaching, and strength-based coach-
ing. The key to coaching success is for the coaches to know (1) to create
an action plan to which the coachees agree, (2) to monitor and assess the
progress, (3) to establish responsibilities for both parties, (4) to push, and (5)
to hold the coachees accountable for their performances during the coaching
process (2017, 2016, 2015, 2008). We will talk about this step in Phase Four
(Implementation and Evaluation) of this book.

Step 7: Track and Manage the Progress

Providing coaching is one thing, but tracking and managing the coaching prog-
ress is different. Tracking the process helps both parties see what needs to be
changed, implemented, or discarded. Managing the process helps the coaches
make sure the coachees not only receive new information but also implement,
practice, and build skills regarding the new. This is something that many man-
agers miss. Knowing something does not mean managers can coach others
about that information or teach how to do it. Researchers have concluded that
smoking and eating fattening food are not good health habits, but do these
conclusions stop people from smoking or eating fattening food? Some coach-
ing skills that would reinforce the coaching progress are to (1) make a connec-
tion between learning skills and implement them for the coachees, (2) have a
regular follow up and discussion on the action plan items, (3) review coachees’
mistakes or off-track issues, (4) remove nonperformance and irrelevant issues,
and (5) provide feedback. We shall have more to say about feedback in the
40 ◾ A Foundation for the Coaching Journey

next step (2017, 2016, 2015, 2008). We will also focus on that in greater detail in
Phase Four (Implementation and Evaluation) of this book.

Step 8: Provide Feedback and Redirect

Providing good feedback empowers coachees to continue their work con-
structively. Given the coaches and coachees have established good rapport
and establish the structure for their relationship, there exists open commu-
nication which enhances the coaching relationship. Giving feedback is a big
part of open communication between coaches and coachees. The managers’/
coaches’ feedback should be done regularly, so the progress would not be
interrupted or get on the wrong track. The feedback process could simply
be implemented by conducting inquiries and reviewing the coaching pro-
cess results. Managers can use (1) constructive feedback based on providing
feedback on a situation or process related to improving something and (2)
positive feedback usually based on recognizing the coachees’ efforts. Both
forms of feedback can be used during the coaching process to improve the
coachee’s motivation. Some modifications in the action plan might be in
order based on feedback results and what came out of coaching conversa-
tions (2017, 2016, 2015, 2008). In further sections of this book, we explain
the benefits of feedback for achieving higher employee performance.

Step 9: Evaluate the Progress and Adjust

Another critical element of this process is to evaluate, and when neces-
sary, adjust, the coaching approach periodically. Many forms of employee
performance and coaching evaluations are possible. Examples include (1)
Self-Assessment, (2) 360 Degree Rating, (3) Skills Evaluation, (4) Goals and
Results Assessment, and (5) Graphic Rating Scale (Rothwell et al. 2016;
Cummings and Worley 2015). However, the peer review is one valuable,
accurate approach to evaluation. It is based on interviewing the coachees’
coworkers and teammates about the on-the-job applications of coaching on
the attitudes, behaviors, and work performance of the coachee (2017, 2016,
2015, 2008). We will touch on this matter in Chapter 15.

Step 10: Recognize, Acknowledge, and Reward

Coaches should recognize, acknowledge, and reward coachees for their posi-
tive progress. Acknowledging coachee progress empowers coachees’ prog-
ress and creates positive conditioning that will encourage more progress.
 Performance Coaching ◾ 41

Rewarding the efforts could include private and/or public recognition of

progress and eventually even a promotion or increased compensation. A
reward, therefore, is due to those coachees who successfully undertake
changes in attitudes, behaviors, and performance (2017, 2016, 2015, 2008).

Conditions for Delivering Effective Performance Coaching

Performance coaching does not end upon the conclusion of a session or a
coaching program. Coaching is a means rather than an end. It is a support
system that focuses on empowering individuals and teams to realize their
potential (Bakhshandeh 2009). Job performance does not improve on its
own or by having individuals participate in performance coaching. In fact,
performance coaching is most effective when the organization’s leaders and
corporate culture support the coaching process. We will touch on organiza-
tional and individual commitments to coaching later in this chapter.
A performance coaching culture is established in an organization when
the organization’s leaders model it, encourage it, discuss it, recognize it, and
reward it. Of course, it helps if talent development and learning and devel-
opment managers use their internal coaches or hire external coaches to train
the coaching managers on the following issues:

An Environment of Mutual Trust and Respect

Establishing rapport with trust and respect is a great start to create openness
for the coachees—especially if performance issues and tensions exist in the
coachees’ work environment or department (Whitmore 2017; Bakhshandeh
2009; Pfeiffer 1990).

Manager’s Supportive, Compassionate, and Empathetic Attitude

The assigned manager who performs as a coach must have a supportive
attitude and display empathy for coachees, who are probably subordinate to
this manager-coach or someone in another department. This attitude from
coaches helps the coachees to feel safe and understood (2017, 2009, 1990).

Establishing Effective Discussion

Coaching is a collaborative process to finding solutions. It is not a dog-
matic view of the issues. Performance coaching will be effective when the
coachees’ desired goals are consistent with their managers’ intentions and
42 ◾ A Foundation for the Coaching Journey

the teams’ or departments’ goals. Intentionality and purposeful discussions

make a difference in producing valuable results in the coaching relationship
(2017, 2009, 1990).

Emphasizing Work-Related Objectives

The performance coaching process should focus on work-related goals and
emphasize how to remove obstacles that coachees face. If unrelated issues
surface during the coaching conversations—and they often do surface—
the coaches/managers should bring the conversation back to focus on the
coachees’ roles in their work, department, and organizational settings (2017,
2009, 1990).

No Discussions of Employment Benefits

Employment-related issues including salary, bonus, rewards, raises, days
off, or vacations should not become a focus of discussion in a performance
coaching session. Attention devoted to these issues will usually distract from
performance-related issues and will take away from the intentions to assist
the coachees in making work improvements (2017, 2009, 1990).

Potential Objectives for Performance Coaching

Like any other effort to improve goals, performance coaching also needs
to have clear objectives. The following objectives should assist coaches or
managers in supporting the coachees or subordinates during the coaching
process:

◾ establish a safe, nonthreatening environment for coachees/subordinates

to express their concerns and issues
◾ create and improve the coachees’/subordinates’ knowledge and under-
standing of their strengths and weaknesses
◾ support efforts by coachees/subordinates to realize their potential
◾ improve the coachees’/subordinates’ knowledge and appreciation of
their work environment and their relationship with coworkers and
colleagues
◾ give constructive feedback on coachees’/subordinates’ behavior and
attitude to improve their understanding of their own interpersonal
effectiveness
 Performance Coaching ◾ 43

◾ assist coachees/subordinates in analyzing their interpersonal competen-

cies and help them develop what is missing in that domain
◾ review the coachees’/subordinates’ personal goals and their relevance to
their professional objectives
◾ detect any obstacles that stand in the way of coachees achieving their
goals or delaying their progress
◾ provide support for the coachees/subordinates in creating action plans
for dealing with recognized issues
◾ support efforts by coachees/subordinates to review and create realistic
goals for improving their performance
◾ be available to the coachees/subordinates for future discussions and
support while implementing their action plans
(Whitmore 2017; Bakhshandeh 2009; Pfeiffer 1990)

The Benefit of Coaching for Individuals

The benefits of performance coaching are not limited to mere work-related
benefits. Often participants benefit on a personal level and have a positive
impact on their lives. People have reported the positive results they have
received from coaching. These benefits include:

◾ increased personal velocity and success

◾ increased productivity and levels of personal performance
◾ recaptured interests and passions in life and related activities
◾ ability to accomplish more in less time with relevantly less efforts
◾ new imagination and ways of self-expression
◾ a new life vision and new practices in their lives
◾ improved communications, understanding, and empathy
◾ increased personal and professional efficiency and effectiveness
(Bakhshandeh 2015; Bakhshandeh 2009)

What Is Performance Conversation?

Given that the concept of coaching and that the coaching relationship
is happening in communication and conversation among the coaches
and coachees, it will be beneficial to talk about the role of Performance
Conversation, what it is, what it is not, and what to look for when you as a
44 ◾ A Foundation for the Coaching Journey

high-performance coach and manager-as-coach are delivering it during the

interrelationship with your coachees/employees.

Performance Conversation Is Not a

Performance Assessment or Meeting
High-performance coaches understand that the best way to accomplish
results during their conversation with their employees is to not feel they are
being judged, assessed, or evaluated for their performance but to be directed
and coached by someone on their side. Establishing a rapport (we will talk
about this in Chapter 4), displaying good intentions and positive attitudes
and nonjudgmental behaviors, and not using authoritarian force are help-
ing high-performance coaches to have workable and effective performance
conversations that make a difference for employees. As Lee (2021) men-
tioned, the other alternatives to this approach will be conflicts, continued
destructive behaviors, and more separation between managers and employ-
ees. “Traditional appraisals do not encourage open conversations or healthy
debate because they are too focused on delivering judgment and justifying
the power held by a supervisor” (Lee 2021, 21).
The coaches and the coachees need to understand that their performance
conversation is a proven technique for high-performance coaching, not a
meeting about the employees’ performance discussion. The performance
conversation has its purposes and operates within a certain framework
inside a performance coaching model, using a series of established manage-
ment practices (Lee 2021; Cardy and Leonard 2011).

Using Positivity for Producing Long-Lasting Outcome

Using positive psychology and AI are proven in the coaching and man-
agement practices. These approaches seek what is possible and positive
and what works about the coachees and the situations. These coaching
approaches are tapping into the “unlimited human potential to create,
thrive, build, seek, and innovate. Unlike appraisals, they also build upon
strengths and do not focus on deficits or gaps” (Lee 2021, 23). You, as
professional high-performance coaches or managers-as-coaches, need to
familiarize yourselves with these two powerful distinctions for performance
conversations during performance coaching.
The following sections briefly touch on and explain the concepts of (1)
Positive Psychology and (2) Appreciative Inquiry as two effective models for
 Performance Coaching ◾ 45

conducting Performance Conversations. For further information, please look

at “Appendix A” in addition to your own research and reading about these
two powerful tools for performance coaching and performance conversation.

Positive Psychology
The term Positive Psychology was initially created by Abraham Maslow.
Later, Martin Seligman pioneered Positive Psychology as a psychological
approach based on scientific research and systematic theories. This innova-
tive approach looks into why people are happy and what it takes to keep
the happiness as the main element of their lives and productivity (Seligman
2002). Rao (2013) underlined positive psychology to be considered as the sci-
ence of “human flourishing” or what could be portrayed as the “anatomy of
happiness.” According to Gable and Haidt (2005), “It is the study of positive
emotions and experiences that contribute to flourishing and optimal per-
formance” (22). As noted by Seligman on the Positive Psychology Website,
“Positive psychology seeks to understand and build the strengths and virtues
that enable individuals and communities to thrive” (Rao 2013, 209).
Through a series of research and study, conducting massive and extensive
questionnaires, Seligman discovered that the most fulfilled and optimistic
people were ones who found and utilized what Seligman called their “signa-
ture strengths.” These strengths included but were not limited to humanity,
self-restraint, and persistence. His vision of happiness was backed by the
quality and the ethics of Confucius, Mencius, and Aristotle, plus the power
of modern psychology, using empowering theories, such as motivation and
self-awareness, Seligman concluded that personal happiness in one’s life
has three proportions that one can develop, nurture, and encourage: (1) the
Pleasant Life, (2) the Good Life, and (3) the Meaningful Life (Seligman 2002).
Feelings and emotions have a strong impact on thoughts, which, in turn,
cause actions. But which one comes first? Do feelings generate thoughts, or
do thoughts create feelings? It is difficult to speak scientifically, and with cer-
tainty about which one comes first and affects the other. However, it can be
said that either way can be true and could happen. Sometimes when feeling
sad, upset, or resentful, negative thoughts filter in about ourselves, oth-
ers, or the situation itself. Other times, those negative thoughts about some
past events or relationships might initiate feelings of sadness, being upset,
or even experiencing anxiety. This process also applies to having positive
thoughts which generate positive feelings or feelings which bring back some
happy thoughts (Bakhshandeh 2015).
46 ◾ A Foundation for the Coaching Journey

Based on the foundation of Positive Psychology, selecting happiness will

generate it more often. Positive psychologists focus on the positive side of
people’s lives and emphasize what is working in their lives versus what is
not working. It means looking at the brighter side of the issue, or as an old
saying goes, looking at the glass as half full versus half empty. A big move-
ment and a whole new field of research of this empowering approach exist
and have a great influence on individual and team coaching approaches
with direct and positive results on individual interventions.

Appreciative Inquiry
This segment is an introduction to AI and its related concepts, design, and
principles. Many professional consultants are familiar with and use AI in
their work as AI Practitioners with organizations and as a form of individual
intervention and executive coaching. AI is a process and approach for cre-
ating a positive change. This process is applicable to individuals, such as
executives or senior/junior managers, a particular department or a team in
the company, or to the organization as a whole. AI can be used for strategic
planning, cultural transformation, staff training, future building, and leader-
ship development (Cooperrider, Whitney, and Stavros 2008).
According to Cooperrider and Whitney (n.d.), “Appreciative Inquiry is the
cooperative search for the best in people, their organizations, and the world
around them. It involves systematic discovery of what gives a system ‘life’
when it is most effective and capable in economic, ecological, and human
terms” (“Appreciative Inquiry Commons” n.p.). Fundamentally, AI processes
are comprised of asking a series of empowering and positive questions
that reinforce and increase the potential for people to raise possibilities
in a positive and nonthreatening environment. According to White (1996),
“Appreciative Inquiry focuses us on the positive aspects of our lives and
leverages them to correct the negative. It’s the opposite of problem-solving”
(“Appreciative Inquiry Commons” n.p.).
Regardless of how the Appreciative Inquiry Model (AIM) is one of the
main approaches of Organization Development (OD), in many ways, it is
different from traditional OD. That being said, one can conclude that AI has
its own concepts and is operating from its own distinct paradigm. According
to Cooperrider et al. (2008), the concept of the AI paradigm is that human
beings regularly explore ways to organize their emotions, thoughts, and
beliefs into tidy and easy-to-understand contexts in order to better com-
prehend complex notions and ideas. Because of this, when we gather and
 Performance Coaching ◾ 47

organize complex notions and ideas into a simple and easy-to-understand

context, then we have formed a paradigm.

The Five Principles of Appreciative Coaching

Sourced by Appreciative Inquiry
The appreciative coaching has five fundamental principles, which are
the core philosophy for its approach (Oren, Binkert, and Clancy 2007) as
follows:

◾ The Constructionist Principle. Throughout the intervention, the

coaches should look for statements by the coachees about their under-
standing of themselves and their perspective and fabric of their lives,
their families, and their careers and to keep bringing them back into
being whole and complete without any judgments on their past failures
and shortcomings. Coaches must make sure to point out their strengths,
their gifts, and abilities (Oren et al. 2007).
◾ The Positive Principle. The coaches should keep focusing on pre-
senting or emphasizing the positive effects around the coachees’
strengths and achievements. They should keep changing the coachees’
language by redirecting their negative and problematic language to
positive and resolution-related language (Oren et al. 2007).
◾ The Poetic Principle. The coaches must pay close attention to the
coachees’ stories that they are saying about themselves. They must use
the situations to encourage and assist them to rewrite elements of their
stories by establishing themselves in positive ways, distinguishing new
possibilities, and transforming their problems into strengths (Oren et al.
2007).
◾ The Simultaneity Principle. The coaches should keep in mind to
continue their inquiry as the source of awareness that would guide
the coachees to the change. The appropriate questions are helping the
coachees see their present challenges or hardships in a new perspec-
tive. They should pay attention to the connection between positive
inquiry and where it could take the coachees and their experiences
(Oren et al. 2007).
◾ The Anticipatory Principle. The coaches could be very instrumental
in assisting the coachees to generate positive and empowering views
of themselves via self-declarations and visions for their future. It is
an innate and natural characteristic of human beings to visualize and
anticipate their future (Oren et al. 2007).
48 ◾ A Foundation for the Coaching Journey

Stages of Appreciative Coaching

According to Cooperrider, Whitney, and Stavros (2003), “[t]he Appreciative
Inquiry, 4-D Cycle is a dynamic, iterative process of positive change” (101).
Besides the philosophical nature of Appreciative Inquiry, it is also an attempt
to arrive at a personal and professional change. Please note that later on the
fifth stage, the Define stage as the first stage of the process, was added to
the original 4-D Cycle, Discovery, Dream, Design, and Destiny and made it a
5-D Cycle (Watkins, Mohr, and Kelly 2011). Regardless of where or for what
purpose AI is being used, most of the time the AI approach includes the
aforementioned 5-D process, which could vary in duration. Depending on
the size of the organization and what needs to be achieved, this process can
go from something like two days to a year or more. Overall, the AI process
is empowering, positive, effective, and easy to comprehend.
During coaching sessions with clients, the coaches will guide the
coachees through the main five stages of AI and ask a set of questions
designed to walk them through the 5-D process and assist them in getting
present to their dreams and desired future from an empowering perspective
versus trying to overcome a possible failure. Basically, it is looking at “What
is working?” versus “What is wrong?” The phases of 5-D are as follows.
Figure 2.4 displays the process and relationship between the steps of AI
that high-performance coaches or mangers-as-coaches can use to support

Figure 2.4 Appreciative Inquiry Stages and Model.

Source: Adapted from Rothwell et al. (2016).
 Performance Coaching ◾ 49

the implementation of their high-performance coaching process and ques-

tioning process.

◾ Define Stage. In this stage, the coaches assist the coachees in defin-
ing their interests and desired topics for the coaching relationship. This
stage is about the coachees’ topics of interest and on what they are
focusing. In this stage, the coaches encourage the coachees to come
with ideas of who else needs to be involved and what they need to
bring to the game to accomplish their intention and the topic on which
they are focusing. The main inquiry in this stage is all about “what it is”
and “who is involved?” (Cooperrider et al. 2003).
◾ Discovery Stage. In this stage, coaches establish a positive connection
between themselves and the coachees and lead them to an empowering
view by confirming the wisdom of what is possible and to look at the
best aspects of what it is at this moment. This is the stage during which
the coaches will establish a positive connection with the coachees and
lead them to an empowering view of themselves. This is the stage for
assisting the coachees in creating possibilities and seeing opportunities
for themselves and their future. This stage is all about the coachees’
discoveries of what is possible and the source of their aspirations. The
primary inquiry in this stage is around “why things are the way they
are now” (Cooperrider et al. 2003).
◾ Dream Stage. In this stage, the coaches encourage the coachees to
generate empowering images of possibilities by inviting them to express
and share about their desired futures. The main inquiry in this stage
is about “what could be,” imagining what is possible for the coachees
and their lives. The coaches will encourage the coachees to imagine the
future and what their lives would look like in that future. In this stage,
the coaches are assisting the coachees to put their aspiring futures into
words and verbalize them (Cooperrider et al. 2003).
◾ Design Stage. In this stage, the coaches would support their coachees to
bring their desired dreams or futures into light and focus by asserting the
realities of those dreams or futures. This is the stage for inquiry in to “how
it could become” and defining the idyllic pictures of what the futures could
be. At this stage, the coaches assist the coachees to focus on their inten-
tions and confirm the reality of their dreams by supporting the coachees to
design an action plan established on reality (Cooperrider et al. 2003).
◾ Destiny Stage. This stage focuses on “what will be,” and how to
empower, learn, and adjust/improvise (Cooperrider et al. 2003, 101). At
50 ◾ A Foundation for the Coaching Journey

this stage, the coaches help their coachees to distinguish their dreams
and realize them in the present time, by empowering them to expand
their capacity to create the desired future and inspire them to stick to
their action plans. In this stage, coachees learn to keep their dreams
alive and in front of themselves. The main inquiry at this stage is about
“what it will be” (Cooperrider et al. 2003).

Asking Positive Questions Lead to Positive Inquiry

and Change
As Lee (2021) stated, “[t]he statement that ‘positive questions lead positive
change’ should not need any scientific proof to be confirmed” (23). The use
of positive psychology and the application of AI bring positivity in per-
formance conversation and a high-performance coaching approach. The
Appreciative Inquiry Model with the positive psychology as the background
of the coaching approach uses a series of positive questions to uncover and
unleash the coachees’ potential, while focusing on individuals’ or teams’
strengths and what is working versus forcing on apparent problems or
weaknesses.

Elements of Performance Conversations Framework

The overall concept of the Performance Conversation approach has a
framework that utilizes a series of conversations and dialogues that pro-
mote a string of positive and effective outcomes for improving individuals,
teams, and organizations’ performances. Performance Conversation frame-
work assists high-performance coaches in delivering their coaching to an
employee or a team to produce greater success, develop more needed skills,
and inspire them to aim for gaining an overall professional career (Lee 2021;
Cardy and Leonard 2011). Table 2.1 displays these frameworks in regard to
the organization as well as to individuals and teams.

Performance Conversation Reflection

Table 2.2 is designed for high-performance coaches to review employees’
performance each quarter by asking the employees/coachees to look into
what they need to succeed in their performance. You, as high-performance
coaches or managers-as-coaches, can modify the quarterly list of questions
or ask the employee if they want to add anything new to this list.
 Performance Coaching ◾ 51

Table 2.1 Elements, Purpose, and Benefits of Strong Framework for Performance
Conversation.
Elements, Purpose, and Benefits of Strong Framework for Performance Conversation
For Organizations
# Area Purpose
1 Rapport Establishing and building a mutual, effective, and
purposeful relationship among the manager and employee
resulting in a professional partnership.
2 Coaching Concentrating on individuals, teams, and developing high
performance, productivity, and professional well-being.
3 Alignment Ensuring consistency in application and direction of
coaching efforts with other departments and overall
organizational vision and goals.
4 Performance Discovering pathways to empower individuals, teams, and
improvement departments to perform better, faster, and more effectively.
5 Responsibility and Giving responsibility and holding individuals and teams
accountability accountable for their work performance, work progress,
results, and overall success or failures.
6 Feedback Providing input and information as a result of observation,
conversation, or collected data concerning past or present
efforts, results, and behaviors.
7 Envisioning Envisioning the possibility of efforts and potential of
change interventions to make individual or team
performance improvements.
8 Investment Expending on budget, time, and effort for supporting
employees’ interest, engagement, and participation.
9 Retention Working on retaining employees who are providing values,
showing appreciation, and being productive and high
producers vital to their teams.
10 Developing Developing and building strength in individuals and teams
strengths to produce high performance and effective teams.
For Employees/Coachees
# Area Purpose
1 Career Discussing employees’ future with the organization or
development other career development, giving professional advice for
skill-building or improvement opportunities.

(Continued)
52 ◾ A Foundation for the Coaching Journey

Table 2.1 (Continued)

For Employees/Coachees
# Area Purpose
2 Affirmation Confirming employees’ correct career pathway and letting
them know they are doing well and progressing in their
process.
3 Growth and Discussing possibility for growth in available formal and
development informal opportunities to learn more and develop new
skills and competencies.
4 Promotability Defining employees’ interests and potential professional
growth in taking on promotions and new positions or
assignments.
5 Recognitions Appreciating and acknowledging an employees’ work
progress, performance, or success.
6 Leadership Providing space for employees to step into leadership
positions or have the opportunity to provide leadership in
their teams or departments.
7 Problem Solving Teaching problem-solving techniques and developing
employees to remove obstacles and barriers to their
higher performance.
8 Partnership Developing a working environment that promotes
partnership and creativity and acknowledges
collaborations.
9 Mentorship Acting as mentor side by side of the performance coaching
relationship and developing employees to mentor one
another in productivity and better performance.
10 Reflection Reflecting on their performance and the coaching
relationship to gain insight by reviewing or evaluating their
own efforts and gaining empowerment.
Source: Copyright 2021 by Behnam Bakhshandeh.

What Is Performance Management?

Performance coaching helps individuals improve their job performance. Per-
formance management is the process of identifying productivity targets for
individuals, teams, departments, divisions, or organizations. Consequently,
performance coaching can be a means to the end of improving performance
management.
 Performance Coaching ◾ 53

Table 2.2 Quarterly Performance Conversation and Reflection Check List for
Employees and Coachees.
Quarterly Performance Conversation and Reflection Check List
Participant: Team:
Supervisor: Department:
Directions:
This is completed quarterly based on short interviews and performance coaching
conversations.
These questions are part of a conversation between the coaches and coachees and
are designed to focus on all the things employees need to succeed in their job/
work and produce the expected performance and results. If you (coaches or
coachees) feel something is not mentioned or covered here, bring it up in the
conversation and add it for future use.
Not
Quarter Questions/Reflections Yes No Comment
Sure
I know what I need to do to be successful at
my job/work.
I know the reason for what I do and why it
matters.
I have all the support I need for completing
my job/work.
I have enough tools and resources to
perform my job/work.
1st
Quarter I have all the necessary skills and
competencies to complete my job/work.
I have all the needed training to perform my
job/work.
Other:
Other:
What I learned and how do I feel about today’s coaching and
performance conversation?

Questions/Reflections Answers
2nd
Quarter What are the two things I would change if I 1.
could change them? 2.
(Continued)
54 ◾ A Foundation for the Coaching Journey

Table 2.2 (Continued)

Quarterly Performance Conversation and Reflection Check List
Questions/Reflections Answers
What are the two actions that would produce 1.
a better outcome in my performance? 2.
What are the two obstacles that are 1.
hindering my job/work? 2.
What are the two things that I am enjoying 1.
most about my job/work? 2.
What are the two challenges in my job/work 1.
that make me feel fulfilled? 2.
Please explain “why” concerning the above 1.
question. 2.
Other:
Other:
What I learned and how do I feel about
today’s coaching and performance
conversation?

Not
Questions/Reflections Yes No Comment
Sure
I know what I need to do to be successful at
my job/work.
I know the reason for what I do and why it
matters.
I have all the support I need for completing
my job/work.
3rd
Quarter I have enough tools and resources to
perform my job/work.
I have all the necessary skills and
competencies to complete my job/work.
I have all the needed training to perform my
job/work.
Other:
Other:
 Performance Coaching ◾ 55

What I learned and how do I feel about

today’s coaching and performance
conversation?

Questions/Reflections Answers
What are the two things I would change if I 1.
could change them? 2.
What are the two actions that would produce 1.
a better outcome in my performance? 2.
What are the two obstacles that are 1.
hindering my job/work? 2.
What are the two things that I am enjoying 1.
4th most about my job/work? 2.
Quarter
What are the two challenges in my job/work 1.
that make me feel fulfilled? 2.
Please explain “why” concerning the above 1.
question. 2.
Other:
Other:
What I learned and how do I feel about today’s coaching and
performance conversation?
Source: Adapted from Lee (2021); Rothwell (2015); Cardy and Leonard (2011); Bakhs-
handeh (2008).

“Performance management is a critical and necessary component for

individuals and organizational effectiveness” (Cardy and Leonard 2011, 3).
Regardless of the improvement needed or planned, whether it be managing
a group, giving feedback to a subordinate, reporting to your senior manager,
coaching your employees, or managing your performance, performance
management is needed for these actions (2011).
“Performance management is an integrated process of defining, assess-
ing, developing, and reinforcing employee work behaviors and outcomes”
(Cumming and Worley 2015, 440).
Often, organizations that implement a well-designed performance
management process outperform competitors that ignore these issues.
56 ◾ A Foundation for the Coaching Journey

Performance management incorporates (1) setting goals, outcomes, and

declaring intentions; (2) designing well-intentioned performance evaluation
and appraisal; (3) incorporating a fair and promotion and reward system;
and (4) training and development programs for their workforce in all levels
of operation (2015). See Figure 2.3.
The combination of these practices positively influences individual per-
formance, which directly affects the team and group performance, making
the organization realize its goals and outcomes. Performance management
occurs in the background of three contextual considerations (see Figure
2.3) that determine how the aforementioned four elements of performance
management practices change work performance in a better direction: (1)
business plan and strategy, (2) workplace systems and technology, and (3)
employee involvement and engagement (2015).

Business Plan and Strategy

This element of performance management involves setting goals, creating the
outcomes and organization’s objectives, designing policies, intentions, and
anticipated relationships between the organization and its internal and exter-
nal environment, and ultimately what it takes to achieve effectiveness (2015).

Workplace Systems and Technology

An organization’s systems and their technology affect whether performance
management practices and procedures should be established and centered,
focusing on the individuals, teams, or groups. On the one hand, when
the work activities are low in interdependency, and work procedures are
intended for individual job performance, the whole elements of goal setting/
outcomes, performance evaluation/appraisal, development approaches, and
promotion/reward systems are intended for the individuals’ work and behav-
iors. But when work is highly interdependent among teams and groups and
is designed for team or group work, performance management will concen-
trate on group behaviors and performance (2015).

Employee Involvement and Engagement

In organizations with highly bureaucratic systems, there are low levels
of employee involvement. Goal setting, performance evaluation, work-
force development, and promotion/reward systems are mostly overseen
 Performance Coaching ◾ 57

by managers. However, in organizations with high employee involvement,

performance management is highly participative, involving both employees
and managers to set goals, establish a proper promotion and reward system,
decide on suitable training and development programs, and create relevant
evaluation and appraisal plans (2015).

The High-Performance Coaching Model

The high-performance coaches or a managers-as-coaches need to man-
age the high-performance coaching, the intervention process, and imple-
mentation of changes in order to increase and enhance the individuals’
and team’s performance. The following model in Figure 2.5 displays the

Figure 2.5 Performance Management Model.

Source: Adapted from Cumming and Worley (2015).
58 ◾ A Foundation for the Coaching Journey

performance coaching model we present in this book that is a proven

design for assisting the high-performance coaches in applying an effec-
tive and manageable model for performance coaching and performance
enhancement.
Using this model (see Figure 2.6), the high-performance coaches should
pay attention not only to internal factors, such as employees, policies,
procedures, and training but also to external factors, such as customers,
distributors, suppliers, and other potential stakeholders. The high-perfor-
mance coaches must always consider all the four environments that affect
human performance: (1) Who? The workers, employees, and personnel;
(2) What? The activities, the work, jobs, and performances; (3) Where? The
context of the work, location, teams, and groups; and (4) organizational
environment. The vision, mission, policies, procedures, and culture were
displayed in Figure 2.1.
The Performance Coaching Model steps presented in this book are dis-
cussed, expanded, and explained in detail throughout the chapters. The
book chapters follow the process of performance coaching step by step by
providing processes, exercises, and business examples to provide clarity for
performance coaches and managers-as-coaches to follow and provide educa-
tion and coaching for their employees. These steps (as shown in Figure 2.6)
are as follows:

(1) Analyze what is happening

– Understand and uncover the actual issues at hand and what is occur-
ring at the present time as a result of individuals’, teams’, and groups’
performance.
(2) Identify what should be happening
– Imagine and visualize what should be occurring. Support the idea
of what should be happening by linking them to required criteria,
expected job performance standards and key performance indicators
(KPIs).
(3) Clarify present and future gaps
– Explain and clarify the current gaps showing up at the present time
and also potential gaps that most likely will show up in the near
future.
(4) Determine the importance of the gaps
– How important are these gaps? Define the importance of these cur-
rent and potential future gaps and their significance of their impact
on the organization.
 Performance Coaching ◾ 59

Figure 2.6 The High-Performance Coaching Model.

Source: Copyright 2021 by William J. Rothwell.

(5) Identify the cause of the gaps

– Discover the underlying origins and root cause of these gaps and
how they became the issues at hand.
(6) Select strategies that close the gaps
– Conduct brainstorming and problem-solving processes and select
high-performance strategies that would close theses current and
future gaps.
(7) Assess the potential outcome of changes
– Calculate and evaluate the potential negative and positive outcomes
of implementing the strategies and their potential side effects.
(8) Select an action plan for executing strategies
– With the partnership of related managers and supervisors, design a
detailed performance-based action plan for executing the high-per-
formance strategies.
60 ◾ A Foundation for the Coaching Journey

(9) Execute that action plan and strategies

– Execute the designed action plan and agreed-on high-performance
strategies and manage the process by engaging relevant managers
and supervisors.
(10) Evaluate the outcome of the intervention
– Evaluate the progress during the process and postimplementation.
Evaluate the final outcomes and provide constructive feedbacks.

Who Is a High-Performance Coach?

Anyone with proper training can be a performance coach. That includes man-
agers, talent development or learning and development practitioners, or even
workers. Performance coaches can also be external coaches, consultants, OD
practitioners, change agents, or others familiar with performance coaching.

Selecting a Change Agent as a High-Performance Coach

This individual is trying to convince the organization to agree with the
needed activities and intervention for a change. Given that the majority of
changes’ sources originates from dissatisfactions, the most dissatisfied man-
ager or supervisor should take on to be the change agent, “[d]riven by dis-
satisfaction, change agents seek innovative solutions to tough problems or
create improvement strategies to take advantage of opportunities they see”
(Rothwell 2015, 65).
The position of the change agents can be an insider (a senior or junior
manager, internal OD practitioner, HR director or manager, or the high-
performance coach as a manager-as-coach) or a professional outsider
(external OD practitioner, HPI or HPE practitioner, business consultant,
or an executive coach). By having proper training and knowledge of the
work, an internal change agent can fill the position of a performance
coach. The external change agents are usually selected by solicitation of a
name recognized by an OD practitioner or consultant group, or referral of
other organizations’ executives or senior managers.

Coaches’ Strengths, Skills, and Competencies

Few managers can demonstrate coaching skills without proper training.
Talent development and learning and development practitioners need to
acknowledge and even embrace, the increasing importance of personal and
 Performance Coaching ◾ 61

professional coaching. Coaches need to have confidence in their ability to see

through the issues and possess the competencies to keep the clients focused
on them (Bakhshandeh 2015; Bakhshandeh 2009; Bakhshandeh 2008).

Compassion
Compassion is one main element of successful coaches. Coaches must rec-
ognize that clients would change on their own if they could and that clients
are experiencing pain, suffering, or ineffectiveness (2015, 2009, 2008).

Patience
Coaches need patience. Having patience with others is a helpful addition
to empowering clients to grow self-aware and achieve self-realization. Not
everyone works at the same speed when uncovering their personalities,
behaviors, and attitude; not everyone is immediately willing to take com-
plete responsibility for their situations and own who they can become as fast
as their coaches or other people (2015, 2009, 2008).

Keen Listening
Coaches must be keen listeners. And they must know to listen for feelings as
well as facts. Coaches must know how to listen for facts or mere perceptions
of facts (2015, 2009, 2008).

Personal Responsibility
Clients should take responsibility for their choices. The source of suffer-
ing for coachees is often avoiding making choices or not being committed
to the choices they make. Choosing is easy. What is hard is maintaining
and empowering those choices. The world is full of people who don’t take
responsibility! They just want to blame something or someone for their
lack of their personal or professional happiness, fulfillment, or effectiveness
(2015, 2009, 2008).

Reality versus Interpretations

People need to be reminded of the differences between reality (what is
really happening) and interpretations (how we perceive what is happening).
Our interpretations result from our filters of experience (2015, 2009, 2008).
62 ◾ A Foundation for the Coaching Journey

Coaching Competencies According to ATD and ICF

According to the ATD (2014) (Association of Talent Development) and ICF
(2011) (International Coaching Federation) websites, coaches should be able to
demonstrate eleven competencies. These competencies are designed for regular
life or business coaching; however, their value is still relevant for performance
coaches.

Establish a Coaching Agreement

A coach can work with coachees to devise detailed and relevant contracts
that would provide a safe and workable space. That agreement should out-
line the relationship between coaches and coachees, their scope of work,
and their expectations.

Establish Trust and Intimacy with the Client

No progress is possible without trust and a working bond between
coaches and coachees. Trust allows for respect and teamwork among the
two parties.

Display Coaching Presence

It is essential to maintain the coaching relationship. It should be clear what
the coaching commitments require from coaches and coachees.

Demonstrate Active Listening

Coaches should listen without interruption, judgment, and personal
agendas. Coachees talk to their coaches because they trust the coaches.
Performance coaches should be present and available to coachees.

Ask Powerful Questions

Present questions as an inquiry and make sure coachees are benefitting
from digging deeper versus just providing a potential “coach pleasing”
answer. Questions posed by the coach should forward the inquiry and
lead to desired outcomes. Coaches should keep the questions on
track.
 Performance Coaching ◾ 63

Use Direct Communication

Coaches should not tiptoe around the issues they are finding or to which the
coachees are not comfortable facing. Straight, direct, and respectful commu-
nication makes a difference. Coaches should establish the rules of communi-
cation when negotiating the coaching agreement.

Create Awareness
Coaches should make sure the coachees learn something new about
themselves and their behaviors or decision-making processes. Try to
make sure that coachees feel that the “light bulb” is going on during each
interaction.

Design Learning Opportunities

Learning opportunities will occur when direct inquiry happening. Coaches
should offer additional materials such as books, articles, and other resources
to support coachees’ learning progress.

Develop Goals and Plans

Without established goals and action plans to fulfill those goals, coaching
sessions are nothing more than friendly conversations. Nothing occurs with-
out structure and planning.

Manage Progress and Accountability

Set deadlines for assignments or inquiries, follow up with the coachees
about what they said they would do, hold them responsible for their results,
and make them accountable for following your agreements.

Meet Ethical Guidelines and Professional Standards

Follow ethical and professional standards, such as not getting involved with
coachees on a personal level, not overcharging them, keeping their informa-
tion confidential, and other ethical codes of conduct you can find on any
professional coaching website.
64 ◾ A Foundation for the Coaching Journey

The High-Performance Coaching Process

The entire book is about guiding and coaching a performance coach to con-
duct high-performance coaching for individuals, teams, and organizations. The
following segment presents (1) a model for general actions required by a per-
formance coach and (2) the performance coaching process from the coach’s
perspective. In subsequent chapters, we will go through any of these steps
in-depth and use tools, processes, and business examples to distinguish these
steps further.

A Model for General Actions by a Performance

Coach
We can summarize the general view and expected actions by performance
coaches on the next general steps, as shown in Figure 2.6. (Model for
Performance Coach Actions). Obviously, each action and step have their
related elements and procedures which will be explained in detail in the
chapters of this book.

Performance Coach
Trained and experienced managers-as-coaches are familiar with the work
process and have knowledge, skills, and abilities to coach performers to a
higher level and increased productivity. There are several skills and compe-
tencies that are required for performance coaches to be able to conduct their
responsibilities. These required abilities, skills, and competencies will be
reviewed in subsequent chapters.

Access the Situation

Performance coaches need a higher manager’s support and backing to con-
duct their work to the best of their abilities. One of these supportive actions
is permission to access the situation in hand. For example, sometimes the
performance coach is an external agent or an internal agent but not work-
ing on a certain department or a team. In this case, a senior manager or a
department manager needs to introduce the performance coach and help
the coach to assess the current performance situation. This is the time to
establish a rapport with any individual in question or the rest of the team
that is facing low performance.
 Performance Coaching ◾ 65

Identify the Current Situation

This is the time to start investigating the current situation and recognizing
what is actually going on and identifying performance gaps or areas that
need a performance improvement.

Compare to the Ideal Situation

At this time, the performance coach needs to understand which ideal perfor-
mance situations to compare to the actual and current situation and what the
team or organization wants to have or achieve.

Plan for Closing the Gap

After the detailed comparison between the current situation and the ideal sit-
uation, the performance coach needs to help the individual or team develop
an action plan to close the current performance gaps or improve perfor-
mances. This plan needs to be related to the processes and procedures that
individuals or teams are using to perform their tasks, jobs, and work.

Implement a Corrective Plan

Now, the performance coach needs to work with individuals or teams to
coach them in how to complement the action plan, manage the process, and
evaluate the performance and effectiveness of the action plan.

Figure 2.7 Model for Performance Coach Actions.

Source: Copyright 2021 by Behnam Bakhshandeh.
66 ◾ A Foundation for the Coaching Journey

The Process of High-Performance Coaching

from Coach’s Perspective
Figure 2.8 represents what high-performance coaches need to conduct step by
step to accomplish in the form of questions that they should ask themselves
during high-performance coaching. Performance coaches or managers-as-
coaches should pose these questions to guide the coaching process produc-
tively and effectively.
These twelve questions are designed to direct the high-performance
coaches’ mindset and focus on step-by-step activities that need to be done
to implement an effective high-performance coaching process. We follow

Figure 2.8 The Step-By-Step Process of High-Performance Coaching Model from a

Coach’s Perspective.
Source: Copyright 2021 by William J. Rothwell.
 Performance Coaching ◾ 67

the order and steps of this high-performance coaching process while

developing high-performance coaches and managers-as-coaches in this
book.
Table 2.3 presents the twelve steps in Figure 2.8 in much detail for a per-
formance coach to use during the assessment of performance situations. As
we have mentioned earlier, we will go through each of the twelve steps in
deeper detail during the process of this book.

Table 2.3 High-Performance Coaching Tool.

Performance Coaching Tool Used by a High-Performance Coach
Directions:
For each question listed in the left column below, take notes on what you will do in a
specific situation in the right column.
Questions to Ask in High-Performance Actions to Take for Providing Answers
Coaching
1 How can the consultant/manager or a
performance coach establish rapport
and a contractual relationship with a
coachee?
2 What is the present situation that
requires coaching? What is
happening? What is the issue at hand?
(Please describe it in detail)
3 What should be happening? What is
the ideal situation or condition? What
are the targets or planned results?
(Please describe the desired target)

4 What is the measurable gap between

what is happening (step 2 above) and
what should be happening (step 3
above)? Do you have a job
performance standard or KPIs?
5 How important is the identified gap?
How do you determine the
importance or significance of these
gaps? How do you come up with that
conclusion?
(Continued)
68 ◾ A Foundation for the Coaching Journey

Table 2.2 (Continued)

Performance Coaching Tool Used by a High-Performance Coach
6 What are the root causes of the
identified gap? What happened? What
was missed? What are the sources of
gaps?
7 How many ways can the gap be closed
by addressing the root causes? What
are our options? (Brainstorm on
possible solutions)
8 What is the most cost-effective and
impactful way to close the gap by
addressing the root causes? (Pick the
best or most feasible solution)
9 What are the likely consequences,
positive and negative, of efforts to
close the gap by addressing the root
causes? What are the side effects of
the solution?
10 What will happen if the solution is not
implemented? What are the likely
consequences of inaction?
11 How can the solution be implemented?
How much time, money, and other
resources are available for
implementation?
12 How can the results of the solution’s
implementation be evaluated?
Source: Adapted from Rothwell (2015).

The Coach–Coachee Relationship

The relationship between the coach and coachee is vital to accomplish-
ing the goals set for the coaching process. Regretfully, there have been few
research studies on effective coach–coachee relationships (Baron and Morin
2009). However, we can look at the definition of coaching by the Oxford
Dictionary that defines coaching as a verb to “tutor, train, give hints to,
prime with facts.”
 Performance Coaching ◾ 69

On the one hand, this definition doesn’t help define the relationship
between coaches and coachees because tutoring, training, giving hints, and
priming with facts can be done in many shapes and forms—and may even
occur when no coaching relationship exists. But coaching is related to how
these distinctions are delivered, what is delivered, what was hidden, and
what was uncovered. The coaching approach provides coachees with access
to produce unprecedented results because of the intimate, caring, and sup-
portive rapport between the coaches and the coachees.

Manager-as-Coach
To explain it simply, the manager-as-coach approach means that manag-
ers acts as coaches for those reporting to them. Managers may thus serve
as coaches to individuals or teams. Effective managers-as-coaches provide
support for their employees. Managers-as-coaches facilitate their employees’
development instead of controlling and dictating what to do.
As good as it might sound, the fact is this: a manager is also an
employee, which creates a paradox. Whitmore (2009) explains this paradoxi-
cal issue as

a paradox because the manager traditionally holds the paycheck,

the key to promotion, and also the ax. This is fine so long as you
believe that the only way to motivate is to send the stick through
the judicious application of the carrot. However, for coaching
to work at its best, the relationship between the coach and the
coachee must be one of partnership in the endeavor, trust, safety,
and minimal pressure. The check, the key, and the ax have no
place here, as can serve only to inhibit such a relationship
(20).

Because of this paradox, Whitmore (2009) asks a valid question “Can a

manager, therefore, be a coach at all?” (20). And the answer provided by
Whitmore (2009) was “Yes, but coaching demands the highest qualities of
those managers’ empathy, integrity, and detachment, as well as a willingness,
in most cases, to adopt a fundamentally different approach to their staff” (20).
Besides this quality, managers-as-coaches must find their way through the
maze of coaching subordinates, which makes having coached for themselves
an ideal resolution for their development as coaches and for developing skills
to cope with potential resistance from their employees or the questioning of
70 ◾ A Foundation for the Coaching Journey

their approaches from their own higher managers who may compare their
approaches with traditional management styles (Whitmore 2009).

Does Coaching Help Businesses’ Competitiveness?

“Twenty-first-century organizations face an unprecedented challenge in
the form of global competition, changing markets, customer demands,
and investor expectations. Management development has grown into a
multibillion-dollar industry” (Kochanowski, Seifert, and Yukl 2010, 363).
As organizations seek to be part of a global market in their industries, the
need for a competent and skillful workforce becomes more evident and sup-
ports the argument of providing more effective leadership development of
employees. That is why organizations spend approximately fourteen billion
dollars a year in employee training and managerial development, and per-
formance coaching, hoping for better work performance and productivity
(Kochanowski, Seifert, and Yukl 2010). According to research focused on the
influence of coaching in business competitiveness by Vidal-Salazar, Ferrón-
Vílchez, and Cordón-Pozo (2012), the results show that “coaching substan-
tially increases the level to which processes of improvement are established
within organizations, consequently increasing the competitive capability”
(Vidal-Salazar et al. 2012, 423). The evidence of coaching increasing in
global organizations shows the influence of managerial coaching due to a
constant prerequisite for Workplace Learning and Performance and innova-
tion for modern organizations to stay competitive in their relevant market
(Kim 2014).
There is an assumption among business observers that organizational
leaders see a positive impact from coaching. It is used as a way to compete
for talent as well as to develop managers and workers.

Key Points to Remember

Here are some key points from this chapter:

◾ Trust the process

– Performance coaches should inform, support, and encourage
coachees to trust coaching and apply the distinctions, practices, and
methods designed to empower them (Bakhshandeh 2009).
 Performance Coaching ◾ 71

◾ Manager-as-coach as an instrument
– Managers who coach have a big influence on those reporting to
them. Managers can provide their knowledge, abilities, and skills to
direct, consult, support, and advice to be an effective instrument of
the change effort (Cheung-Judge and Mee-Yan 2012).
◾ Authority versus leadership
– Running a coaching program as an authority figure is a traditional
management approach used in many organizations. Unfortunately,
research has shown that a traditional management style can produce
more resistance than engagement and participation (Satell 2014).

Coaching and Developmental Questions for

Managers
Consider the following questions:
(1) How do you rate yourself from 1 to 10 (1 being the lowest and 10 being
the highest) as a performance coach?
(2) How do you rate yourself from 1 to 10 (1 being the lowest and 10 being
the highest) on having a meaningful, trusting coaching relationship with
your subordinates?
(3) How do your coaching skills and competencies compare to those
required for a performance coach?
(4) What competencies do you feel need to be developed for you to be a
more effective performance coach?

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Chapter 3

Mindset, Attitude, Behavior,

and Performance
Behnam Bakhshandeh

How Individual Mindset, Attitude, and Behavior

Impact Individual and Team Performance
Coaches help coachees develop awareness of their behaviors and attitudes
and spark self-awareness. This approach is made possible by guiding coach-
ing participants from a state of unconscious incompetence to a state of
conscious incompetence, which is the first step to coachees’ understanding
how much they don’t know and the necessity of the execution of corrective
measures in their behavior and attitude, which will directly and positively
influence the organization’s strategy for achieving the desired productivity
(Vidal-Salazar, Ferrón-Vílchez, and Cordón-Pozo 2012).
This chapter reviews mindset, attitude, behavior, and how they relate to
job performance. In this chapter, readers will become familiar with emo-
tional intelligence (EI) and its role in developing individual and team perfor-
mance. Chapter 3 will cover these issues:

◾ the influence of coaching on productivity and employees’ attitudes• the

relationship between mindset, attitude, behavior, and performance
◾ which one to measure for performance, behaviors, or outcomes
◾ EI for training and development in high performance
◾ EI clusters and competencies and its rating system
◾ the leadership qualities of effective manager-as-coach as its rating system

DOI: 10.4324/9781003155928-4 75
76 ◾ A Foundation for the Coaching Journey

Influence of Coaching on Productivity and

Employees’ Attitudes
We can look at the influence of managerial coaching on different elements
of the workforce and their relationship to productivity and career:

Career Commitment
Coaching has a positive influence on careers and on career progress for
those participating in it. Career commitment refers to how motivated
workers are to persist in their career direction and their attitude toward
their profession. One critical element of career commitment is the nature
of relationships workers experience. Career commitment differs from
workers’ perspectives on the organization or employee personalities (Kim
et al. 2013).

Organization Commitment
Coaching has an impact on organization commitment, which refers to the
psychological and emotional attachment that employees feel about the orga-
nization for which they are working. This relationship is critical to ensure
low turnover and is an important focus of attention for many organizational
leaders (Kim et al. 2013).

Job Performance
Coaching influences workforce effectiveness on the job and is directly
related to individual productivity. Coaching is thus tied to job performance
(Kim et al. 2013).

Sales Increase
The sales of the organization can increase when coaching is used. A
coaching intervention in sales is a high-quality interaction between manag-
ers and their sales team when managers increase their employees’ aware-
ness of many potentially critical elements of their attitude and the impact
of attitude on their sales productivity improvement (Pousa, Mathieu, and
Trépanier 2017).
 Mindset, Attitude, Behavior, and Performance ◾ 77

Relationship between Mindset, Attitude, Behavior,

and Performance
Small events can make a big difference in shaping mindsets, attitudes,
behaviors, and achieving performance. For individuals to recognize their
mindsets and attitudes, they need to reflect. That is not the same thing as
ordinary, day-to-day thinking; rather, it means deep contemplation and
intentional inquiries into state of mind.
A primary distinction between humans and other species is that humans
can think, choose, and set their minds to what they know they can
accomplish.

To be able to think does not wholly depend on our will and wish,
though much does depend on whether we prepare ourselves to
hear that call to think when it comes and respond to it appropri-
ately. Thinking is determined by that which is to be thought as
well as by he who thinks
(Heidegger 1968, xi).

An individual’s attitude can be classified as either good or bad, and it

can greatly affect individual performance. This simple but powerful phe-
nomenon about attitudes can allow us to see ourselves as winners or los-
ers and can be used to perceive others. According to the general public’s
viewpoint, the combination of a positive mindset and energetic attitude
is one of the best behaviors one can have (Snyder and Tanke 1976). In a
simple description, attitude encompasses one’s mindset, perceptions, and
beliefs. These fundamental components add to the individuals we became
and form our skills and behaviors when facing real or perceived challenges
(Yashasvi 2019).
This is a simple example from the Buddhist religion and practice in the
book Zen Speaks by Tsai Chin Chung, which demonstrates the role of mind-
set and attitude that has an impact on someone’s behavior and performance.
This is a story of three stonemasons in the Middle Ages. These stonema-
sons chipped large stones using stone chisels and hammers, chipping away
from large pieces of stones to be used in a construction project. They were
working hard when a visitor, a stranger passing by, stopped and asked them
separately what they were doing. The first mason, who was working hard
and sweating fiercely replied while grumbling. “I am chipping this stone.”
78 ◾ A Foundation for the Coaching Journey

The second mason, who was comparably less distressed than the first mason
sighed deeply and replied, “I am building a road.” The third mason, who
was doing the same hard stonework, responded with a joyful face, “I am
building a beautiful cathedral” (Chung 1994). This short story’s moral is this:
those three men were doing the same work; however, they had three differ-
ent perspectives that affected their work. They would have three different
experiences of their work, their day, and their performance because of three
different behaviors.
Figure 3.1 displays the relationship between mindset, attitude, behavior,
and performance.

Figure 3.1 Relationship between Mindset, Attitude, Behavior, and Individual and
Team Performance.
Source: Copyright 2021 by Behnam Bakhshandeh.
 Mindset, Attitude, Behavior, and Performance ◾ 79

Mindset
Albert Einstein (1879–1955) once said, “reality is merely an illusion, albeit
a very persistent one.” You and I were born into a world of existing ideas,
practices, beliefs, traditions, and rules. Our ideas have been formed by our
experiences with life, family, friends, society, media, and work. The future
we have had until now is a young child’s future shaped and limited by the
conditions that our past determined upon that future. A changing world and
realities require constant updating of personal and social practices. Those
practices and ideas fit an old rather than a new purpose. You and I are
accountable for our lives and the results produced in them.
How will we upgrade past thinking to serve our present and future life?
By recognizing and distinguishing the source of our beliefs. By getting pres-
ent to how much of what we believe to be reality is what we have made up!
Yes, we have made it up! I am not talking about the physical reality, such as
the planet earth being round, the existence of gravity, the human anatomy,
or any other proven physical, biological, chemical, or any other scientific
reality. I am talking about the realities we have made up about ourselves,
others at the workplace, or society in general. “I am not . . . enough,” “I can’t
do . . .,” “I am too . . . to do this,” and many more; just fill in the blanks
the way you are criticizing and limiting yourself. We all have those limiting
thoughts and mindsets—not only for ourselves but also about others too.
What have we done as a human race that has defied the common per-
spective? The invention of the light bulb, reading and writing as a blind and
deaf person, man’s first step on the moon, and many more! What do these
events have in common? Beliefs and mindsets. But what kind of beliefs and
mindsets? Invented ones! They are mindset realities that moved so many
humans to design, invent, and create realities not even imaginable in the
mindsets of present realities of their times. History is full of those invented
realities. There are no limits, there is no difficulty, and there is no “I can’t”
until we say, “It is,” or we listen to others saying, “It is!” What is this amazing
phenomenon that some people have created a mastery of and for so many
others it is still a mystery?” (Bakhshandeh 2009, 19).

Mindset Definition and Types

According to Cherry (2020), individuals’ mindsets refer to their beliefs in their
attributes such as abilities and intelligence and also their perception of others’
attitudes and behaviors. Sometimes these mindsets can be permanent and
80 ◾ A Foundation for the Coaching Journey

stay with individuals for many years or be changeable traits based on percep-
tions about others or altered issues. Dweck (2016) indicates that most people
are trained in these two types of mindsets in their early stages of life, mostly
through their upbringing and or their experiences in school and life:

◾ Fixed mindset, which is by people who believe that abilities and intel-
ligence are inborn, fixed, and unalterable, and
◾ Growth mindset, which is by people who believe that abilities and
intelligence can be thought, developed, and reinforced through interest,
motivation, and commitment (Dweck 2016).

Attitude
Attitudes demonstrate how individuals think (cognitive expression), how
they feel (affective expression), and how they are inclined to behave (behav-
ioral expression) concerning other people, events, and other subjects
whether it be positively, negatively, or indifferently. Generally, when people
have an optimistic view of themselves and others, feel good about events,
and have constructive beliefs, then they have a positive attitude. When they
behave negatively toward themselves and others and are pessimistic about
events or groups, they have a negative attitude.
Though attitude includes the mind’s tendency toward particular people,
ideas, organizations, values, or social systems, behavior correlates to the
definite manifestation of feelings through a form of actions or inactions as
communication and body language (Bainbridge Frymier and Keeshan Nadler
2017). One school of thought points at possible changes in one’s attitude,
but gradually. Many organizations have attempted to change their difficult
employees’ attitudes and create a workable and productive working environ-
ment through a variety of change interventions, training, and development
undertakings (Yashasvi 2019).

Behavior
The by-product of mindset and attitude about one’s perceived reality is
one’s behavior. Behavior is the activity or action manifested that appears
after the display or recognition of an attitude. It doesn’t matter if we address
someone’s behavior or attitude first to effectively influence someone or
something. But the recommendation is to first focus on someone’s behavior
 Mindset, Attitude, Behavior, and Performance ◾ 81

because it is easier to recognize and alter the perceived change instead of

first tackling the attitude which is a much deeper undertaking, takes lon-
ger, and given one’s mindset might be saddled for a long time (Bainbridge
Frymier and Keeshan Nadler 2017).
It is worth mentioning that, unfortunately, there is a fairly large gap about
the concept of “attitude-intention-behavior” among professionals who believe
attitude does not always result in concurring behaviors. Sometimes individu-
als are not cognizant of their displayed attitudes which, like implicit atti-
tudes, might cause certain behaviors or not, and not necessarily follow with
attitudes (Yashasvi 2019).

Performance
By paying attention to the coachees’/subordinates’ states of mind and discov-
ering their mindset through a set of dialogues and conversations within the
confines of a safe and free environment, managers can recognize the perfor-
mance of coachees’ linked to their attitudes and behaviors. It is not an easy
task, and it might take more than a few coaching sessions. However, when
the coaches/managers focus on the coachees’ commitments and desired
dreams and intentions for working, then the managers can affect their per-
formance by not resisting their attitudes and behavior and keep coaching
them to the realization they are the only ones who invented their percep-
tions, chose their attitudes, and caused their behavior. This process is the
main objective of this book, which starts from Chapter 4.

Which One to Measure for Performance,

Behaviors, or Outcomes
This question is on the minds of many organizations’ managers and supervi-
sors; What are the most important elements to follow and pay attention to:
employees, behaviors, or outcomes? This simple but significant question is
equivalent to a manager asking whether to pay attention to a process or just
to the end results and an outcome. Which one is more important? Clearly,
both are critical to a good business process and health organization system;
however, in many cases, organizations often choose to focus on one element
over the other when attempting to conduct a performance appraisal (Cardy
and Leonard 2011). Let’s look at a brief description of performance with
behavior and performance as an outcome.
82 ◾ A Foundation for the Coaching Journey

Performance as Behavior
From the standpoint of organizations, for the most part, a good job perfor-
mance consists of good behaviors and attitudes. They are looking at what
employees are doing on their jobs and how they conduct their workdays.
If you ask many employees what they do on their jobs, most of them will
explain their activities and the tasks they are performing at their jobs. In this
regard, Cardy and Leonard (2011) pointed that, “[f]rom this perspective, the
performance consists of behaviors, and how well those behaviors are exe-
cuted is a critical performance criterion” (46).

Performance as Outcomes
From the standpoint of managers and supervisors directly dealing with
the workforce, job performance mostly involves outcomes, the result, the
final product, the achievement of goals, not the activities or even behav-
iors. Therefore, they are mostly looking at the black and white outcomes,
such as:

◾ What are the sales today?

◾ What is the total sales amount?
◾ How many units are being produced?
◾ How many of them sold today?
◾ What was the waste today?
◾ How much time was wasted correcting mistakes?

These are the types of questions that peak performance as outcomes for
managers and supervisors (Rothwell 2015; Cardy and Leonard 2011).
Of course, both behaviors and outcomes are important to individu-
als’ and teams’ high-performance process and the organization’s bottom
line, both having advantages and disadvantages for performance measure-
ment; however, many managers pick one over the other based on their
own career experiences or the work and productivity philosophy they have
gathered during their own careers and based on their personal experiences.
Therefore, the best measurement for both elements is to be establishing a set
of criteria for both behavior and outcomes.
Establishing performance criteria is important to any operations and pro-
ducing outcomes. Criteria emphasize and cause attention to what is critical
and valued by an organization and its production. Criteria make available a
 Mindset, Attitude, Behavior, and Performance ◾ 83

realistic basis for performance measuring and the effectiveness of produc-

tions (Rothwell 2015; Cardy and Leonard 2011). “At an operational level, crite-
ria define performance” (Cardy and Leonard 2011, 46).
At this segment, we briefly touched on the concept of criteria and its
importance, but we will go much deeper in Chapter 6.

Advantages and Disadvantages of Behaviors and

Outcomes as Performance
Table 3.1 presents some advantages and disadvantages of using behav-
ioral and outcome performance criteria. This list is as uncomplicated as
possible, with some necessary explanations. You can add any advantages

Table 3.1 Behavioral and Outcome as Performance Criteria—Advantages and

Disadvantages.
Behavioral and Outcome as Performance Criteria
Advantages and Disadvantages

Category Advantages Disadvantages

It offers a clear-cut plot of how Individuals participating in applying
to alter behaviors and attitude corrective behaviors are not
for improving individual and necessary guaranteed the preferred
team performance. outcomes.
It is under the direct control of This approach can be costly and
employees to alter and modify time-consuming to develop the
for improving their required criteria and producing the
performance. preferred outcomes.
Behavioral
It gives the managers and Some individuals might agree to
coaches an opportunity to behavioral changes without having
provide directive feedback to any commitment or interest to
individuals and teams. maintain the change.
It has an opportunity to make a Some individuals do not like to talk
difference for individuals in the about and dig into their personal
elements of their personal life. behavior and attitudes and find that
inappropriate.
It is objective and easy to It is not under the control of
Outcome observe and easy to measure. individuals and teams because
managers and supervisors manage it.
(Continued)
84 ◾ A Foundation for the Coaching Journey

Table 3.1 (Continued)

Behavioral and Outcome as Performance Criteria
Advantages and Disadvantages

Category Advantages Disadvantages

It has potential off improving It is relatively difficult to use directive
productivity and increase the feedback to individuals and teams by
bottom line by enhancing the managers.
performance of individuals,
teams, and organizations.
It is sort of black and white and Some managers resist black and
managed by quantitative past white numbers management and
and present production data or believe there is no human contact in
best practices. just outcomes and result-oriented
business.
It has a strong potential to be Numbers need to be reviewed,
part of budgeting, planning, adjusted, and modified based on the
designing targets, and current production and performance
managing forecasts. compared to past results and future
desired outcomes, without
accounting for human performance
issues.
Source: Adapted from Rothwell (2016), Cardy and Leonard (2011), Bakhshandeh (2008).

or disadvantages you see or experienced to this list as you wish and use
them during your high-performance coaching with your employees or
coachees.

Critical Incident Worksheet Based on Behavioral and

Outcome Performance
Table 3.2 presents a simple example of a form that high-performance
coaches or managers-as-coaches can use to manage, direct, and support
individuals’ or teams’ behavioral and outcome performance criteria and
adjust such criteria on a quarterly or semiannual basis in order to manage
coaching individuals and teams to a high and more effective personal or
team’s performances.
Note: we will dig deeper into the concept, place, and use of criteria for
individual and team performances in Chapter 6.
 Mindset, Attitude, Behavior, and Performance ◾ 85

Table 3.2 Example of Critical Incident Worksheet Based on Behavioral and

Outcome Performance.
Critical Incident Worksheet Based on Behavioral and Outcome Performance
Direction:
Use this form every quarter to review an employee’s performance critical incidents
and evaluate if such incident was related to a behavioral or an outcome
performance. Also, this action will assist you and the employee to adjust their
behavioral and outcome criteria.
Participant: Team:
Supervisor: Department:
Quarter and Year: Date:
Job Descriptions and Dimensions:
Performance Level Behavioral Criteria Outcome Criteria
Weak performance
Mediocre performance
Needs improvement on
Meets the least expectations
Surpasses the expectation
Excellent performance
Note:
Source: Adapted from Rothwell (2013).

Emotional Intelligence for Training and

Development in High Performance
Given that people’s mindsets and behaviors determine their underlying atti-
tude and actions and ultimately their interest in increasing their performance
and productivity, we propose that Training on EI can positively assist the
organization in developing awareness among their workforce while training
them in skills, competencies, communication, and leadership (Bakhshandeh
2021). This training has a direct influence on developing leadership com-
petencies among the workforce—including management teams within the
organizations. The EI training and development model covers all that would
affect leadership development among the workforce and ultimately positively
86 ◾ A Foundation for the Coaching Journey

influences individuals’ and teams’ performance that would increase organi-

zational productivity (Bakhshandeh 2021).
This approach is what we call “Emotional Intelligence Competency-Based
Training and Development” (Bakhshandeh 2021). Donahue (2018) described
competencies as a combination of a quantifiable and observable collec-
tion of knowledge, skills, attitudes, and behaviors (KSABs) that support
individuals in performing better at work and achieving their personal and
professional goals. Rothwell and Graber (2010) defined competency as “any
characteristics of an individual performer that lead to acceptable or out-
standing performance.” According to Donahue (2018), the term competency
has become something like a buzzword people are throwing around as
something pointless. But in today’s Organization development (OD) efforts,
competency-based development and education are regarded as the pathway
to the future of education/learning, team building, and OD. “Competencies
are the measurable and observable knowledge, skills, attitudes, and behav-
iors (KSABs) critical to successful job performance” (21). Competencies
can include the degree of motivation, individual personality traits, people’s
awareness of certain knowledge and technical skills knowledge, or any abili-
ties and skills for individuals and teams to produce results (Rothwell and
Graber 2010). Besides individuals and teams’ competencies, in recent years,
the competency-based Human Resources Management established its place
in organization management and caused growing awareness that has led to
innovations in overall competency technology (Dubois and Rothwell 2004).

Emotional Intelligence
The most effective and competent leaders know how to deal with the moods
and emotions displayed by the workforce of their organizations by using a
peculiar mixture of psychological competencies known as emotional intel-
ligence or EI (HBR 2017). Regarding organization leaders’ awareness of EI
competencies, the Harvard Business Review stated “[t]hey’re self-aware and
empathetic. They can read and regulate their own emotions while intuitively
grasping how others feel and gauging their organization’s emotional state”
(HBR 2017, 4). EI competencies are defined as “an ability to recognize, under-
stand, and use emotional information about oneself or others that leads to or
causes effective or superior performance” (Boyatzis and Sala 2004, 5).
According to the Harvard Business Review (2017), EI is a combination of:
(1) genetic predisposition, (2) overall personality, (3) professional life expe-
rience, and (4) some old-fashioned training. When consciously and com-
passionately applied, EI encourages organizations, their leaders, and their
 Mindset, Attitude, Behavior, and Performance ◾ 87

workforce to achieve exceptional performance (HBR 2017). Our emotions

directly influence our mindset, and they rule our daily lives (Bakhshandeh
2015; Hockenbury and Hockenbury 2007). We are deciding based on what
we are feeling such as sad, angry, happy, frustrated, or bored; therefore,

Figure 3.2 Coaching Mentality Produce Higher Performance and Increasing

Productivity.
Source: Copyright 2021 by Behnam Bakhshandeh.
88 ◾ A Foundation for the Coaching Journey

unconsciously, we choose reactions based on the emotions we are inflam-

ing (Bakhshandeh 2015; Hockenbury and Hockenbury 2007).
This book has divided and organized the EI clusters and their related
competencies (see Figure 3.2) into four clusters:

(1) self-awareness
(2) self-regulation
(3) social awareness
(4) relationship management

Organizational leaders should provide their workers with training on EI and

should also participate in that training.
Figure 3.2 displays the four EI clusters and their relevant competencies
that could assist organization leaders to implement sets of important and
practical EI that would be very helpful to train and develop workforces in
high performance and productivity:

Self-Awareness
The view we have of ourselves and others controls our awareness, and our
awareness becomes our new reality that naturally will determine our actions
(Bakhshandeh 2015). Goleman (2014) depicts behaviors associated with self-
awareness with people who recognize how their emotions affect their job
performance, those who know when to ask for help, and how to focus on
building their strengths and not focusing on their weaknesses. In today’s world
of mindfulness and self-awareness, there are various pathways to understand-
ing and build competencies around the art of awareness (Zeine 2021). As Zeine
(2021) mentioned “[t]his includes many meditations and spiritual paths that
teach the skills of becoming intentionally focused on our five senses, bodily
signals, mental activities, and relatedness to objects and people around us” (5).
The knowledge of our self-awareness would allow us to recognize others’
emotions and states of mind, how they view us, how they perceive our behav-
ior and attitude, and how we respond to them (Rothwell 2015; Goleman 2015).
Individual’s conscious awareness of their emotions, aspirations, thoughts,
desires, intentions, motivations, strengths, weaknesses, and the capacity to act
from these elements of self-awareness are distinctive human capabilities (Zeine
2021). “Despite the great importance of self-awareness and the capacity to act
from this awareness, many people have not learned the skill of being aware
of themselves in their natural environments” (Zeine 2021, 6).
 Mindset, Attitude, Behavior, and Performance ◾ 89

Competencies related to self-awareness include but are not limited to the

following.

Self-Confidence
How people view themselves is another important element of EI. Self-
confidence is linked to self-assessment, and it is founded further on the
perceptions that individuals have of themselves instead of on the measures
of their competencies or skills they possess (Goleman 2014). Some attributes
of people with self-confidence are (1) trusting their abilities, (2) displaying
gratitude, and (3) having inner happiness.

Self-Assessment
Self-assessment is providing awareness into individuals’ comprehension of
a set of knowledge, skills, and competencies that can provide insights to
detect gaps in their area of expertise and knowledge (Goleman 2015). As an
important element of creating a feasible and comprehensive self-assessment,
some organizations allow individual engagement in the design, redesign,
and development of assessment criteria. People who apply self-assessment
(1) monitor their learning, (2) monitor their goals’ progress, and (3) conduct
self-efficacy.

Self-Control
Emotions are a big part of the human psyche. Our emotions are intended
to notify us there is something worthy of attention. People with self-control
do not make impulsive decisions, control their behaviors, and demonstrate
conscientiousness (Goleman 2014).

Intrapersonal Skills
This is the ability of people to distinguish and understand their thoughts,
emotions, and feelings. It is a skill for planning and directing their per-
sonal and professional lives (Cummings and Worley 2015). Individuals with
intrapersonal skills are proficient at looking within, inquiring inward, and
sounding out their feelings, emotions, motivations, and objectives. They
are characteristically contemplative and thoughtful; by analyzing them-
selves, they seek self-understanding. Individuals with intrapersonal skills are
90 ◾ A Foundation for the Coaching Journey

intuitive and generally introverted. They are mostly learning autonomously

and through reflection (Shek and Lin 2015). People with intrapersonal skills
demonstrate (1) appreciation for themselves, (2) awareness of their agenda,
and (3) elimination of distractions.

Self-Regulation
Self-regulation refers to the ability to recognize, understand, and redirect
individuals’ distracting impulses, inappropriate reactions, and temperament.
Individuals should defer immediate judgment and employ considerations and
concerns before acting against others or reacting to ideas (Goleman 2014).
Goleman (2014) describes this EI cluster as leaders who can stay “calm and
clear-headed under stressful situations” (p. 51). Self-regulation competen-
cies move leaders from emotional awareness to managing their emotional
impulses and demonstrating a positivity necessary to get the job done via
initiative and instituting trustworthiness and productivity (Goleman 2014;
Goleman 1998). Competencies referenced to self-regulation include but are
not limited to the following.

Emotional Balance
Being emotionally out of balance is caused by individuals either not allow-
ing themselves to experience their feelings when they arise and then discard
and suppress them or being firmly attached to such feelings and being con-
sumed by them (Goleman 2015; Goleman 1998). Emotional balance means
to learn about feelings and accept them with no judgments and act on them
in responsible ways. Some attributes of people with emotional balance are
(1) accurately identifying their emotions, (2) being mindful of their emotions,
and (3) managing impulse emotions.

Adaptability
Adaptability refers to strictness and harshness on individuals’ ways, mind-
sets, and approaches and how individuals are efficient in adapting to new
ideas, conditions, or environments (Goleman 2015; Goleman 1998). The
only way to strengthen teamwork is by planning and creating a cohesive
team and demonstrating its inclination to alter its ways. That is a power-
ful concept for developing leadership in teams and their ability to change
(Bakhshandeh 2002). Some attributes of people with emotional balance are
 Mindset, Attitude, Behavior, and Performance ◾ 91

(1) being open to learning new things, (2) adjusting quickly, and (3) embrac-
ing new ideas.

Responsibility
Vincent E. Barry, a business historian, has characterized responsibility in
the business as “a sphere of duty or obligation assigned to a person by the
nature of that person’s position, function, or work” (Bivins 2006). From a
mindfulness viewpoint, people become responsible when they display their
willingness to acknowledge all of their thoughts and assume responsibility
for every action they take, good, bad, and ugly, altogether with no justifica-
tions (Bakhshandeh 2015). Some attributes of people who practice responsi-
bility are (1) not making excuses, (2) not complaining, and (3) being timely.
Integrity and accountability are two competencies supporting responsibility.

Integrity
According to many philosophers, integrity is a lifelong desire to follow
people’s moral and ethical principles and, as the saying goes, “Do the right
thing” in every situation and under any circumstances. It means being true
to oneself and not acting in ways that would degrade or disgrace oneself
(Goleman 1998). This powerful competency affects every aspect of our
personal and professional day-to-day lives. Some attributes of people prac-
ticing integrity are (1) being dependable, (2) being honest, and (3) being
trustworthy.

Accountability
One who practices accountability is not into the blame game and avoiding
their responsibilities by pointing at and blaming others for what happens
and how it happens. They are not acting like the victims of circumstances or
as a replacement for being responsible. They are not procrastinating in their
duties and what they do (Rothwell, Stavros, and Sullivan 2016; Goleman
2015; Bakhshandeh 2015). Some attributes of accountable people are (1) tak-
ing responsibility for their actions, (2) not blaming or pointing fingers, and
(3) being transparent.

Positivity
A good, positive attitude has a very positive effect in the workplace. This
positive impact influences people relating to their peers, how managers are
92 ◾ A Foundation for the Coaching Journey

leading, or how organizations are dealing with their clients and customers
(HBR 2017). A positive temperament toward other people generates an envi-
ronment for building relationships, trust, and loyalty among the workforce at
every possible organizational level (HBR 2017). On the other side, when we
are not displaying our care and commitment to workability and harmony,
distrust will arise and cause massive dysfunction in relationships, in the
home or at work, personally and professionally (Goleman 2015). Some attri-
butes of people practicing positivity are (1) being optimistic, (2) being resil-
ient, and (3) being grateful. Authenticity comes hand to hand with positivity.

Authenticity
How to become authentic is a mixture of having the courage to admit who
we have been, what we have done to deal with challenges of a different
situation, and how to take responsibility for it, and then become accountable
for the results (Bakhshandeh 2015). “The flip side of authenticity is pretense”
(Bakhshandeh 2015, 34). Some attributes of authentic people are (1) being
self-reflective, (2) being honest, and (3) not being judgmental.

Calm Manners
Calm manners or composure is the ability to control impulsive reactions—
even under heavy pressure. Individuals with composure do not react
immediately just because they are not getting what they want or hearing
what they do not like. They will reply after careful consideration and criti-
cal assessment, demonstrating the application of a conscious effort to stay
calm and collected (Wayne 2019; Stevens 2009). Some attributes of people
with composure are (1) having confidence, (2) being relaxed, and (3) being
insightful.

Social Awareness
Social awareness requires social skills. Even with a business leader’s abil-
ity to display understanding, empathy, compassion, and control of one’s
emotions, it is not enough to deal with conflicting and difficult situations
arising from the lack of social awareness and related elements (Goleman
2015). Those business leaders understand social awareness elements, such as
workplace diversity, and they can perceive differences at the workplace by
disregarding stereotypes and generalizations of people. Leaders can demon-
strate social awareness results, including their social awareness, throughout
the elements of organizational awareness (Handley 2017).
 Mindset, Attitude, Behavior, and Performance ◾ 93

Empathy
This is the ability to focus on others. Business leaders able to effectively
focus on others are the ones able to find common ground with others, and
their opinions and input carry the most respect and acceptance among their
people (HBR 2017). One’s propensity to identify and appreciate others’ emo-
tional status is by dealing with others relating to the present state of their
feelings and emotions (Goleman 2015). Some attributes of empathetic people
are (1) recognizing talent, (2) understanding other’s emotional states, and (3)
being helpful to others.

Compassion
The ability to demonstrate understanding, sympathy, and kindness for oth-
ers in their time of sorrow, trouble, and hardship is displaying compassion.
It is the consciousness of experiencing others’ distress and grief and using
their interests and aspirations to ease their pain (HBR 2017; Goleman 2015).
Compassion is taking empathy a little further and deeper. People with
compassion would feel hardship when witnessing another person in hard-
ship and distress and will act to assist them. Some attributes of compassion-
ate people are (1) placing oneself in others’ situations, (2) practicing active
listening, and (c) being okay with others’ failures.

Diversity Awareness
Organizations and individuals can attain diversity awareness when they
appreciate and understand the advantages of cultural diversity and differ-
ences among people. At the same time, true diversity inclusion also involves
a diversity of viewpoints. Oregon Tech (2021) described viewpoint diversity
as an act of recognizing others’ diverse views that need one’s “self-awareness,
intellectual flexibility, and broad knowledge” (n.p.) that supports an illumi-
nated perception of the actual diversity in the world via the eyes of people.
A workforce with diversity awareness and diversity of viewpoint can
establish an organizational culture built on the foundation of dignity, mutual
respect, and acceptance of the differences among people regardless of their
cultural background, ethnicity, age, sexual orientation, gender, religion,
socio-economic status, and physical abilities (Goleman 2015; Goleman 1998).
As Williams (2016) stated, “[d]iversity of viewpoints is essential for the pur-
suit of knowledge” (n.p.).
94 ◾ A Foundation for the Coaching Journey

Some attributes of people with diversity awareness are (1) embracing

uniqueness among people, (2) having mutual respect for everyone, and (3)
having universal treatment for everyone.

Communication
This is the ability to act on transferring information from one location,
individual, or team to other people or places. All forms of communication
include at least one message, one sender, and one receiver (Jones 2015;
Bakhshandeh 2004). Steinfatt (2009) expressed his view of communication
and its vital role in human connectedness: “[t]he central thrust of human
communication concerns mutually understood symbolic exchange” (295).
Communication is one concept that has been and continues to be the focus
of many theories about human connection (Jones 2015). Without communi-
cation, there is no workability or teamwork. Teams are synchronized when
communicating effectively (Bakhshandeh 2015; Bakhshandeh 2004). Some
attributes of someone with communication skills are (1) being aware of
nonverbal communication, (2) delivering clear and concise messages, and (3)
showing courtesy and listening keenly.

Active Listening
As an important element of communication, active listening is a valuable
skill that can be developed by practicing. One with active listening concen-
trates completely on the person talking and the content of the conversation
and feelings behind the conversation instead of just passively hearing the
speakers and their message (Rothwell et al. 2016; Goleman 2015). Practicing
active listening helps the listener to gain the trust and respect of speakers
by knowing that the listener appreciates their situation. It is an essential first
step to neutralize a hard situation and pursue a workable solution to poten-
tial crises (Rothwell et al. 2016; Cummings and Worley 2015). Some attributes
of people with active listening are (1) paying attention to the speaker, (2)
responding appropriately, and (3) providing feedback.

Multiple Perspectives
Park et al. (2000) defined multiple perspectives as a wide term to incorporate
many perspectives, statements, and roles that can be adopted in collaborative
and noncollaborative frameworks (Park et al. 2000). View an issue from multi-
ple perspectives to observe the whole picture that would improve one’s chance
to locate the root cause and find a solution that includes the desires and
 Mindset, Attitude, Behavior, and Performance ◾ 95

feelings of everybody engaged into consideration (Park et al. 2000). Some attri-
butes of people with multiple perspectives are (1) seeing the whole picture, (2)
finding the root cause of an issue, and (3) finding mutually agreed solutions.

Relationship Management
The quality of life is connected and influenced by positive and negative rela-
tionships individuals have with others. People aware of EI know this valu-
able concept. To have a quality relationship, besides looking for values and
developing quality, people must also invest in maintaining the relationship
and strive to improve it. Similar to a personal relationship, in a professional
relationship business leaders need to discover how to effectively employ
their intelligence to let them realize and identify opportunities, effectively
communicate, attempt to solve problems, and collaborate with their work-
force and customers (Goleman 2015).

Conflict management
This refers to the ability to employ practices for solving disputes effec-
tively while it is fair and reasonable. When business professionals properly
administer conflict management, they can avoid intensifying the conflicts.
Having disagreements among people is natural when people work together.
However, when handled with EI, competencies, and conflict management
skills, these disagreements can lead the organizations to new ideas, innova-
tive resolutions, and unified professional relationships (Rothwell et al. 2016;
Cummings and Worley 2015). Some attributes of someone with conflict man-
agement skills are (1) being impartial, (2) being patient, and (3) not playing
the blame game (Rothwell et al. 2016; Cummings and Worley 2015). Two EI
competencies that would support the managers in their conflict management
are Positive Influence and Problem-Solving abilities and qualities.

Positive Influence
In relationship building, positive influence is the impression professionals
can employ on themselves or other individuals by indicating their strengths
and underlining their qualities to empower and encourage them. Their
influence becomes their nature. It will show who they are, what they do,
and how they think. Some attributes of those with positive influence are
(1) being charismatic, (2) being humble, and (3) striving to help (Longmore,
Grant, and Golnaraghi 2018).
96 ◾ A Foundation for the Coaching Journey

Problem-Solving
The problem-solving skill provides business managers with a useful method
and effective process for finding the actual problem, realizing a solution or
solutions to the problems, and defining a productive course of action to come
up with a remedy for such problems (Donahue 2018; Rothwell et al. 2016;
Cummings and Worley 2015). That required mindset for someone to attempt
the problem-solving approach within organizations means that everyone
involved with the problem must be receptive to a new realm of possibilities.
Some attributes of those with problem-solving skills are (1) recognizing the per-
ceptions in the problem, (2) redefining the problem, and (3) not being attached
to experience (Martz, Hughes, and Braun 2017; Soulé and Warrick 2015).

Trust and Team Building

This competency refers to building trust with others, perhaps lining up
with other personality traits and self-concept characteristics (Handley
2017). Forming a foundation of trust is critical to building an effective team
because having trust among team members gives an impression of safety.
Without trust among teams and groups, there will not be as much collabora-
tion, expressions of creativity and innovation, and little productivity while
people devote their time to shielding themselves from others and protect-
ing their interests (Handley 2017; Rothwell et al. 2016). Some attributes of
someone with the ability to build trust and teams are (1) being friendly and
approachable, (2) being respectful to others’ ideas, and (3) practicing integ-
rity and accountability.

Interpersonal Skills
These skills refer to interacting, relating, understanding, and effectively coop-
erating with others, at home or the workplace. Interpersonal skills are pow-
erful aptitudes for building relationships and establishing cooperation with
others (Spencer and Spencer 1993; Boyatzis 1982). While professional posi-
tion hard skills are very important to workers’ ability to perform their work
and job-related duties, effectively demonstrating abilities to work with others,
delivering clear communication and displaying self-confidence as interper-
sonal skills are as important as their hard skills, and it can make a difference
in one’s professional advancement attributes. Someone with interpersonal
skills can demonstrate: (1) being aware of themselves and others, (2) being
collaborative, and (3) caring about relationships.
 Mindset, Attitude, Behavior, and Performance ◾ 97

Coaching
The professional coaching process concept is about one’s performance,
and it enhances and increases on-the-job performance. Commonly, profes-
sional coaches receive a form of special training to guide people in their
professional field for achieving their intentions and goals (Rothwell et al.
2016). There are diverse definitions of coaching by different professional
associations. The International Coaching Federation defines coaching as
“[u]sing an interactive process to help individuals develop rapidly and
produce results, improving others’ ability to set goals, take action, make
better decisions, and make full use of their natural strengths” (Arneson,
Rothwell, and Naughton 2013, 45). Some managers prefer mentoring their
employees versus coaching them.

Mentoring
Compared to coaching, mentoring is relatively on the development side, not
just working on professional performance and goals but also general career
development. Generally, mentoring encompasses no particular or formal
training, making it much leaner than coaching (Rothwell et al. 2016). The
fundamental difference between a coach and a mentor is in their overall
approach; the coach concentrates on the coachee’s performance while the
mentor concentrates on the mentee’s growth (Rothwell and Chee 2013). As
a general concept, mentoring is a relationship based on the individuals’
development and focuses on mentors passing on their experience, knowl-
edge, and skills to a mentee. In general, mentoring involves teaching and
advising. A mentor’s job is to encourage the mentee and provide access to
“uplifting behaviors” (Rothwell and Chee 2013, 6) motivating, encouraging,
and inspiring the mentee with the primary purpose of causing mentee’s
growth (Rothwell and Chee 2013). Some attributes of someone with mentor-
ing skills are (1) being encouraging, (2) being empowering, and (3) being
knowledgeable.
To understand and have a benchmark for training and development of
managers coaching their people on EI, this author has designed a rating
system for evaluation of “Presence and Use of Emotional Intelligence by
Managers.” The manager readers can use the tool displayed in Table 3.3 and
self-rate their EI (from 1 to 5, 1 being the lowest rate and 5 being the highest
rate of presence and use of EI) at the initial date of the rating and then con-
tinue rating themselves in six months and then a year after the initial rating.
98 ◾ A Foundation for the Coaching Journey

Table 3.3 Presence and Use of Emotional Intelligence at Work by a Manger-as-

Coach Rating System.
Presence and Use of Emotional Intelligence at Work by a Manger-as-Coach Rating
System
Date: Participant: Team:
Month: Supervisor Department:
Rating Scale: 1 = Poor, 2 = Marginal, 3 = Acceptable, 4 = Good, 5 = Excellent

Competencies/ Rating
Categories Descriptions
Qualities 1 2 3 4 5

One’s capacity to identify and Self-confidence

understand one’s emotions,
Self- Self-assessment
temperaments, and motives.
Awareness Awareness of their impact Self-control
on other people.
Intrapersonal skills

One’s ability to display Empathy

understanding, empathy,
Compassion
compassion, and controlling
Social
one’s emotions. Ability to deal Diversity awareness
Awareness
with conflicting and difficult
Active listening
situations arising from a lack
of social awareness.

One’s ability to recognize and Emotional balance

redirect distracting impulse
Adaptability
and temperament. A
Self-
tendency to defer immediate Responsibility
Regulation
judgment and to apply
Positivity
considerations before acting
against others.

One’s ability to create and Conflict management

develop a quality
Trust and team
relationship and looking for
Relationship building
values among others. Ability
Management
to invest in maintaining the Interpersonal skills
relationships and strive to
Coaching
improve them.
 Mindset, Attitude, Behavior, and Performance ◾ 99

Two actions for this month that would bring up my three lowest EI ratings by at least
1 scale on the next month rating:
Action 1:
Action 2:
Source: Copyright 2021 by Behnam Bakhshandeh.

Leadership Qualities of Effective Manager-as-Coach

Besides all the aforementioned skills and competencies, coaching can cre-
ate a learning environment for developing managers-as-coaches by develop-
ing managers in leadership positions that would positively influence their
managerial skills and effectiveness in providing coaching for their employ-
ees intending to bring up their performance and productivity (Bakhshandeh
2002; Bakhshandeh 2008). The following are some of these qualities for a
manager-as-coach:

Shows Respect
Professional managers would display equal respect for everyone in any
position in the organization—regardless of their age, race, religion, gender,
education, or sexual orientation (2002, 2008).

Thinks Critically
Effective managers would intellectually and skillfully analyze and evalu-
ate gathered information and make their judgments based on evidence and
facts, and after all considerations (2002, 2008).

Solves Problems
Facing issues, problems, and breakdowns is the second nature of any busi-
ness development. Thoughtful managers would approach the problem more
thoroughly to realize a greater impact on everyone and the future of the
organization (2002, 2008).

Influences Positively
Having the ability to influence their people without creating resistance is
one of the most valuable qualities of effective managers (2002, 2008).
100 ◾ A Foundation for the Coaching Journey

Innovates
Nurture and promote innovation and creativity by supporting learning and
experimentation. This quality will support an organization’s future to com-
pete in their markets (2002, 2008).

Communicates
Foster a strong alliance for actions, resources, and the organization’s priori-
ties. Communication is a function of workability, relatedness, and effective-
ness and the backbone of smooth operation and production (2002, 2008).

Remains Real
Make informed decisions using numbers, data, and researched facts, and
stay away from feeling and emotional-based fast decision-making and draw-
ing immediate conclusions (2002, 2008).

Engages
Be in the trenches with their people and inspire them to express their passions
and talents. Be part of the production and engage with people daily. A simple
“Please,” Thank You,” and “job well done” will go a long way (2002, 2008).

Demonstrates Adaptability
Be at ease with volatile and changing circumstances with agility and con-
fidence. Often, the vital need for an immediate change is at the corner
and facing the organization or a team. An effective manager can face these
adversaries with ease and grace (2002, 2008).

Demonstrates Transparency
Display authenticity, stimulate trust, and build relationships among people.
By being transparent, a good manager will build relationships based on
trust and respect. Integrity is the backbone of transparency (2002, 2008).

Shows Empathy
Display empathy, humility, and active listening and humility to boost morale.
An effective manager displays empathy and compassion for what others are
 Mindset, Attitude, Behavior, and Performance ◾ 101

Table 3.4 Leadership Qualities of Effective Manager-as-Coach Rating System.

Leadership Qualities of Effective Manager-as Coach Rating System
Day: Participant: Team:
Month: Supervisor: Department
Rating Scale: 1 = Poor, 2 = Marginal, 3 = Acceptable, 4 = Good, 5 = Excellent
Rating
Qualities Description
1 2 3 4 5
1 Shows Respect Displays equal respect for everyone in any
position in the organization.
2 Thinks Intellectually and skillfully analyzes and
Critically evaluates gathered information.
3 Solves Approaches the problem more thoroughly to
Problems realize a more significant impact on everyone.
4 Influences Can influence their people without creating
Positively resistance.
5 Innovates Nurtures and promotes innovation and creativity
by supporting learning and experimentation.
6 Communicates Fosters strong alliances for actions, resources,
and the organization’s priorities.
7 Remains Real Makes informed decisions using numbers, data,
and researched facts.
8 Engages Is in the trenches with their people; inspires
them to express their passions and talents.
9 Adapts Is at ease with volatile and changing
circumstances with agility and confidence.
10 Demonstrates Displays authenticity, stimulates trust, and builds
Transparency relationships among people.
11 Shows Displays empathy, humility, and active listening,
Empathy and humility to boost morale.
12 Learns Regularly obtains updated knowledge, learns
Continuously effective practices, and sharpens skills.
Two actions for this month that would bring up my 3 lowest leadership qualities
ratings by at least 1 scale on the next month rating:
Action 1:
Action 2:
Source: Copyright 2021 by Behnam Bakhshandeh.
102 ◾ A Foundation for the Coaching Journey

facing day today. Being empathetic takes nothing away from being account-
able; it just makes it easier to deal with (2002, 2008).

Learns Continuously
Constantly obtain updated knowledge, learn effective practices, and sharpen
skills. A committed manager will learn every day and not afraid to say, “I
don’t know, but I am willing to learn” (2002, 2008).

Key Points to Remember

Note the following important points:

◾ There is a direct correlation between mindset and performance

– Coaches have to understand their mindsets and how they manage
their perceptions. Create a safe and trusting environment so workers
can open up and inform the coaches about their mindset.
◾ Everyone is facing gaps in the emotional intelligence
– In some shape or form, everyone is dealing with a total lack in
their understanding and use of EI. Educate yourself in elements and
clusters of EI so as manager-as-coach you have understanding and
compassion for others who lack or demonstrate a shortage in EI’s
understanding.
◾ Coaching is a quality leadership
– Coaching other people is a privilege given to managers to provide
an opening for employees to walk into a whole new possibility for
personal and professional growth. Do not take this privilege for
granted.

Coaching and Developmental Questions for Managers

As manager-as-coach, consider these questions:

(1) Looking at the relationship between mindset, attitude, behavior, and

individual and team performance and productivity, how do you assess
your understanding of this concept and ability to explain them to your
 Mindset, Attitude, Behavior, and Performance ◾ 103

coachees? Rate yourself from 1 to 5 (1 being the lowest and 5 being the
highest).
(2) Looking at the four EI clusters and their relevant competencies, how do
you assess your understanding of these competencies and ability to
explain them to your coachees? Please use Table 3.1 and rate yourself.
(3) Looking at Leadership Qualities of Effective Manager-as-Coach Rating
System how do you assess your leadership qualities in being a manager-
as-coach and rate your understanding of these competencies? Please use
Table 3.2 and rate yourself.
(4) According to your self-assessment and rating, design an action plan
to educate yourself and expand your knowledge in the concept of
the relationship between (1) Mindset and Performance, (2) EI, and (3)
Manager-as-Coach qualities and effectiveness.

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BUILDING I
RELATIONSHIP AND
RECOGNIZING THE
SITUATION

Establishing rapport and building relationships with employees is one of the

most important elements of management, which helps understand “what
is happening” with them, their productivity, and their overall performance.
Throughout this phase, we are trying to educate and increase the
knowledge and understanding of high-performance coaches and managers-
as-coaches about:

Chapter 4—Step 1: How to Establish Relatedness and Building

Rapport?
How can the consultant/manager establish rapport and a contractual
relationship with a coaching client?

Chapter 5—Step 2: What Is the Issue at Hand?

What is the present situation that requires coaching? What is happening?
Describe it in detail.

Chapter 6—Step 3: What Should Be Happening?

Describing the desired target, results, and outcome. 

DOI: 10.4324/9781003155928-5 107

Chapter 4

Step 1: How to Establish

Relatedness and
Building Rapport?
Behnam Bakhshandeh

Most people care about their relationships with family, work colleagues,
customers or clients, and friends. People who care about the quality of their
relationships know those qualities do not happen without work—and con-
tinuing cultivation. Quality relationships are created and developed over
time. Relationships grow when people display interest, create open commu-
nication channels, and establish strong rapport based on mutual respect and
understanding. That is true with home and work relationships.
In today’s organizational cultures, in some shapes and forms, manage-
ment is losing the ability to establish a good, authentic rapport with their
workforce. Contrary to some corporations trying to establish a more mean-
ingful work environment and create deeper connections with their employ-
ees, some are trying to diminish emotional connections from the work
environment. Because of that, many workplaces became automated (Gilmore
2019)—or even toxic. We are not saying this because we are against automa-
tion and high productivity due to mechanical and technological advance-
ment, but it is because of the disappearing deep connection and strong
rapport between organizational leaders and the workers.
This book and its chapters are based on the relationships between man-
agers-as-coaches and their subordinates and what it takes to create high-
performance workers through high-performance coaching relationships.

DOI: 10.4324/9781003155928-6 109

110  Building Relationship and Recognizing the Situation

Throughout this chapter, we educate managers-as-coaches about what

rapport is and how they can practice using it with their subordinates and
coachees to start high-performance coaching on a strong foundation.
This chapter looks at what rapport is, how to establish rapport, and how
to form a contractual relationship with subordinates or coaching clients. In
this chapter, readers will grow familiar with the general concept of rapport.
Chapter 4 covers these topics:

 What is rapport and the importance of it?

 What are relatedness, empathy, and compassion?
 Rapport and basic psychological needs
 Rapport and synchrony
 Fundamental states of being and competencies for establishing related-
ness and rapport
 Role of organization values and culture on rapport
 Key factors to remember from this chapter
 Some discussion questions to support manager-as-coach development

Some Definitions and Descriptions

These terms will be used in this chapter:

Rapport
Briefly stated, rapport means to have a positive connection with others. Here
are some carefully chosen definitions of rapport:

 “The relation characterized by harmony, conformity, accord, or affinity”

(Merriam-Webster 2021).
 “Rapport is a positive connection with another person, one that involves
caring and understanding” (Angelo 2012, 11).
 “I like to define rapport as a deep emotional connection and under-
standing between two people” (Gilmore 2019, 2).
 “Colloquially, rapport is the emotional experience of high-quality inter-
actions. While the emotional experience of a high-quality interaction
may often be associated with objective measures of high-quality inter-
actions, this will not always be the case” (Baker, Watlington, and Knee
2020, 330).
 Establish Relatedness and Building Rapport  111

 “Rapport is a process, a happening, an experience between two per-

sons. It may not be a mutual affair at first, but the sharing of the expe-
rience and participation in it grows as each individual unfolds him or
herself in the interpersonal situation” (Travelbee 1963, 70).
 “Rapport is one’s capability to establish a background of relatedness and
connecting with others” (Bakhshandeh 2002, n.p.).

According to Angelo (2012), rapport means “clicking” with one another, which
would cause continued communication and collaboration between two people.
Sometimes rapport is established immediately, and other times, it takes time
to build the trust necessary to establish rapport. However, it takes two people
to develop workable rapport. The successful performance of managers-as-
coaches hinges on the rapport and trust existing between managers and those
they coach (Whitmore 2017; Rothwell, Stavros, and Sullivan 2016; Cummings
and Worley 2015; Bakhshandeh 2008).
Rapport means more than polite displays of friendship or casual civil-
ity and acquaintanceship. Establishing rapport is about showing emotional
awareness—that is, having empathy, compassion, and connecting to oth-
ers through understanding of another person’s emotions (Gilmore 2019;
Whitmore 2017; Bakhshandeh 2009). “It is a connection that puts those on
the same page and opens the door for collaboration, communication most
importantly, deeper understanding” (Gilmore 2019, 2). Looking at all the pre-
sented definitions, it is safe to conclude that rapport is the individuals’ emo-
tional connections and relationships with others in their lives. Establishing
rapport is the step on which to build such connections and relationships
based on mutual experiences or perceptions. When formed, it can persist for
many years (Gilmore 2019; Angele 2012; Bakhshandeh 2009). As Travelbee
(1963) underlined, “rapport is a particular way in which we perceive and
relate to our fellow human beings; it is composed of a cluster of inter-related
thoughts and feelings, an interest in, and a concern for others, empathy,
compassion, and sympathy, a nonjudgmental attitude, and respect for the
individual as a unique human being” (Travelbee 1963, 70).

Relatedness
Many people cannot manage their relationships because they are jumping
into a relationship with another person before knowing how to relate and
understand the deep meaning of relatedness. This phenomenon happens in
both personal and professional environments (Bakhshandeh 2009).
112  Building Relationship and Recognizing the Situation

Lexico dictionary of Oxford University defined relatedness as “the state

or fact of being related or connected.” For example, “subjects reported a
significant increase in the sense of relatedness to nature” (n.p.). Keller (2016)
described relatedness as a reference “to the social nature of human beings
and the connectedness with others. Both can be considered as being part of
the panhuman psychology, and both are intrinsically intertwined” (1). Keller
(2016) combined relatedness with autonomy as two basic human needs;

the definition of self and others can be regarded as embodying

the two dimensions of autonomy and relatedness. Autonomy and
relatedness are two basic human needs and cultural constructs at
the same time. They may be differently defined yet remain equally
important. The respective understanding of autonomy and relat-
edness is socialized during the everyday experiences of daily life
routines from birth on

(1). According to Aristotelous (2019), there is convincing proof in the

research literature suggesting that fostering relatedness among people
through the formation of deeper human connections provides positivity in
organizations and work settings. However, Aristotelous (2019) continued
with, “at the same time, preserving our humanity and our sense of related-
ness with one another at such times of unprecedented technological devel-
opment seems a daunting task” (53).

Rapport and Basic Psychological Needs

While the purpose of this chapter is not about digging into individuals’ psy-
chological states and needs, there is a direct correlation between individuals’
basic psychological needs and their mindsets, attitudes, and behaviors.
According to research conducted by Baker et al. (2020), the satisfaction of
a person’s psychological needs is crucial for his or her day-to-day functions,
operational behaviors, and causes for high-quality interactions with other
people. “Rapport is essential to high-quality interactions and may be one
way that various relationship types can provide the nutriments of healthy
functioning” (Baker et al. 2020, 329). Baker et al. (2020) describe findings of
the Self-Determination Theory (SDT) that individuals’ goal-focused behav-
iors are motivated by these three innate characteristics of the psychological
needs in every human: (1) autonomy—the need for owning their behavior
 Establish Relatedness and Building Rapport  113

and actions, (2) competence—the need for producing their desired results
or goals and to experience achieving mastery in their producing the desired
outcome), and (3) relatedness—the need, feel, and desire to connect to other
people (329). Baker et al. (2020) continued to underline the psychological
need by referring to Hadden et al. (2016), “[g]iven the compelling evidence
that satisfaction of one’s needs for autonomy, competence, and relatedness
are fundamental to well-being and ill-being as well as behavioral, relational,
and personal outcomes, need satisfaction as an outcome in-and-of-itself
deserves more attention” (329).
Research conducted by Martela and Riekki (2018) based on the SDT
suggested that meaningful work is a vital component of employees’ posi-
tive operations and performance. Based on research findings on (1) SDT,
(2) basic psychological needs, and (3) prosocial impact, the researchers
suggested that “there are four psychological satisfactions that substantially
influence work meaningfulness across cultures: autonomy (sense of volition),
competence (sense of efficacy), relatedness (sense of caring relationships),
and beneficence (sense of making a positive contribution)” (1). Given that
interactions with other people are so important, one’s ability to considerably
affect others is directly related to his or her ability to establish rapport and
build relationships. Baker et al. (2020) research developed findings by study-
ing how people’s interactions (not only with others with whom one has an
established relationship) may affect individuals, particularly how rapport and
relatedness in the framework of people’s day-to-day social connections pre-
dict the realization of people’s basic needs for autonomy, competence, and
relatedness.

Rapport and Synchrony

As it has been established previously, rapport might be believed to be linked
to the individuals’ need for satisfaction in a type of radiance of positivity
and productivity. However, some factors or parts of rapports may suggest
that, most likely, there are other reasons associated with success in establish-
ing rapport. For example, both parties should have mutual interests, display
mutual competence during their interactions, or have similar skills in com-
munication, which naturally create mutual synchrony, affiliation, respect, and
natural relatedness (Hove and Risen 2009).
When a sense of synchronization is created, people are easily acting
naturally and authentically with much fewer concerns about how the other
party perceives them. This mutual understanding and connection will
114  Building Relationship and Recognizing the Situation

naturally lead to enhanced autonomous satisfaction because both parties do

not feel pressured to engage in the interactions or change to improve the
relationship (Baker et al. 2020).

Role of Organization Values and Culture in

Establishing Rapport
Correlations between how employees react to their managers and the
organization’s values have a direct link to the working environment and
the organizational culture. In some form, managers’ mindsets, attitudes,
and behaviors toward productivity and employees’ performances con-
nect to their personal and professional values and how the organiza-
tion’s values and culture impact the work environment (Bakhshandeh
2021).

Degree of Organizing in Organizations and Rapport

The degree of an organization’s engagement in creating a powerful set of
values, operational principles, and culture is related to the degree and level
of practicing systematically organized practices in management, opera-
tion, and norms. Establishing rapport is one missing element in such an
organization. On the other side of the equation, as Cummings and Worley
(2015) underlined, in over-organized business systems operating in highly
automated and bureaucratic systems, there is a rigid relationship to the
organization structure, management styles, structure, and implementa-
tion of policies and procedures established for an effective job and task
performance.
Often this rigid work environment might be a barrier to establishing
relatedness and creating rapport between managers and their subordinates.
However, experiences have shown organizations’ values, and culture has
much to do with the organizations’ openness to give managers a chance to
establish a healthy rapport with their subordinates, which (in turn) results in
higher performance.

Organization Values and Rapport

Organization values are a set of beliefs about personal or socially desired
principles that influence action (Schwartz 1992). Organizational values
 Establish Relatedness and Building Rapport  115

demonstrate what the organization regards as important. Values are related

to ethical principles, what is considered right or wrong.
Organizational values help workers to establish a clear path toward
results. Values are building blocks to creating an organizational culture
based on empowering the working environment and high productivity and
performance. An organization’s values are crucial in guiding employees’ atti-
tudes and behavior. In fact, “organizational values must be able to meet the
needs of different employees, and organizations need to clarify their work
values and expectations with staff” (Cennamo and Gardner 2008, 891).

Organizational Culture and Rapport

Mindset is to individuals what culture is to organizations. A strat-

egy to change culture is often required, one that assesses which
aspects of the current culture already support the desired future,
which block it, and what may need to be created to better serve it
(Rothwell et al. 2016, 73)

Organizational culture is a dynamic strength embedded in various aspects

of personal (employees) and professional (organization structure and busi-
ness strategies), comprising deeply rooted behaviors, a history of interac-
tive employee–employee dynamics, and sensitivities for traditions and
norms of an organization and its workforce. According to Aristotelous
(2019), given this overall dynamics, organizational culture and its business
strategy should be aligned with all stages of an organization to guaran-
tee the execution of its goals and the desired outcome by its workforce
involved with assisting the organization in achieving its vision, mission,
and purpose (Aristotelous 2019).
We are spending more time on organizational culture and values because
they have a deep influence on managers and the employees’ abilities and
desires to establish a rapport among themselves. It is hard to pinpoint a
specific definition for what organizational culture is! Research on organiza-
tional culture has delivered over 50 different definitions and descriptions of
it! Many organization managers define the views of their culture as “the way
we do things around here” (Colquitt, LePine, and Wesson 2015). But we all
know there is much more in developing an organizational culture intention-
ally or just by the force of time and sets of organizational processes, prac-
tices, and norms. About this concept, Colquitt et al. (2015) invited us to look
at one reason for various definitions for organizational culture. He noted
116  Building Relationship and Recognizing the Situation

that differences stem from the people who have researched it. For example,
sociologists who have studied organizational culture used anthropological
investigation models and the methods employed to study social cultures
such as nationalities, tribes, and civilizations. Psychologists are inclined to
study cultures by conducting survey methods.
Colquitt et al. (2015) defined organizational culture as “the shared social
knowledge within an organization regarding the rules, norms, and values
that shape the attitudes and behaviors of an organization” (534). This defini-
tion underlines several important issues about organizational culture:

 First: Given culture is a social knowledge between employees of an

organization, they learn essential facets of the organizational culture
through their interactions with each other through observation and
communication, which creates consensus about their culture.
 Second: Organizational culture is communicating what the organiza-
tion’s values, rules, and norms are, which assist with an employee’s
mindset, attitude, and behavior about the organization and their
relationships.
 Third: Organizational culture is shaping and strengthens certain
employee mindsets, attitudes, and behaviors by engaging them in some
organizational systems that would have control over employees. This
approach causes employees’ goals and values to align with the organi-
zation’s goals and values.
(Colquitt et al. 2015)

Fit and Match Person in Organizations

Establishing a good rapport among managers and employees as the concept
of “fit and match person and organization” is essential to workability and real-
ization of the organization’s culture and vision. Amos and Weathington (2008)
empirically investigated the correlation between a fit and match with individu-
als and organizations. “Overall findings have supported the existence of a
positive relationship between the congruence of employee and organizational
values with employee attitudes toward the organization” (615). The research
results indicated that employees’ view of employee–organization values is
positively related to (1) employees’ satisfaction with their job, (2) their satisfac-
tion with the organization, and (3) their organizational commitment. Research
findings indicated a negative link between what organizations claim as their
values and the results of high employee turnover (Amos and Weathington
 Establish Relatedness and Building Rapport  117

2008). Again, we can see the importance of organizational value and culture in
managers’ abilities to establish good rapport with their employees.

The Leadership Role in Values

The organization’s leaders demonstrate the organization’s values through
their attitudes and behaviors and spread the culture by holding their
subordinates (lower managers, supervisors, and so on) accountable for
behaving in ways consistent with the leaders’ values (Rothwell et al. 2016;
Bakhshandeh 2008). Therefore, establishing a good rapport between man-
agers and their employees is essential to establishing credibility and trust.
Managers can lose credibility and undermine trust by cutting corners to save
time instead of following proper procedures. If managers do not follow the
organization’s rules, policies, and procedures, then workers will lose respect
for the rules.

Role of Competencies, Skills, and Training

To establish good rapport, a high-performance coach needs to develop
specific competencies as mentioned in Figure 4.1. But before we get to the
six competencies that need to establish relatedness and rapport, let us talk a
little about what we mean by competencies.

Defining Competencies, Skills, Knowledge, and Training

In this section, we review definitions and descriptions of several key termi-
nologies in professional business and Organization Development (OD) and
training, which assist readers in understanding the differences among the
terms (1) competency, (2) skills, and (3) training.

Competency
The term competency has been commonly used without clear awareness of
its meaning or the context in which it was used. In organizational develop-
ment, business, and education, the term competency describes individual
proficiency, such as knowledge, skills, attitudes, and behaviors against a set
of guidelines and established standards (Donahue 2018). The following are
definitions of competency by several professionals:
118  Building Relationship and Recognizing the Situation

 “Measurable and observable knowledge, skills, attitudes, and behaviors

(KSABs) critical to successful job performance. Competencies refer to
the specific KSABs that a person can readily show. They include not
only technical skills but also what are known as soft skills” (Donahue
2018, 21).
 “An underlying characteristic of an individual that is causally related
to criterion-referenced effective and or superior performance in a job
or situation, where ‘criterion-referenced indicates that competency will
predict performance” (Spencer and Spencer 1993, 9).
 “Certain characteristics or abilities of the person [that] enable him or her
to demonstrate the appropriate specific actions” (Boyatzis 1982, 12).
 “A personal capability that is critical to the production of a quality out-
put or outputs” (McLagan 1988, 374).

Often the words competency and competence are used interchangeably.

Organizations depend on the qualifications of their workforce, especially
their managers, who are trying to develop rapport with their subordinates to
coach them to improve productivity.

Skills
Skill is the ability to execute an action or task with established results within
a time frame. Skills mean know-how. In fact, a skill is an ability to do some-
thing. Skills are what make individuals confident in their life and career
pursuits (Rothwell 2015). As much as developing skills requires willpower
and practice, almost any skill can be learned, developed, and improved
(Donahue 2018).

Skillset
A skillset is the mixture of personal qualities, knowledge, and abilities that
individuals develop through their life spans personally and professionally. It
typically included two types of skills: (1) soft skills and (2) hard skills.

Soft Skills
Soft skills cover interpersonal skills or people skills. It is difficult to quantify
these skills; however, in a general sense, they are an individual’s person-
ality and ability to work with others. These skills include being detailed-
oriented, using critical thinking, being a problem solver, possessing good
 Establish Relatedness and Building Rapport  119

communication skills, listening without prejudice, displaying empathy and

compassion, and many more (“The Balance Career,” n.d.).

Hard Skills
Hard skills are tangible, quantifiable skills. They include some specific tech-
nical and profession-related knowledge and abilities required for conduct-
ing a job or task. Hard skills could be accounting, computer programming,
mathematics, or data analysis (“The Balance Career,” n.d.).

Knowledge
Knowledge refers to a theoretical, conceptual, or functional understanding of
a trade or a subject matter (Donahue 2018). According to Krathwohl (2002),
knowledge is classified into four categories:

 factual knowledge,
 conceptual knowledge,
 procedural knowledge, and
 metacognitive knowledge.

It is essential to understand the characteristics and categories of our knowl-

edge base and its strengths in our personal and professional endeavors.
Being a knowledgeable manager-as-coach is no different.

Training
Training has been defined in several ways:

 “Training helps individuals meet minimally acceptable job requirements

or refine, upgrade, and improve what they presently do. When employ-
ees finish their training, they should be able to apply it immediately”
(Rothwell and Sredl 2014, 9).
 “Learning, [is] provided by employers to employees that are related to
their present jobs (Nadler and Nadler 1989)” (Rothwell and Sredl 2014, 9).
 “Change in skills (Lawrie 1990)” (Rothwell and Sredl 2014, 10).
 “Its major focus is providing basic knowledge and skills for famil-
iar tasks tied to present jobs (Bartz, Schwandt, and Hillman 1989)”
(Rothwell and Sredl 2014, 10).
120  Building Relationship and Recognizing the Situation

Figure 4.1 Relationship between Accruing Knowledge, Competencies, and Skills in

Training.
Source: Adapted from Rothwell and Sredl (2014).

Training is also described as a short-term learning intervention intending to

construct people’s knowledge, skills, and attitudes to assemble their work
requirements at their jobs. In this context of an organization, business, and
education, knowledge refers to the realities, facts, standards, and informa-
tion essential for executing a job or task while skills are the individuals’
abilities linked to a successful performance at work, and individual atti-
tudes refer to their feelings and emotions, as expressed by the individu-
als (Rothwell and Sredl 2014). As a manager-as-coach, we need to clearly
understand distinctions between competencies, skills, and training so we
can imply them appropriately to enhance our competencies and skills
through training and education.
Regardless of industries or types of organizations, a business, a perform-
ing team, or even individuals running their businesses as technicians, the
outcome of proper training relevant to a particular concept (e.g., rapport)
will be the relationship between competencies, skills, and knowledge (see
Figure 4.1).

Fundamental State of Being and Competencies

for Establishing Relatedness and Rapport
Now that we established what competencies, skills, and training are, we
move on to what it takes to establish relatedness and rapport. See the details
of this segment in Figure 4.2.
 Establish Relatedness and Building Rapport  121

Manager/Coach State of Being

For performance coaching to work, the managers-as-coaches need to pay
attention to their state of being while approaching employees or teams. We
are making the most significant difference in what we are prepared to do
with them during our approach to people. Who we are is where we begin
with establishing a positive rapport with people (Bakhshandeh 2009). On
average, 75% of all change efforts in organizations fall significantly below
management’s desired expectations. Either way, the failure rate is high.
Research also indicates that two-thirds of employees in organizations under-
going change activities would choose not to become involved at all (Levi
2016; Rothwell et al. 2016; Rothwell and Sredl 2014). Managers-as-coaches
should pay close attention to this type of information.
Why do most people going through a change effort come out unchanged?
Why don’t these efforts have impact? It may have something to do with the
trainer, coach, consultant, or manager’s state of being. Managers tend to plan
change efforts with a focus on what to do and not how we are (how people
perceive us to be). There are two sides to any performance change.

The Doing side is about processes, measurement, tools, structures,

and procedures. This side is about management. The Being side is
about relationships, participation, commitment, attitude, creativity,
overcoming resistance to change, and self-leadership. This side is
about leadership
(Primeco Education, n.d.)

When implementing high-performance coaching interventions, we remind

the management team that doing good management cannot generate sus-
tainability and growth in the organization or in the team they are trying to
restore and rebuild. They need to adjust the being of an individual to ensure
the sustainability and longevity of individuals because what they are being
(resentful, regretful, or disappointed), directly influences what they are doing
(performance, communication, or productivity) (Bakhshandeh 2009). In one
of Martin Heidegger’s books, Being and Time (1953), the German philoso-
pher and ontologist, expressed his views on the transparency of being as
“the self-evident concept. Being is used in all-knowing and predicting, in
every relation to being, and every relation to oneself, and the expression is
understandable without further ado” (3).
122  Building Relationship and Recognizing the Situation

One important, influential element of OD is the role modeling of organi-

zation leaders by displaying positive behavior aligned with desirable behav-
ior associated with implementation (Rothwell et al. 2016). This personal
development effort by organizations is possible through behavioral coaching
for individuals who have a direct and impactful influence on an organiza-
tion’s well-being. Behavioral coaching is not a new phenomenon in applying
OD. As part of behavioral coaching, coaches use the model of person-
centered psychology based on “holding up a mirror” (Rothwell 2015) for the
individuals to get to know themselves on a much deeper level and know
how they behave (and how others perceive and interpret their behavior)
through the years.
Usually, self-realization is somewhat bad news. However, it is a good
thing to know sooner rather than later. For example, some may discover
that they are opinionated, and they are always judging and evaluating
others. Nobody wants to be known as that judgmental person (the bad
news). But it is also a good thing, a good opportunity to face it, own it,

Figure 4.2 Being, Doing, and Mindset Relevancy.

Source: Copyright 2021 by Behnam Bakhshandeh.
 Establish Relatedness and Building Rapport  123

and do something about it. This way, this behavior has no power over
those individuals; now, they have a choice to continue behaving that way
or change their behavior given they see the cost of this behavior on them-
selves, their families, and people around them, such as people at work
(Bakhshandeh 2009).
You can see the relevance between Being and Doing in Figure 4.2.
We are attempting to shed light on some state of being under the
leadership part we think makes a big difference in establishing rapport.
We are using the following display (Figure 4.3) to walk our readers into
establishing a rapport with individuals or teams needing to increase their
productivity using the steps mentioned in Figure 4.3.

Business Case Examples throughout the Chapters

Throughout this book, we will continue using different organizations from
different industries as case examples for each step to create high-perfor-
mance teams. This way, we are displaying the unified implementation and
the use of High-Performance Coaching for Managers in different situations
in various industries. As a manager-as-coach, you should pay attention to
the context of steps and how they will affect your team or individuals you
are coaching.
In this segment of Chapter 4, we use a business case example of working
with a manager and his team to establish a background of relatedness and
rapport to increase the productivity and performance at their jobs. However,
in this chapter, the emphasis will be on the consultant/coach’s state of
being that made a difference in establishing rapport with the individuals in
this team. Pay attention to who the consultant/coach was being that would
support what he was doing. Some of the following content was in the last
chapter as part of understanding the EI (Emotional Intelligence). But it is
beneficial to address several elements again in this chapter briefly.

Background
In 2012, we received an invitation from MBD, an organization that has par-
ticipated in the beauty supply distribution industry in Southern California
since the early 1980s. The organization had four distribution centers with
112 employees and independent contractors throughout California. The
primary job of this workforce was involved in sales and the administration
124  Building Relationship and Recognizing the Situation

of distributing products to the hair and nail salons, spas and massage busi-
nesses, gyms, and motel and hotel chains. The sales managers and sales
teams in these three locations were 82 people, including four sales managers
and 78 salespersons throughout the four distribution centers. The rest of the
team were administrations, accounting, shipping, quality control, marketing/
public relation, and IT people. The apparent issue was the decreasing level
of quarterly and annual sales for the last two consecutive years. Mike, the
owner/CEO, could not make a difference with his sales team, he was not
able to get to mindset of his sales team and could not get them to discuss
the issues and what is in the way of their performance and productivity. It
was a clear breakdown in a channel of communication and understanding
of employees’ needs and wants in their career with the MBD. Some of the
issues were Mike’s lack of abilities and competencies to relate to his sales
team, and another issue was the fact that members of the sales team were
resisting Mike’s management style and just avoiding his domination from
their point of view.
Note: We will use the MBD case throughout the entire book to make an
example of how we use our performance coaching model (see in Chapter
3) to coach and walk the MBD team through spaces of the performance
model to find fundamental issues in their performance and productivity as
well as to develop them as a high-performance team. That being said, you
will see examples of the MBD team throughout other chapters of this book,
plus possibly other examples from performance development issues with
other organizations and some examples of coaching dialogs and perfor-
mance conversations.
Since this part of this case is about establishing rapport and building
relatedness, the case is not about collecting data, analysis, and the process
of the change intervention. However, we are walking you through how
we conduct building rapport and getting to understand the issues that
MBD has missed in communication and relatedness with the sales teams.
Two things to consider here are as follows: (1) In this book, we are cover-
ing creating a high-performance environment and coaching a manager to
become a high-performance coach and make a difference in their perfor-
mance as a manager-as-coach. (2) If you are interested in understanding
the levels of the individual, team, and organization change interven-
tions and their processes, we highly recommend our book Organization
Development Interventions, Executing Effective Organizational Change by
Rothwell, Imroz, and Bakhshandeh (2021) published by Routledge (Taylor
and Francis). These two books can work together.
 Establish Relatedness and Building Rapport  125

Figure 4.3 The Fundamental State of Being and Competencies for Establishing
Relatedness and Rapport.
Source: Copyright 2021 by Behnam Bakhshandeh.

We are looking at how to establish rapport with people to establish a

workable foundation for creating a breakthrough for participants and bring
them back to their productive performance and establish a good relationship
with their manager Mike.
We had a one-day workshop on a Sunday with all the 82 sales team
members—including Mike, the owner, and the CEO. Besides establishing
rapport for our work with the sales team, we offered executive coaching to
Mike and worked to empower his current and possible future team mem-
bers about their performance and productivity.
In the following part of this chapter, we explain the fundamental state
of being, competencies, and skills we used to establish a strong rapport
with the MBD sales team. We also indicated “Coaches’ Actions” for each
part.

Being Authentic
Being authentic means that coaches own who they are and what they stand
for. It is a mixture of having the courage to be real and avoid pretending
to be someone else just to please people (Bakhshandeh 2015). “The flip
side of authenticity is pretense” (Bakhshandeh 2015, 34). Some attributes of
126  Building Relationship and Recognizing the Situation

authentic people are (1) practicing self-reflection, (2) being honest, and (3)
not being judgmental.

Approachability
Approachable people are easy-going, calm, and collected, and they are
friendly. They are pleasant and open to others approaching and talking to
them. You would sense no resistance from them by your approach and your
interest in speaking to them or engaging them in some inquiries. It is effort-
less to connect with them (Bakhshandeh 2009). Some attributes of approach-
able people are (1) no presence of ego, (2) being humble, and (3) being open
and welcoming.

Positivity
Being positive has a big impact on others. A positive person influences other
people by easily relating to them. A positive temperament toward other
people creates an environment for building relationships, trust, and loyalty
among the workforce at every possible organizational level (HBR 2017).
Thinking negatively, displaying negative body language, and expressing
judgmental and crude language only results in others resisting and becom-
ing suppressed. When that happens, other people will not talk. People who
practice positivity are (1) optimistic, (2) resilient, and (3) grateful.

Coaches’ Actions
 Acknowledge them for their time and their commitment to their work
and the organization.
 Be real but do not try to act in charge and dominate the process.
 Adopt a friendly and professional approach to minimize the resistance.
 Use self-deprecating humor so they can laugh with you.
 Share stories about your shortcomings and breakthroughs in learning
high performance and productivity.
 Make yourself real.
 Be calm and collected and do not get hooked on their differences.
 Make sure they know that nothing is wrong with them or the situation.
 Assure them you and the organization are counting on their strengths
and what is great about them.
 Establish Relatedness and Building Rapport  127

 Ask the owner/CEO to give his word he will not retaliate based on
what the participants are exposing and communicating.
 Ask the owner/CEO to share stories about how he built up the organi-
zation, the hardship and struggles of establishing a good business, and
his dreams and vision for his organization and his employees.
 Acknowledge them when sharing their issues—and do not water them
down.

Being Respectful
Respectful managers and coaches are open to different communication
styles and are sensitive to other differences, such as diversity by age, sex,
gender, race, ethnicity, nationality, religion, or any other irrelevant differ-
ences to their duties.

Professionalism
Professional managers or coaches are keenly aware of their boundaries with
their subordinates or coachees. They do not extend their welcome to their
employees and act like they know better or have the answers. Being pro-
fessional means demonstrating respectful manners and calming behaviors.
Some attributes of people with professionalism are (1) using formal lan-
guage, (2) avoiding drama, and (3) displaying ethical behavior.

Sensitivity
Sensitive managers or coaches will acknowledge and recognize the diver-
sity and practice inclusion in their organizations, workplaces, and teams.
They attain diversity awareness when they appreciate and understand the
advantages of cultural diversity and differences among people. A work-
force with diversity awareness can establish an organizational culture built
on the foundation of dignity, mutual respect, and acceptance of the dif-
ferences among people regardless of their cultural background, ethnicity,
age, sexual orientation, gender, religion, socio-economic status, and physi-
cal abilities (Goleman 2015; Goleman 1998). Some attributes of people
with diversity awareness are (1) embracing uniqueness among people, (2)
having mutual respect for everyone, and (3) having universal treatment for
everyone.
128  Building Relationship and Recognizing the Situation

Coaches’ Actions
 Use professional and proper language.
 Avoid profanity.
 Mention no differences among participants.
 If any dramatic display occurs, bring the participants back to what they
will accomplish out of the coaching event and what the owner has
expressed about his intentions.
 Display respect and regards for everyone at the same professional level.
 Ask everyone if, for their comfort, they need any special
accommodations.
 Do not compare their issues with other issues or your own experiences.
 Remember that all their issues are real for them.
 Do not interrupt their sharing and expressions.

Being Courteous
Managers and coaches committed to being fair will practice courtesy and
empathize with others’ past, showing compassion to how they might act
or react to past or present situations. They show empathy and compassion
because of who they are at that moment.

Empathy
The simplest definition of empathy is understanding and consciousness of
other’s feelings and emotions (Goleman 2015). An empathetic person can
focus on others and could develop personal, social, and professional rela-
tionships. Managers and coaches able to focus on others effectively are the
ones who can find common ground with others (HBR 2017). One’s pro-
pensity to identify others’ emotional status is in dealing with others relating
to the present state of their feelings and emotions (Goleman 2015). Some
attributes of empathetic people are (1) recognizing talent, (2) understanding
other’s emotional states, and (3) being helpful to others.

Compassion
A compassionate person demonstrates understanding, sympathy, and kind-
ness for others in their time of sorrow, trouble, and hardship. It is the
consciousness of experiencing others’ distress and grief and interests and
 Establish Relatedness and Building Rapport  129

aspirations to ease their pain (HBR 2017; Goleman 2014). Compassion takes
empathy further. People with compassion feel hardship when witnessing
another person in distress. Some attributes of compassionate people are (1)
placing oneself in others’ situations, (2) practicing active listening, and (3)
being okay with others’ failures.

Coaches’ Actions
 Let them complete what they have to say—regardless of how harsh it is
or the pain it provokes.
 Keep acknowledging them for what they have provided for the
organization.
 Let them know what they think is “their failure” is not a failure but
a hiccup in the process, and it does not just belong to them but also
belongs to the team and the owner.
 Ask them to share about their obstacles and difficulties in their lives and
what it takes for them to perform their duties.
 Listen actively while controlling facial expressions and body language.
 Make sure they know they can have any emotions that might come
up—and that includes showing anger and resentment.

Being Engaging
Engaging managers or coaches display their desire to communicate and
understand others. They are communicating to produce relationships and
results, not just manipulating to make their people do something they want
them to do. They show interest in how others communicate while also
paying attention to the facial expressions and body language of others.

Communication
To be engaging and connecting with others is to communicate and be
communicative. This means to express your message in a well-mannered
fashion and listen to the replying person with the same respect and cour-
tesy you demand from them when they listen to you. This is the ability to
transfer information from one location, individual, or team to other peo-
ple or places. All forms of communication include at least one message,
one sender, and one receiver (Jones 2015). Steinfatt (2009) expressed his
view of communication and its vital role in human connectedness: “The
130  Building Relationship and Recognizing the Situation

central thrust of human communication concerns mutually understood

symbolic exchange” (295). Communication is one concept that continues
to be the focus of many theories about human connection (Jones 2015).
Without communication, there is no workability or teamwork. Teams are
synchronized when communicating effectively (Bakhshandeh 2015). Some
attributes of someone with communication skills are (1) being aware of
nonverbal communication, (2) delivering clear and concise messages, and
(3) showing courtesy and listening keenly.
A communicative person knows that harmony and fulfillment can arise in
communication. They know that peace of mind is a function of communica-
tion. They know that, without communication, there can be no efficiency
or effectiveness in the organization. When communicating with others,
remember:

 Stay present to the purpose of your communication.

 Be responsible for your communication and for how your listeners
receive it.
 Be clear, precise, and effective in your communications.
 Speak the truth without causing upsets for others or yourself.
(Bakhshandeh 2015; Bakhshandeh 2004)

Interest
To be interested is to be engaged with the people talking and showing
legitimate interest in their message. Coaches committed to being interested
in the speakers are practicing active listening. Active listening is one essen-
tial element of communication. Active listening is a valuable skill that can
be developed by practicing. One with active listening concentrates on the
people talking and the content and feeling displayed in the conversation
instead of just passively hearing speakers and messages (Rothwell et al.
2016; Goleman 2015). Practicing active listening helps the listeners gain the
speakers’ trust and respect by knowing the listeners appreciate their situa-
tions. It is an essential first step to neutralize a hard situation and pursue a
workable solution to potential crises (Rothwell et al. 2016; Cummings and
Worley 2015). Some attributes of people with active listening are (1) paying
attention to the speaker, (2) responding appropriately, and (3) providing
feedback.
 Establish Relatedness and Building Rapport  131

Coaches’ Actions
 Pay attention to the body language.
 Directly connect with them by looking at their eyes while they are talk-
ing and being aware of their facial expressions.
 Listen to what they say as it is the most important thing you need to
hear.
 Show interest in the issues they communicate.
 Make sure your responses are related to what they have communicated.
 Ask their permission to provide feedback.
 Do not interrupt or correct their delivery.
 Summarize and/or paraphrase what they say to demonstrate that you
really understood what they said—and, if you did not, the paraphrase
or summary will give them a chance to correct it.
 When mismatches between stated messages and apparent feelings
occur, follow up to ask for why that apparent disparity exists.

Table 4.1 displays a self-rating system that managers-as-coaches can use to

realize their level of the fundamental state of being and the coaching com-
petencies for establishing relatedness and rapport and planning properly
for expanding their knowledge, skills, and abilities to provide such compe-
tencies during their high-performance coaching with their subordinates or
coachees.
The next step is taking the team to what we call the interview process for
uncovering the reality of relationships.

The Interview Process for Uncovering the Reality

of Relationships
As part of the workshop with the MBD, we conducted the interview process
to uncover the reality of relationships to reveal personal and professional
issues in establishing strong rapport.
Effective leadership is essential to any organization’s performance.
Coaching is a planned intervention to develop people. “Traditionally,
coaching has focused on individual empowerment and achievements.
Organizations are now beginning to rely on team coaching to enhance
organizational performance” (Maseko, Van Wyk, and Odendaal 2019, 1).
 132
Table 4.1 Fundamental State of Being and Competencies for Establishing Relatedness and Rapport.


Building Relationship and Recognizing the Situation
Fundamental State of Being and Competencies of Effective Manager-as-Coach Self-Rating System
Day: Participant: Team:
Month: Supervisor: Department:
Rating Scale: 1 = Poor, 2 = Marginal, 3 = Acceptable, 4 = Good, 5 = Excellent

State of Being and Rating

Descriptions and Attributions
Competencies 1 2 3 4 5
1 Being Authentic A mixture of having the courage to be real and being oneself
without consideration to submit to something to just please
someone else.
1.a Approachability (1) There is no presence of ego with them, (2) being humble,
and (3) being open and welcoming
1.b Positivity (1) Being optimistic, (2) being resilient, and (3) being grateful.
2 Being Respectful Display equal respect for everyone in any position in the orga-
nization regardless of age, gender, race, ethnicity, nationality,
religion, or any other differences.
2.a Professionalism (1) Using proper language, (2) avoiding drama, and (3) display
ethical behavior
2.b Sensitivity (1) Embracing uniqueness among people, (2) having mutual
respect for everyone, and (3) having universal treatment for
everyone
 3 Being Courteous Committed to be fair and practicing courtesy to others past or
situation. They show empathy and compassion not because
they have an agenda but because who they are being now.
3.a Empathy (1) Recognizing talent, (2) understanding other’s emotional
state, and (3) being helpful to others
3.b Compassion (1) Placing oneself in others’ situations, (2) practicing active
listening, and (3) being okay with others’ failures
4 Being Engaging Displaying their desire in communication and understanding of

Establish Relatedness and Building Rapport 

the other party in communication. They are not pushing their
agenda and they are not attached to a certain prefabricated
solution.
4.a Communication (1) Being aware of nonverbal communication, (2) delivering
clear and concise messages, and (3) showing courtesy and
listening keenly.
4.b Interest (1) Paying attention to the speaker, (2) responding appropri-
ately, and (3) providing feedback
Two actions for this month that would bring up my two lowest states of being and competencies ratings by at least one scale
on the next month self-rating:
Action 1:
Action 2:

Source: Copyright 2021 by Behnam Bakhshandeh.

133
134  Building Relationship and Recognizing the Situation

Although organizations depend on their teams to accomplish their goals

and targets, numerous organizational leaders are unclear about how to
effectively advance their teams to develop necessary skills and competen-
cies to improve productivity (Maseko et al. 2019).
As we have mentioned throughout this book, we emphasize how impor-
tant it is to develop individuals and team members to understand the rele-
vance between their mindsets, attitudes, and behaviors to their performance
(see Chapter 3, Figure 3.1). Because of this distinction, at this point of
working with the MBD, we introduced the interview process for uncovering
the reality of relationships. This interview was presented as a team coaching
by presenting these steps:

(1) Explain the interview context and intent.

(2) Express the nondisclosure and confidentiality nature of the interview
process.
(3) Assure everyone that they can be free and communicate their issues
with no fear of retaliation or being treated differently.
(4) Walk the team through the entire interview setup and questioner’s
process and explain the intent behind the process and each question.
(5) Ask the team to write notes and ask questions to understand the
intent of the interview completely.
(6) Instruct them to interview them and answer the questions privately
while taking time to think and answer the questions.
(7) Ask them to call their direct supervisor or the owner/CEO and make
a one-hour appointment to interview them in absolute privacy and
confidentiality.
(8) Allow them to express all their issues, concerns, resentments, or
emotional hardships.

How do we know if our relationships with others (personally or profession-

ally) are the way we think they are? How do you know what you think of
someone? How do you know something is correct or even real? How do you
know what you think they think of you is even accurate? You do not! You
might say to yourself, “Unless you ask, right?” Wrong! How often have you
asked others to tell you the truth about your relationship, and they just said
something that sounded good—but was not true? You have done the same
thing, right? So just asking will not do it.
There are many reasons why people may not tell you the truth. Perhaps,
they wish to avoid conflict. Perhaps, they are worried how you will react.
 Establish Relatedness and Building Rapport  135

Perhaps, they simply do not wish to take the time to work out the reasons
for conflict.
So how do we know where we stand with others? To get to that level of
understanding of others, we need to ask questions. We just said asking ques-
tions makes no difference because people will not always tell the truth.
This process of uncovering the reality of relationships is a very effective
tool for managers and to establish strong rapport and start a new, authentic
relationship based on mutual respect. Table 4.2 explains how to set up for
the interview by the owner, manager, or supervisor. Table 4.3 displays all the
interview questions submitted to the team members in advance to prepare
their answers to questions that their managers or supervisors would ask to
Mike, the owner, and the CEO of MBD company.

Table 4.2 Powerfully Setting Up the Interview Process for Uncovering Reality of
Relationships.
Setting Up the Interview Process for Uncovering Reality of Relationships
Part One: What is the purpose of the interview?
 To face the reality of your relationships with others, how it is for them being
with you, working with you, or just being around you.
 To understand how you have affected others’ experiences of life/working with
you, around you or when you are with them.
 To discover how and why they view you the way they do, good, bad, or ugly. All
of it.
 To understand why they respond or react, the way they do to you during day-
to-day interactions, communications, or dialogue.
 To have an opportunity to be related to your team on a higher and more pro-
found level, the level you never knew was available.
 To have an opportunity to own your mess and clean up your messes in your
relationships with others.
 To start from a whole new starting point with clarity and understanding of each
other, personally or professionally.
 To build a new relationship from a clean slate and build a brighter future, rather
than drudging up the upsetting past, trying to hide it, or fix it.
Part Two: Who to interview?
 People with whom you are not comfortable or with whom you have issues.
 Someone with whom you have some upset, resentment, regrets, or resistance.
 The people whom you are avoiding because of some past arguments or
difficulty.
(Continued)
136  Building Relationship and Recognizing the Situation

Table 4.2 (Continued)

Setting Up the Interview Process for Uncovering Reality of Relationships
 The people who are the targets of your gossiping, listening to their gossip, or
hearing gossip about.
 These people could be anyone from your manager, colleagues, and business
associates.
Part Three: How to set it up?
 Communicate your commitment to the relationship and how important it is for
you to clear the air.
 Explain that you learned about this process and that it is an effective tool for
communication for both parties to understand each other without resistance.
 Say that it is all about the other person who will also be the only one who will
speak and express any opinions.
 Ask for an appointment. Indicate that at least one hour will be needed.
 Have privacy, and both of you are comfortable without having to rush to
another appointment.
 Reproduce the “Interview Questions” and have them with you, including a
writing pad to take notes.
 Write their responses in a shortened form so you are focused on what is being
said rather than being distracted by writing notes. The purpose of taking notes
is so you can accurately reiterate what was said rather than what you thought
was said. By doing this, you are preparing for repairing and restoring.
 When you sit together and based on past damages, create a safe space by mak-
ing a promise and giving your word that:
– The other party can say anything with no concerns or fear of your retaliation,
not now or later.
– The other party can be upset, angry, and resentful, or loud if needed.
– You will not defend yourself for or about anything that was said or done.
– You will not say, “It was not that way” or, “No, you are wrong,” or any other
statements that would cast you as defending yourself or invalidating what the
other party is saying.
– You will not justify your past actions; you will sit and listen with an open heart
and open ears.
Part Four: What not to do?
 Do not get too involved in your writing. Pay attention to the other party.
 Do not be attached to how the other person is talking. Just listen with
compassion.
 Do not justify your actions about any issues.
 Do not defend yourself against criticism or accusatory claims.
 Do not say, “It was not that way!”
 Do not interrupt. Be patient and empathetic during the process.
 Establish Relatedness and Building Rapport  137

 Do not listen to your inner chatter about what is being said. This is simply the
other party’s perspective.
 Do not say, “You do not understand me!” It is not about you.
 Do not get upset during the process. Stay present to your commitment.
 Do not leave the interview because “You cannot take it anymore!” Remember,
it is not about you. It is all about the commitment to workability and
relationships.
 Do not answer your office or cell phone. Give your full and undivided attention
and listen without interruptions.
Part Five: What to do?
 Listen as if the other party is telling the truth, regardless of what you think
about what you hear, your opinion about the other party, or the issue.
 Remember, it is the truth as the other party sees it; regardless of what you
think, the truth is for you.
 Pay attention to what is being said. It is very important. Maybe you are in an
upsetting situation because you did not listen.
 Take on everything that is said and exactly the way it is being recounted, just as
if you have done it according to how the other party says you did.
 Be responsible for the other party’s experience of you. Regardless of what and
how you are justifying or explaining your past actions, this experience with you
will leave a lasting mark.
 Take accountability for the results you have produced with the other party.
 Establish compassion for the effort put forth to discuss the issue with you. This
is especially true about upsetting and sensitive matters.
Part Six: How to be during the process?
 Be patient. Listen as if your life depends on it. Do not rush through the process.
 Be compassionate. Take what is said to heart and try to feel what they have felt.
 Be authentic. Genuinely show interest in the other party, what is being con-
veyed, and what is being felt.
 Be responsible. Believe that they are correct about their experiences with you.
Part Seven: What to do after the interview?

 Clean up your mess! After the interview is completed, take charge, and apolo-
gize for anything you think that you need to apologize for.
 Apologize for any disputed experience with them. It does not mean you agree
about what the other party said you have done. But you are showing dignity,
class, and interest in resolving the issues.
 Be articulate and detailed about what you are cleaning up. Be specific and
speak with clarity. Stay away from generalizing.
 Clean up all your broken promises. Make new ones no matter how small or big.
Remember you are cleaning up so leave nothing on the floor.
(Continued)
138  Building Relationship and Recognizing the Situation

Table 4.2 (Continued)

Setting Up the Interview Process for Uncovering Reality of Relationships
 Make new promises authentically and realistically. Do not look good and look
committed but then do nothing; otherwise, you will be in the same hole again
soon.
 Ask the other party if it would consider interviewing you. Do not insist, just
naturally offer. If agreed, then set it up.
 Acknowledge the person’s commitment and desire to go through this process
with you. Ensure that you know how difficult it was for the other party to be
open and share and how much you appreciate it. The process is complete.
Source: The content of this table is from the book Anatomy of Upset; Restoring Harmony
(Bakhshandeh 2015, 167–78) and used with express permission from Behnam
Bakhshandeh and Primeco Education, Inc.

Although these two tables present the interview process in a professional

setting, with minor modifications such as a change in questions and direc-
tions, this interview can be used on a personal level—such as in relation-
ships, marriages, and friendships.
Table 4.3 displays the set of questions that managers or supervisors
would ask participants. The questions are given to participants in advance of
a meeting.

Table 4.3 The Questions for the Interview Process for Uncovering Reality of
Relationships.
The Questions for the Interview Process for Uncovering Reality of Relationships 
Section One: Job and Relationships
1. What do you like the most about working here?
2. What do you not like about working here?
3. How do you envision yourself with this organization?
4. What is your dream for yourself and your life?
5. Do you have a set of goals for yourself and your life? What are they?
6. What obstacles can you see are in your way for fulfilling your dreams?
7. What obstacles can you see in your way of fulfilling your goals?
8. What do you like about your job?
9. What do you not like about your job?
10. What do you like about your location office?
11. What do you not like about your location office?
12. What do you like about this organization?
13. What do you not like about this organization?
14. How do you rate your job performance? And why? (Score from 0 being the lowest
to 10 being the highest)
 Establish Relatedness and Building Rapport  139

15. Do you have any specific plans for increasing your job performance? What is it?
16. How do you rate your relationship with your direct supervisor (me or others)? And
why? (Score from 0 being the nonexistent to 10 being excellent)
17. Do you have any specific plans for improving your relationship with your direct
supervisor (me or others)? If yes, what is it?
18. How do you rate your relationship with the organization? And why? (Score from 0
being the nonexistent to 10 being excellent)
19. Do you have any specific plans for improving your relationship with the organiza-
tion? What is it?
20. What is in your way to perform and be productive?
Section Two: Promises and Targets
1. What did you say you would accomplish in the last year?
2. Which ones did you accomplish?
3. Which ones did you not accomplish?
4. What were your goals and targets for the last year?
5. Which goals and targets were met last year?
6. Which goals and targets were not met last year?
7. How have you been being that allowed you to accomplish your goals?
8. What new actions did you create that allowed you to achieve your goals?
9. How have you been being that keep you from achieving your goals last year?
10. What could you have done that you have not done yet, that had you done that,
you would have met your goals?
11. What could you do differently that would forward your individual performance,
team productivity, and the organization’s success?
12. What are your new promises for this year?
Section Three: Completing
1. Who do you have a hard time working with? And why?
2. What do you have a hard time working with? And why?
3. What are you willing to do about it?
4. If you could change one thing about your job, what would that be?
5. If you could change one thing about your relationship with your supervisor (me
or others), what would that be?
6. If you could change one thing about your relationship with the organization, what
would that be?
7. What were your contributions to the team and the organization?
8. What would you like to be acknowledged for?
9. Is there anything you want me to know about you?
10. Is there anything you want me to know about your job or your future?
11. Do you have any requests for me?
12. Is there anything else you need to say?
Source: Copyright 2021 by Behnam Bakhshandeh.
140  Building Relationship and Recognizing the Situation

The length of this interview process depends on the number of interviews

performed by the manager and how many participants are involved. With
MBD, Mike completed all twelve interviews in one week in three locations.
The next step for Mike was to organize his notes and create a tally about:

 What he has discovered during these interviews.

 What of his relationship with his team?
 What he needed to alter about his mindset, attitude, and behavior.
 What training and development he needs to bring to his team for altering
their mindset, attitude, and behavior?
 What he needs to change in his business operations.
 How he can train and develop his team for greater responsibility and
accountability.
 And more.

The overall result of this rapport-building process was very satisfying

for the organization and all the people involved. The work environment
changed from a “have to” to a “want to” attitude. Team members commu-
nicated the issue publicly, and they came up with new ideas that would
empower the organization’s vision and mission statement. Having an
authentic relationship with others provides the foundation for an effective
working environment.

Key Points to Remember

 Relatedness is the key to trust and rapport

– Effective coaches will not act as if they are better than, or above,
their coachees. They will display respect, empathy, and compassion
for where the coachees are in their lives and careers.
 Be aware of reactions
– To consider you as a manager-as-coach is the source of resistance.
Not being liked is real but provides a possibility for a more effective
approach that results in a better outcome for you.
 Who you are being makes the biggest difference
– Look at your state of being and be the judge and jury of your
self-evaluation.
 Establish Relatedness and Building Rapport  141

 Values as sources of operations

– Remember your values. They are the source of healthy business
operations and the cause of having healthy rapport.

Coaching and Developmental Questions for Managers

(1) Do you have a good rapport with your subordinates and team members?
(a) If yes, what are you crediting this good relation to?
(b) If not, what do you think is on the way?
(2) Do you have a good rapport with your manager or supervisor?
(a) If yes, to what are you crediting this good relation?
(b) If not, why do you think it is what it is?
(3) Have you studied and rated yourself on the Fundamental State of Being
and Competencies for Establishing Relatedness and Rapport?
(4) What are the areas of building rapport you need to expand your KSAs
(knowledge, skills, and abilities)?

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Chapter 5

Step 2: What Is the

Issue at Hand?

Behnam Bakhshandeh

Chapter 5 focuses on the second step after the coach and coachees have
established a good rapport and working relationship. The second step is to
understand what is happening. At this stage, it is necessary to gather informa-
tion about the situation—and particularly to clarify facts rather than mere per-
ceptions. This chapter reviews what kind of information a high-performance
coach needs to know, collect, and analyze to reveal present conditions. In
addition, this chapter summarizes what fundamental approaches and models
are needed for the process and what competencies are required by a high-
performance coach to reveal what is the issue at hand (Rothwell 2013).
Chapter 5 as the second step of high-performance coaching covers:

 Elements of the Human Performance Enhancement approach in

organizations
 Environments affecting human performance in organizations
 Manager’s understanding, clarifying, and awareness of the performance
environment
 The distinction between goals and values, and how we determine our values
 What a High-Performance Coach can learn from an HPI practitioner
 Reviewing, collecting, and documenting information
 An inductive and deductive approach to collecting facts and perceptions
 A business case example, useful tools, and key factors to remember
from this chapter

DOI: 10.4324/9781003155928-7 145

146  Building Relationship and Recognizing the Situation

Start by Examining “What Is Happening,”

Facts or Perceptions?
The first question for realizing “What is happening” or “What is the issue
at hand” is to contemplate: “What are we looking for?” Given the human
psyche, it is to have perceptions. Are we interested in digging up the (1)
facts, (2) perception, or (3) both simultaneously? Facts are indisputable and
can be independently authenticated. Examples of facts include the organi-
zation’s name, starting date, hierarchy and structure, name and position of
the executive team, balance sheet, income statement, inventory, and list of
products and services (Rothwell 2015a). Facts can be checked—and veri-
fied (shown to be true) or falsified (shown to be false). While some facts
may be changed over time—such as account receivable information, which
could change by the minute—facts can be shown as true or false.
Perceptions, on the other hand, are shaped by opinion. They may be
influenced by experience, beliefs, values, principles, mindsets, and emotions.
They cannot be independently authenticated.
Examples of perceptions include an employee’s opinions about the orga-
nization’s values, morale, accountability, key work processes, management
actions or lack thereof, HR policies, customer service, and satisfaction, and
what the organization should do in the present or future (Rothwell 2015b).
These opinions run both ways, from employees to managers and from man-
agers to employees. “Managers and employees lack complete facts on which
to base decisions. They rely on perceptions. Moreover, perceptions affect
reality” (Rothwell 2015a, 86). Perceptions can create a self-fulfilling prophecy
in which what is perceived is to be true (or false) actually becomes true or
false. If a bank is perceived to be on the edge of bankruptcy, a run on the
bank can lead to bankruptcy; if the stock market is believed to be crashing,
panicked stockholders selling their shares can lead to a crash. Perception can
affect facts. If workers are perceived to be poor performers and are treated
as poor performers, they may become poor performers because others have
discouraged them from achieving results. That can happen even when the
facts—actual performance data on workers—demonstrates that the worker
perceived to be a poor performer is actually average or even exemplary.
Performance coaches must separate perceptions from facts. It is wise to
follow the simple advice to “listen to what people say based—but get the
facts anyway.” Perceptions cannot be completely trusted because they can
be influenced by who likes whom, who dislikes whom, and by other issues
that may shape feelings but not facts.
 Establish Relatedness and Building Rapport  147

Experienced performance coaches know that the organizational environ-

ment shapes worker job performance far more than individuals do. That is
an important point to remember at the outset of an investigation into worker
job performance. While managers tend to blame employees for poor job
performance, the reality is that organizations (and managers themselves) cre-
ate many obstacles to performance. As W. Edwards Deming once observed,
“managers create most of their own problems.”
It is not difficult to cite examples. If workers have to secure the permission of
their immediate superiors before they can take action, then their actions will be
predictably slow. If the managers chose the wrong person to carry out a job—
someone lacking the appropriate motivation or skills—then the results may not
be good. If managers save money by scrimping on company-provided tools,
equipment, or software, then workers can scarcely be expected to perform at
peak when lacking necessary resources. If managers establish a pay system that
rewards “going along to getting along,” then they have incentivized mediocrity.
Coaches should thus begin investigations by gathering information on:

 What is common or typical performance by other, similar performers?

 What is outstanding performance?
 What is recommended performance?
 What is the past performance of the individual or team?
 What is the present performance of the team?
 What is the performance trend line of the individual or team?
 If time permits, what can be found out about common or typical per-
formance in the same job in other teams, departments, divisions—or
even in other organizations?

Environments Affecting Human Performance in

Organizations
As we have established in the previous section, these four areas (Figure 5.1)
affect human performance in organizations. The corresponding questions
would assist the internal or external practitioners in gathering needed back-
ground information that can shape the performance investigation. These
questions can be modified, if necessary, but provide a good place to begin:

The Organization Environment

 What does the organization do best?
148  Building Relationship and Recognizing the Situation

 How does the organization compete in its market?

 What is the biggest challenge facing the organization and its managers?
 What are the clients’/customers’ perceptions of the organization?

The Work Environment

 What are the biggest internal challenges of the organization?
 What has occurred recently?
 What are the causes of these changes?
 How well do workers and managers work to achieve common goals?

The Work
 How does the organization produce results?
 How does the organization serve clients/customers?
 How up to date is the organization’s technology and services?
 What factors affect the work?

The Workers
 What are the strengths of the organization’s people?
 What is the reputation of the organization among its people?
 What are the turnover and absenteeism rates, and what causes them?
 What is the biggest dissatisfiers among workers?
(Rothwell, Stavros, and Sullivan 2016)

Often organization environment and performance are associated with

organizational assessment, that arise from organizational diagnosis, which
is the process of a systematic examination of how well an organization is
functioning and how well their workforces are performing. Understanding
the organization’s environmental forces (organization environment, the work
environment, the work, and the workers) and their relevancy for change
grants a management system to swiftly come up with ideas that would
support the change effort’s success. Unfortunately, in some cases, change
intervention efforts flunk given that an organization is not prepared for
change intervention, and for one reason or another, are not ready to take on
changes (Rothwell, Stopper, and Myers 2017).
Sometimes, especially when using an external consultant, it would be
very useful if practitioners become familiar with the organization’s culture
and structure before collecting performance data.
 Establish Relatedness and Building Rapport  149

Figure 5.1 Four Environments Are Affecting Human Performance in Organizations.

Source: Adapted from Rothwell et al. (2016).

Table 5.1 assists internal or external performance coaches by conducting

an inquiry to their level of familiarity with the organization and design their
action plan to get to know what they need to know for better data collecting
and analysis process.

Individual’s High-Performance Is
the Results of Their Choice
While it is true that most performance problems stem from management
decisions, it is also true that workers sometimes have a tendency to blame
others rather than take responsibility for what they can do and what they
can control in their own job performance. People can choose to be produc-
tive. They can focus on what they can control and take proactive action
rather than delegate problems upward or bewail their fate rather than act.
The choice of being productive is completely generated from individuals’
interests on what they are doing along with their mindset about their individ-
ual values and principles. We talk about the relevance between who people
150  Building Relationship and Recognizing the Situation

Table 5.1 Manager’s Understanding, Clarifying, and Awareness of the

Performance Environment.
Manager’s Understanding, Clarifying, and Awareness of the Performance Environment
Action
# Area of Inquiry—Are You Familiar with Yes No N/A
Needed
The Organization Environment
1 Organization’s vision, mission, and core values
2 Organization’s reputation in the community
3 Affiliations with other organizations
4 Organization’s long-range goals
5 Organization’s short-term goals

6 Your department’s overall goals

7 Recent major problems in the organization’s performance
8 Recent major problems in your department performance
9 Human resources policies and procedures
10 Diversity, equality, and inclusion policies and practices
11 Recruitment practices
12 New hire orientation
13 Employees’ appreciation and social events
14 Compensation and benefits
15 Organization’s presence in the market
16 Succession planning
17 Profit-sharing plan
18 401K and retirement plan
19 Bonus plan and structure
20 Expansion plan
The Work Environment
1 Current products or services
2 Recent changes in products and services
3 Issues with suppliers or distributors
 Establish Relatedness and Building Rapport  151

4 Core competencies and strengths of the organization

5 Core competencies and strengths of your
department
6 Any weakness of the organization
7 Any weaknesses of your department
8 Clear management hierarchy
9 Job descriptions
10 Work responsibilities and accountabilities
11 Annual or quarterly performance evaluations
12 Disciplinary policies and actions
13 Age of facilities and building safety
14 Age of equipment and inspections
15 OSHA and safety policies
16 Comparison between intended plan and actual
results
17 Composition of groups and teams
18 Absenteeism and turnover records in your department
19 Rate of accidents and their causes
20 Training and development opportunities
21 Promotion opportunities
22 Educational reimbursement
23 Supervision and management style
24 Communication and information distribution systems
25 Open door policy
26 Amount of gossip and drama
27 Work hours, overtime, and holidays off
28 Social events
29 Fairness and respect
30 Rapport, relatedness, and communication
(Continued)
152  Building Relationship and Recognizing the Situation

Table 5.1 (Continued)

Manager’s Understanding, Clarifying, and Awareness of the Performance
Environment
The Work
1 Distribution of workers among groups and teams
2 Quality of products and services
3 Reputations of products and services
4 New products training
5 Hard skills training
6 Soft skills training
7 Customer complaints about the products and services
8 The reputation of products and services in the
community
9 Use of new technologies and relevant training
10 New products and services plan
The Workers
1 Number of employees in your department
2 Employees’ diversity
3 Employees’ tenure and history with the organization
4 Employees’ ages and closeness to retirement
5 Employees’ turnover rate and causes
6 Management and supervisors’ perception of employees
7 Employees’ perception of management and supervisors
8 Employees’ exit interviews
9 Employees’ complaints and resentments
10 Camaraderie and team attitude
Source: Copyright 2021 by Behnam Bakhshandeh.

are Being and the quality of what they are Doing in Chapter 4
(see Figure 4.2) and the role of people’s mindset in this process. For this
process to work its magic, there is a need for leaders who understand the
place of interest and choice in their workforce and organization systems. To
 Establish Relatedness and Building Rapport  153

understand this process, the organization management and leadership need

to understand the workforce’s individual and team doubts and concerns and
what is in their way to fulfill their interests. This relationship requires merg-
ing the interests of all the three elements of high performance: (1) individuals,
(2) teams, and (3) the organization (Davis 2001). For this reason, just com-
ing with some fast fix and rational solutions to convince the workforce to be
faster or better has not produced any inspiring results yet! “All of these were
seen as legitimate and honored by the process used, which was designed to
build on and integrate the strengths of individualism, teamwork, and leader-
ship. These, I believe, are the three primary forces operating in all organiza-
tions at all times whether we acknowledge them or not” (Rothwell 2015a, 27).

Distinction Between Goals and Values?

Individual interests are emerging from their values and what they care
about; the things that are drivers of their choices. We hear about goals a
lot, but what is the distinction between goals and values? Goals are things
individuals want to have or accomplish; they are objectives. While Values
form our character and define us, they shape who we are for ourselves
and others. Our values are what make us unique and memorable and what
makes us distinct from others. Our values give our life meaning, determine
our purpose, and give us direction in life. Ultimately, values determine our
choices and guide our mindset, attitude, and behaviors (Bakhshandeh 2008).
As Roy Disney said, “[w]hen your values are clear to you, making decisions
becomes easier.”

How Do We Select Our Values?

As individuals are growing, they are experiencing the presence of values
from the following sources:

 In their home, by observing their parents, grandparents, siblings, and

other family members, they learn to care for certain values that are
passed down through family generations.
 Learned through process of being at school and interactions with other
children and influence of teachers.
 National pride, as some values come from being raised in a culture we
are proud of and love.
154  Building Relationship and Recognizing the Situation

 Participating in any faith-based groups and churches.

 Learning from society, media, politics, and global events.
 Effects of professions and careers on selecting values based on profes-
sional positions.
 What they think is the right thing to do, such as moral, ethics, and
integrity.
(Bakhshandeh 2009)

Values that Exist in Our World

In this section, we are looking at what values exist in our own world, our
environment, our lives in general, and how they define us from others.
Clearly, as we mentioned in the previous sections, our values determine our
choice in the matter of our actions and behaviors, which directly influence
our productivity and performance in personal and professional environ-
ments. As a manager-as-coach, if we can understand our workforce’s values,
then we can have a window to the source of how the workforce operates,
makes decisions, the reasons for their actions or inactions. This awareness
allows us to be effective performance coaches (Bakhshandeh 2008).

Personal Values
These are values that define who we are as individuals and how to relate to
ourselves and guide us in relationships with others. Some examples of per-
sonal values are (1) integrity, (2) honor, and (3) respect.

Social Values
These are values that define how we relate to groups of people, such as a
team. They define how we are connecting with the communities around us
and the people with whom we often interact. Some examples of social val-
ues are (1) fairness, (2) diversity, and (3) equality.

Cultural Values
These values define how we relate to other people in the world in gen-
eral, our place in the world that guides our general interests and behaviors
around other cultures and customs, and the degree of our interests or the
acceptance of them. At the same time, they define how we relate to people
 Establish Relatedness and Building Rapport  155

with similar backgrounds as we have. Some examples of cultural values are

(1) family, (2) traditions, and (3) celebrations.

Professional Values
These values define how we relate to ourselves in affiliation with the pro-
fessional work we are doing. They are guiding our mindset, attitude, and
behaviors in the work environment and situations. They are determining
how we relate to others with whom we work, such as managers, supervi-
sors, and coworkers. Some examples of work values are (1) loyalty, (2) team-
work, and (3) responsibility.

How to Determine What Our Values Are

This simple but effective little practice would bring up individuals’ values
that might be hidden from their view, or they have not given enough weight
or the determination to understand them or even be aware of them. As we
are trying to understand what is happening or the issue at hand, under-
standing individuals who are engaged with the potential issue is valuable for
uncovering the source of the problem.
When you value productivity, your work becomes more prominent. When
you value serenity, your home becomes more important. When you value
your family, you spend more time with them. When you value your faith, you
practice it more often. When you value health, you pay more attention to your
body. Value your ideas, your time, and your money, and they become more
valuable. It is all in your hands and in your mind. Value is not determined by a
price tag or any other monetary system. The value of anything is the value we
give it. What do you value most? What do you want to grow and become abun-
dant in your life? Give more of yourself to the things you value, and they will
flourish and become more present in your day-to-day life (Bakhshandeh 2009).
Simply ask individuals of interest to write what is their (1) personal, (2)
social, and (3) cultural and work values by having an inquiry on (1) what are
important to them as an individual, (2) what are important to them in life in
general, and (3) what is important to them at work.
You can use Table 5.2 for conducting this process and allowing the
employees or clients to record their values in one place. At the same time,
you can ask the employees to come with some ideas of actions that would
bring up the presence of the values in their lives and professions. Continue
156  Building Relationship and Recognizing the Situation

Table 5.2 How to Determine Your Values.

Determining Your Values
Date: Participant: Team:
Month Supervisor: Department:

Area of Values Type of Values Answers Actions to Take

Personal

What are important to Social

you as an individual? Cultural
Professional

Personal

What are important to Social

you in life in general? Cultural

Professional

Personal

What are important to Social

you at work? Cultural
Professional
Source: Copyright 2021 by Behnam Bakhshandeh.

working with individuals to determine their values and work on having

these values. Practicing them assists the high-performance coach in discover-
ing problems and designing an action plan to resolve the problems based on
individuals’ values and determinations.

What a High-Performance Coach Can Learn from an

HPI Practitioner
All the coaching models and practices to enhance one’s performance are
worthy and effective if they are applied and managed for effectiveness and
 Establish Relatedness and Building Rapport  157

relevance to increase performance and productivity. One effective way to

make these models and practices systematic is to use them as the source of
an individual, team, and group high-performance and enhancement coach-
ing (Rothwell 2015a).
This would bring us to the roles of high-performance coaches and
what they can learn from an HPI practitioner and the “Six Steps of
the Human Performance Improve Process Model” that is defined in
ASTD Models for Human Performance Improvement. Clearly, the High-
performance coaching model differs from the Human Performance
Improve Process Model in some ways. However, they have characteristics
that can assist and help one another to improve individuals’ and teams’
performances in other ways.
These steps are: (1) performance assessment, (2) cause assessment, (3)
change intervention, (4) action plan execution, (5) change management,
and (6) evaluation and measurement. This model has included the four
important roles of the HPI practitioner and, in our case, the high-perfor-
mance coach as the (1) analyst, (2) intervention specialist, (3) change man-
ager, and (4) evaluator. Figure 5.2 displays the relationship between HPI
practitioners’ roles that high-performance coaches can apply to their pro-
cess of coaching employees (Rothwell and Sredl 2000).

Describing the Four Roles

The following is a brief description of each of the four roles according to
Rothwell, Hohne, and King (2018) and Rothwell and Sredl (2000) for the
high-performance coaches to learn from HPI practitioners and to apply in
coaching subordinates, individuals, or team coaching:

Figure 5.2 What a High-Performance Coach Can Learn from Elements of Human
Performance Improvement (HPI) Process.
Source: Adapted from Rothwell et al. (2018).
158  Building Relationship and Recognizing the Situation

Analyst
The role of the analyst is considered the most important role, involv-
ing individuals’, teams’, groups’ or organizations’ performance and cause
analysis. In the analyst role, the high-performance coach is performing
troubleshooting and cause/effect procedures to uncover the causes
of performance gaps or needs for improvements (Rothwell and Sredl
2000). “The process of analysis helps the HPI practitioner to accurately
and thoroughly diagnose the problem or situation before recommending
and implementing the appropriate solution system” (Rothwell et al.
2018, 12).

Intervention Specialist
Many human performance improvement strategies and interventions are
available to the high-performance coach or the HPI practitioner that con-
sist of training or management solutions. It will be the choice of the high-
performance coaches to select the appropriate intervention based on what
they have determined to cause problems in human performance and as the
natural results of analysis (Rothwell and Sredl 2000).

Change Management
Managing the selected interventions and related action plans to implement
changes resulting from the intervention requires short- and long-term change
management. The change manager’s role is to ensure that the results of the
change interventions are executed appropriately and follow the intention to
produce the desired results by individuals, teams, groups, or organizations
(Rothwell and Sredl 2000).

Evaluator
Evaluation is critical to make sure the performance improvement matches
the expected results of the intervention. The emphasis of evaluation is mak-
ing sure that the issues caused by the original performance problems recog-
nized in the analysis process are dealt with effectively and are resolved, or
there remains a need for additional interventions. The evaluator

assesses the impact of interventions and follows up on changes

made, actions taken and results achieved to provide participants
 Establish Relatedness and Building Rapport  159

and stakeholders with information about how well interventions

are being implemented
(Rothwell et al. 2018, 13)

Supporting the Change Intervention

In every potential change intervention, the most important and almost the
hardest phase is to convince decision-makers and stakeholders to accept that
there is a need for a change, either individually or as a team or an organiza-
tion. This convincing act is vital to the success of the change intervention
because if people involved with the change effort are not aligned with the
action, it will be challenging to collect data, analyze, and implement the
change, and it will fail (Rothwell et al. 2016). Regarding resistance to change
“people are unwilling to change unless they see worthwhile reasons for
doing so. When making a case for change, someone or some group will
need to be convinced early” (Rothwell 2015a, 65). The convincing individ-
ual or group that are the change agents and facilitators for needed change
should gather compelling evidence that supports the necessity of such
change (Rothwell et al. 2016; Rothwell 2015b).

Seeking Evidence of the Need for Change Intervention

We need to point out that someone’s or a group’s dissatisfaction with some-
thing about an individual in a team or an organization is not enough to con-
vince the decision-makers to agree with the change efforts or even create a
strong base for the change. It is a reasonable and appropriate place to start the
process, but it is not all that is needed. Usually, the second act is to organize
an open-ended pursuit for collecting evidence that supports the need for the
change to support the case for the change intervention. The techniques of
obtaining evidence are based on the change agent’s knowledge and creativity.
The followings are possible strategies for the change agents, high-performance
coaches, and managers-as-coaches to gather evidence for the potential needed
to change interventions (Rothwell et al. 2016; Rothwell 2015b):

Data from the High-Productive and High-Performance

Organizations
During past decades, many organizations have changed their approach
from making workforce training to only enhancing performance. Asking for
160  Building Relationship and Recognizing the Situation

interviewing executives of these organizations is a great strategy; questions

like the following can open doors for change implementation: What kind
of problems triggered the changes in your organization? What kind of issue
triggered the change in human performance enhancement? What opportuni-
ties arise during or after implementing changes?

Data from the Related Industries or Local Organizations

Given the competition, some organizations are not willing to share their
data and strategies for their change efforts with other organizations and
their representatives. In these cases, the change agent may prefer to
discuss the need for change with organizations in their industry or some
organizations operating near their organization. The change agent should
look for workability, productivity, and higher performance from other
organizations’ efforts and strategies, using the same questions mentioned
in the previous section.

Investigate the Organization’s Strategies and Action Plans

How effective were the organization’s strategies and action plans for enhanc-
ing the workforce’s performance in the past several years? How were the
decided action plans for training and development of the workforce to
increase productivity performance to a higher level?

Clients’/Customers’ or Stakeholders’ Requirements

Another good place to investigate for gathering data is the organization’s
clients, customers, and stakeholders about their requirements and needs and
their satisfaction about receiving quality products or services. How might
problems with the clients and customers be evidence for the need for a
change intervention?

Evidence from Previous Training by the Organization

Were there any previous attempts to implement changes using training and
development programs? What resulted from such an attempt? Any evidence
of success or failure of such attempts, and why? Maybe the collected evi-
dence about the failure of previous attempts is a fresh starting point for sup-
porting a new change intervention attempt.
 Establish Relatedness and Building Rapport  161

Distinguishing Underlying Sources of Current Crises

Connect references and evidence collected to determine underlying causes
for crises in the organization. Could these causes be prevented by utilizing
some holistic approach to enhancing the workforce’s performance? Or is
there a need for different approaches and methods to be implemented?

Distinguishing Occurring Problems

What are the most current and urgent challenges confronting the organiza-
tion? Can traditional training make a difference? Or should we implement
high-performance coaching and approach our enhancing human perfor-
mance issue as a form of change intervention?

Develop Based on Decision-Makers’ Values

What are the decision-makers’ values and what do they see as problems in
the organizations? What do they see as high priorities for the organization?
Could the desired change intervention provide a new work environment and
high-performance matching with the decision-makers’ values and priorities?

Reviewing, Collecting, and Documenting Information:

Facts and Perceptions
Whether the change agent is internal or external, fact-finding, and percep-
tion hunting are the keys to understanding what is happening. But what
approaches should be used to gather and document facts and perceptions?
Essentially, there are two approaches to collecting such information, which
are not necessary and mutually exclusive: (1) the inductive approach and (2)
the deductive approach (Rothwell 2015a).
Before we get to explain the mentioned approaches, at this point, it is
beneficial to our readers, including performance coaches and managers-as-
coaches to discuss and distinguish differences between meanings and inter-
pretations of facts, perceptions, plans, and norms in public as well as in any
organizations independently (see Table 5.3). However, as we are all aware,
making interpretations and coming with different meanings about any topic,
incident, and concept is a normal human psyche and thinking process
(Bakhshandeh 2009).
162  Building Relationship and Recognizing the Situation

Table 5.3 Definitions and Meanings of Facts, Perceptions, Plans, and Norms.
Definitions and Meanings of Facts, Perceptions, Plans, and Norms
Scientific or Academic In
Distinctions Dictionary Definitions
Definitions Performance
(1) “a thing that is [Fact: In science, an What is
known or proved to observation that has been actually
be true.” repeatedly confirmed and being done.
(2) “information used as for all practical purposes is The way it
evidence or as part accepted as “true.” Truth in is.
Facts of a report or news science, however, is never
article.” final and what is accepted
(3) “the truth about as a fact today may be
events as opposed to modified or even
interpretation.” discarded tomorrow]
Oxford Language (2021). (NCSE 2016).
(1) “the state of being or “Perception is a mode of How we like
process of becoming apprehending reality and it to be. It
aware of something experience through the should be
through the senses.” senses, thus enabling that way.
(2) “a way of regarding, discernment of figure,
understanding, or form, language, behavior,
interpreting and action. Individual
Perceptions something; a mental perception influences
impression.” opinion, judgment,
(3) “intuitive understanding of a
understanding and situation or person,
insight.” meaning of an experience,
Oxford Language (2021). and how one responds to a
situation” (SAGE Research
Methods 2012).
(1) “a detailed proposal “A plan is typically any How we want
for doing or diagram or list of steps with to do it in
achieving details of timing and the future.
something.” resources, used to achieve How we
(2) “an intention or an objective to do thought it
Plans decision about what something. It is commonly should be.
one is going to do.” understood as a temporal
(3) “a detailed map or set of intended actions
diagram.” through which one expects
Oxford Language (2021). to achieve a goal”
Wikipedia (2021).
 Establish Relatedness and Building Rapport  163

(1) “something that is “Norms are a fundamental How we have

usual, typical, or concept in the social always done
standard.” sciences. They are most it this way.
(2) “a standard or commonly defined as rules
pattern, especially of or expectations that are
social behavior, that socially enforced. Norms
Norms
is typical or expected may be prescriptive
of a group.” (encouraging positive
Oxford Language (2021). behavior, or proscriptive
(discouraging negative
behavior).” Oxford
Bibliographies (2021).

Inductive Approach to Fact and Perception Finding

“Induction means arriving at general principles from specific facts or circum-
stances” (Rothwell 2015a, 95). With a performance coach not knowing much
about the organization or team issues and not being aware of what is hap-
pening or the issues at hand at the current time, an inductive approach is
the most appropriate approach to finding facts and perceptions from people.
To do so, the High-Performance coach, HPE practitioners, or the manager-
as-coach will start by spotting individuals concerned about the apparent
problem or issue at hand.
The questions that might be used during an inductive approach can
be used regardless of the size or dimensions of perceived or recognized
problems or the fact of using internal or external practitioners. These ques-
tions in Table 5.4 are asked of individuals, teams, or groups who are most
involved and concerned in solving a problem(s):
A similar approach should be used to examine possible performance
improvement opportunities. HPE practitioners should begin by identifying
those who are likely to be most interested in the opportunity. They should
then pose these questions:

Deductive Approach to Fact and Perception Finding

In the deductive approach, “[t]he investigator begins with a theory—sometimes
never articulated but evident from the pattern of an investigation—about what
caused the problem or led to the opportunity” (Rothwell 2015a, 99).
164  Building Relationship and Recognizing the Situation

Table 5.4 Inductive Questions for Finding Facts and Identifying Perceptions
about Problem(s).
Set of Inductive Questions for Separating Facts from Perceptions
# Questions Answers Fact Perception
1 What do you think the problem is?
2 Who is part of the problem?
3 What is occurring now?
4 What events led to the situation?
5 What do you think assisted the progress of the
problem?
6 What consequences have arisen from the problem?
7 When did the problem first appear?
8 How did you first notice the problem?
9 Where did the problem first emerge?
10 Can you track the problem to one source or
location?
11 Why do you think the problem was happening?
12 How did you notice the impact of the problem?
13 Can you cite any situation that was palpable to the
problem?
14 How much is this problem costing the organization
in tangible (hard) measures of performance?
15 How much is this problem costing the organization
in intangible (soft) measures of performance?
Source: Adapted from Rothwell (2013).

In contrast to the inductive approach, which depends on series of open-

ended and instinctive inquiries, a deductive approach conducts a more
focused investigation of the problem(s). This approach is steered by a
sense of “what should be happening” (which is the focus of the follow-
ing chapter). Here, the high-performance coach or the HPE practitioner
starts the investigation by theorizing about what potentially has caused the
problem(s) by individuals, teams, or organizations or offered opportunities
to the individual, team, or organization (Rothwell 2015b; Rothwell 2013).
The deductive approach and its reasoning is valuable and benefits the
investigators for facts and perception. Progressively, it has been suggested
to professionals to follow specific norms and suggested guidelines for their
investigations. Examples of such recommended guidelines include (1) ISO
Standards, (2) Six Sigma, (3) Lean Manufacturing, (4) the Malcolm Baldrige
National Quality Award, (5) the Deming Prize, and (6) the US Department
of Labor’s criteria for High-Performance Workplaces (Rothwell 2015a).
 Establish Relatedness and Building Rapport  165

Table 5.5 Inductive Questions for Examining and Finding Opportunities.

Questions for Discovering Possible Performance Improvement Opportunities
# Questions Answers
1 What is the apparent opportunity?
2 Why do you think this opportunity occurred?
3 Who will be affected by this opportunity?
4 What are the results in discovering this
opportunity?
5 What do you think assisted the discovery of this
opportunity?
6 The costs of pursuing this opportunity.
7 What are the organization’s main competitive
strengths?
8 How can the organization’s strengths be used for
a bigger competitive advantage?
9 When did the evidence of the opportunity show
up?
10 How did the evidence of the opportunity show
up?
11 Why do you think this opportunity came to the
surface?
12 What would be valuable about this opportunity if
it were realized?
13 How did you notice this opportunity?
14 What trend, business issues, customer needs or
expectations, outside of the organization caused
the opportunity to occur?
15 How much would this opportunity be worth to
the organization?
16 What is this opportunity’s value in tangible (hard)
measures for the organization?
17 What is this opportunity’s value in intangible
(soft) measures for the organization?
18 How would the value of this opportunity be an
asset to the organization?
Source: Adapted from (Rothwell 2013).
166  Building Relationship and Recognizing the Situation

Table 5.6 represents deductive methods for gathering data about “what is
happening” or “what are the issues at hand.” There are no orders to using
these methods of collecting data. Professionals use some or all these meth-
ods relevant to be the internal or external facilitator or the organization’s
size, or the level of the change efforts and intervention.

Table 5.6 Deductive Methods for Gathering Data about “What Is Happening?”
Deductive Methods for Gathering Data
# Method Description
1 Extend Data It is recommended to review any existing data related to the
problem or potential gap. These potential data can be
discovered in many forms and shapes. To begin, reviewing vision
and mission statements, organizational values and principles,
business plans and goals, previous surveys, and marketing
reports can add useful awareness for assessing the situation.
2 Historical Examine historical forms, such as exit interviews, HR complaints,
Document employment promotions, demotions and firings, accident reports,
Review profit and loss reports, safety training records, sexual harassment
training records, or performance evaluations. This would help the
practitioner to develop classifications to explain the finding data
based on what was uncovered by reviewing such documents.
3 Observation This is one of the most helpful methods for recognizing a problem
among individuals and their teammates or their managers and will help
to conduct a needs assessment process. Teams and group meetings,
management weekly or monthly meetings, and planning meetings
are good places to observe individuals’ and teams’ interactions. The
observation can be conducted structured or unstructured and uses the
data to help with other collected information.
4 One-on-One This method is very useful and is much the backbone of collecting
Interview sensitive and confidential information that needs to be gathered
quickly. Using this method helps the practitioner collect much
more detailed information than document review or conducting
a survey. One-on-one interviews can be structured, unstructured,
or semi-structured. Preparation and development of interview
protocol and questions are vital as the actual interview and
practitioner’s commitment to a successful data gathering.
5 Focus Group This method is used when the practitioner wants to interview a
particular team member or a group in a department working in
the same working environment or supervision. The focus group
is usually conducted by four to eight participants. The
practitioners conducting focus groups need to have skills and
competencies to deal with participants’ reactions, emotions,
and desires to dominate the conversation.
 Establish Relatedness and Building Rapport  167

Deductive Methods for Gathering Data

# Method Description
6 Surveys and Mailed or web-based survey and questions used to collect data
Questionnaire from a large group and broad, quantitative, and nonsensitive
data. To use this method, the practitioners need to develop
thoughtful questions to collect accurate and useful data. The
practitioners need to design a valid, reliable, and user-friendly
survey to gather valuable and useful information.
7 Phone Survey This over-the-phone method offers a more personal touch and
is much faster than written surveys. Similar to interviews and
written surveys, they can be structured or unstructured. This
survey method will allow the participants to describe current
conditions in a much more detailed fashion.
8 Product A production examination is similar to the process of
Examination observation. The coach /investigator visits the work site,
observes the process of making products or finished goods,
how services are provided, and how employees treat customers.
Source: Adapted from Bakhshandeh (2021), Sleezer, Russ-Eft, and Gupta (2014), Trochim
and Donnelly (2008).

Business Case Example

In this section, we will present an example of a business case in which a
business manager is engaging individuals and teams concerning their per-
formance levels based on an organization’s needs for the improvement of
individuals’ and teams’ performance that are not adequate or consistent with
the organization’s quarterly and annual performance and productivity goals.
In this business case example, we emphasize how to find what the issue
at hand is and reveal the actual issue that the organization is facing. These
chapters direct the readers to the next needed steps for developing a high-
performance coach as a manager-as-coach.

Focusing on Improving Performance in the Performance

Coaching Process
Profitability and financial growth are the most critical elements of an orga-
nization’s well-being, success in longevity, and sustainability. To achieve
this essential commitment, organizations must be goal-driven and connect
their performance and productivity to their strategic and business plans. An
168  Building Relationship and Recognizing the Situation

organization can recognize its needs for improving performance, increasing

productivity, expanding its market, or training to compare its actual results
with its committed results, such as goals, outcomes of the strategic plan, and
business plan. As Sleezer et al. (2014) explained, “A learning or performance
gap between the current condition and the desired condition is called a
need” (17). Understanding “what is happening” or “what is the issue at hand”
is a major part of the performance coaching model, which naturally links
the finding in this step to the next step of “what should be happening.” Both
steps have links to organizations’ goals and desired outcomes which deter-
mine teams’, groups’, and ultimately individuals’ performance and productiv-
ity goals.
One of the most frequent questions that High-Performance Coach or
Manager-as-Coach professionals ask of organization leaders regarding train-
ing needs is the apparent performance gap? What is the space or difference
between your desired performance (goals or desired outcomes) of your
workforce and the workforce’s current (actual and in reality) performance?
The vital concepts of goals and performances are very important ele-
ments on which High-Performance Coach and Manager-as-Coach profes-
sionals should focus. They must pay attention to its impact on the final
“Current Performance Level” report or relevant intervention implementation.
Without focusing on improving performances, there will be no organiza-
tion to improve upon as a group or as individuals. Regardless of what type
of assessment approaches has been selected for the organization’s needs or
performance improvement, the outcome of this process is very clear: the
performance assessment direction is setting up the organization for improve-
ment in the areas of productivity, performance, learning, training, and devel-
opment, individually, as groups or teams, and as the organization (Sleezer,
Russ-Eft, and Gupta 2015).

Background
As you might remember, we introduced the organization in Chapter 4, using
the MBD (a fictional name for protecting an organization’s privacy and con-
fidentiality) business and Organization Development cases for examples of
using and implementing High-Performance Coaching steps and processes.
MBD is a successful organization operating in the beauty industry, provid-
ing beauty supplies and products for the last four decades. As we men-
tioned in the previous chapter, MBD operates from four states with nearly
112 workers, performing in the team and group-based structure, from the
 Establish Relatedness and Building Rapport  169

management team, administration staff, sales force, technology team, quality

control, marketing/public relations, and shipping team.

What Provoked the Inquiry?

Our invitation to get engaged with the organization issues was a direct
solicitation because of a history of working with other organizations with
similar workforce issues and other previous engagements. According to the
President and CEO and the HR director, the MBD was facing (1) significant
turnover and absenteeism among their workforce caused by a high level of
work dissatisfaction among their employees and (2) the absence of collabo-
ration and teamwork among the employees, especially between the adminis-
tration, sales teams, and shipping crew.

Start-Up and Preparation

We had various meetings with the organization’s management team, includ-
ing executives, department managers, and team leaders to support them
in understanding the purpose of our presence and answer their questions.
We invited everyone to express their knowledge of and issues in the orga-
nization and welcome any input and perspectives for how they think the
turnover and collaboration issues should be handled. This was a good
relationship-building effort in establishing rapport with all the management
team. We made sure everyone understood we were coming in as a part-
ner, not as an adversary, to minimize their resistance to uncovering “what
is happening?” and to offer potential changes that would result from this
effort. We asked the organization’s CEO to clarify the organization’s need
for this needs assessment and express his unconditional support and back-
ing for this undertaking. The CEO’s demonstration of alignment and sup-
port of the project caused greater buy-in from the rest of the management
teams.

Selected Diagnostic Models

Individuals make organizations; these individuals form teams and groups
which make departments. These individuals influence the organiza-
tions’ systems, including inputs, processes, and outputs and everything in
between. We can confidently say that they are all part of understanding
“what is happening” or “what is the issue in hand.” For this simple but
170  Building Relationship and Recognizing the Situation

significant reason, we have selected four diagnostic models that directly

involve individuals and teams to design the data collecting approach and
analyze the collected data. We used some for the one-on-one interviews
of the executive and senior management team, and some were used
for the focus group interviews with different teams and groups within
departments.
Individual and Group Behavior model (Harrison 2005)
In this model, the high-performance coach is investigating and collecting
information based on these elements of the organization’s operation:

(1) Inputs: Human, material, financial, intangible, etc.

(2) Outputs: Goods, services, products, employees’ well-being, and
satisfaction.
(3) Organizational behaviors and processes: Practices the organization
has adopted to create outputs.
(4) Technology: Equipment, tools, and systems that would transform
inputs into outputs.
(5) Environment: Local environment, such as organization’s competitors,
customers, partners, suppliers, and investors. Remote environment, such
as political system, the economy, social structures, and technological
advances.
(6) Culture: Society’s shared values, norms, beliefs, and behaviors.
(Rothwell et al. 2016; Sleezer et al. 2014)

The Great Place to Work model (Burchell and Robin 2011)

In this model, the high-performance coach is investigating and collecting
information based on these elements of the organization’s workforce rela-
tionship and collaboration:

(1) Trust: Trust involves credibility, respect, and fairness.

(2) Credibility: Credibility is achieved through open communication, com-
petence, and integrity.
(3) Respect: Respect is reached through support, collaboration, and caring.
(4) Fairness: Fairness is achieved through equity, impartiality, and justice.
(5) Pride: Pride can be found in personal achievement, team performance,
and the company’s status in the community.
(6) Camaraderie: Camaraderie is built by facilitating intimacy, hospitality,
and a sense of community in the workplace.
(Rothwell et al. 2016; Sleezer et al. 2014)
 Establish Relatedness and Building Rapport  171

SWOT Analysis (Dosher et al. 1960)

In this model, the high-performance coach is investigating and collecting
information based on these elements of the organization’s characteristics and
environment:

(1) Strengths: Positive tangible and intangible attributes internal to an

organization. They are within the organization’s control.
(2) Weaknesses: Factors within an organization’s control that reduce its
ability to attain the desired goal. Which areas might the organization
improve?
(3) Opportunities: External or internal attractive factors represent the rea-
son for an organization to exist and develop. What opportunities exist
in the environment?
(4) Threats: External or internal factors could place the organization’s mis-
sion or operation at risk. The organization may benefit by having con-
tingency plans to address them if they occur.
(Rothwell et al. 2016; Sleezer et al. 2014)

Environmental Relations Assessment (Harrison 2005)

The environmental relations assessment (ERA) framework was introduced
by (Harrison 2005). Conducting an ERA manages an organization’s environ-
mental relations more effectively. The following is a six-step procedure for
the ERA during an organizational diagnosis:

(1) Step 1: Recognize the main conditions that affect the organization’s
performance. These include competition, technology, markets, and tech-
nical conditions.
(2) Step 2: Identify other organizations (outside of the organization) that
are pressing demands or restrictions on the organization by their influ-
ential actors.
(3) Step 3: Identity who or what team in the organization (internally, such
as HR, PR, marketing, and sales) is interacting with the aforementioned
external key actors.
(4) Step 4: Inspect the organization’s status of environmental relations
management: the variables, the actors, and the gap to resolve.
(5) Step 5: Evaluate the organization’s current environmental relations
management’s effectiveness to categorize where the gaps are. What are
the top management’s expectations for the organization’s environmental
relations management?
172  Building Relationship and Recognizing the Situation

(6) Step 6: Discover and suggest ways to improve the organization’s envi-
ronmental relations management. Brief the top management team on
what needs to get done and who needs to be involved.
(Rothwell et al. 2016; Sleezer et al. 2014)

Critical Role of Data Collection and Analysis in the “What Is

Happening” Uncovering Process
Clearly, for any high-performance coach or HPI and HPE practitioners to
conclude the client’s actual needs, or separate between their wants and their
needs, or to select appropriate data collecting and assessment models or
approaches to use during implementation of intervention and training, they
need to collect reliable and relevant information and data. Then they can start
analysis and diagnosis based on the collected data. Regarding the importance
of data collecting and analysis of such data, Sleezer et al. (2014) mentioned:

[t]he results of a needs assessment reflect the methods that were

used to collect the data and also the methods that were used to
analyze those data. Thus, data collection and analysis are corner-
stone skills for any needs assessment project.
(51)

Professional and well-conducted data collecting will separate fact from fic-
tion and draw a line between what is real and the perceptions and interpre-
tation of a situation.

Data Collection Methods (Best Uses, Best Practices,

Pros, and Cons)
According to Sleezer et al. (2014), there are five methods of data collecting
approaches for a needs assessment project: (1) observation, (2) one-on-one
interviews, (3) questionnaire/survey, (4) focus group interviews, and (5)
document review (see Table 5.6) The following are four of the five methods
we used to conduct our data gathering process.

Historical and Extended Documents Review

This model of collecting data is based on examining HR historical forms and
documents and potentially the HRD efforts results and outcome, such as exit
 Establish Relatedness and Building Rapport  173

interviews, HR complaints, employment promotions, demotions and firings,

and accident reports, as we have stated in Table 5.6 (Rothwell 2015a; Sleezer
et al. 2015):

 Best uses: Examine historical forms, such as exit interviews, HR

complaints, employment promotions, demotions and firings, accident
reports, profit and loss reports, safety training records, sexual harass-
ment training records, or performance evaluations. Extended data are
existing data related to the problem or potential gap. These potential
data can be discovered in many forms and shapes. To begin, review-
ing vision and mission statements, organizational values and principles,
business plans and goals, previous surveys, and marketing reports can
add useful awareness for assessing the situation (see Table 5.6).
 Best practice: Ask permission from the appropriate executive (CEO,
president, HP director) to review these documents. Schedule appropri-
ately and take time to go through all these potential documents. Take
necessary notes, but do not photograph or photocopy the documents.
 Pros: This would help the practitioner to develop classifications to
explain finding data based on what was uncovered by reviewing such
documents (see Table 5.6).
 Cons: The practitioner might establish a perception of what is happening
before conducting the actual data collecting process and developing bias.

The high-performance coach can use Table 5.1 as a guide to collect much
information during data collecting using all recommended methods.

Observation
This method is designed to collect data and evaluate it by first-hand obser-
vation (Sleezer et al. 2014):

 Best uses: Collect data based on actual workforce behaviors or work

practices while working in an actual work environment.
 Best practices: Observe people from inconspicuous spots to reduce
anxiety.
 Pros: Minimize work process interruptions, and collect data directly
from an actual work environment, to reduce bias.
 Cons: Needs a skilled practitioner. The workforce might be concerned
because of an observer, and that might affect their behavior. It also can
be very time-consuming.
174  Building Relationship and Recognizing the Situation

With permission from the executive team and cooperation of the manage-
ment team, we had a chance to (1) observe several managers and team
meetings, (2) observe the employees during their production process in their
work environment, and (3) observe their relationship with their supervisors
and each other. These observations give us a window to their behaviors,
attitudes, and responses during production, dealing with deadlines, their
method of communication or lack of, and their collaboration or conflict with
their supervisors or with one another.

One-on-One Interview
In this method of data collecting, the workforce performance is evaluated
on a one-on-one basis. The best future of this method is human interaction
(Sleezer et al. 2014).

 Best uses: Face to face is the best approach, but one-on-one interviews
are conducted on the phone or via video conference often.
 Best practices: Use a moderate tone, speak slowly, and enunci-
ate clearly; keep the discussion focused; and examine the additional
responses to the questions.
 Pros: Useful at the recognition of details of training needs while the
potential trainer can explore any concerns or reservations.
 Cons: This method is time-consuming and, sometimes, difficult to ana-
lyze due to the practitioner’s lack of experience.

We conducted several one-on-one interviews with the top executives and senior
managers to collect data from all the top managers to make sure we have
included their perspectives on the potential issues. We have used these tables as
the source of our background for the interview questions to gather data:

 Table 5.2: How to Determine Your Values?

 Table 5.4: Inductive Questions for Finding Facts and Identifying
Perceptions about Problem(s).

Besides the previous set of questions, we designed an interview protocol and

questions for the one-on-one interviews with the executives and senior managers
based on (1) individual and group behavior model, (2) SWOT analysis, and (3)
environment relations assessment (ERA). Table 5.7 displays the actual questions.
Note: Before conducting the interviews, all the interview participants
signed a “Non-Disclosure and Confidentiality” agreement.
 Establish Relatedness and Building Rapport  175

Table 5.7 One-on-One Interview Questions and Their Sources (for Executives
and Senior Managers).
Questions and their Sources to Be Used during One-on-One Interviews with
Executives and Senior Managers
I. Basic Organization Information
A. Background to Diagnosis
1. What is your position and history of participation with the organization?
2. What kind of problems are you facing in your position?
3. What kind of challenges (in your position) do you foresee soon?
4. What would you consider as a recent (1–3 years) organization success?
5. What would you consider as a recent (1–3 years) organization failure?
6. What can we do for your organization?
B. Outputs
1. How do you assess the reputation of your organization?
2. How do you assess the quality of products and your services?
3. What is the staff turnover history in your organization?
4. How would you rate your staff or team member’s rate of absenteeism?
C. Goals and Strategies
1. What is the organization’s vision?
2. What is the organization’s mission?
3. What are the organization’s core values or principles?
4. What are the top three organization goals?
5. Do you have short- and long-term plans?
6. Are there any new and additional goal(s) for this year?
7. How do you assess the recent changes (1–3 years) in the organization’s strategies?
8. What are the top priorities of the organization’s budget?
D. Inputs
1. What is the percentage of the budget for providing services?
2. What percentage of the budget is allocated to use and maintain physical space?
3. What percentage of the budget is allocated to employment or human resources?
4. Do you have any training and development programs for your staff or teams?
E. Environment
1. What is the organization affiliation? Public, private, or part of a larger
organization?
2. Are there any alliances with other organizations?
3. Are you outsourcing any aspects of your business or production?
4. Are you counting on any grants or exterior public agency support?
5. How do you rate or assess the safety and security around your organization?
(Continued)
176  Building Relationship and Recognizing the Situation

Table 5.7 (Continued)

Questions and their Sources to Be Used during One-on-One Interviews with
Executives and Senior Managers
F. Technology and Work Processes
1. What are the main processes regarding your offering services or products?
2. What type of information technology is being used in your organization?
3. Are you using any automation technology?
4. Do you have any saved data on operational failures or accidents?
5. Do you have saved data on employee turnover and firing history?
G. Structure
1. What are your main divisions or units?
2. How many levels are in your organizational hierarchy?
3. How many employees are in the organization? Full-time and part-time?
4. Do you have employment/labor contracts?
5. Do you have human resources, labor grievance procedures, affirmative action
rules, or quality assurance standards in place?
H. Behavior and Processes
1. What is the pattern of the high-level decision-making process?
2. What are the significant conflicts (labor, staff, and board members)?
3. Is there any level of harshness or militancy in the relationship with staff or team
members?
4. Do any conflicts exist among divisions or programs?
5. What are the main styles of communication (oral, written, and meetings)?
I. Culture
1. How do you describe the organization’s identity (logo, slogans, or advertising
campaign)?
2. What are some of your organization’s historical successes or inspirational
stories?
3. What are some of your recurring events or annual celebrations?
4. How do you rate the physical space, orderly, tidiness, decorations, or style of your
offices, building, or work environment?
5. How are you assessing your work environment (style, hours, and relationships)?
J. System Dynamics
1. What are the most recent (1 or 2 years) significant changes in style or organization
systems?
2. What are the past (3–5 years) significant changes in style or organization
systems?
3. Are there any recent significant changes in the structural elaboration of the
organization?
 Establish Relatedness and Building Rapport  177

4. Are there any significant changes in the profit and loss pattern during the last
couple of years?
5. Is your organization dealing with deficits? Low or high?
II. SWOT Questions (Strengths, Weaknesses, Opportunities and Threats)
A. General Questions
1. From your viewpoint, how do you describe the organization’s performance?
2. How do you assess the organization’s position and influence in the community?
3. What are the main challenges that the organization is facing?
4. Without holding back, what would you say attributed to the creation of these
challenges?
B. Strengths
1. From your perspective, what are the organization’s top three strengths?
2. What would you say attributed to developing these strengths?
3. How does the organization use and utilize its strengths?
4. How could the organization address its challenges to develop more strengths in
the short term (1 year) and the long run (5 years)?
C. Weaknesses
1. From your perspective, what are the organization’s top three weaknesses or
shortcomings?
2. Without holding back, what would you say attributed to the creation of these
weaknesses and shortcomings?
3. What are the organization’s developmental plans or strategies to transform its
weaknesses?
4. How could the organization address its weaknesses or shortcomings in the short
term (1 year) and the long run (5 years)?
D. Opportunities
1. What opportunities can be arising for the organization by expanding on its
strengths?
2. What opportunities can be arising for the organization by removing its
weaknesses?
3. How could the organization address its challenges in the short term (1 year) and
the long run (5 years)?
4. Do you see any opportunity for the organization?
E. Threats
1. What do you consider threats to the organization, if any?
2. How can these threats weaken an organization’s strengths?
3. How can these threats exploit an organization’s weaknesses?
4. How can the organization use these opportunities to defuse any threats?
(Continued)
178  Building Relationship and Recognizing the Situation

Table 5.7 (Continued)

Questions and their Sources to Be Used during One-on-One Interviews with
Executives and Senior Managers
F. Closing SWOT
1. Do you have any other suggestions for developing the organization as a
productive and effective organization?
2. How do you see the future of the organization?
III. ERA (Environment Relations Assessment) Questions
Status of environmental relations management
A. Internal
1. Who within the organization is managing any internal issues or problems?
2. Are there any pressing internal issues in being handled or resolved?
3. Is there any internal issue not handled? Who is to manage it?
4. Are there any planned interventions or resolutions for these internal issues?
5. Are there any reactionary responses to these interventions among internal
personnel?
6. Do you anticipate any internal issues in any aspects of the organization’s
performance, and what are the preventing measures, if any?
B. External
1. Who within the organization is managing any external issues or problems?
2. Are there any pressing external issues in the process of being handled or resolved?
3. Are there any external issues not handled? Who is to manage them?
4. Are there any planned interventions or resolutions for these external issues?
5. Are there any reactionary responses to these interventions among external
affiliations?
6. Do you anticipate any external issues in any aspect of the organization’s
performance, and what are the preventing measures, if any?
IV. Closing
1. Is there anything else you would like to add to this conversation?
2. Do you have questions for me before we conclude this session?
Source: Copyright 2021 by Behnam Bakhshandeh.

Focus Group
Five to eight employees formed them to discuss their points of view, opin-
ions, and information guided by a moderator (Sleezer et al. 2014):

 Best uses: Conducted by a skilled practitioner, formed by people with

something in common.
 Establish Relatedness and Building Rapport  179

 Best practices: Collect responses with a nonjudgmental behavior.

Avoid discussions. Encourage space of confidentiality and respect.
 Pros: Appropriate for complex or debated subjects that only one per-
son might be unable or unwilling to uncover.
 Cons: This method is also very time-consuming due to organizing, the
position of participants, and the potential lack of participation.

We also conducted five focus group interviews with not over eight people in
each group.
This way, we covered most categories of the workforce involved with the
general office and floor production process. We used the general concept of
the information found on the same tables we used during the one-on-one
interviews, plus we designed an interview protocol and questions for the
focus group interviews with the selected teams and groups based on: (1) the
great place to work, (2) SWOT analysis methods and (3) relationship and
performance. Table 5.8 displays the actual questions.
Note: Before conducting the focus group interviews, all the interview par-
ticipants signed a “Non-Disclosure and Confidentiality” agreement.

Table 5.8 Focus Group Interview Questions and Their Resources (for Junior
Managers and Floor Supervisors.
Questions and Their Sources to Be Used during Focus Group Interview with Junior
Managers and Floor Supervisors
I. Great Place to Work Questions
A. Trust
1. What do you think about a trusting work environment?
2. What do you think would add to or take away from a trusting work environment?
3. From your viewpoint, how could someone gain your trust?
B. Credibility
1. What do you feel about the organization’s credibility in the community?
2. What do you attribute to such credibility or lack of it, as you have explained?
3. From your viewpoint, what would make this organization more credible?
C. Respect
1. Tell me about your view of respect?
2. What would take away your respect for a coworker?
3. How can another coworker gain your respect?
(Continued)
180  Building Relationship and Recognizing the Situation

Table 5.8 (Continued)

Questions and Their Sources to Be Used during Focus Group Interview with Junior
Managers and Floor Supervisors
D. Fairness
1. What ideas do you have about fairness in the workplace?
2. What would happen that might make you think this organization is not being fair
to you?
3. How do you gauge fairness in your work position?
E. Pride
1. What would make you proud of this organization?
2. What would make you feel proud of what you do?
3. How important is it for you to feel pride in what you do, and why?
F. Camaraderie
1. Without holding back, what do you feel about camaraderie within your team?
2. From your viewpoint, what would add to a desirable team relationship?
3. From your viewpoint, what is damaging to establishing a productive team?
II. SWOT Questions (Strengths, Weaknesses, Opportunity and Threats)
Mixed Questions
1. From your viewpoint, how do you describe this organization’s performance?
2. What are the main challenges that the organization is facing in your department?
3. Without holding back, what would you say attributed to the creation of these
challenges?
4. From your perspective, what are your department’s top three strengths?
5. What would you say attributed to developing these strengths?
6. From your perspective, what are your department’s top three weaknesses or
shortcomings?
7. Without holding back, what would you say attributed to the creation of these
weaknesses and shortcomings?
8. How could the organization address its challenges in your department in the
short term (one year) and the long run (five years)?
9. How could the organization address its weaknesses or shortcomings in your
department in the short term (one year) and the long run (five years)?
10. How do you see the future of the organization?
11. How do you see the influence of your department on the organization’s success?
12. Do you have any other suggestions for developing your department as a
productive and effective department?
13. Do you have any other suggestions for developing this organization as a
productive and effective organization?
 Establish Relatedness and Building Rapport  181

III. Relationships and Performance Questions

Mixed Questions
1. How do you rate your job performance and why? (Score from 0 being the lowest
to 10 being the highest)
2. How do you rate your team’s job performance and why? Please list them by their
names. (Score from 0 being the lowest to 10 being the highest)
3. Do you have any specific plans for increasing your job performance? What is it?
4. Do you have any specific plans for increasing your team’s job performance? What
is it? Please list them by their names.
5. How do you rate your relationship with the person to whom you are reporting
and why? (Score from 0 = nonexistent to 10 = excellent)
6. How do you rate your relationship with your team members and why? Please list
them by their names. (Score from 0 = nonexistent to 10 = excellent)
7. Do you have any specific plans for improving your relationship with the person to
whom you are reporting? What is it?
8. Do you have any specific plans for improving your relationship with your team
members? What is it? Please list them by their names.
9. How do you rate your relationship with the organization and why? (Score from 0
= nonexistent to 10 = excellent)
10. Do you have any specific plans for improving your relationship with the
organization? What is it?
IV. Closing
1. Is there anything else you would like to add to this conversation?
2. Do you have questions for me before we conclude this session?
Source: Copyright 2021 by Behnam Bakhshandeh.

Two Analysis Methods (Best Uses, Best Practices,

Pros, and Cons)
We thought it would be beneficial to distinguish two of the most used
data analysis methods for refreshing the high-performance coaches experi-
ence to uncover “what is happening” and “what are the issues at hand.”
According to Sleezer et al. (2014), for a high-performance coach and man-
ager-as-coach to collect the data and make an assessment, the data need to
be analyzed.
There are two general methods of data analysis: quantitative and qualita-
tive. In some cases, practitioners are mixing these two methods.
182  Building Relationship and Recognizing the Situation

Quantitative Analysis
This method is used when looking at actual numbers. It’s used to get hard
data on how people behave and act. In most needs assessment cases, quan-
titative data analysis is limited to descriptive statistics. However, it can also
perform hand in hand with data collecting software such as Excel, SAS, and
SPSS (Sleezer et al. 2014; Rothwell et al. 2016).

 Best uses: Line workforce performance on a new process.

 Best practices: Using charts, tables, and graphs.
 Pros: It is easier and quicker to collect and analyze than qualitative
data.
 Cons: Bias, and collector’s opinion.
(Sleezer et al. 2014; Rothwell et al. 2016)

Qualitative Analysis
This method is usually used when looking at the intangible’s elements.
This is far more subjective, such as understanding why people behave in a
certain fashion. It involves the classification of collected data into different
categories, which could even have been generated from previous data col-
lecting processes (Sleezer et al. 2014; Rothwell et al. 2016).

 Best uses: Behavioral analysis.

 Best practices: Open-ended questions. Read and reread the questions
and answers. Make notes and underline important sentences. Assign
codes to aspects of data.
 Pros: Provide much richer and detailed data and information.
 Cons: More difficult to gather and analyze the data. It is more
time-consuming.
(Sleezer et al. 2014; Rothwell et al. 2016)

For our business case example, during the data collecting phase to uncover
what is happening and what is the issue at hand, we used a mixed method
of both qualitative (one-on-one interviews, focus groups, and observations)
and quantitative (historical records of turnover, performance evaluations,
and productivity) data collecting methods.
 Establish Relatedness and Building Rapport  183

Presenting Findings on “What Is Happening” and “What Are

the Issues at Hand”
Now, it is time to give the organization’s executive and senior managers
results from collecting data and analysis of potential problems and what is
currently happening. It was our recommendation to the organization’s exec-
utive to share the problem-finding report with the management teams in all
tiers of the organization so they can provide their feedback to the organiza-
tion and each other about the issues uncovered during data collecting about
the potential issues at the organization and what are the issues at hand and
how they are influencing individual and teams’ performances.
After reviewing the collected data, listening to everyone’s concerns (mostly
being the apparent symptoms of a larger problem), paying attention to pinpoint
the source of the problems, analyzing the data, and reflecting on the future of
the organization and its well-being, the problem report on “What is happening?”
contained numerous issues raised by management and the employees, and
what they wanted to address and resolve. However, based on our analysis, we
found the following to be the sources of the present organization’s issues and
what are the issues in hand and their impact on employees’ motivation, perfor-
mance and ultimately productivity and desire to stay with the organization:

 There was no clear organization’s vision, mission, and principal values;

just good old pushing the rock up the hill kind of approach.
 Uncertainty among managers and supervisors due to lack of succession
planning.
 Employees and lower managers’ concern about the lack of open com-
munication and sharing planning for the future of their work and career.
 No structured training and development plan for the managers and
workforce.

The aforementioned issues and the absence of creating a workable environ-

ment for workers caused the following among the organization’s workforce
(almost everyone but the executive team):

 developed an “us” versus “them” mindset and attitude

 caused low sales performance and consistently missing daily and
weekly targets
184  Building Relationship and Recognizing the Situation

 created a lack of work and organization commitments and just getting

by and surviving
 fear of the unknown and uncertainty about their future with the
organization
 being resigned about what is next for them
 not taking any ownership of the work, product quality, and organization
 expressing their frustrations on other people, especially their
subordinates
 feeling their efforts not being appreciated

We encouraged the management and the employees to categorize the level

of urgency among the discovered issues and take on only two or three
pressing issues that are directly influencing lack or performance and produc-
tivity within the next six to eight months and confront the remaining issues
over semiannual periods.
We suggested training and development specialized for manage-
ment teams and some other training for the workforce, all-around high
performance and productivity, teamwork, effective communication, and
accountability.

Key Factors to Remember

Remember these key factors from this chapter:

 Create partnership versus resistance

– We talked about the importance of establishing rapport in Chapter
4. As a high-performance coach, you need to create a working
partnership with your employees and coaches to produce an effec-
tive coaching process. Unfortunately, the other side of this coin is
resistance and dragging the process through an unworkable relation-
ship. You can create a partnership with your employees through the
building rapport process (see Chapter 4) and relating to their values
and principles. Taking to them with respect and interest is a magic
key to establishing a partnership.
 Critical role of data collecting process
– Professional, structured, and detailed data collecting processes are
essential to the effective and efficient process of finding what is hap-
pening. Without the data collecting process to present the facts to us,
 Establish Relatedness and Building Rapport  185

whatever we know is only perceptions and interpretations of what

is happening. Accurate and relevant data collecting processes, using
diagnostic models and analysis methods, are gateways to the factual
and real discovery of what is the issue in hand and not all the symp-
toms of real issues.
 Individual values creates organization values
– People always act based on their personal and professional values.
Effective OD practitioners and high-performance coaches will under-
stand the link between individuals’ values and their individuals’ or
team’s productivity and performance, increasing or decreasing. Both
are related to people and their values and keeping close to their hearts
and mind. Individuals are making teams and groups; those teams and
groups are making the departments and the organization; there is no
way out of this powerful collaboration and human connection that
would make or break any organization (Bakhshandeh 2009).
 Role of team members in change
– To implement a change intervention and create high-performance
teams, an OD practitioner or a high-performance coach needs to
understand the critical roles that the organization’s members are
playing in the change effort. Employees and team members have
an essential role in the velocity of the process, by their accepting
the process, by not reacting to it, by not resisting it, and by com-
municating their needs and concerns (Wittig 2012). An OD practitio-
ner or a high-performance coach needs to understand employees’
protentional emotions and cognitions (2012). Making employees
feel included is one of the most important elements of minimizing
resistance.

Coaching and Developmental Questions for Managers

(1) Are you competent in understanding and implementing diagnostic
models and analysis methods? If no, why not? What do you need? What
would be your way to do so?
(2) Would you consider yourself as someone who can conduct a complete
data collecting process? If no, why not? What would be your way to do so?
(3) Are you capable of talking to your team members to see what their
values are and if they are performing based on their values? If no, why
not? What would be your way to do so?
186  Building Relationship and Recognizing the Situation

(4) Do you see any need for conducting an interview process with any key
individual or a focus group with a team to discover what is happening
with them?
(5) From your perspective and applying what you learned in this chapter, is
there any problem within individuals who made your team?
(6) Are you aware of and can see what is happening in your direct team?
(7) What kind of training and development do you think you need to
expand your competencies and skills in recognizing individuals and
teams’ actual problems versus symptoms of a situation?

References
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Unpublished Training and Developmental Course on Coaching Executives and
Managers. San Diego, CA: Primeco Education, Inc.
Bakhshandeh, Behnam. 2009. Conspiracy for Greatness; Mastery on Love Within.
San Diego, CA: Primeco Education, Inc. 
Burchell, M., and J. Robin. 2011. The Great Workplace: How to Build It, How to Keep
It, and Why It Matters. San Francisco, CA: Jossey-Bass.
Bakhshandeh, Behnam. 2021. “Perception Of 21st Century 4cs (Critical Thinking,
Communication, Creativity & Collaboration) Skill Gap in Private-Sector
Employers in Lackawanna County, NEPA”. An unpublished dissertation in
workforce education and development. The Pennsylvania State University.
Davis, Larry. 2001. “Performance Breakthroughs Are the Results of Human Choices,
Not Technological Wizardry: A Case Study.” The Journal of Quality and
Participation 24, no. 3: 12–47.
Dosher, Marion, Otis Benepe, Albert Humphrey, Robert Stewart, and Birger Lie.
1960. The SWOT Analysis Method. Mento Park, CA: Stanford Research Institute.
Harrison, M. I. 2005. Diagnosing Organizations; Methods, Models, and Processes,
3rd ed., Applied Social Research Methods Series, vol. 8. Thousand Oaks, CA:
Sage Publication.
Rothwell, William J. 2013. Performance Consulting: Applying Performance
Improvement in Human Resources Development. San Francisco, CA: John Willy
& Sons, Inc.
Rothwell, William J. 2015a. Beyond Training & Development: Enhancing Human
Performance Through a Measurable Focus on Business Impact, 3rd ed.
Amherst, MA: HRD Press, Inc.
Rothwell, William J. 2015b. Organization Development Fundamentals: Managing
Strategic Change. Alexandria, WV: ATD Press.
Rothwell, William J., Carolyn K. Hohne, and Stephen B. King. 2018. Human
Performance Improvement: Building Practitioner Performance, 3rd ed. New
York, NY: Routledge.
 Establish Relatedness and Building Rapport  187

Rothwell, William J., and Henry J. Sredl. 2000. The ASTD Reference Guide to
Workplace Learning and Performance: Present and Future Roles, 3rd ed., 2
vols. Amherst, MA: HRD Press.
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Organization Development: Leading Transformation and Change, 4th ed.
Hoboken, NJ: John Wiley & Sons, Inc.
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Training, and Performance Timeline: A Walk Through History.” Performance
Improvement 54, no. 2: 7–15.
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the Organization Development Network 44, no. 2: 21–28. https://cdn.ymaws.
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Chapter 6

Step 3: What Should

Be Happening?
Behnam Bakhshandeh

This chapter focuses on the third step in performance coaching: envisioning

what should be happening. To determine the gap between what is happen-
ing and what should be happening, it must be clear what the desired target
or vision of a desired future must be. That is what this chapter describes. It
covers these issues:

 What is sourcing the power for high performance?

 Vision and envisioning
 Vision statement versus mission statement
 Job performance standards and best practices
 Key performance indicator (KPI)
 Best industry practices
 Performance criteria
 Use of Big Data and AI in measuring employees performance
 How to establish agreement on “what should be happening”
 Potential team dysfunctions and conflicts
 Asking powerful and effective questions that will make a difference
 Step-by-step process of conducting a “what should be happening” ses-
sion for establishing agreed “job performance standards” among manag-
ers and employees

DOI: 10.4324/9781003155928-8 189

190  Building Relationship and Recognizing the Situation

What Are the Anchors? What Is Sourcing

Your Power for High Performance?
This chapter is about looking at “what should be happening” in contrast to
“what is happening.” In the last chapter, we discussed how individuals’ high-
performance results from their conscious choice by understanding, recogniz-
ing, choosing, setting their values, and acting on them because they believe
operating based on their values and principles are not just honorable but
also effective and productive; their values become an anchor that holds them
in place and sources their power in life. We also touched on the choice of
Being productive as generated from individuals’ interests in what they are
Doing and their mindset about their values and principles. We discussed
the relevance between who people are Being and the quality of what they
are Doing in Chapter 4 (see Figure 4.2) and the role of people’s mindsets
in this process. One of the main places that these individuals are looking
to see what should be happening is in their lives through their values and
principles. The same concept is relevant to professional work and the orga-
nizations’ operations. Organizations look at two places to determine their
anchors about what should be happening in contracts to what is happening
and those are:

(1) their set values and principles, which are manifested in their vision and
mission statements and
(2) set of operational and performance standards, KPI, criteria, and best
industry practices.

This chapter is about distinguishing these two anchors that source organiza-
tions’, teams’, and individuals’ power and access to high performance and
productivity. It is also about envisioning the future and what should be hap-
pening to produce their targets, end results, final outcomes, bottom lines, or
any other terminologies they use in their organizations.
Please read the following segment while you have these figures in the
background:

(1) Relevancy and a link between one’s mindset, attitude, and behavior
(Figure 3.1).
(2) Individual’s state of Being and what they are Doing (Figure 4.2).
 Establish Relatedness and Building Rapport  191

What Is Vision?
Vision is an anchor for individuals to center their mindset, attitude, and behav-
ior in a productive way, both personally and professionally (Bakhshandeh
2009). Individual vision and organizational vision are intended to motivate
individuals, teams, and organizations in their performance and productivity by
offering compelling guidance for the future in the organization or one’s indi-
vidual career and progress. An organization’s vision helps individuals form a
team and creates an environment of teamwork, a point at a productive direc-
tion, allows for improvement ideas and generates a shared sense of camara-
derie and ownership among employees (Rothwell, Hohns, and King 2012). “a
clear, coherent view of how the future should appear. It is essential in provid-
ing a point of departure for what is happening” (Rothwell 2015, 106).

Organization’s Vision versus Mission

Organizations have many ways to create their visions. However, they are
designing, collaborating, and creating their vision statement, an empowering
and guiding one will answer these questions for an employee or affiliate:

 Who are we, and what are we about?

 What are we creating and what do we stand for?
 What is the purpose of our organization?
 What are our core values and principles?
 How do we relate to each other?
 How do we relate to our clients or customers?

An organization’s vision statement explains its anticipated future and posi-

tion in the market and communities they are serving. A vision statement
is created first, displaying the organization’s directions, intents, and goals.
Then, an organization would design its mission statement that describes the
organization’s objectives, how they are fulfilling the organization’s goals and
outcomes, and how they are getting there. The vision statement is about
the Being, the Leadership (the mindset, attitude, behavior, participation,
commitment, creativity, overcoming resistance, implementing change, per-
formance, and self-regulation), and the mission statement is about Doing,
the management (the processes, procedures, measurements, tools, goods,
productivity, and structure) (Bakhshandeh 2008; Bakhshandeh 2002).
192  Building Relationship and Recognizing the Situation

Figure 6.1 Relationship between Organization’s Vision and Mission Considering

Performance and Production.
Source: Copyright 2021 by Behnam Bakhshandeh.

Figure 6.1 displays the place and relationship between an organization’s

vision and mission concerning performance and production. For example,
the outcome and end results are both related to the organization’s vision
and mission and supported by the Being part of the organization or the
leadership that is provided by the management and the structure, while set-
ting goals, designing, and managing milestones, managing action plans are
all about the Doing part of the organization or management and mission.
However, what holds the whole thing together and sources the process of
performance and productivity is the vision.

What Are the Characteristics of a Vision?

Let’s go through the characteristics of a vision; how do you know if you
have a vision and how do you understand how to create one, such as hav-
ing a checklist for designing a vision and knowing what you have created.
Imagine yourself holding an electrical object in your hands, such as a cof-
fee maker, laptop computer, or hair dryer, and you are trying to use it. What
would you do with the two or three prongs at the end of the power cord?
 Establish Relatedness and Building Rapport  193

You would connect them to a receptacle on the wall, right? Without the power
sourced by electricity, your electrical device would not function. Even if you
had a battery-operated device, you would still have to charge it—and for
that, you would have to connect to a power source. Without electricity, your
devices would have no functionality, which meant they would be no use to
you. Your device is sourced by electricity. What source is powering your func-
tionality? What are sourcing your choices and actions? Usually, you will see
that the only things that have sourced you were your past decisions and expe-
riences in life. You decided about yourself, others, and life mostly polluted
by negative, painful experiences. When you plug yourself into the receptacle
called your past, you keep getting the same results you do not like.
You keep missing the writing on the wall. We worry about what will
happen to us and feel nervous about tomorrow or next week because we let
our past experiences determine our future moves. We think we are power-
less because we do not realize we have another option called “Design your
Future.” Consider this quote from George Bernard Shaw from one of his
plays written in 1893:

[p]eople are always blaming their circumstances for what they are.
I don’t believe in circumstances. The people who get on in this
world are the people who get up and look for the circumstances
they want, and if they can’t find them, they make them.

There is another source of power we keep missing. It is the receptacle called

the future.
What separates something inspirational from a true vision? How can we
distinguish a Mission statement from a Vision statement?
A mission statement is where many businesses and corporations clarify what
they do. Their vision statement describes who they are being while they are
doing what they do. These elements of vision characteristics apply to individu-
als, teams, and organizations. We are mostly pointing at the individual level, as
individuals are creating the organization’s vision. Let’s go through what vision is:

 Seeing a future and fulfilling dreams

Can you envision a future? Are you fulfilling a dream? Or are you just
trying to fix something you do not want to see anymore? Vision repre-
sents something in the future and something you are dreaming about.
 Being ‘at cause’
If you are not at cause about something, you will be on the other side,
at the effect end. Look at your complaints in life. Most are generated
194  Building Relationship and Recognizing the Situation

from being ‘at effect,’ and thinking you cannot do anything about it or
feeling powerless around it. Vision moves you to be at the cause of a
movement that makes a difference in your life or the lives of others.
 Having fun with it and turned on by it
Fulfilling your vision is fun. It is not something that you would not like
to do or to be. It turns you on, and you enjoy doing it. It is obvious to
others that you are having fun with it.
 Seeing a bigger picture and not doing it alone
Fulfilling a vision is a much bigger picture. It is bigger than just a task
or a project. It might involve different projects and so many tasks you
cannot do it by yourself. In fulfilling your vision, you will enroll other
people to embrace the possibility of getting those projects completed
because your eyes are on the big picture. This is something way bigger
than just you. It affects others around you.
 Including you but not limited to you
Fulfilling a vision is not only about you but also about others. It is
about everyone around you: your family, your coworkers, your team-
mates, your community, and every person with whom you are con-
nected. While your vision is bigger than just you, be sure it includes
yourself. You are the cause, and others will enjoy the effect around it.
 Why are you doing this, and how will it turn out
The answer to this question could be a part of your vision. Why are
you doing what you do? How will all these things you are doing turn
out in the end? Is it just about money and a feeling of security? Or is
it for a bigger cause and a bigger plan that will distinguish for others
around you and yourself?
 It takes you to make it work, and it will inspire others
A powerful and empowering vision will take you to work every day.
You will not be tired of doing what you need to do to accomplish
and fulfill your vision. You will not complain that it is hard work. You
will not complain and nag because you are inspired and moved by
the cause. That will inspire others around you because they can see
themselves in you. We always believe that you can live your life based
on not failing or live it based on succeeding. Both produce the same
results but offer two life experiences.

Notice that nearly all of the aforementioned characteristics are common in

the world leaders who inspire you. They describe anyone who inspires you
to follow them or respect them for what they do. Notice that your experiences
around these people are different. By noticing this about yourself, you will have
 Establish Relatedness and Building Rapport  195

many great experiences to draw from when inspired and motivated to accom-
plish something bigger for yourself. That is the magic of being around someone
with a vision. When you create and invent your life vision from your future ver-
sus from your past, your experience of yourself and the people around you are
altered into something more positive and empowering. This brings you inner
peace and the freedom to be (Bakhshandeh 2009, 232–35 and 268–71).
As a high-performance coach, you will have your vision about who
you are and what you are standing for to coach your people in an inspir-
ing direction directed by the organization’s vision and mission statements.
The relationship between an organization’s values, vision, and mission is
depicted in Figure 6.2:

Figure 6.2 Relationship between the Organization’s Values, Vision, and Mission.
Source: Copyright 2021 by Behnam Bakhshandeh.

Having teams and groups aligned with the organization’s vision, mission,
and core values is essential to the cohesiveness and workability of the orga-
nization’s operations, productivity, and individual and team performance.
For this vital reason, a high-performance coach or a manager-as-coach can
use one of the useful tools to assess the clarity of the organization’s vision
among individuals and teams during performance and productivity inter-
ventions. Table 6.1 is designed to interview individuals or teams to under-
stand their connection to the organization’s vision, get ideas for what is
missing or needed, and receive their input.
Establishing rapport with these individuals and teams is critical to the
workability of this process.
196  Building Relationship and Recognizing the Situation

Table 6.1 Assessing the Current Vision Clarity of an Individual or a Team.

Assessing the Current Vision Clarity of an Individual or a Team
Day: Participant: Team:
Month: Supervisor: Department:
Rating Scale: 1 = Poor, 2 = Marginal, 3 = Acceptable, 4 = Good, 5 = Excellent
# Clarity on the Organization’s Vision by Rating What Is Missing?
the Team Members Actions to Increase
1 2 3 4 5
Clarity on the
Organization’s Vision
1 Agrees on the vision of where the
organization or the team should go.
2 Understand and align with the organi-
zation and its mission statement.
3 Understand and align with why their
team exists.
4 Understand and align the functional-
ity of their team to the organization’s
vision and mission.
5 Share a vision of how the team should
get where it is going.
6 Understand the plan of progress and
agree on how to measure it.
7 Align with the organization’s and their
team’s values.
8 Align with what is important and what
is not urgent in executing progress
plan.
9 Share the same view about what the orga-
nization or their team should be doing
best.
Source: Copyright 2021 by Behnam Bakhshandeh.

Envisioning “What Should Be Happening?”

Recognizing what should be happening begins by envisioning what should
be happening by the managers who oversee an individual, a team, or a
department with the problems.
 Establish Relatedness and Building Rapport  197

Envisioning is synonymous with visualizing something, seeing a potential

future, picturing what is coming, or dreaming about something.

 Oxford Languages describes it as to “imagine as a future possibility;

visualize” (Oxford Languages” 2021).
 Merriam-Webster describes envisioning as “to picture to oneself”
(“Merriam-Webster” 2021).

In the context of our book and revealing what should be happening,

“[e]nvisioning what should be happening means establishing a vision of
desired results. The vision established becomes a norm—a prescribed
standard or an ideal, the desired end state” (Rothwell 2015, 105). In some
shape and form, there is a close similarity between the analysis of envision-
ing happening and what is happening we went through in the last chapter.
Sometimes, examining and analyzing what is and what should be could
be done simultaneously. Either separately, or, gathering data and analyzing
the data about what is happening and what should be happening have one
shared purpose—to reveal gaps to improve individuals, teams, and an orga-
nization’s performance and productivity (Rothwell and Henry 2014), “[t]he
problem is that, without imagination, managers cannot recognize potentially
profitable opportunities or predict long-term consequences of their actions”
(2014, 218).
Envisioning is similar to the process of environmental scanning, which
should be part of an organization’s strategic planning that studies and
inspects potential exterior future trends with an impact on the organiza-
tion and how posing future threats or opportunities for the organization
(Rothwell et al. 2012). As we have touched on environmental relations
assessment (ERA) in Chapter 5, the ERA framework was introduced by
Harrison (2005). Conducting an ERA manages an organization’s environmen-
tal relations more effectively.

Research indicates that organizations that conduct environmental

scanning are more profitable and successful than organizations
that do not conduct it. Environmental scanning is the counterpart
of internal appraisal, the step in strategic planning that examines
existing conditions inside the organization and discovers the orga-
nization’s competencies (strengths) and areas for improvement
(weaknesses)
(Rothwell 2015, 105)
198  Building Relationship and Recognizing the Situation

By envisioning what should be happening and comparison between the

results of an internal appraisal of an individual, a team, or the organization
and the environmental scanning, the high-performance coach or a man-
ager-as-coach can distinguish evidence pointing to the directions that an
individual, a team, or the organization is taking. These revealing clues may
point at what is seize future opportunities or threats, what could develop
on current strengths, or transcend weaknesses, in individuals, teams, and
the organization (Rothwell and Henry 2014; Rothwell, Stavros, and Sullivan
2016).
In both cases, the envisioning process and the environmental scanning
process are revealing what should be happening and focusing on ideals
(what should be) or norms (what it is) instead of actualities or realities.
Envisioning and environmental scanning about what should be happening
can be based on situations or focused on the potential issues (Rothwell et
al. 2016). “Change rarely occurs unless people are dissatisfied with pres-
ent conditions, can conceptualize ideal alternatives, and are motivated to
change” (Rothwell 2015, 105).

What Are the Job Performance Standards?

A minimum degree for the required performance of an employee is known as
a job performance standard. A job performance standard is known as the out-
put degree of an average but knowledgeable employee or a worker’s average
tempo of producing in popular jargon. This description branches out from the
perception of McCormick (1979), as a model based on a job analysis, that

establish[es] the standard or the view, as noted in a classic source

on job analysis, that establish[es] the standard or allowed time for a
given unit of work . . . based on the amount of time required by a
qualified worker, using a standard method and working at a stan-
dard work speed, to perform a specified task
(McCormick 1979, 79).

A job performance standard in this way exemplifies a floor level or mini-

mum acceptable level of performance by an employee. The job perfor-
mance standard is not a goal, outcome, or objective but represents desired
 Establish Relatedness and Building Rapport  199

minimum expected performance targets or levels by workers (Cummings

and Worley 2015).

Key Performance Indicator

During the last two decades, many organizations attempted to associ-
ate organizational values, vision, mission, and strategic goals to the KPI
and measure it based on elements of the balanced scorecard by estab-
lishing performance targets for individuals, teams, departments, and
organization.
The balanced scorecard allows a high-performance coach, HPI practitio-
ners, or managers to review the organization’s performance from four key
perspectives (see Figure 6.3) and offers answers to four basic but essential
questions tied to the organization’s performance measures on the back-
ground of the organization’s values, vision, mission, and strategies (Kaplan
and Norton 1996; Kaplan and Norton 1992):

(1) Customer perspective: How do our clients/customers see us?

Figure 6.3 Organization’s Performance from Four Key Perspectives.

Source: Adapted from Kaplan and Norton (1992).
200  Building Relationship and Recognizing the Situation

(2) Internal perspective: Business processes’ and procedures’ efficiency,

effectiveness, and level of performance. What are we good at, and what
do we stand out for?
(3) Growth and learning perspective: Our underlying capabilities and
improvements. Are we able to continue growing, improving, and creat-
ing values?
(4) Financial perspective: How do we appear to the organization’s share-
holders? Bottom-line measurements as the cost of goods and revenue
extremes.
(Kaplan and Norton 1996; Kaplan and Norton 1992)

Though this methodology looks innovative, each of the four classifications

of the balanced scorecard is associated with the traditional functioning ele-
ments of a health organization and its management structure, such as finance
(bottom line and financial), marketing (clients and customer), operations
(processes, productions, and structure), and growth and learning (human
resources development) (Kaplan and Norton 1996). KPIs are taking an organi-
zation’s targets and bringing them down to smaller levels on the organization’s
performance chart that managers and workers can understand (Liraz 2013).

Best Industry Practices

Besides job performance standards and KPI, many organizations are using
Best Practices approach to set a benchmark for their workforce’s perfor-
mance indicators. “A best practice is an exemplar, a practice worthy of
emulation because it represents the best approach” (Rothwell 2015, 118).
Most organizations are practicing searching for and applying the best prac-
tices they find throughout their internal benchmarking and what they have
learned from external benchmarking. Camp (1989) defined benchmarking
as “the search for industry best practices that lead to superior performance”
(11). The concept of Best Practices is another possible approach to recog-
nize “what should be happening” in the organizations’ dealings with their
internal and external environment, including their workforces’ performance
and productivity.
High-performance coaches and managers-as-coaches can envision “what
should be happening” by assessing comparison practices at their teams, depart-
ments, and organizations to learn the best practices within their industries’ best
producers and high performers or even from the same categories outside their
industry. Table 6.2 is a good tool to use to determine whether benchmarking
 Establish Relatedness and Building Rapport  201

Table 6.2 Evaluating the Needs for Benchmarking the Best Practices in High-
Performance Coaching.
Evaluating the Needs for Benchmarking the Best Practices in High-Performance
Coaching
Instructions:
Use these inquiries in the left column to determine whether benchmarking for those best
practices is justified. For each inquiry in the left column, check, yes, no, or n/a in the middle
columns. Come with some actions you can take to get that area moving in a productive
direction (or if you need support from senior managers or organization executives) and post
them in the right column.
# Area of Inquiry and Interest Yes No N/A Action
Needed
1 Have you explored existing practices in your team?
2 Have you explored existing practices in your
department?
3 Have you explored existing practices in your
organization?
4 Have you researched practices that have been used
for resolving major issues you know about the
team’s performance?
5 Have you researched practices that have been used
for resolving major issues you know about depart-
mental performance?
6 Has your organization explained its desired outcome
from implementing the best practice in your team?
7 Has your organization explained its desired out-
come from implementing the best practice in your
department?
8 Have you requested from senior managers if they
are willing to pay a visit to some high-performance
organizations about their best practices in enhanc-
ing human performance?
9 Have you requested from senior managers if they
allow you to visit high-performance organizations
to learn about their best practices in enhancing
human performance?
Source: Adapted from Lee (2021), Rothwell (2013), Bakhshandeh (2008).
202  Building Relationship and Recognizing the Situation

is justified in a team, a department, or an organization. A high-performance

coach can use this worksheet (Table 6.2) as a starting point for imagining what
should be happening that could positively affect an organization’s human per-
formance in an individual, teams, and departments, and an organization.

Criteria
Similar to the KPI, criteria also defining the workforce’s performance,
measuring performance outcomes, or behaviors are evaluated to be good
(acceptable), average (right in the middle), or poor (not acceptable). “Criteria
are the yardsticks by which performance is judged. These yardsticks should
be based on a systematic consideration of the job” (Cardy and Leonard
2011, 43). Performance criteria have to be related and directed to a job or
task which would assist in performing a job or task analysis. Regarding the
importance of judging workers’ performance against their jobs, Cardy and
Leonard (2011) mentioned,

[i]t would not make business sense to judge someone on criteria that
are unrelated to job performance. Yet, this is a common perception
among employees, and charges of discrimination in the evaluation
and management of performance are made on a routine basis
(43)

Unfortunately, some criteria such as gender, age, and race, even though
they are not job-related, occasionally sneak into some employees’ perfor-
mance judgments by their managers or supervisors. These criteria factors
are, managers’ or supervisors’ mental measures, especially when criteria
for a job or task performance are uncertain and ambiguous (Cardy and
Leonard 2011).
To use criteria in businesses on a daily and practical basis, they need
to be as specific, tangible, and functioning as possible. Figure 6.4 presents
three basic levels of criteria described by Cardy and Dobbins (1994).

 Ultimate level: This level explains the general purpose of perfor-

mance, signaling values or strategic intention underlying the job.
Recognizing ultimate criteria can orient workers to the customary
purposes of their performance at a particular job. Ultimate criteria
would assist a high-performance coach in presenting a rationale for
 Establish Relatedness and Building Rapport  203

Figure 6.4 Relationship between Levels of Criteria.

Source: Adapted from Cardy and Leonard (2011), Cardy and Dobbins (1994).

maintaining one’s performance and continued motivation for a high-

performance level (1994).
 Conceptual level: This level explains the attributes of performance.
The conceptual level is one step down from the ultimate level and can
be the pathway for achieving the ultimate criteria. For example, when
‘customer satisfaction’ is an ultimate criterion for the organization, then
paying attention to product quality, speed of production, delivery of
specification, and overall professional customer service could be a con-
ceptual level criterion (1994).
 Operational level: This level is measuring performance. The opera-
tional level transforms concepts of the operations into tangible and
specific measures. When members of an organization are looking for
operational criteria, they are looking for responses to questions such as:
– How do we measure the quality of our products or services?
– How do we measure the speed of our production or the length of
our services?
– How do we measure the monetary values of our products or services?
– How do we characterize and enhance our customers’ or clients’ level
of excellent experience?
– How do we know if our efforts to increase the quality of our prod-
ucts or services had the intended impression? (1994).

One way to understand the performance criteria is to interview several

managers and supervisors by conducting an inquiry into what should be
criteria for human performance in your organization, department, or group.
The high-performance coach or the manager-as-coach can use the prompt
in Table 6.3 to achieve this intention.
204  Building Relationship and Recognizing the Situation

Table 6.3 Inquiries into Identifying Human Performance Criteria.

Inquiries into Identifying Human Performance Criteria
Day: Participant: Team:
Month: Supervisor: Department:
Instruction:
(1) While you are paying attention to the criteria area in the left column.
(2) Answer the inquiry question in the middle column about what should be happening to
the best of your ability.
(3) Respond to the inquiry in the right column about how you think it should be happening
and if it can be measured. There are no right or wrong answers, just your valuable input.
Criteria What Should Be Happening with: How Can It Be
Measured?
Leadership Your team:
Your department:
The organization:
Management Your team:
Your department:
The organization:
Recruitment and New Hire Your team:
Your department:
The organization:
Promotions and Career Your team:
Opportunities
Your department:
The organization:
Incentives and Rewards Your team:
Your department:
The organization:
Feedback by Managers and Your team:
Supervisors
Your department:
The organization:
Training and Development Your team:
Your department:
The organization:
 Establish Relatedness and Building Rapport  205

Tools and Technology Your team:

Your department:
The organization:
Channel of Communication Your team:
Your department:
The organization:
Succession Planning Your team:
Your department:
The organization:
Source: Copyright 2021 by Behnam Bakhshandeh.

Figure 6.5 Process of Reviewing and Adjusting Job Performance Standards.

Source: Adapted from Rothwell, Hohne, and King (2018), Rothwell et al. (2016).

Reviewing and Adjusting Job Performance Standard

Regardless of what type of job performance standard has been used or
planned to be used to understand the performance gap, Figure 6.5 presents
206  Building Relationship and Recognizing the Situation

general steps and actions from management or a high-performance coach

for using a job performance standard. Following these steps are designed to
powerfully and professionally support an individual or a team to compare
their performance against an ideal and desired performance. Depending on
changes in the market, industries, or products and services, there is always
a need for adjustments and changes to the job performance standards.
Providing feedback and reviewing training and development needs are
essential to a successful and relevant job performance standard review.

 Forming and establishing the standards

The first step is to form the job performance standards to the indus-
try, work, and the job being performed and establish parameters of
the desired outcome and results for that job. This is a good time to
review the previous standards and records of results and compari-
sons between the established standards and the actual results and
see any discrepancies that might repeat themselves. It is highly rec-
ommended to review the newly established performance standards
with some experienced managers or supervisors for relevancy and
functionality.
 Convey, explain, and educate the standards
After establishing the desired job performance standards, it is time to
communicate and explain them to employees via general announce-
ments and scheduled meetings with related departments, groups, and
teams to educate the associated employees and answer questions or
concerns about the job performance standards. The employees’ input
is also valuable to potential adjustments or modifications of such
standards.
 Measure the actual performance
The only way to understand the functionality and accuracy of perfor-
mance standards is to measure the actual performance. Hence, mea-
suring a one-day or one-week performance block is not an accurate
representation of an individual or a team performance. For achieving
this step, the manager-as-coach or the high-performance coach needs
to review and measure the work/job results for at least a month or
even a quarter.
 Compare performance with standards
At this stage, the manager-as-coach or the high-performance coach
needs to compare an individual or team’s actual performance mea-
surement with the established job performance standards. This is
 Establish Relatedness and Building Rapport  207

the time for some reality checks and perspectives to see if the pos-
sible discrepancies are results of (1) the employee’s performance
level, (2) the influence of internal or external work environments,
or (3) unrealistic expectations about the established performance
standards. We will discuss this section on a much deeper level in
the next chapter.
 Interview some performers
To achieve the previous step, it is highly recommended to interview
some of the high producers and some of the lowest producers in a team
or group. The data collected from these interviews would shed light on
the influence of mindset, attitude, and behavior on individuals’ relation-
ships with the organization and their teammates, and their managers
and supervisors. Another output of these interviews is understanding
the employees’ perspectives about the work environment, including the
norms, communication channels, physical space, technology, and tools.
 Design and deliver the feedback
After going through the last two steps of (1) comparing the actual per-
formance results with the established performance standards and (2)
conducting interviews with the high performers and low performers, it
is time to design and deliver your feedback as the manager-as-coach or
the high-performance coach. It is recommended to review the feedback
with managers and supervisors and consider their inputs before submit-
ting the feedback to the senior management and the organization. Some
organizations or managers have the tendency to discuss this step with
some high-performance employees to get to reusable, agreeable, and
manageable standards or criteria for their job performance standards
and “what should be happening.”
 Assess and potential needs for further developments
One of the potential feedback results is uncovering needs to (1) make
changes in the job performance standards, (2) further develop perfor-
mance standards, (3) plan some particular technical training, (4) restruc-
ture processes or procedures among teams and groups, or (5) rearrange
some work or job positions. Again, this is something that could be
achieved by involving some of the high-performer and high-producing
employees and their inputs.

Table 6.4 is an effective tool for assessing the clarity of job performance
standards among individuals and teams. This assessment is useful during
performance and productivity interventions at the individual and team levels.
208  Building Relationship and Recognizing the Situation

Table 6.4 Assessing the Job Performance Standards of an Individual or a Team.

Assessing Job Performance Standards of an Individual or a Team
Day: Participant: Team:
Month: Supervisor: Department:
Rating Scale: 1 = Strongly Disagree, 2 = Disagree, 3 = Neutral, 4 = Agree, 5 = Strongly
Agree
# What to Assess? Rating What Is
Job Performance Standards Are Missing?
1 2 3 4 5 What Needs to
Get Done
About It?
1 Stated clearly and in the job description
without ambiguity.
2 Distributed and communicated clearly to
employees in detail.
3 Explained by supervisors in measurable
terms to employees.
4 Connected to work/task require-
ments for individuals, teams, and the
organization.
5 Revised based on the work methods
upgrade or alteration.
6 Gone through annual review for neces-
sary corrections or addition.
Source: Copyright 2021 by Behnam Bakhshandeh.

This tool gives individuals and teams the means to express their level of
clarity about what is expected of their performance and also allows them to
evaluate what is missing or what needs to get done about what is missing.
But it gives the high-performance coach or manager-as-coach a better under-
standing of the existing job performance standards and what potentially
needs to alter or modify.

Use of Big Data and AI in Measuring

Employees Performance
The use of Big Data for analysis and as a source of information about job
performance is already implemented and will be a trend of the future of
 Establish Relatedness and Building Rapport  209

Performance Management. In addition, using AI (Artificial Intelligent) for

measuring human performance is just around the corner, and it is already
in some industries or occupations such as performance improvement and
customer service. We thought it would be useful to briefly talk about these
two concepts and their roles in recognizing what should be happening by
high-performance coaches and organizations who have access to Big Data
and AI systems.

Big Data
In these days, from GPS and other types of tracking systems to security
cameras everywhere, nearly 80% of organizations and establishments are
using some variety of electronic performance monitoring or EPM for short.
EPMs are designed to use up-to-date technology for gathering, storing, ana-
lyzing, and reporting the workforce’s behaviors, such as productivity, perfor-
mance, use or abuse of the organization’s time, or incivility in their actions
(Tomczak, Lanzo, and Aguinis 2018). There are other uses for tracking
real-time data by EPM systems. Collected data can be used for individual or
team performance assessment, selecting proper training and development,
tracking logistical objectives, implementing wellness programs, ensuring
workers’ safety, and most importantly, assessing individuals’ and teams’ per-
formance and performance-related behaviors.
However, as Tomczak et al. (2018) underlined,

[d]espite the organizational benefits of EPM, these systems can

have adverse effects on employee satisfaction, organizational com-
mitment, fairness perceptions, and employee behavior. Research
provides evidence, however, that these downfalls can be mitigated
by implementing these systems with employee attitudes and pri-
vacy perceptions in mind
(251)

There are other applications for data mining and classification use of the
collected data such as (1) Employee Management System (EMS), (2) the
process of Knowledge Discovery in Databases (KDD) that classifies sub-
stantial data into various categories such as employee performance, dis-
abilities, safety accidents, absenteeism, and more, and (3) the WEKA data
mining toolkit classifier model which predicts the workforce’s performance
on the basis of the workforces’ age, date of hire, years of experience, and so
forth (Kamatkar et al. 2018). We need to take under consideration that “[d]
210  Building Relationship and Recognizing the Situation

espite the relevance of data-driven automated decision-making in assessing

employee performance and productivity, only limited research has been con-
ducted on this topic” (Wingard 2019, 13).

AI (Artificial Intelligence)
As artificial intelligence (AI) is becoming progressively more intelligent, even
in some cases, reaching extraordinary unhuman performance and providing
a rapidly growing opportunity for humans to learn from it. However, there
are valid concerns about how the human brain approaches problems versus
how an AI system attempts at problem-solving (Mcllroy-Young et al. 2020). “A
crucial step in bridging this gap between human and artificial intelligence is
modeling the granular actions that constitute human behavior, rather than sim-
ply matching aggregate human performance” (Mcllroy-Young et al. 2020, 1677).
That said, several researchers in reasonable and explainable AI that
demonstrate that human–AI combined performance on decision-making
responsibilities is improving when the AI describes its recommendations.
However, several previous studies noted AI performance improvements
from explaining with reasonableness only when the AI, without the help of
humans, outpaced both the human and the AI–human team (Bansal et al.
2021). “Can explanations help lead to complementary performance, where
team accuracy is higher than either the human or the AI working solo?”
(Bansal et al. 2021, 1).
Bansal et al. (2021) conducted mixed-method user research on three dif-
ferent datasets. An AI with precision and correctness was comparable to
some humans helping participants to resolve and explain a task and explain
itself in certain circumstances. The researchers reported that while they
noted some complementary improvements from the corresponding AI, there
was not much of an increase in improvements when adding explanations.
Relatively, added explanations increased the humans’ chances when they
accepted the AI’s recommendation, despite the consequences of its accu-
racy. In conclusion, Bansal et al. (2021) added, “[o]r result poses new chal-
lenges for human-centered AI: Can we develop explanatory approaches that
encourage appropriate trust in AI, and therefore help generate (or improve)
complementary performance?” (2)
At this point in time, there are considerable documented issues linked
to AI automation and several human–machine system mistakes and faults.
Reportedly, these issues have been related to various deficiencies in human
 Establish Relatedness and Building Rapport  211

operator conditions, including self-awareness reductions, increasing com-

placency and carelessness, and loss of their situation awareness (SA). This
nonproductive situation has been observed and discussed at length in vari-
ous human performance studies (Kaber et al. 2004). “In general, a key
underlying factor that has emerged as a contributor to human performance
problems in complex, automated systems control is human out-of-the-loop
(OOTL) performance (Kaber et al. 2004, 113).

How to Establish an Agreement on

“What Should Be Happening”
How do we get managers and employees to reach an agreement on what
should be happening? What do we do when managers and employees, or
in some cases both managers and employees, do not agree on the elements
of anchors or targets? How could managers and employees reach a consen-
sus on what are the job performance standards, including KPIs, best indus-
try practices and criteria? In this segment, we explore the approaches that
would bring managers and employees together to establish a working part-
nership that would benefit all those involved, including managers, employ-
ees, and the organization.
The areas that make the biggest difference for creating a robust partner-
ship with employees are (1) leadership, (2) integrity, (3) responsibility, and
(4) Accountability, with the support of Organizations Values, Vision and
Mission that are causing Organization Culture as a strong foundation. In the
following segments, we look at how to use these elements to cause a strong
partnership with the workforce (see Figure 6.6). Organizations need to
include these elements in their organizational culture and day-to-day opera-
tions to make sure their managers continue influencing the workforce with
the presence of these elements.
Again, remember that these distinctions and explanations are brief. There
are more sources available for your learning purpose in Appendix A.

Leadership versus Authority

We have briefly touched upon this concept in Chapter 2 (under key points to
remember), but we thought we should go deeper and talk about this power-
ful concept in this chapter too.
212  Building Relationship and Recognizing the Situation

The idea of dictatorship and forcing authority is not a foreign concept in

the history of human existence. Many kings and repressing governments
have tried this way of leading and governing, of which almost none of them
survived the free will of people and the desire to be free and make their
own choices. Without getting too much into history or politics, running an
organization is not much different from running a country. Organizations are
made by departments, groups, teams, and individuals; basically, any organi-
zation is made by people who naturally avoid dictatorships and authorities
which by nature force their ways and their ironclad demands on their work-
force. Without going too far, we just use what Satell (2014) brilliantly said
about this matter:

The problem is that, while authority can compel action, it does

little to inspire belief. It’s not enough to get people to do what
you want; they also have to want what you want—or any change
is bound to be short lived. That’s why change management efforts
commonly fail. All too often, they are designed to carry out initia-
tives that come from the top. When you get right down to it, that’s
really the just same thing as telling people to do what you want,
albeit is [a] slightly more artful way. To make change really hap-
pen, it doesn’t need to be managed, but empowered. That’s the
difference between authority and leadership.
(Satell 2014, 2)

Integrity
Integrity is a personal phenomenon. People declare their own personal
integrity based on their beliefs, their faith, their upbringing, their values,
their principles, and their own choices. However, we all have one thing in
common about our integrity. Without integrity, things do not work, and they
will fall apart sooner or later.
Individuals practice integrity in different levels, from high levels to very
low levels or close to nothing. However, the fact of the matter is this—with-
out integrity, responsibility and accountability mean nothing. We cannot be
fully responsible or accountable for our actions if we do not value and prac-
tice integrity. This powerful force influences every part of our day-to-day
lives, who we are being and what we are doing. To make necessary changes
in our lives, we must first start practicing integrity in all we do with others,
with our own personal affairs and at work (Bakhshandeh 2015).
 Establish Relatedness and Building Rapport  213

Who gives us the power and permission to judge others’ integrity? What
gives us the right to evaluate others’ level of integrity on what we think
integrity is, or should be? We judge and evaluate others’ decisions, their
lifestyle or life choices and anything else we can push our opinions on so
we can impose our idea of integrity on them (2015). Unfortunately, when
managers exert authority versus leadership, they ignore their employees’
perspectives.
When employees do not accept managers’ viewpoints, managers become
upset and resentful. They distance themselves from their workers. When
considering your idea of integrity, I invite you to separate your view of social
law, religious beliefs, and/or cultural beliefs from your notion of integrity at
this moment. Look at integrity as a personal phenomenon and individual to
each person (2015). It is not easy, but by practicing your own integrity and
becoming masterful in establishing rapport with others in the workforce,
you can establish a partnership of comradery with speed and without hold-
ing back. Managers who practice integrity will give their workers the benefit
of the doubt and be willing to listen without judgment thereby creating a
safe environment for workers to express their concerns and reservations.
“Consider integrity as the source of having power, magic and miracles in
life” (2015, 28)

Responsibility
When we are responsible, we show our willingness to own every thought
we have and own up to every action we take, good or bad, right or wrong,
happy or sad, enough or not enough. We did it, nobody else, just us. When
we understand this, we realize that we are the ones who make it or break
it (2015). This powerful context allows us to live a great life with an abun-
dance of peace of mind and fulfillment. It does not differ from managers
who do not take responsibility for the present work environment which is
the source of low production and bad performance generated through the
years and is the outcome of such an environment on the employees’ mind-
set, attitudes, and behaviors, ultimately affecting the connection of their
performance and productivity to the organization.
When we can look back into all the upsetting, sad, dramatic events of
our lives and see how we were responsible for the outcome of each event,
we are free (2015). This does not differ from a manager who wants to ignore
the effect of past bad management policies on the current situations and
performances. I am not suggesting that personal or professional upsetting
214  Building Relationship and Recognizing the Situation

events do not happen in our lives and in our workplaces either on their own
or at the hands of others. But what makes the events more upsetting and
unfixable is when we drag them along behind us throughout our personal
and professional lives like a sack of pain (2015). Our interpretation of these
personal and professional events and what we make them mean reflect how
we view ourselves, others, work, and life itself; Consequently, it will allow
this status quo to continue in our personal and professional lives. “The most
important things in life are to continue learning, to thrive on challenges and
to fight ignorance” (2015, 30).

Accountability
I do not know about you, but each time we hear accountability or being
accountable, we cannot help but think of something heavy and hard, like
something we cannot do, something that is too far from reality, nearly
unreachable. It is amazing that when we become present in our own
lives, how we come to see just how much we are not being accountable
for! Accountability and responsibility go hand in hand. When we practice
responsibility, we cannot help being accountable and having integrity. This
is the essential component of this combination (2015).
Our power is built on the foundation of our words and promises we make
to ourselves and to others. This does not differ from professional promises we
made to employers expecting a position at their organizations. The well-being
of our integrity and principles depends on how we relate to our relationship
to ourselves and the degree to which we keep our words and promises. We
have no idea how much our actions impact the world around us. That means
that any actions, broken promises, anything we do, and everything we say
will influence our relationship with others. Our relationship with others will
affect the quality of our personal and professional lives (2015).
Just imagine the possibilities that would arise in our performances
and productivity if we all kept promises, worked with integrity, held
ourselves responsible for our production, and were accountable for our
performances.
This combination of integrity, responsibility, and accountability should
be on the list of the most important training for developing professionalism
among employees that would directly create an environment of partnership
and workability between management and employees. A strong founda-
tion would be built for establishing alignments and agreements in such an
environment.
 Establish Relatedness and Building Rapport  215

Practice for Establishing Agreement About

“What Should Be Happening”
As we have displayed in Figure 6.6, all the organization’s Values, Vision,
Mission and Culture support the use of Leadership, Integrity, Responsibility
and Accountability hold the space for management to sit with representa-
tives of their workforce (such as junior managers, supervisors, or floor fore-
men) to come to an agreement on job and work performance standards and
about what should be happening. Obviously, inviting all the employees to
these types of meetings is impossible; therefore, managers should always
be on the lookout for junior managers, supervisors, and floor foremen who

Figure 6.6 How to Come with Agreed Job Performance Standards.

Source: Copyright 2021 by Behnam Bakhshandeh.
216  Building Relationship and Recognizing the Situation

are willing to learn leadership qualities and are open to professional discus-
sions that would result in benefiting everyone in the organization. For this
reason, the following elements are available for managers in their meetings
with employee representatives when trying to get to a consensus on the job
performance standards and what should be happening.
Supporting an Organization’s Foundation: The conversation between
managers and workers should always occur in conjunction with organiza-
tional foundations in the background. This background is the anchor that
holds the organization together, and they are the source of operations and
final outcomes (see Figure 6.6):

 Values and principles: What we value the most, and what are the
core principles of our relationships and existence as an organization.
 Vision statement: Represents and displays who we are being, what
we are standing for, where we are going, and what the culture of the
organization is.
 Mission statement: Represents and displays what we are doing and
our commitment to our values, culture, and our customers.
(Bakhshandeh 2008)

Creating Partnership and Alignment: Creating partnership and align-

ment is critical to the success of any process of establishing agreements. The
following elements are vital to creating such a partnership environment (see
Figure 6.6):

 Rapport: Establishing rapport is the first step of creating a workable

relationship (see Chapter 4).
 Critical thinking: Using simple elements of critical thinking by paying
attention to operational elements of what, why, how, where, who, and
when to discuss real occurrences and events instead of perceptions,
feelings, and emotions (see Figure 6.7).
 Career commitment: Career commitment refers to how motivated
workers are to persist in their career direction and their attitude
toward their profession. One critical element of career commitment
is the nature of relationships that workers experience (Kim et al.
2013).
 Organization commitment: Organization commitment refers to the
psychological and emotional attachment that employees feel about the
organization for which they are working. This relationship is critical to
 Establish Relatedness and Building Rapport  217

Figure 6.7 Use of Elements of the Critical Thinking Process to Come with Agreed Job
Performance Standards.
Source: Copyright 2021 by Behnam Bakhshandeh.

ensure low turnover and is an important focus of attention for many

organizational leaders (Kim et al. 2013).
 Effective communication: Use effective communication techniques
and processes, including active listening, to get everyone on the same
page. Communication is the source of establishing peace and harmony
among people (Bakhshandeh 2004). Steinfatt (2009) expressed his view
of communication and its vital role in human connectedness as follows:
218  Building Relationship and Recognizing the Situation

“[t]he central thrust of human communication concerns mutually under-

stood symbolic exchange” (295).
 Problem-solving: Using problem-solving techniques and processes
(see Chapter 9) such as conflict resolution to resolve team issues and
conflicts between managers and workers.

Productivity Records and Data: “Numbers never lie, people do!”

(Bakhshandeh 2009). Reviewing and discussing numerical data just helps
managers and employees’ representatives to see the reality of past and pres-
ent productivity and performances (see Figure 6.6):

 Collaboration: Collaboration gives rise to diverse opinions among

groups, expresses different views between team members, and helps to
resolve issues faster than just one person’s ideas (Bakhshandeh 2021).
Therefore, using collocation by managers just creates trust and respect
for everyone involved. Most teachers and business organizations are
interested in collaboration to produce faster results among students
in the classrooms and propose different solutions to problems among
working teams for businesses (Ahmadi and Besancon 2017).
 Past production data: Production records and data of productivity
for the past several years can help managers argue the reality of pro-
ductions by presenting actual data for what was working and what was
not working. This is a realistic comparison for what past productivity
targets were reasonable and workable against organizations’ annual
growth targets.
 Past performance data: The same concept as mentioned earlier
about productivity is applicable for individuals’, teams’, and depart-
ments’ performance levels and history of job performance standards.
As Albert Einstein once said, “[r]eality is merely an illusion, albeit a very
persistent one.”
 Firing and demotion records: With permission from Human
Resources directors or managers, and with absolute confidentiality by
removing names and titles, reviewing reasons for firing or demotions are
good indications for understanding what is happening on the production
floor or among employees. These data can help managers and workers
to see any resistance to productivity and performance standards.

Promotions records and data: This concept is very similar to the

firing and demotion records but in an uplifting way when managers and
worker representatives recognize what would cause promotions. With the
 Establish Relatedness and Building Rapport  219

same type of permission from HR, managers and employees’ representatives

could review what some individuals or teams got promotions or bounces.
This perusal helps designing job performance standards because the possi-
bility of a positive forward movement in someone’s career is always a good
motivation. The following are some examples to review (see Figure 6.6):

 Promotions data: The reasons for promotions and relevancy to pro-

ductivity and performance.
 Bounces records: The reasons for receiving bounces and relevancy to
productivity and performance.
 Incentives records: History of the organization providing incentives
linked to productivity and performance and the number of occurrences
within the last several years and how they were effective or not and
why.
 Annual performance reviews: A good step with the same type of
confidentiality permission from the HR department.

Role of Critical Thinking Process in Job

Performance Standards Alignment
As we have mentioned in the aforementioned segment, the process of criti-
cal thinking and its elements is very helpful for managers and employees’
representatives to look at the reality of productivity and performance with-
out getting engaged with perception, feelings, and emotions from either side.
In this segment, we look at these simple but powerful elements.
Oxford Language Dictionary defined critical thinking as, “the objective
analysis and evaluation of an issue in order to form a judgment” (np).
In a study conducted by Moore (2013) called Critical Thinking: Seven
Definitions in Search of a Concept, Moore presented seven elements which
described, pointed at importance, and defined critical thinking as “(i) judg-
ment; (ii) skepticism; (iii) simple originality; (iv) sensitive readings; (v) ratio-
nality; (vi) an activist engagement with knowledge; and (vii) self-reflexivity”
(506) (Bakhshandeh 2021).
Critical thinking and problem-solving (as one of the outcomes of critical
thinking) are qualities that employers look for in their managers and newly
hired college graduates (Bakhshandeh 2021).

In the year 2010, American Management Association (AMA) conducted

a Critical Skills Survey on 2115 executives and senior managers, asking
them to rank the top skills they are looking for when hiring new talent.
220  Building Relationship and Recognizing the Situation

Critical thinking was the second most desirable, with communication

skills being the most desired (Martz et al. 2017)
(Bakhshandeh 2021).

The six simple elements of critical thinking are What, Why, How, Where,
Who and When (maybe not in the same order, but they are all part of the
inquiry). Figure 6.7 displays and digs into them in more detail.

Team’s Dysfunctions and Conflicts

Regardless of how good the team is bonding together, or how strong the
foundation of the team building is established, from time-to-time, teams
are facing some dysfunctions and issues with their team operations; either
on an individual level or at the team level while trying to resolve issues.
Managers and employees’ representatives’ meetings about creating an align-
ment and agreement on Job Performance Standards are not different from
potential team dysfunction and conflicts. For this reason, managers need to
work on diffusing these potential dysfunctions as they go, quarter by quar-
ter, month by month, and even day by day. It would be very useful if we
are aware of the group dynamics within a team that can meddle with the
problem-solving progression. The dysfunctions that we are underlining are
common within teams and groups; however, they need to deal with and
addressed without delay.
The causes of such dysfunctions are identifiable and very much correct-
able by members’ dedication, team strategy, and commitment to the team’s
purpose and vision. Bottom line, getting a team to function properly and
become cohesive again, allows for much easier workability, productivity, and
problem-solving process (Bakhshandeh 2004; Lencioni 2002).

Team Dysfunctions
The following are the five potential dysfunctions of a team or a group while
they are working together.

Absence of Trust
When the fear of being authentic and real, causing a team member to
become vulnerable with other team members will prevent the process of
trust-building within the team.
 Establish Relatedness and Building Rapport  221

Fear of Conflict
When one or some members of a team not wanting to face any conflict and
avoiding confrontations, they maintain a fake harmony with the rest of the
team, which suppresses the possibility of productive and professional conflict.

Lack of Commitment
When a team member is not clear about their commitment to the team,
or lack of their buy-in to the team’s purpose and vision, the team member
prevents such team members from making productive decisions, and display
commitments they will stick to.

Avoidance of Accountability
When one or more team members are avoiding interpersonal discomfort with team
members who are not keeping their promises and commitments, they prevent
team members from holding each other accountable for their responsibilities.

Inattention to Results
When team members are pursuing their intentions or desires and pushing
for their personal status wearing down the team’s focus on the team’s pur-
pose and goals and jeopardizing the collective success (Bakhshandeh 2004;
Lencioni 2002).

Addressing Dysfunction
Like any other issue in life, when an individual or a team is committed to
resolving issues, there are always ways to take on transforming dysfunctions.
When a business team or a group is willing to face their dysfunctions and
address their issues, the following benefits are achievable. High performing,
organized, and unified teams are:

 comfortable asking for assistance and are at ease to receive help from
their teammates
 admitting their mistakes and limitations to their team and are open to
contributions from their teammates
 taking risks by offering feedback to their teammates for the good of
their team
 utilize other team members’ skills, competencies, and experiences to
better themselves
222  Building Relationship and Recognizing the Situation

 not wasting their time talking about and revisiting the same wrong issue
over and over again, just because someone is not buy-in yet
 making more quality decisions about issues
 accomplish more productivity in less time with fewer resources
 facing essential issues and topics for discussion and have productive
and professional meetings
 align the whole team with common outcomes and objectives
 retaining and rewarding hardworking and producing team members
(Bakhshandeh 2004; Lencioni 2002)

Asking Powerful and Effective Questions

Asking questions is one of the most common tools for obtaining informa-
tion. Asking powerful and effective questions is the key to the success of
performance analysis and discovering what is happening as well as what
should be happen. The high-performance coach’s or manager-as-coach’s
skills and competencies are very important in performance analysis because
it takes an expert with good experience to create a set of questions not
causing resistance from interviewees (Robinson et al. 2015; Bakhshandeh
2008).
As you remember in Chapter 3, we talked about understanding an
individual’s mindset, attitude, and behavior, determining an individual’s
relationship to their performance and productivity. However, designing a
set of questions that would not trigger people’s resistance or their protect-
ing mindset is essential to conducting an effective performance analysis.
Regarding the importance of asking powerful questions, Whitmore (2017)
stated,

[i]t is questions rather than instructions or advice that best generate

awareness and responsibility. It would be easy if any old question would
do, but it won’t. We need to examine the effectiveness of various types
of questions
(82)

During the performance analysis process and questioning, the high-per-

formance coach will receive answers from participants that would indicate
if the coachee is following the intent of the questions and is on a produc-
tive path, aligned with the purpose of the performance analysis objectives
(Whitmore 2017).
 Establish Relatedness and Building Rapport  223

What to Be Cautious About during Questioning?

It is useful to know what to pay attention to and what to avoid during
designing and to conduct questions. The following is a brief review of what
to know when asking questions regarding an individual or team perfor-
mance and productivity:

Productive Questions
Questions should be designed to draw information that would help the
coaches or their teams to see you as a high-performance coach who cares
about their performance and that of the team’s or organization’s and shed
light on the importance of their roles regarding the organization’s pur-
pose (Bakhshandeh 2013). Make sure the questions empower and open
an inquiry for better production and performance and not cause the inter-
viewee to feel wrong or to have done something wrong.

Relevant Questions
The questions should relate to the coachees or their team’s performance and
productivity without moving into personal or professional issues unrelated to
the topic and bringing other irrelevant matters, such as their perceptions of
HR policies’ fairness or coachees’ resentment toward them their supervisors.
Keep the gossip and hearsay out of the process (Bakhshandeh 2013).

Judgmental Questions
Most coaching process questions commence with what, where, who, when,
or how to turn the concentration inward and support the coachee’s thoughts,
insights, and feelings, which helps the process to move forward (Rothwell
2015). Wilson (2020) warned coaches to prevent them from questioning why
because it might cause the interviewees to become defensive and make
them feel judged or accused. It would be fine to ask why questions when
you are not asking for personal information, such as asking about equip-
ment or tools. The nature is not judgmental because it is not aimed at the
operator as a person versus the equipment (Wilson 2020).

Leading Question
It is unprofessional and unethical to influence interviewees into responding
in a particular way by asking leading questions (Bakhshandeh 2013). This
224  Building Relationship and Recognizing the Situation

may happen if a performance coach or manager-as-coach does not accept

an answer from the coachee or interviewee until it is aligned with what he/
she wants to hear. This would cause increasing mistrust, which would direct
the data-gathering process in a nonproductive way. “Usually, a question
becomes leading because the coach has missed out on exploring a statement
from the coachee” (Wilson 2020, 160).

Multiple Questions
Sometimes coachees are unsure what to ask next; therefore, they ask several
questions that most probably are not thorough and not part of the original
design. Here, it is much better to take time and frame the next questions
relevant to the topic (as we touched earlier) and be patient until the coachee
provides an answer (Wilson 2020). Do not throw in some questions just to
fill the space and uncomfortable silence (Bakhshandeh 2013). It is fine to
delay your questioning until you collect what you want to ask; that would
be beneficial to the process and the interviewee.

Questions as a High-Performance Management Practice

Designing and implementing a set of simple but elegant questions is
an effective practice for delivering the intent of most productivity and
increasing performance levels by high-performance coaches or managers-
as-coaches. An effective set of questions can offer a perspective for an
overview of a need assessment for training, developmental issues, or
administrative functions of performance and productivity management.
In addition, it could be a productive tool for recognizing the declared and
established goals or pathways to realize needed and necessary goals to
increase productivity and levels of performance among individuals and
teams. Effective and well-designed questions assist during feedback, respon-
sibilities, accountabilities, and overall growth of performance (Lee 2021;
Bakhshandeh 2013).
Table 6.5 represents some of these effective questions about establishing
or discovering what should be happening. Some of these questions might
not be directly linked to the discovery of what should be happening; how-
ever, they are forming an environment of trust and respect between man-
agers and employees and therefore can open space for the understanding
of employees’ mindset and perceptions in order for mangers-as-coaches to
provide directions and to coach in order to increase productivity.
 Establish Relatedness and Building Rapport  225

Table 6.5 Examples of Effective Questions for Discovering “What Should Be

Happening.”
Examples of Effective and Powerful Questions for Discovering
“What Should Be Happening”
Questions Questions Potential
Categories Outcome
Recreate  How are you? Re-establish
Rapport  How are your family, children, and their school- rapport and
ing (if applicable)? ensure a good
 How is it going with you and your team recently? relationship.
Trust and  Is everything okay with your work environment? Opening for
Respect  Is there anything that bothers you about your job? sensitive
 You know whatever we talk about here is con- conversation.
fidential. How is your relationship with your
direct supervisors or foremen?
 Are there any issues with your teamwork and
team relationship you like to discuss?
 Do you know you can come to me with any
issue or problem you might have, and we will
do our best to work them out?
Ask  I would like to discuss and offer some sug- Creating a safe
Permission gestions about the recent individual and team environment
performance. Are you open to it? for conversa-
 I have identified some actions that would assist tion and build
you and your team to adjust your performances up interests.
positively. Are you open to hearing them?
 Would you like to know how to increase your
professional performance and build up your
career in a positive direction?
Job  What have you noticed about your performance? Re-ensuring
Performance  What have you noticed about your team clarity on what
Standards performance? are the job
 Are you aware of your job performance performance
standards? standards.
 Do you understand the categories such as KPIs?
 Is there any ambiguity or confusion on your
responsibilities?
 Are you clear about what is your individual and
direct daily productions and team performance?
 Do you think you will be in better shape if you
know all these production and performance
targets?
 What would place you and your team in a bet-
ter production and performance space?
(Continued)
226  Building Relationship and Recognizing the Situation

Table 6.5 (Continued)

Examples of Effective and Powerful Questions for Discovering
“What Should Be Happening”
Questions Questions Potential
Categories Outcome
Expectations  Do you completely understand what the Remove
expectations of your individual and team ambiguity and
performances are? confusion
 Just for clarity, what do you think these and get
expectations are? clarity about
 What are your expectations from your direct expectations.
manager or supervisor?
 What are your expectations from the
organization?
Collecting  What would you do the best? Collect direct
Suggestions  What would you not be doing so well? information
 What do you find challenging at your job and about the
performance? reality of
 What do you find challenging at your team performance
performance?
 What would you do differently at your job to
bring up your performance level?
 What would you suggest your team does differently
to bring up your team’s performance level?
 Do you see any need for training? If yes, what
kind?
Developing  What is your view of your own performance? Promoting
Leadership  What do you think your performance should be? partnership
 Do you have any suggestions for improving and developing
your work environment? future leaders
 Do you have any suggestions for potential for the
modifications to job performance standards? organization.
 What would be two things you would change
about your work performance?
Closing  What did you learn from our discussion? Completing the
 Did you have any insights from our discussion? session and
 Do you have any suggestions for improving leave open-
individuals’ and teams’ performances? ing for future
 Do you have anything to add before we con- discissions.
clude our conversation?
 Do you know you can come to me with any
additional information or suggestions?
Source: Copyright 2021 by Behnam Bakhshandeh.
 Establish Relatedness and Building Rapport  227

Business Case Example

In this segment, we use an example of the same organization we used in
the previous chapters to show how to understand and discover what should
be happening.

Background
As you know, during previous chapters, we introduced and used the MBD
as an Organization Development case for examples of using and imple-
menting High-Performance Coaching steps and processes. For more under-
standing of this organization’s issue, review the business example cases in
Chapters 4 and 5.

What Provoked the Inquiry?

As we have mentioned on the previous chapters, according to the senior man-
agers, the MBD was facing (1) significant turnover and absenteeism among
their workforce caused by a high level of work dissatisfaction among their
employees and (2) the absence of collaboration and teamwork among the
employees, especially between the administration, sales teams, and shipping
crew as the source of what is happening. These issues caused MBD to have
lower productivity due to a lack of acceptable performance. That was when
MBD management had to bring their managers, supervisors, and foremen to a
joint-table discussion and focus on establishing what should be happening.

Setup, Preparation, and Implementation

We invited department managers, several joiner managers, and supervisors
from different departments who were trusted by the rest of the teams to
join us at a discussion meeting to establish an alignment and agreement on
what should be happening and set up job performance standards, including
best industry practices, KPIs, criteria, and past records on productivity and
performance.

Setup
Given the concern for not stopping the daily routine of running the business
or the production without management presence, we decided to conduct the
process on two different occasions for a two-day workshop/meeting setting.
228  Building Relationship and Recognizing the Situation

Table 6.6 Conducting a Team Meeting and Discussion for Discovery of “What
Should Be Happening” and Establishing Job Performance Standards.
What Should Be Happening—Establishing Job Performance Standards
This process is about what should be happening with the production and perfor-
mance compared to a selected and agreed upon job performance standards among
management and employees’ representatives.
It is highly recommended that high-performance coaches or a managers-as-coaches
who are attempting to conduct such a meeting review the following categories and
elements to make sure they are ready to hold such meetings with power, confidence,
and related competencies.
(a) Re-establish Rapport
1. Get Related  Establishing rapport with these individuals and teams is criti-
cal to the workability of this process (see Chapter 4).
 Re-establish rapport by getting related to the supervisors
and floor foremen on the same level of relating to managers.
 Understand that naturally, employees’ representatives’ mind-
set differs from managers’ mindset (see Figure 4.2); there-
fore, you can’t relate to them as the same.
 Review the fundamental state of being and competencies for
establishing rapport before the meeting (see Figure 4.3).
2. Discuss Potential  Ask everyone to put aside any potential individual or team
Conflicts conflict at this time for the sake of effectiveness and work-
ability that would benefit everyone.
 Briefly review some of the potential sources of team
dysfunctions that might affect their work in this meeting,
such as the absence of trust, lack of commitment, or fear
of causing conflict. Let participants talk about them and
express their concerns.
(b) Powerful Setup
1. Speak the  Start by speaking your own commitment to establishing a
Commitment powerful set of Job Performance Standards that would sup-
port the organization’s values, vision, and mission, as well
as supporting and empowering employees’ careers and
performance.
 Invite the rest of the managers and employees’ representa-
tives to express their commitment to the outcome of this
process.
 Point at the underlying foundation of workability as a team
and the mutual commitment to the end results, such as out-
come and vision.
 Establish Relatedness and Building Rapport  229

2. Explain the  Briefly explain the process and the core design behind the
Process process by displaying and explaining how to come with
agreed job performance (see Figure 6.6).
 Use the elements of critical thinking (see Figure 6.7) that are
being used to empower the process and keep the inquiry on
a productive track.
 Make sure to review the examples of effective questions dur-
ing your preparations (see Table 6.5).
3. Ground Rules  With the partnership of all members, establish a set of
ground rules for the meeting.
 Collect ideas for professional, workable, and effective rules
that would support the committed outcome.
 Try to keep the ground rules to not more than four to six.
(c) Envisioning Future
1. Envisioning  Ask all the team members to envision what should be hap-
pening in the organization and in their teams.
 Conduct a sharing session for everyone to hear all their team
members’ thoughts and desires.
2. Relationship to  Review the organization’s vision, mission, and core values
Vision, Mission, with the team.
 Ask them to complete individually and rate themselves on
and Values
the “Assessing the Current Vision Clarity of an Individual or
a Team” (see Table 6.1).
 Conduct a sharing session on what is missing for them to be
related to the organization’s vision, mission, and values.
(d) Reviewing the Existing Job Performance Standards
1. Evaluate the  Conduct a discussion on the existing performance standards
Existing Practices or benchmarking among the team members.
 Use the “Evaluating the Needs for Benchmarking the Best
Practices in Human Performance Enhancement” (see Table 6.2).
2. Key Performance Discuss the existence of KPI among the organization and team
Indicator (KPI) members regarding:
 Customer perspective
 Internal perspective
 Growth and learning perspective
 Financial perspective
3. Criteria  Conduct the process of “Inquiries into Identifying Human
Performance Criteria” with the team members (see Table 6.3).
 Collect everyone’s input and perspectives on the ten poten-
tial criteria in their organization:
(Continued)
230  Building Relationship and Recognizing the Situation

Table 6.6 (Continued)

What Should Be Happening—Establishing Job Performance Standards
4. Assessing  Conduct an individual job performance assessment on
Existing Individual existing performance standards using the “Assessing the
Job Performance Standard of an Individual or a Team” (see
Performance
Table 6.4).
Standards  Discover what is missing and what needs to be modified or
added.
(e) Selecting Job Performance Standards
Note : The following models are designed to establish “Root Cause Analysis” explained in
detail in Chapter 9 of this book. (Read the relevant content of the following three models
in Chapter 9.) For example, during the process of “Establishing Agreed Job Performance
Standards,” high-performance coaches or managers-as-coaches could use the following
three Root Cause Analysis Models to bring the deciding team to come to a consensus on
their selected job performance standards. In Chapter 9 of this book, we explain several
more Root Cause Analysis Models for the use of high-performance coaches or managers-
as-coaches to use and implement during their effort to find root causes of problems in their
teams.
1. Brainstorming  Using the brainstorming session (see Figure 9.3), encourage
Session the team members to come with ideas for a new and relevant
job performance standard based on what should be happen-
ing and collect ideas.
 Encourage recognizing what are the “Best Practices” in the
market (see Table 6.2).
2. Force Field  Conduct a force field analysis on the best practices and selected
Analysis job performance standards (see Figure 9.6 and Table 9.3).
 Ensure the teams’ alignment and also the realistic relevancy
of the selected new job performance standards (see Figure
6.19 for an example).
3. Nominal Group  After collecting all the ideas, using brainstorming, using the
Technique (NGT) Nominal Group Technique (see Table 9.1) to evaluate the
most popular ideas for the new job performance standards
after collecting all the ideas.
(f) Review and Feedback on the Outcome
1. What Is  Provide complete review and feedback to the team on the
Happening— process of what is happening, including the problem analysis
and diagnosis on performance and issues on hand.
Problems
 This review helps the team to refresh their minds on what is
happening and have a better understanding of what should
be happening.
 Establish Relatedness and Building Rapport  231

What Should Be Happening—Establishing Job Performance Standards

2. What Should Provide complete review and feedback to the key stakeholders
Be Happening— and decision-makers on the two processes of:
Resolutions  What is happening, including the problem analysis and diag-
nosis on performance and issue on hand.
 What should be happening, including the team’s proposal
on the new job performance standards and all its relevant
processes on the above sessions.
Source: Copyright 2021 by Behnam Bakhshandeh.

Preparation
Before starting the event, we had an open discussion about respecting and
considering everyone’s inputs and ideas. In this setting, all participants are equal
with equal voice and equal vote. Clearly, there are different ranking managers,
and employees are participating in this workshop, but we all need to consider
the fact that we are one team, with one mutual commitment and shared interest.

Implementation
Table 6.6 presents the process of implementation and action taken by the
MBD selected team of managers and employees’ representatives for discover-
ing what should be happening after they went through the process of what is
happening and discovering issues and what they were going to do about it.
As the internal high-performance coaches or managers-as-coaches, you
have access to some information that an external practitioner doesn’t have.
The aforementioned practices for conducting what should be happening or
establishing effective and realistic job performance standards are directly
related to what already exists at the organization. However, as an internal
performance coach, you have to decide which of the aforementioned prac-
tices are necessary or needed for your team performance enhancement.

Key Points to Remember

Remember these key factors from this chapter:

 Gathering around the vision

– Use your life vision as an anchor for all aspects of your life and con-
nect it to the organization’s vision as an addition to empower your
professional performance. If you are not relating to the organization’s
232  Building Relationship and Recognizing the Situation

vision and mission statement, you are repeating what you already
know without bringing something new to your already existing abili-
ties and knowledge (Bakhshandeh 2009). By relating to the organiza-
tion’s vision while providing coaching, you are connecting to your
subordinates or coachees from the point of team attitude, partnership,
and workability versus being their boss, manager, or supervisor.
 Trust your envisioning
– Trust what you are envisioning for the best of your team or distin-
guishing for an individual committed to increasing their performance
(Rothwell and Kazanas 2003). You or your coachee have nothing to
lose by envisioning what it should be as long as you can support it
with analysis and comparison with a set of job performance stan-
dards created by reasonable comparisons to best practices.
 Job performance standards are your guidance
– Design and promote realistic job performance standards for your orga-
nizational criteria or use what is accepted by other organizations in your
industry to be your workforce’s guidance for what should be happen-
ing (Robinson and Robinson 2008). The best approach is to establish
your KPIs, so your people know what is expected of them. Review
and adjust the performance standards and KPIs annually but keep it in
front of your teams as the guidance to individual and team performance
checklist for productive and high-performance individuals and teams.

Coaching and Developmental Questions for Managers

(1) How do you relate to your organization’s vision, mission, core values,
and principles?
(2) How does your team or group relate to your organization’s vision, mis-
sion, core values, and principles?
(3) Do you have a set of Job Performance Standards for your team mem-
bers? If yes, what are they? If not, what is in the way to create one?
(4) Do you have a set of Best Practices or Criteria for your team perfor-
mance? If yes, what are they? If not, what is in the way to have one?
(5) Are you aware of any resistance to the existing Job Performance
Standards among your employees?
(6) How do you score yourself (from 1 to 5) on your skills and competen-
cies in conducting an effective questioning for discovering what should
be happening?
 Establish Relatedness and Building Rapport  233

(7) How do you score yourself (from 1 to 5) on your skills and compe-
tencies in conducting brainstorming sessions, force field analysis, and
Nominal Group Techniques?
(8) Do you have any problem among your team that any team conflict
resolution practices can resolve?

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ANALYZING THE GAP II
Performance coaching relies on a careful analysis of the gap—positive,
negative, or neutral—that gives rise to differences between what is happen-
ing and what should be happening. When analyzing the gap, performance
coaches should work with coachees and others to set priorities by deter-
mining how big is the gap. To that end, setting priorities may depend on
determining “what is the measurable gap?”, deciding how important that gap
is and what causes the gap. Sometimes the mere process of clarifying the
metrics used to measure a gap will point toward its importance. This phase
examines how to analyze the gap by clarifying how to measure that gap,
how to assess the importance of the gap to the organization and coachees,
and what reasons may exist to explain the gap(s).

Chapter 7—Step 4: What Is the Measurable Gap?

Analyzing the gap between what is happening and what should be
happening?

Chapter 8—Step 5: How Important Is the Gap?

What are the critical factors of the gap related to their organization?

Chapter 9—Step 6: What Are the Root Causes of the Gap?

What is causing the gap? How did the issue start? What are the main ele-
ments of this issue?
 

DOI: 10.4324/9781003155928-9 237

Chapter 7

Step 4: What Is the

Measurable Gap?
Behnam Bakhshandeh

Recognizing a performance gap sounds easy. But doing so is often overlooked.

Chapter 7 is about finding performance gaps between “What is happen-
ing” and “What should be happening” and how to measure such a gap. This
step in high-performance coaching is critical. Carrying out this step makes it
possible for performance coaches to find, or facilitate others to find, issues
that warrant attention.

 This chapter addresses these issues:

 What is analysis?
 What is a performance gap?
 What methods can explain individuals’, teams’, and organization’s pres-
ent and future performance gaps?
 What are performance gap metrics?
 Some example of gap analysis
 How to measure a performance gap?
 A performance gap assessor’s needed competencies and skills
 The potential reasons for lack of acceptable performance
 Leadership and structural problems within the organization
 Different ways to tackle a performance gap in a team
 Performance feedback sessions
 Feedback questions for managers and employees
 Evaluating an organizations and the managers’ performance measure-
ment progress

DOI: 10.4324/9781003155928-10 239

240  Analyzing the Gap

What Is Analysis?
Analysis implies a comparison of what is versus what should be OR between
what is possible now and what is needed in the future.
Rothwell, Hohne, and King (2018) described the analysis as “serv[ing]
a vital purpose in human performance improvement efforts conducted in
organizational settings” (36).

 Oxford Languages defines analysis as a “detailed examination of the

elements or structure of something” (“Oxford Languages” 2021).
 Merriam-Webster describes the analysis as: “1a: a detailed examination
of anything complex to understand its nature or to determine its essen-
tial features: a thorough study doing a careful analysis of the problem.
b: a statement of such an examination. 2: separation of a whole into its
parts” (“Merriam-Webster” 2021).

Rothwell et al. (2018) defined performance analysis as “the process of iden-

tifying the organization’s performance requirements and comparing them to
its objectives and capabilities (Rothwell 2000)” (39). The following are other
names or terminologies used to describe analysis by other researchers and
professional practitioners (Rothwell et al. 2018, 38):

 assess business and performance needs

 front-end analysis
 gap analysis
 performance analysis
 performance assessment
 performance audit
 performance diagnosis
 training needs assessment
 needs analysis

What Is Performance Gap?

Rothwell (2015a) explained and described the performance gap as “a differ-
ence between what is happening and what should be happening. A perfor-
mance gap can also be regarded as a difference between the way things are
and the way they are desired to be” (133).
 What Is the Measurable Gap?  241

Figure 7.1 The Basic Relationship and Role of the Gap Analysis Process.
Source: Copyright 2021 by Behnam Bakhshandeh.

In more straightforward words, a performance gap is a discrepancy

between expected, planned, or expected performance by an individual, a
team, or an organization and the actual delivered performance (Colquitt,
LePine, and Wesson 2015).
Figure 7.1 displays the fundamental relationship and role of the gap
analysis process and what is happening and what should be happening.

Different Performance Gaps

A performance gap is a disparity between what is happening and what
should be happening regarding individual, team, and organization
performance. At the same time, a performance gap can distinguish between
the way things are and the way they are desired to be. To understand
performance gaps among individuals, teams, and organizations, consider six
possible ways to distinguish performance gaps (see Table 7.1).
These six categories are organized based on two distinct periods of: (1)
the present gaps and (2) the future gaps.
242  Analyzing the Gap

Table 7.1 Possible Approaches to Abstract Performance Gaps.

Possible Approaches to Abstract Performance Gaps
Period Positive Neutral Negative
When an individual, a When an individual, a When an individual, a
team, or team, or team, or organization
organization organization is presently
presently tops in any presently matches inadequate in any or
Present Time or all performance relative quotation all performance
(Current standards and points in any or all standards or
State) expectations. performance expectations during
standards and the comparison
expectations. between what is
happening and what
should be happening.
If individuals, teams, If present tendencies If present tendencies
and organizations resume and continue as planned,
resume and maintain as the organization will
Future Time maintain their expected, causing ultimately become
(Expected performance and the organization to effective and
Trend) excel as expected by match any or all productive in any or
performance performance all performance
standards or standards or standards or
expectations. expectations. expectations.
Source: Adapted from Rothwell (2015a), Rothwell (2015b), and Rothwell (2000).

At the same time, among these two time periods, the possible kind of gaps
are distinguished as: (1) positive gap, (2) negative gap, and (3) neutral gap.
Performance coaches who can recognize these gaps will find better ways
to plan and implement improvement efforts.

Present Time
Performance gaps of this kind include the present positive gap, the present
negative gap, and the present neutral gap:

Present Positive Gap

A present positive gap is a strategic or tactical strength. It represents the
organization’s core competency, what it does best. It could also indicate what
the division, department, team, or individual does best. The present positive
 What Is the Measurable Gap?  243

gap distinguishes organizations from competitors. “A positive gap is indicative

of internal operations showing a clear superiority” (Camp 1989, 123).
Discovering present positive gaps is important to counterbalance the
tendency of managers to focus only on what is going wrong. But

the burden of proof is greatest when uncovering present positive

performance gaps because decision-makers may greet the news
with hearty skepticism. When a positive gap is confirmed, the
danger also exists that decision-makers will become complacent
(Rothwell 2015a, 134).

Present Negative Gap

On the opposite side of the present positive gap is a present negative
performance gap that signifies deficiencies. A present negative gap indicates
that the individual, team, or organization is not performing up to required
job performance standards, key performance indicators, or common busi-
ness practices. At this point, the organization should conduct further analysis
and implement corrective action. Steer clear of quick, glib advice about ways
to close negative gaps. Take time, even if conducted quickly, to investigate
with a view toward discovering root causes before picking solutions.

Present Neutral Gap

Between the aforementioned two positions, the present neutral gap represents
a situation in which individuals, teams, or organizations match job performance
standards, key performance indicators, and common business practices. There is
really no gap at all when the present situation matches the desired situation.
One issue that emerges when results match intentions is that decision-
makers grow complacent. Why change when the performance is adequate?
Unfortunately, such thinking can lead to disaster as competitors may choose
not to cease efforts to enhance competitive advantage even when present
conditions are adequate. Nobody wants to be a “C student.” Everyone wants
to be an “A student.”

Future Time Period

This group of performance gaps includes the future positive gap, the future
negative gap, and the future neutral gap:
244  Analyzing the Gap

Future Positive Gap

A future positive gap represents the potential for future competitive advan-
tage. It represents an opportunity to achieve an edge. For individuals, it may
mean that people choose to build skills that will be in demand in the future.

Future Negative Gap

A future negative gap represents the potential for future competitive threats.
What issues are likely to lead to problems if left ignored. Pinpointing future
negative gaps should encourage action plans, tactical approaches, and strat-
egies to avoid the threats.

Future Neutral Gap

Future neutral gaps represent situations in which individuals, teams, or orga-
nizations are threatened with future challenges. Job performance standards,
key performance indicators, and business practices are appropriate in place
and being matched. Competitors pose no threats.
Future neutral gaps can be overlooked by stakeholders because no excep-
tions to expectations exist. Yet, these gaps may provide an outstanding oppor-
tunity for competitive advantages. As a simple example, if a fast-food restaurant
does a study and finds that it appears that future waiting time for customers is
expected to be just the same as that of competitors—or will meet targets estab-
lished by owners or corporate headquarters—then waiting time represents a
future neutral gap. But if competitors are not paying much attention to waiting
time, it can provide a basis for gaining market share and competitive advantage.

What Are Employee Performance Metrics?

The performance gap should be measurable. But how do we measure
human performance gaps? What measures are important? What measures
are applicable? How should measures be established? The issue is that few
organizations have really good objective measures of job performance.
The Employee Performance Metrics are answers to these inquiries.
The fact is that Employee Performance Metrics are essential to tracing
how well employees are handling and performing at their work/job. Each
organization’s human resources (HR) department should have methods and
 What Is the Measurable Gap?  245

metrics to measure the productivity and efficacy of their employees based

on their own industry and what they do (Van Vulpen 2021).
Table 7.2 displays the 36 general types of employee performance metrics
used by industries in four different categories. Note that not all organizations
use all the 35 metrics. Each organization will select some of these matrices
for their processes and procedures related to productivity and performances
and some will use others, all based on their needs.

The Solitary Analyst Method

One common, relatively easy approach for performance coaches is to under-
take, on their own, investigations into actual and ideal conditions. That is the
solitary analyst method. It is suitable for finding quick answers.
Note that Chapter 5 focused on finding “what is the issue at hand,”
Chapter 6 focused on finding “what should be happening,” and now
Chapter 7 focuses on “what is a measurable gap.” Often the most useful
data collection approach is to talk to people who have the organization’s
pulse. Performance coaches may, therefore, set up individual or group
interviews for data collection about a problem. Interviews may, of course,
be carried out onsite, online, or through hybrid methods that mix real-time
(synchronous) and delayed (asynchronous) approaches to data collection.
Table 7.3 offers some basic questions and an opening inquiry into the
differences between “what is happening” or “what is the issue in hand”
and “what should be happening.” By posing these questions, performance
coaches can gather information and then sort data as present positive, pres-
ent negative, present neutral, future positive, future negative, or future neu-
tral performance gaps.

Nuts and Bolts of Performance Analysis

The process of analysis is the highly crucial stage in the high-performance
coaching. The purpose of analysis in the high-performance coaching and
performance improvement attempts is to recognize the source of issue(s)
(what is happening), verify potential cause(s) (comparing what is happening
to what should be happening), separate the most severe root cause(s) (see
Chapter 9), and overall, make a correct diagnosis that sets in plans and activi-
ties as treatments (topics of further chapters). It is crucial to understand there
Table 7.2 Different Categories of Employee Performance Metrics Used by Industries.
Categories of Employee Performance Metrix Used by Industries

246 
Categories T#* U#* Matrices Descriptions
1 1 Management by Structuring managers subjective assessments.

Analyzing the Gap

objectives
2 2 Subjective appraisal by Employee performance evaluation based on
managers different criteria.
3 3 Product defects The number of defective products per week,
month, etc.
4 4 Number of errors The number of input errors per day, week, etc.
5 5 Number of recalls The number of product recalls, per month,
quarter, etc.
A. Work Quality. Based on
reflections of employees’ 6 6 Number of QC The number of quality control rejections per
individual’s, or team’s rejections month, quarter, etc.
performance.
7 7 Net promoter score Or NPS is the rate of the willingness of clients
to promote a company.
8 8 360 degree feedback Feedback score from employees’ coworkers,
supervisors, subordinates, managers, and
customers.
9 9 180 degree feedback Feedback score from employees’ direct peers,
supervisors, and managers.
10 10 Forced ranking Or vitality curve is the ranking done with a
manager based on the best to the worst
employee.
11 1 Number of sales How much sales per day, week, etc.
12 2 Number of phone calls How many sales calls are done per day, week,
etc.
 13 3 Number of contacts How many contacts (actual persons) are done
per day, week, etc.
14 4 Number of active leads How many leads are generated per day, week,
etc.
15 5 Number of How many appointments are made per day,
appointments week, etc.
16 6 Number of client visits How many clients or companies visited per
day, week, etc.
17 7 Number of units How many units of products are sold per day,
produced week, etc.
B. Work Quantity.Based on
measures on employees’ 18 8 How much time per day The ratio of hours per day worked.
individual or team quantity of
19 9 How much time per The ratio of calls per hour.
performance.
calls
20 10 How much time per The ratio of hours per contacts

What Is the Measurable Gap? 

contact
21 11 How much time per The ratio of hours per appointment
appointment
22 12 How much time per The ratio of hours per contract
contract
23 13 How many The ratio of making appointments on the first
appointments on the call.
first call
(Continued)

247
 248 
Table 7.2 (Continued)
Categories of Employee Performance Metrix Used by Industries

Analyzing the Gap

Categories T#* U#* Matrices Descriptions
24 1 Work efficiency The balance between use of qualitative and
quantitative resources.
25 2 Time The ratio of utilizing company’s time per week,
month, etc.
C. Work Efficiency.Based on quality
26 3 Money The ratio of utilizing company’s monetary
and quantity of using the company
budget per week, month, etc.
resources.
27 4 Administration The ratio of utilizing company’s administration
staff per week, month, etc.
28 5 Technology The ratio of utilizing company’s technology
resources per week, month, etc.

29 1 Revenue per employee Revenue per FTE* = Total revenue/FTE

30 2 Profit per FTE Profit per FTE = Total profit/FTE
D. Organizational
31 3 Human capital ROI Value of human capital such as knowledge,
Performance.Based on employees’
(return on investment) skills, and social and personal qualities.
competencies, competitiveness,
and professionalism 32 4 Absenteeism rate Rate of employees’ absentees per month,
quarter, etc.
33 5 Overtime per employee Overtime per FTE = Total hours of overtime/FTE
 34 6 Number of reported Evaluation of OSHA’s safety standards per
safety valuations month, quarter, etc.
35 7 Number of supervisory Employees’ supervisor or foremen complaints
performance about quality, behavior, and attitude.
complaints
36 8 Number of reported HR Human resources valuations such as racial
valuations commentary, diversity, or sexual harassment
complaints.

*T# = total number of metrics; *U# = number of metrics in each category; *FTE = full-time equivalent
Source: Adapted from Van Vulpen (2021), Bakhshandeh (2008), Spitzer (2007), Bakhshandeh (2002).

What Is the Measurable Gap?  249

250  Analyzing the Gap

are two imperial purposes to process human performance improvement: (1)

closing gaps or resolving issues regarding an individual, team, or organiza-
tion’s performance and productivity and (2) capitalizing on individuals, teams,
and organization’s strengths and apprehending opportunities and possibilities
(Rothwell et al. 2018; Cummings and Worley 2015). “The purpose of analysis,
then, is to diagnose the problem or situation accurately and set the stage so
that the appropriate intervention(s) can be selected, implemented, and evalu-
ated to achieve positive performance results and outcomes” (Rothwell et al.
2018, 37). These segments describe elements of the analysis process for rec-
ognizing performance gaps and comparisons to happening.

Performance Analysis
Performance analysis is the process of distinguishing between the organi-
zation’s performance constraints and evaluating them against the organiza-
tion’s objectives and abilities (Rothwell 2000). Performance analysis requires
the recognition of gaps and distinguishes discrepancies in performance. A
discrepancy is said to be the difference between planned performance levels
and actual performance levels (see Figure 7.2). Robinson et al. (2015) refer to
this concept as the process of “what should be occurring, what is occurring,
and the root causes for these gaps” (p. xxii). “In addition to defining the gap
in performance, part of the performance analysis process involves assessing
(or at least estimating) the impact, results, or Consequences of the discrep-
ancy” (Rothwell et al. 2018, 37).

Job Analysis
Cardy and Leonard (2011) define job analysis as “a systematic means for
describing what constitutes a job” (40). Several approaches exist to con-
duct a job analysis; however, regardless of the method applied, the ultimate
objective is the same: to apprehend the key components of the job, that at
this point is about how this job affects what is happening and what should
be happening. Some job analysis methods concentrate on (1) the time that
would take to complete different tasks, whereas other methods concentrate
on (2) the importance of numerous characteristics of the job, and some
other methods are focusing on the set of duties and tasks that would deliver
the outcome. These fundamental methods underlie nearly all job analysis
methods that a high-performance coach or manager-as-coach is expected to
run across and use (2011). Job analysis offers a reasonable basis for defining
Table 7.3 The Differences between “What Is Happening” and “What Should Be Happening.”

The Differences between “What is happening” and “What should be happening”

1—Organizational Environment
Culture, Vision and Mission Statements, Leadership Structure
Performance Standards, KPIs, What Is the Issue at Hand? Evidence, Results, Outcomes What Should Be Happening?
Best Practices

What are the top three significant differences between “what is the issue at hand” and “what should be happening” concern­
ing the organizational environment?
1.
2.
3.
2—Where?

What Is the Measurable Gap?  251

The Context of the Work, the Work Environment, Policies, Location, Team
Performance Standards, KPIs, What Is the Issue at Hand? Evidence, Results, Outcomes What Should Be Happening?
Best Practices

What are the top three significant differences between “what is the issue at hand” and “what should be happening” concern­
ing the work environment?
1.
2.
3.
(Continued)

 252 
Table 7.3 (Continued)

3—What?The Work, Activities, Tasks, Jobs, Procedures, Performance

Performance Standards, KPIs, What Is the Issue at Hand? Evidence, Results, Outcomes What Should Be Happening?

Analyzing the Gap

Best Practices

What are the top three significant differences between “what is the issue at hand” and “what should be happening” concern­
ing the work?
1.
2.
3.
4—Who?The Workers, Employees, Personnel, Contractors, Suppliers
Performance Standards, KPIs, What Is the Issue at Hand? Evidence, Results, Outcomes What Should Be Happening?
Best Practices

What are the top three significant differences between “what is the issue at hand” and “what should be happening” concerning
the workers?
1.
2.
3.

Source: Adapted from Rothwell, Hohne, and King (2012).

 What Is the Measurable Gap?  253

Figure 7.2 Discrepancy and Gap in the Individual, Team, and Organization
Performance Level.
Source: Adapted from Rothwell (2013).

how to choose an individual for a job. Without understanding what it takes

to perform a job, it is difficult to select individuals who are the best choices
to conduct that job (2011).

Level of Analysis
Performance can be regarded from three vantage points: (1) the organization’s
performance level, (2) the individual performer level, and (3) the process and
work level (see Figure 7.3), and therefore, the analysis of such performance
also happens on these three levels (Rummler and Brache 2012). Using these
levels to define and describe performance levels would assist the high-perfor-
mance coach or a manager-as-coach in analyzing to clearly outline the scope
of their investigation and analysis by understanding the interrelatedness
among the different levels of performance and related productivity to uncover
what is happening compared to what should be happening (Kaufman 2006).
It is worth mentioning that by analyzing the highest to lowest levels of
analysis, the organization’s performance level of analysis includes both exter-
nal and internal standpoints and emphasizes the organization’s (1) ability to
meet their customers’ requirements, (2) ability to compete in their related
marketplace, and (3) carry out their strategies, such as production, sales,
safety, marketing, expansion, and profitability (Rothwell et al. 2018). “Analysts
will sometimes find themselves explaining performance issues at this higher,
more strategic level. They may also begin analysis efforts at this organi-
zational level and ‘drill down’ to isolate key variables at the other levels”
(Rothwell et al. 2018, 41).

Role of Analyst
As it has been mentioned on the ASTD Models for Human Performance
Improvement, the analyst’s role is to “conduct troubleshooting to isolate
254  Analyzing the Gap

the cause(s) of human performance gaps or identify areas in which human

performance can be improved” (Rothwell 2000, n.p.). As we have mentioned
in the last chapter, the role of the analyst (see Figure 5.2) is considered the
most important role involving individuals, teams, groups, or an organiza-
tion’s performance-and-cause analysis. In the analyst role, the high-perfor-
mance coach is performing troubleshooting and cause-and-effect procedures
to uncover the causes of performance gaps or needs for improvements
(Rothwell and Sredl 2000b).

Analyst Competencies and Skills

ASTD Models define these six key competencies and skills for an HPI
practitioner (which also can be used by a high-performance coach) as
analysis for Human Performance Improvement. These competencies repre-
sent the crucial attributes that support the analyst to perform a professional
role and succeed in their role (Rothwell 2000):

(1) Conducting Performance Analysis (front-end analysis):

comparing planned and desired performance against present and actual
performance to recognize the performance gaps or opportunities.
(2) Designing and Developing Needs Analysis Survey (open-ended
and structured): Designing needs analysis surveys such as mail survey

Figure 7.3 Three Levels of Organization’s Performance.

Source: Adapted from “U.S. Office of Personal Management” (n.d.), (Bakhshandeh
2021).
 What Is the Measurable Gap?  255

(written), phone survey (oral), email survey (electronic), or web-based

surveys using a set of scaled questions (close-ended) and responding
questions (open-ended) to recognize performance needs.
(3) Identifying Competencies: Ability to identify the knowledge, skill,
and abilities (KSAs) required from individuals, teams, and groups for
conducting their tasks, jobs, tasks, work, or roles at their position.
(4) Conducting Inquiries and Questioning: Skills for performing inqui-
ries and questioning individuals and teams for collecting information
to inspire insights into the potential issues and recommendations for
resolutions.
(5) Analytical Ability (synthesis): Ability to break down the collected
data and components from greater scales and reconstructing them to
impact and improve performance.
(6) Work Environment Analytic: Skills for examining internal and
external work environments for identifying characteristics and sources
of issues affecting performance.
(Rothwell et al. 2018)

Table 7.4 displays the analyst’s competencies and skills and what those
competencies are producing as outcomes for the analysis process.

Some Examples of Gap Analysis

In today’s business world and among organization operations, there are various
business areas such as operation, management, sales, accounting, human
resources, customer service, and so on. These different areas of business create
productivity and performance situations that can utilize the gap analysis process
to address different gaps in different areas of business (Weller 2018). Although
our book is all about high-performance improvement and recognizing a gap
between what is happening and what should be happening, we are taking a
moment to briefly introduce several examples of business gaps that exemplify a
broad range of ways an organization can use a gap analysis:

 Product Introduction: An organization might use a gap analysis for

understanding why after launching a new product, its sales didn’t meet
the calculated number.
 Productivity: When an organization’s productivity does not match gen-
eral planned targets, expectations, and business requirements using gap
analysis can help clarify what needs attention.
256  Analyzing the Gap

Table 7.4 Analyst’s Competencies and Skills, and Their Facilitating Outputs.
Analyst’s Competencies and Skills
# Analyst’s Competencies Facilitating Outputs
 Observation.
 Individual interviews.
 Focus group interviews.
 Reviewing documents.
Conducting performance  Models and tools for troubleshooting of
1
analysis performance gap.
 Action plan for the performance analysis.
 Job and task analysis.
 Identifying potential trends affecting the
present and future performance gaps.
 Mail survey, email survey, phone survey, and
a web-based survey.
 Administration plan and structure of surveys.
Designing and developing needs  Research design and models.
2
analysis surveys  Data analysis and data interpretation plan.
 Finding’s analysis and reports.
 Needs assessment summaries.
 Analysis results and summaries.
 Job descriptions.
 Work and job portfolios.
 Behavioral issues experience interviews.
3 Identifying competencies  Critical incidents questionnaires.
 Competencies models for work process and
functionality.
 360-degree assessment.
 Individual interview protocol.
 Focus group interview protocol.
Conducting inquires and
4  Structure and admin plan for interviews.
questioning
 Analysis of interview results and collected
data.
 Plans and agenda for team and group
meetings.
 The root cause analysis strategies and
models.
 Problem-solving model.
5 Analytical abilities
 Fishbone diagram.
 Force field diagram.
 Brainstorming diagram.
 What Is the Measurable Gap?  257

Analyst’s Competencies and Skills

# Analyst’s Competencies Facilitating Outputs
 Business and strategic plans.
 Internal and external environment scans.
 Teams, groups, and departmental plans.
6 Work environment analytic
 Human resources policies and procedures.
 Performance and process improvement
plans.

Source: Adapted from Wilson (2020), Rothwell et al. (2018), Pearlstein (2012).

 Performance: Organizations use performance gap analysis to identify

the source of low performance in individuals, teams, and groups to
decide on approaches to enhancing performance.
 Supply Management: When some organizations find they are fre-
quently running short of vital supplies or material, they use a gap
analysis to detect the cause of this problem.
 Sales Performance: Organizations use a gap analysis to define their
lack of product sales to distributors, in stores, through catalogs, or
online ensure the right mix and/or quality of customer interest.
 Market Analysis: An organization or an investor can use a gap analysis
for deciding about the desirability and the dynamic forces of a particular
market within a particular industry.
 Individual Assessment: A manager or team leader can perform a gap
analysis on themselves or another individual to improve personal per-
formance and potentially come with some “best practices” that others
would adopt.
 Team Assessment: Same concept as an individual assessment (see
aforementioned individual assessment) but conducted on a team or a
group in an organization.
 Product Assessment: An organization can use a gap analysis to assess
their product or services quality to ensure that all features, characteris-
tics, and outlined functions are present and working as marketed and
expected.
 Customer Service Assessment: Organizations use gap analysis to deter-
mine their customers’ satisfaction regarding their customer service practices.
(Weller 2018; Rothwell, Stavros, and Sullivan 2016;
Cardy and Leonard 2011)
258  Analyzing the Gap

Analysis Models for Use by High-Performance Coaches

High-performance coaches or managers-as-coaches can use analysis models
to organize their approach and plan a systematic examination into employee
performance improvement issues and opportunities. The analytical models
used by coaches and practitioners are classified in different ways, depending
on the level of analysis, such as the employees’ performance (individuals),
work and job characteristics (occupations), or an organization level, while
they will be used in two possible analyses: (1) performance analysis and (2)
cause analysis (Rothwell et al. 2018; Rothwell 2013). However, other models
are considered situational models because they focus on a particular issue or
situation. In a simpler explanation, some analysis models are generally bene-
ficial for: (1) explaining and distinguishing current conditions, (2) discovering
the root causes of crises, (3) portraying the idyllic future state of operation, or
(4) desiring optimum performance (Rothwell et al. 2018; Rothwell et al. 2016;
Rothwell 2013). In the following segment, we briefly introduce several analy-
sis models that can be used by High-Performance coaches and managers-as-
coaches (with some experience in the delivery of them).

The Rummler and Brache Model

Rummler and Brache introduced their model as a framework for performance
analysis in their classic book Improving Performance: How to Manage the
White Space on the Organization Chart (2012). This model of analysis consists
of two dimensions:
Performance Level: (1) the organizational, (2) the process, and (3) the
individual. These three levels of performance analysis can be compared to
the described three organizational levels.
Performance Needs: (1) goals, (2) design, and (3) management.
The three performance levels plus the three performance needs crisscross
one another in a grid pattern that would create nine relating variables. This
grid-looking matrix offers the high-performance coach the ability to conduct
the analysis process systematically and structured to assess the human per-
formance results in dynamic organizational settings (Rothwell et al. 2018).

Gilbert’s Three Stages of Analysis

In the human performance industry, Thomas Gilbert is much respected and
considered one of the key founders of these fields. In his groundbreaking
 What Is the Measurable Gap?  259

textbook in 1978, Human Competence: Engineering Worthy Performance, he

presented several numbers of models, methods, tools, and concepts about
human performance improvement, which to his credit, are still used and
practiced by HPI and HPE practitioners (2018). This performance analysis
model is made up of a matrix analytical framework that follows a three-
stage process:
Stage 1: Accomplishment Models: This is the beginning stage of the
performance analysis process, by attempting to establish a model for exem-
plary performance by focusing on a strengths-based or appreciative method
that concentrates on possibilities and opportunities. The model of exemplary
performance starts by distinguishing the key and best performance results,
accomplished goals, or delivery of outcomes among top performers at the
individual, team/group, and organization levels (2018).
Stage 2: Measures of Deficiency: Given that the focus is on estab-
lishing the current level of the individual, team/group, or organization
performance, it is vital to understand and measure the deficiency in perfor-
mance levels. “Whereas the desired level of performance focused on what
should be happening, the current level concentrates on what is happen-
ing” (49). When the data about the performance level is collected, it can
then be compared to the desired performance level established at stage
1, which would help the analyst to recognize the gap and discrepancies
between current and desired human performance levels, as Gilbert called
“causal analysis” (2018).
Stage 3: Methods of Improvement: This stage is about proposing
models and methods to solve how close the discrepancy gap between cur-
rent and desired human performance in individual, team/group, and organi-
zation levels is needed. This stage is parallel to selecting and conducting a
change intervention (2018).
Many intervention models and methods are available for high-performance
coaches and managers-as-coaches as a potential solution (see Appendix A).

Gilbert’s Performance Matrix

This performance matrix structure combines the three stages of analysis (as
has been mentioned as an individual, team/group, and organization) with
these three levels of: (1) policies, (2) strategies, and (3) tactics. The result of
combining these elements by creating a performance matrix is a compre-
hensive approach for analyzing human performance issues and determin-
ing possible resolutions (2018). As Rothwell et al. (2018) pointed out “[t]he
260  Analyzing the Gap

performance matrix expands on the three stages of analysis by introducing

three vantage points represented by the three levels. With each level, the
matrix is meant to be worked from left to right” (Gilbert 1982, 50).
First Stage: As we have mentioned on stage 1 of “Gilbert’s Three Stages
of Analysis,’ an accomplishment model is formed that defines and expresses
the desired performance (2018).
Second Stage: The actual and present time performance results are
recognized, categorized, and compared with the desired performance (First
Stage) to formulate the discrepancies or gaps in performance. It is crucial
to detect the causes of the discrepancy or gap by using root cause analysis.
Further along in this chapter, we will introduce tools and strategies for the
root cause analysis (2018).
Third Stage: At this final stage, in a matrix table, on the far right-hand
column, list probable means of performance improvement based on the
process of discovered root causes of the performance issues (2018).
Gilbert’s performance matrix can be guiding assistance for a perfor-
mance analyst’s diagnostic efforts. “It can thus help to surface and isolate
areas in which problems or opportunities exist at each level. Another value
is that it points toward potential solutions based on the level of analysis and
the problem situation” (Rothwell et al. 2018, 50).

Gilbert’s Behavior Engineering Model

The Behavior Engineering Model or BEM for short is another performance
analysis model, created by Thomas Gilbert (1978) as another comprehensive
model for human performance perspective, analysis, and diagnosis. The
BEM comprises two dimensions:

(1) Environmental Level, where the emphasis is on the evidence and

data at the environmental level.
(2) Individual Performer Level, where troubleshooting procedure com-
mencing at the work environment level and then shifting attention (2018).

The BEM design is on the basis which presumes that most individuals
are generally capable and wanting to do their jobs and related tasks, or
at least they are after they are going through their initiations and job-
related training. This theory moves the analysis focus to characteristics of
the work environment that potentially are barriers to high performance.
Sometimes, this approach is facing resistance from some supervisors or
 What Is the Measurable Gap?  261

managers, given that usually they are the ones causing these barriers.
However, the main focus is on not assigning blame or pointing fingers
at individuals, but examining variables in positive or negative influences
on both: (1) the work environment and at (2) the individual performer
level impacting the total performance (Rothwell et al. 2018; Gilbert 2013).
Gathering data in these two levels assist the high-performance coach in
better understanding the core issues based on reality versus just percep-
tions and the blaming game. Rothwell et al. (2018) mentioned, “[a] large
number of performance problems relate to lack of information. Some
believe that up to 80 percent of performance problems can be traced to
this cause” (51).

Mager and Pipe’s Model

One of the analysis models that is more situation specific (compared with
comprehensive framework models) is the troubleshooting model invented
by Robert Mager and Peter Pipe (1997) that is portrayed in their book
Analyzing Performance Problems (2018). This analysis model resonates
with managers because they learn the easy operation and application of
the model in situations with which they are dealing. The Mager and Pipe’s
model is regulated around designing a flowchart with some alternatives
to the problems, applying decision points, and looking at branches of the
issue to get to the root cause of the problem (2018). This model of the
analysis process includes two stages:
First Stage: The analysis process starts with recognizing a particular
problem by applying one of the comprehensive analysis models mentioned
in this segment. It will be ideal if the problem could be explained
with measurable observation and the possibility of performance-based
provisions concerning an employee, a customer, an operation process,
or management. If possible, illustrate the problem as a description of a
discrepancy or a gap between the desired performance and actual present
performance (2018).
Second Stage: After defining the problem precisely, either the analyst
or managers who participated in the analysis effort have to answer specific
questions about the portrayed problem. The first question after discovering
the discrepancy is to determine the importance of the problem. The answer
to these questions requires collecting inputs from senior management, cli-
ents, or key stakeholders to either invest time, capital, or resources to resolve
the problem or ignore it for the time being (2018).
262  Analyzing the Gap

Where to Collect the Needed Data?

Similar to other analysis and diagnosis processes, the high-performance and
human performance is also data driven, and because of that, there is a need
to discuss where the data are collected and what were the sources of the
data (Robinson and Robinson 2008). The focus of data gathering for analysis
on human performance is mostly on two methods:

(1) Quantitative data, or numeric information relating to performance,

that is measuring productivity, cost, quality, deadlines, profitability, etc.
(2) Qualitative data, or nonnumeric information that exist, such as
management and employees’ ideas of what the desired situation
should be, the current issues, or what they perceive as the best resolu-
tion for the current issues. Table 7.5 depicts several potential sources
of data among (1) human-related sources and (2) nonhuman-related
sources:

Table 7.5 Potential Source of Data for High-Performance Coach, Manager-as-Coach,

and Analysts.
Potential Source of Gathering Data
Human-Related Sources Nonhuman-Related Sources
Employees HR historical documents
Supervisors Exit interviews
Managers Work records
Executives Help desk logs
Clients Firing reports
Customers Absentee reports
Vendors/suppliers Performance evaluations
Suppliers Production logs
High performers Sales logs
Low performers Safety records
Previous consultants Survey data
Subject experts Benchmarking results
Key stakeholders Quality control reports
Investors Industry-related articles
Inspectors Job descriptions
Previous trainers T & D records

Source: Copyright 2021 by William J. Rothwell.

 What Is the Measurable Gap?  263

Needs Assessment versus Performance Gap Analysis

Our commitment is to not only coach our high performance and manager-as-
coach readers but also educate these professionals. Many OD practitioners and
HPI and HPE professionals have a parallel perspective of similarity between
performance gap analysis and needs assessment. Several similarities can be
found between needs assessment and performance gap analysis that are used
without a complete understanding of those differences. For this reason, we
thought to briefly explain the difference between the two approaches.
During the process of needs assessment, individuals’, teams’, or an
organization’s needs are regularly regarded as some gaps in their results or
accomplishments and consequences of their actions. Needs assessment is
defined as “a very valuable tool for identifying where you are (‘the current
results and consequences’) and where you should be (‘the desired results
and consequences’)” (Kaufman, Rojas, and Mayer 1993, 4).
The performance gap is a discrepancy between what is happening and
what should be happening or expected to happen. A performance gap can
also be considered a disparity between the way things are at present and
how they are required, desired, planned, or anticipated to be (Rothwell 2015b)
done by individuals, teams, or organizations. See Figure 7.4 for the key ele-
ments of a performance gap analysis and the relationship between these inter-
connected elements of analyzing a performance gap.

Figure 7.4 Key Elements of Performance Gap Analysis.

Source: Copyright 2021 by Behnam Bakhshandeh.
264  Analyzing the Gap

According to Kaufman et al. (1993), there are two key differences

between needs assessment and performance gap analysis:

(1) Needs assessment primarily focuses on individuals and teams: (a)

knowledge, skills, and abilities (KSAs) and (b) their mindset and atti-
tude, while a performance gap analysis recognizes any discrepancy or
proficiency influencing human performance.
(2) Needs assessment inclines to focus on past and present activities and
behaviors while performance gap analysis also considers the future.

Kaufman (2006) viewed performance gaps analysis as opportunities for per-

formance improvement that provides the potential chance to:

(1) improve individuals’, teams’, and organization’s current perfor-

mance state when it does not match with the desired performance
measurements.
(2) enhance or strengthen the current performance state when it is equiva-
lent or surpasses the needed performance measurements by designing
and implementing innovations.

People and Systems

Regardless of their size, operation dimensions, or industries, all organizations
and businesses are formed on the two fundamental components: (1)
people (personal, workers, managers, customers, inspectors, suppliers,
contractors, advisors, consultants) and (2) systems (policies, structure,
procedures, safety, quality control, marketing, input, output, environ-
ment). These two key elements control the business operation and directly
influence the organization’s well-being. For any organization to achieve
their goal, they need to pay equal attention to both components’ effective-
ness and performance (Cardy and Leonard 2011). “If either component is
overlooked for too long, inefficiencies occur. Companies often attempt to
overemphasize one lever to compensate for the lack of attention to the other”
(Cardy and Leonard 2011, 104). For example, some managers might try to
overcome inadequate performance triggered by some sort of problems and
unworkability in the system by directing employees to work harder or longer.
Every organization faces some sort of people or system performance
issues or challenges to overcome, while every individual or team in that
 What Is the Measurable Gap?  265

organization must provide sets of skills and competencies to fulfill their

job performance requirement to close the gaps (Sharma and Sharma
2019). However, a performance analysis professional, high-performance
coach, or manager-as-coach must analyze and diagnose the cause (people
or systems) before presenting and implementing a meaningful change.
As we mentioned and covered in Chapter 6, most probably, performance
gaps are not the actual problem but just a set of symptoms (see Chapter 6,
Figure 6.6).
A high-performance coach or manager-as-coach needs to conduct a
detailed and relevant action planning, evaluation, analysis, and diagnosis
of the actual problems (what is happening) and compare it to the desired
outcome (what should be happening) to resolve the performance and
productivity issues and get the individuals, teams, and organization back on
the sufficient and planned track (Sharma and Sharma 2019).
It is good to apply various data sources besides job performance stan-
dards and KPIs to cross-validate the performance problems findings. Some
of such additional evaluations and assessments could be leadership effec-
tiveness assessments, employee behavioral assessments, and managers’
interpersonal assessments.

Identifying Potential Sources of Performance Gaps

Accurately and properly recognizing individuals, teams, and organization’s
performance gaps and their potential sources are vital for correcting such
gaps. At this point, we are looking at some common reasons for the per-
formance gap among workforces as individuals, teams, groups, and orga-
nizations and how a manager-as-coach can overcome these challenges. An
organization leader and a high-performance coach who are conducting
work as a manager-as-coach must consider the organization’s required job

Figure 7.5 Performance Gap According to the Required Performance.

Source: Copyright 2021 by Behnam Bakhshandeh.
266  Analyzing the Gap

performance standards, key performance indicators (KPIs), or best practices

and compare these determined requirements and standards to the current
and actual performance of the individuals, teams, and departments in their
role and responsibilities.

Performance Gap Assessor’s Needed

Abilities and Core Competencies
Chapter 2 distinguished performance coaches’ needed competencies, skills,
and abilities to conduct effective performance coaching for individuals
and teams. In this segment of Chapter 7, we touch on the needed abilities
and competencies for a high-performance coach conducting a gap assess-
ment. To accomplish this intention, we separate the two elements and
distinguish them independently as (1) abilities (see Table 7.6) and (2) core
competencies (see Table 7.7).
We begin with the first element, the needed abilities for a performance
gap assessor (Table 7.6):

Table 7.6 Needed Abilities for a High-Performance Gap Analyst for Comparing
“What Is Happening” and “What Should Be Happening.”
Needed Abilities for a High-Performance Gap Analyst for Comparing
“What is the issue at hand” and “What should be happening.”  
# Abilities for Descriptions and Activities
Comparison in:
1 Organization’s interactions Issues with meet expectations of:
with the external  Customers/Clients
environment  Third-party contractors
 Suppliers/Distributors
 Inspectors/Governmental agencies
 Investors
 Other stakeholders
2 Organization’s internal Issues with elements of internal operations:
operations  Organization structure
 HR policies/laws (local, state, and federal)
 General internal policies
 Leadership structure
 Cross functioning departments
 Teams’/Groups’ inner relationships
 What Is the Measurable Gap?  267

Needed Abilities for a High-Performance Gap Analyst for Comparing

“What is the issue at hand” and “What should be happening.”  
# Abilities for Descriptions and Activities
Comparison in:
3 Work processing Issues with the work operations:
 Requirements/Standards
 Procedures/Processes
 Material/Supplies
 Inputs/Outputs
 Safety
 Labor laws (local, state, and federal)
4 Individual-level Issues with individuals’ performances:
performance  Personal/Family
 Professional/Experience
 Managerial
 Competencies/Skills
 Educational
 Performance history
 Diversity/Inclusions
5 Team or group level Issues with team/group performance:
performance  Managerial difficulties
 Policies affecting teams
 A weak or unfair leadership
 Inner teams’ relevance
 Appreciation and acknowledgment
 Deadlines
 Diversity/Inclusions
6 Tasks and job’s related Issues related to individuals and their tasks and
jobs:
 Suitable positions for individuals
 Matching jobs and competencies
 Work and job relevance to skills and abilities
 Job relevancy to individual goals and motivation
 Labor laws  (local, state, and federal)
 Americans with Disabilities Act
 Matching with physical and psychological needs
7 Outcomes Issues with individuals’ and teams’ outcomes:
 Mindset, Attitude, and Behavior
 Trainings/Developments
 Motivations/Interests/Goals
 Empowerment/Acknowledgment
 Promotions/Demotions

Source: Adapted from Rothwell (2015a).

268  Analyzing the Gap

And now we look at the second part, the core competencies for a
performance gap assessor (Table 7.7).

Table 7.7 Needed Core Competencies for a High-Performance Gap Analyst for
Comparing “What Is Happening” and ‘What Should Be Happening.”
Needed Core Competencies for a High-Performance Gap Analyst for Comparing
“What Is the Issue at Hand” and “What Should Be Happening.” 
# Core Competencies Descriptions and Activities
1 Emotional Be aware of one’s self-awareness, self-discipline, self-
intelligence management, and managing relationships.
2 Interpersonal skills Working closely with others to accomplish common goals
and objectives.
3 Leadership skills Knowledge of leading teams and groups, inspiring them,
and positively influencing performance.
4 Industry Understanding of industry’s culture, trends, and strategies.
knowledge
5 Technical Understanding and working with past and present
knowledge technology and knowledge of using support systems as
needed.
6 Systems Understanding of the inner relationship between an
understanding organization’s systems (input, output, subsystems) and
relevancy to the performance.
7 Problem-solving Identifying performance gaps and assist individuals and
skills teams in coming up with resolutions to their performance
issues.
8 Business Being aware of the inner functioning of running a business
understanding and its fundamental process of producing the results.
9 Organization’s Being aware of organizations’ fundamentals and dynamics,
knowledge such as structures, social, political, and economics.
10 Performance Differentiating between activities and results and
awareness distinguishing between emotions and actions.
11 Analysis Knowledge of conducting human performance analysis
understanding and understanding of its process and functionality.
12 Diagnosis Knowledge of conducting human performance diagnosis
knowledge and understanding of its process and functionality.
13 Intervention Knowledge of performance improvement and planning
knowledge interventions to implement changes during performance.
 What Is the Measurable Gap?  269

Needed Core Competencies for a High-Performance Gap Analyst for Comparing

“What Is the Issue at Hand” and “What Should Be Happening.” 
# Core Competencies Descriptions and Activities
14 Communication Understanding elements of effective communication and
skills active listening and how to establish an effective
communication channel.
15 Negotiation skills Understanding of negotiating with workers in teams/
groups, management, vendors, suppliers, and external
agencies.
16 Advocacy skills Establishing ownership in workers’ interests and
demonstrating support for necessary changes for
increasing performance.
17 Coping skills Understanding how to deal with stress caused by
confusion and ambiguity.
18 Visionary view Looking behind the obvious and keep envisioning
possibilities of accomplishment and high performance for
everyone involved.
19 Consulting skills Understanding what the stakeholders need and want to
see and showing them what would be possible by
implementing well-designed changes to increase
performance levels.
20 Coaching and Demonstrating coaching and mentoring skills and guiding
mentoring skills individuals and teams to higher performance and easier
productions.
21 Project Understanding planning, hiring, budgeting, organizing,
management communicating, scheduling, resourcing, and completing a
knowledge project.
22 Diversity and Being aware of diversity and inclusion on the teams and
inclusion groups and their potentials.
23 HR knowledge Knowledge of human resources to support individuals and
teams in recognizing proper policies and approaches to
human performance.
24 HRD knowledge Knowledge of human resources development for
designing and implementing training to influence
performance changes.
Source: Adapted from Bakhshandeh (2021), Rothwell et al. (2018), Rothwell, Henry, and
Sredl (2000b).
270  Analyzing the Gap

Conducting a Performance Feedback

and Discussion Session
After performance assessment and comparison between what is hap-
pening or what is the problem at hand and what should be happening,
the high-performance coach or manager-as-coach should conduct a per-
formance feedback session with individuals or teams who are not meet-
ing the organization’s job performance standards or their established
KPIs.
This conversation is critical to improving individuals’ and teams’ perfor-
mance. Usually, there is a discussion about how performance coaches carry
out the performance gap analysis, what kind of job performance standard
they have used to compare the performances, and what were the matrices
they considered in such comparison. In summary, how they came with
measuring individuals’ and teams’ performance. As we have mentioned
at the beginning of this chapter, different industries use different catego-
ries and related metrics to measure their employees’ performance gap. For
this reason, please review Table 7.2 to select the metrics related to your
own industries and what you think are useful metrics for your employees’
performances.
It is worth mentioning that the imperial key to a successful and efficient
feedback session is the degree of the interviewees’ trust, respect, and com-
fortableness with the coaches or managers. They have to make sure the
interviewees are comfortable with them and the process so that they can
reveal their issues with their work or process of their job and not hide any-
thing because they are afraid of retaliation.
In today’s coaching, management, and the business world, various feed-
back or performance review models can be found. Coaches can use any
model of their choice as long as they have a track record of such model’s
success and effectiveness. Or they can use what we have offered in this
book and its chapters, or they may want to design and develop their perfor-
mance feedback and discussion sessions based on what they know about
the organization and its teams’ performance.
One of the early approaches to designing feedback is to contemplate
whether the present performance gap has something to do with the organi-
zation and its structure or systems that are causing systematic issues before
jumping to the conclusion that issues arise because of individuals and teams,
 What Is the Measurable Gap?  271

especially if there are several complaints from individuals or teams about the
same issue throughout the organization (Lees 1996).
During the following segments, we provide some very useful information
(listed here) for high-performance coaches and managers-as-coaches to use
during the execution of feedback sessions and discussion with their individ-
ual employees and teams. Consider the following segments as a proven tool
for conducting conversations, discussions, and feedback with your employ-
ees, especially during a performance gap discussion.

 Suggestions for speaking to employees about their inadequate

performance
 Understanding how to establish rapport
 Elements to consider during design and planning of feedback session
 Questions for yourself as manager-as-coach and interviewer
 General questions for manager-as-coach to ask an interviewee
 Some tips for conducting an effective performance feedback session
 A performance gap analysis tracking sheet

Preparation and Planning for the Feedback

and Discussion Session
For designing, planning, and preparing an effective performance feedback
session, a high-performance coach or manager-as-coach needs to under-
stand, has competencies and skills on the following elements of design, and
prepare for conducting a feedback and discussion session.

Suggestions for Speaking to Employees About

Their Inadequate Performance
The following elements are useful tips and suggestions for when a high-
performance coach or manager-as-coach faces uncomfortable conversations
with employees about their poor performance.

 Don’t postpone the conversation. Many people postpone uncom-

fortable confrontations, especially with their employees. Delaying con-
versations only gives the situation more space to grow out of control
potentially.
272  Analyzing the Gap

 Re-establish rapport. Establishing rapport is vital to having an effec-

tive conversation about sensitive topics such as poor performance—
review elements of establishing rapport in Chapter 4.
 Record the meeting in writing. Provide the employees in ques-
tion with their performance appraisals. Give them a chance to review
it. Write a note to create a meeting minute for the HR department and
employment records.
 Explain expectations. Make sure to clarify and explain the issue
you are pointing at and have a conversation about it. Always
articulate your expectations as you are moving forward in the
production or performance conversation. In addition, make sure you
have set specific objectives for the conversation and what you want
to talk about.
 Don’t focus on the intent. Do not emphasize what the employees
have done wrong. Their intent is mostly irrelevant; the main problem is
their action or dissection because there is no proof of their intent.
 Stay away from casual chatter. Starting an uncomfortable conversa-
tion about someone’s poor performance with casual chatter is com-
prehensible, but it will be problematic because it might be considered
disrespectful. Instead, treat people respectfully but avoid small talk to
put off the actual issue and the main topic.
 Avoid discussion about “why.” Conversations about why someone
has a poor performance might lead to personal or confidential issues
such as employees’ physical or emotional conditions. Stay on evidence
about the lack of performance related to relevant performance metrics.
In the case when an employee references some mental disorder, disabil-
ity, or faith principles, you must refer the conversation to the HR depart-
ment for an interactive dialogue.
 Present performance examples. Make sure you support the case by
offering the employee examples of their poor performance and specific
behaviors and attitudes regarding their performance or productivity that
meet the objectives of the conversation.
 Make no excuses. No organization, managers, or employees are per-
fect in personality or performance. However, avoid making excuses or
justifying negative behaviors and poor performance by watering down-
ing their negative and poor performance by something like “It’s per-
haps just as much the company to blame as it is yours.” Don’t just take
 What Is the Measurable Gap?  273

responsibility to make the employee feel better unless you are respon-
sible for some or all the performance issues as a manager.
 Be careful of bias. Before conducting any uncomfortable conversa-
tion, managers need to ensure they don’t have any bias. Even when the
organization has a valid and legal cause for their complaint about an
employee’s performance, sometimes people use some words that may
well suggest discrimination. Managers need to be careful about the
choice of the words they use in these types of conversations.
 Use active listening. Provide a safe space for employees to have
an opportunity to talk about their thoughts and what they want to
say without interruptions or expressed judgments. In some cases, the
employees have a valid point and are able to provide indications as to
why they are underperforming. This attempt could be very well a road
map for establishing effective performance improvement.
 Avoid generalization and absolute words. Avoid comments like
“always,” “never,” “ever,” “all the time” and any other the absolute
words. In difficult and unpleasant discussions, it’s much more effective
to use words like, “almost always” or “almost never.”
(Wilson 2020; Whitmore 2017; Rummler 2007;
Bakhshandeh 2004)

Understanding How to Establish Rapport

In Chapter 4, “Building Rapport,” we comprehensively discussed and
reviewed how to establish rapport with employees and coworkers. We
highly recommend reviewing that chapter and the following figures and
tables to prepare as the interviewer. The role of the coach and interviewer is
critical to the success of the performance feedback session:

 Figure 4.3: “The Fundamental State of Being and Competencies for

Establishing Relatedness and Rapport.”
 Table 4.1: Rate yourself using “Fundamental State of Being and
Competencies for Establishing Relatedness and Rapport.”
 Table 4.2: “Powerfully Setting Up the Interview Process for Uncovering
the Reality of Relationships.”
 Table 4.3: “The Questions for The Process for Uncovering Reality of
Relationships.”
274  Analyzing the Gap

Elements to Consider during Design and

Planning of Feedback Session
In this segment, we look at a set of questions coaches can ask themselves
to design and plan a practical and effective performance feedback session
and discussion:

(1) Do you have an appropriate environment for conducting this feedback

session?
(2) Have you established the privacy and confidentiality for this feedback
session?
(3) Have you considered enough advanced time for the interviewees to
prepare for their feedback sessions?
(4) Are the organization’s job performance standards and KPIs completely
and publicly communicated?
(5) Have you selected a set of key subjects to give feedback or discuss?
(6) Is the interviewee working for you or directly reporting to you?
(7) Have you reviewed the interviewees’ personnel file and employment
history?
(8) Have you talked to the HR manager or their direct manager/supervisor
about the interviewees’ performance?
(9) What is the evidence for their job performance?
(10) Was there any incident linked to the interviewees’ performance or
behavior?
(11) What is the interviewees’ relationship with their teammates?
(12) What is the interviewees’ relationship with their manager/supervisor?
(13) What are they doing well?
(14) What are their weaknesses and shortcomings?
(15) Were there any follow-up notes or action plans from their last perfor-
mance feedback session?
(16) Do you have any history with the interviewees? Good or bad?
(17) Are you prepared to handle disagreements and arguments?
(18) Are you prepared for potential emotional outbursts?
(19) Have you evaluated your own skills, competencies, effectiveness, and
performance as an interviewer?
(20) Do you have any bias or harsh opinions about the interviewee?
(Rothwell et al. 2018; Bakhshandeh 2013; Rothwell,
Henry, and Sredl 2000b; Lees 1996)
 What Is the Measurable Gap?  275

Questions that Are Making a Difference

In this segment, we look at a set of questions that makes the interviewer’s
job easier, makes the interviewee comfortable and at ease, and ultimately
assists the process to be more meaningful and relevant. These questions are
designed (1) for the interviewer to be more prepared and (2) for the inter-
viewer to ask the interviewee.

Questions for Yourself as Manager-as-Coach and Interviewer

Another element of preparing for a performance feedback session is asking
what a manager-as-coach acting as the interviewer should ask and answer
them with utmost honesty and authenticity.

(1) What else do I need to do or to have for effective preparation for this
interview?
(2) Where are the interviewees’ departmental goals?
(3) What are resources can I provide for the interviewees?
(4) Am I ready to communicate my top priorities about this feedback with
the interviewees?
(5) Am I aware of the organization’s set performance standards or KPIs?
(6) Do I have some standards for performance success or failure?
(7) Am I aware of available training and development programs for our
employees?
(8) Do the interviewees know how to rely on me as their supervisor’s
support?
(9) Do my management and supervision methods and style support the
interviewer?
(10) What could I have done to support the interviewees in their performance?
(11) Have I placed the interviewees at the right/fit job or work?
(12) Have I expressed enough gratitude and appreciation for my team?
(13) Have I expressed empowering and encouraging words to my team?
(14) Do I use enough incentive and reward systems for my team?
(15) Have I noticed any trouble signs about the interviewees or other team
members?”
(16) Am I looking for what is not working or what is great about these
interviewees?
(17) Am I aware of essential things to track in my team’s job performance?
276  Analyzing the Gap

(18) Is senior management aware of what and how my team is doing?

(19) Am I open to my team’s suggestions on the team’s performance or
improvement?
(20) What are the top three challenges I am facing about this performance
feedback session?
(Lee 2021; Rothwell et al. 2018; Bakhshandeh 2013;
Rothwell, Henry, and Sredl 2000b; Lees 1996)

After completing the planning and preparing, the coaches should make
arrangements to interview the individuals or the teams. It would help if they
communicated the session’s overview purpose, the main factors of the dis-
cussion, and what they were planning to cover during the feedback session.
Make sure they have enough time to prepare for the session.

General Questions for Manager-as-Coach to Ask

Interviewee
Besides the obvious questions about one’s performance and what is in their
way to increase their performance or meet their job performance stan-
dards and KPIs, some general questions would assist the interviewees in
expressing their emotions and perspectives of their work, performance, and
employment in organizations or with their team. Sometimes the interview
does not know what else to ask! This question supports the manager-as-
coach conducting this feedback session to dig deeper and be effective. It is
vital to remember this; establishing rapport with the other person is the key
to your success in conducting meaningful and effective performance feed-
back and discussion sessions.
The following represent some of such questions:

(1) What excites you about your job and your team the most?
(2) What else should we be considering about our team’s goal?
(3) Is there anything on your mind about your work and your team that
might be bothering you?
(4) Is there anything, in particular, you want to discuss today?
(5) From your point of view, what are our team’s strengths and weaknesses?
(6) What do you think are the sources of these strengths and weaknesses?
(7) What are the top three challenges in your job?
(8) What challenges are you facing in your responsibilities?
(9) What is your evidence regarding things that are doing well or failing?
(10) From your perspective, what can we do to perform better as a team?
 What Is the Measurable Gap?  277

(11) What are the top three KPIs our team should be tracking?
(12) Without withholding, what are my expectations about working or not
working in our team’s performance?
(13) What new skills have you learned lately?
(14) Do you have ideas that will support our team to meet our goals?
(15) Do you need any additional resources to meet your performance?
(16) What would you change one thing about team processes?
(17) What are the elements of your job performance you are so proud of?
(18) From your point of view, what is holding back our team to achieve all
of its goals?
(19) Do you think you are doing your very best at your job/work?
(20) What would be in your way of performing at your best at your job/work?
(Lee 2021; Rothwell et al. 2018; Bakhshandeh 2013; Lees 1996)

Some Tips for Conducting an Effective

Performance Feedback Session
The following is a list of the activity or focuses that would allow for much
more effective and meaningful performance feedback and discussion session.

(1) Make sure to conduct the feedback and discussion session in a private
environment to ensure the interviewee’s comfort.
(2) Try to avoid all potential distractions or interruptions.
(3) Keep yourself on your feedback design and prepared plan.
(4) Encourage and promote an open two-way discussion by engaging the
interviewee.
(5) Keep your attention on the issue of performance, not on the performer,
and stay objective.
(6) During or after the feedback and discussion session, request interviewees
to share their suggestions for the team performance improvement.
(7) If suitable, arrange for the follow-up interview for the possibility of
developing a learning and training agreement.
(8) Ensure that the interviewees know there is nothing wrong with their
performance; there are only opportunities for improvement.
(9) By the end of the performance feedback and discussion session, write a
summary report on the feedback, its findings, and planned actions.
(10) Conduct a self-rating evaluation of your effectiveness and potential
improvements.
(Lee 2021; Wilson 2020; Rothwell et al. 2018;
Bakhshandeh 2013; Rothwell & Sredl 2000a; Lees 1996)
278  Analyzing the Gap

Business Case Example

As you might remember in the last business example in Chapter 6, we
explored how to discover what should be happening. In this chap-
ter, we are using a business example to display how to find the gap
between what is happening and what should be happening and how to
measure it.
For this example, we continue to use the MBD again (see more details
about this organization in Chapters 4, 5, and 6 business examples).
To ensure the management team understands the progress of
performance gap measuring and its relevancy to the actual job perfor-
mance, we asked the MBD’s senior and governing managers, middle man-
agers, and supervisors to conduct a self-rating process (see Table 7.8) of
Evaluating Organization and Managers Performance Measurement Progress.
This process of self-rating has four primary purposes:

(1) For the organization to understand the degree of implementing actual

performance gap processes.
(2) For managers to understand their level of clarity and performing mea-
suring the job performance process.
(3) For managers to come with an action plan to increase the understand-
ing and implementation of current and meaningful job performance
measurements.
(4) For managers to understand the performance gap metrics and their rel-
evancy to their profession and industry.

During this process, we had a set of questions and inquiries about (Table 7.8):

A. critical organization criteria

B. job performance standards
C. best practices
D. key performance indicators
E. performance Metrics
F. performance feedback

We recommended reevaluating these elements and conducting the manager’s

self-evaluation process annually or semiannually.
Table 7.8 Evaluating Organization’s and Manager’s Performance Measurement Progress.
Evaluating Organization’s and Managers’ Performance Measurement Progress
Date: Participant: Team:
Quarter: Management Position: Department:
Rating Scale: 1= Poor, 2= Marginal, 3= Acceptable, 4= Good, 5= Excellent
# Categories and Elements Rating What is missing?Needed
1 2 3 4 5 Corrective Actions

A. Critical Organization Criteria

1 1 Establishing critical criteria by the
organization.
2 2 A clear understanding of the organiza-
tion’s key criteria.

What Is the Measurable Gap?  279

3 3 The critical criteria have been announced
and communicated to employees.
4 4 Criteria priorities have been examined
and established.
B. Job Performance Standards
5 1 There are established and efficient job
performance standards.
6 2 Supervisors are trained and understand
the job performance standards.
7 3 Individuals and teams are trained on their
expected job performance standards.
(Continued)
Table 7.8 (Continued)

280 
Rating Scale: 1= Poor, 2= Marginal, 3= Acceptable, 4= Good, 5= Excellent
8 4 The measures for expected job per-
formance standards are designed and

Analyzing the Gap

established.
9 5 There are HR policies linked to the failure
or success of job performance standards.
C. The Best Practices
10 1 There are studies and reviews of the
industry’s best practices by senior
managers.
11 2 There are plans for implement-
ing selected best practices in the
organization.
12 3 There is a systematic review and mea-
surement of best practices implementa-
tion and effectiveness.

D. Key Performance Indicators (KPI)

13 1 Individuals and teams are trained and
understand their relevant KPIs.
14 2 KPIs are reviewed and measured by expe-
rienced managers or high performers.
15 3 KPIs are designed and selected based on
proven methodologies in the industry.
16 4 Current KPIs are vetted based on work-
ability or unworkability of past and pres-
ent measures.
17 5 There are HR policies linked to the failure
or success of KPIs by individuals and
teams.
 E. Performance Metrics
18 1 There is a set of established industry-
related performance metrics.
19 2 Managers, supervisors, and foremen are
aware and trained on their employees’
performance metrics.
20 3 There are annual performance metrics
reviews and modifications based on KPIs
and other industry-related criterion.
21 4 There are established methods of mea-
suring performance metrics.
22 5 There is an approved level of acceptable
performance based on related metrics.
F. Performance Feedbacks
23 1 There is established performance feed-
back for individuals and teams’ special-
ized performances by their supervisors.

What Is the Measurable Gap? 

24 2 Performance reviews and feedbacks are
empowering and strength based.
25 3 There are plans for performance
enhancement plans available based on
the performance review and feedback
report
Total score for each rating
Total of all above scores
Final average score (above total scores divided by 25)
Two actions for this quarter that would bring up my three lowest scores by at least one scale on the next self-rating:
Action 1:

281
Action 2:

Source: Copyright 2021 by Behnam Bakhshandeh.

282  Analyzing the Gap

Meeting About Deciding on Set of Performance

Metrics and Measurement
During an afternoon session using the same group of MBD managers and
employee representatives who participated on finalizing the set of job per-
formance standards, we went through a process of (1) selecting relevant per-
formance metrics that were related to MBD’s industry and what their teams
were doing and (2) how management would measure individuals’ and teams’
performances and implement the needed correction.

Step 1
Given that the participant has established a rapport and background of
relatedness, reestablishing rapport was relatively easy and done in a timely
manner. With the use of some sharing about our experiences from the last
gathering about setting up an agreed job performance standards and a fun
ice breaker process, we were ready to roll the ball.

Step 2
We started with the process of finding differences between what is happening
and what should be happening in (1) organizational environment, (2) where,
and (3) what and who using Table 7.3. This process offers some basic questions
and an opening inquiry into the differences between what is happening or
what is the issue in hand and what should be happening. By posing these
questions, performance coaches can gather information and then sort data
as present positive, present negative, present neutral, future positive, future
negative, or future neutral performance gaps (see Table 7.1). The team went
through the following main inquiries for each of the categories using Table 7.3:

 What are the agreed-upon job performance standards, including KPIs

and best practices?
 What is happening? What is the issue at hand?
 What are the evidence, results, and outcomes related to this issue?
 What should be happening?

Given that we had to go through the process and listen to each participant,
their view of the category, their experience and their ideas of what should
be happening, this process consumed most of the meeting time.
 What Is the Measurable Gap?  283

Step 3
Using nominal group technique (NGT) the team came up with their final
assessment for the differences between what is happening and what should
be happening. NGT can be used when teams or groups are creating alternate
solutions for problem(s) using a quantitative (using numbers) process like
the voting process (Rothwell 2000). For example, in Table 7.9, there are sev-
eral performance gaps (comparisons between What is happening and What
should be happening) within the four categories mentioned earlier identified
by the MBD team, and now, a team needs to vote on which one has priority.
The What should be happening would be voted on by those team members
on a scale of 1 to 5 (one being the less priority to five the highest priority for
each category) and totaled. The highest score was the selected What should
be happening in each category to take on first by the team. The team can
select as many results as they wish, whether it be the top two, three, or more.
We will explain the NGT in Chapter 9 in a detailed fashion.
Table 7.9 is an example of using the process of NGT for the first category,
the Organizational Environment:
As the final decision, the MBD team selected the top two what should
be happening: (1) working on more employee engagement and (2) present-
ing and sharing the power of organizational values, vision statement, and
mission statement as the backbone of MBD.

Table 7.9 Example of Result of Nominal Group Technique (NGT) Used on MBD
Meeting.
Voting Members Organizational Environment Performance GapsWhat Should Be
Happening?

Stronger View of More Employees’ More Leadership

Values, Vision, and Engagement Training for
Mission Supervisor
John 3 4 4
Patty 2 3 3
Joan 3 4 2
Michael 3 5 3
David 2 5 2
Joseph 4 2 2
Susan 4 5 3
Total 21 28 19
284  Analyzing the Gap

Step 4
At this point, we get to the process of selection and finalizing MBD’s job
performance metrics and how to measure them, using Table 7.2. After some
discussions and looking at the relevancy of the collection of performance
metrics to the MBD industry (beauty industry) and the nature of MBD as
a business (sales and customer retention and service), the team came to
agreements for a series of performance metrics that would cover all the four
categories of:

 work quality
 work quantity
 work efficiency
 organizational performance

The team agreed that managing the metrics measurement option should be
done by direct junior managers or supervisors with supervision and review
by their higher managers on a monthly and quarterly basis.

Step 5
At this point, the only thing left was to come with an idea of how to man-
age issues caused by performance gaps. As you can see in Table 7.10, the
MBD team came with the idea of “Tracking gap analysis management and
correction process.” They decided to assign a manager or supervisor to a
particular performance issue relevant to their team or department, selecting
the deadline for resolving it, and using related job performance standards
and performance metrics.

Key Factors to Remember

Let’s review what lessons we learned from this chapter about what is the
measurable gap and what would affect it:

 Without analysis, it is just an opinion

Suppose you do not conduct a performance analysis to discover a real

issue, what is happening and what should be happening, and the root
 What Is the Measurable Gap?  285

Table 7.10 Tracking Gap Analysis Management and Correction Process.

Tracking Gap Analysis Management and Correction Process
1 Project Name
2 Project Manager
3 Starting Date
4 Performance gap Issue
5 Individual or Team
6 Group or Department
7 Performance Category
8 Manager or Supervisor
9 Job Performance Standards
10 Performance Metrics
11 Current State
12 Desired State
13 Completion Due date
14 Level of Priority
15 Corrective Actions
16 Potential Risks
17 Completion State
18 Feedback Provided
19 Reviewed and Signed off by
20 Notes

Source: Copyright 2021 by Behnam Bakhshandeh.

cause in an individual or team performance. There, you are only relying on

your perception and opinion about that individual or a team, mostly based
on your past personal experience or even your view of someone in a per-
sonal base (Bakhshandeh 2009). Conducting an analysis is removing guess-
ing and opinion and leaving you with facts and the actual root cause of a
problem (Colquitt et al. 2015).

 Leave it up to professionals
– The high-performance coaches or managers-as-coaches need to have
special skills and competencies for conducting analysis, measur-
ing gaps, and assessing performance. Unfortunately, the reality of
organizational situations is that not all managers are fit to be perfor-
mance analysts or have the competencies to conduct a performance
diagnosis.
286  Analyzing the Gap

 It is not real until the end

– There are always some stories, interpretations, and perceptions about
an individual or a team performance. As a high-performance coach
or manager-as-coach, make sure to stay away from the influence of
stories and perceptions. On the other hand, listening to stories and
perceptions help to understand the organization’s environment or
team’s culture. However, none of these stories and interpretations
would impact the actual data gathering, analysis, diagnosis of perfor-
mances, and the solutions for closing performance gaps.

 Analyze the performance based on the type of performance

gaps
– There is always a need for recognizing the relevant performance gap
based on the time or level of the negative, positive, or neutral nature
of the gap. This step allows the performance gap analysts to invest
their time and efforts in proper gaps and to come with relevant cor-
rections and implementation of the action plan.

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your knowledge and understanding of Type of
Performance Gaps? And what is your action plan to increase your over-
all rate?
(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your knowledge and understanding of conduct-
ing a Performance Gap Analysis between what is happening and what
should be happening? And what is your action plan to increase your
overall rate?
(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your knowledge and understanding of recog-
nizing Sources of Performance Gaps? And what is your action plan to
increase your overall rate?
(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your knowledge and understanding of your
Employee Performance Metrics? And what is your action plan to
increase your overall rate?
(5) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of your Analysts’
 What Is the Measurable Gap?  287

Competencies, Skills and Abilities? And what is your action plan to

increase your overall rate?
(6) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge, skills, and abilities (KSA) to design,
plan, and conduct a performance feedback session? And what is your
action plan to increase your overall rate?

In the next chapter, we will go through the process of deciding the impor-
tance of those identified gaps. Which performance gaps should be handled
first? Which gaps have more impact on production and need to be addressed
for increasing human performance, budget, and time?

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Chapter 8

Step 5: How Important

Are the Gaps?
Behnam Bakhshandeh

After measuring the performance gap and recognizing the causes of gaps,
it is time to decide the importance of those identified gaps. Which per-
formance gaps should be handled first? Which gaps have more impact on
production and need to be addressed for increasing human performance,
budget, and time? The organization’s management has to decide which gap
to attack first, which gap has to be pushed back for a later engagement, and
which gap may be ignored.
Chapter 8 focuses on how to clarify issues with present and future perfor-
mance gaps and prioritize the importance of such gaps by looking at:

◾ How to measure the importance of gaps

◾ Key components, related elements, and descriptions of a project
research
◾ Quantitative and qualitative measures of the importance of perfor-
mance gap
◾ Organization’s strategic objectives and performance measures’
importance
◾ The balanced scorecard
◾ Critical success factors
◾ Brainstorming session
◾ Nominal group technique (NGT)
◾ Force field analysis (force field diagram)
◾ Important competencies of performance coaches

DOI: 10.4324/9781003155928-11 291

292 ◾ Analyzing the Gap

◾ Tools for managers to use for the process of identifying the importance
of the gaps
◾ Key factors to remember from this chapter
◾ Coaching and developmental questions for managers

Measuring and Deciding on the

Importance of Performance Gaps
As we have explained and defined through the last several chapters, the
primary use of performance gap analysis is to transfer the current (what is
happening) performance results to the desired (what should be happening)
performance results and recoup the control and performance management
by identifying those different elements influencing all performance elements
with using the collected data.
However, there are two important spaces in this process: (1) the collected
data by itself is not sufficient. To conduct a complete and useful perfor-
mance gap and what gap is more important and must be addressed before
others, one must research within the organization and identify the actual pri-
orities and importance of each of the particular performance gaps. And (2)
What performance gap is more important than the others depends on “who
cares” and where this person “located and sat” on the organization chart.
What is important to different groups is the levels or silos on the organiza-
tion chart. Ultimately, strategic plans are subjectively determined. What we
mean is that importance can change, depending on where you sit on the orga-
nization chart. For example, what an organization’s President, CEO, or senior
management cares about or thinks as a prioritized performance gap is usually
more about some items than others, such as salespeople or floor foremen.
Regardless of their positions in the organization’s chart and their respon-
sibility and accountability, the process of selecting the importance of perfor-
mance gaps and which one is more important or prioritized is relatively the
same. The difference in the process is that the chosen method and practices
depend on the complexity of the matter to choose or the number of people
involved. These decisions can be happening within a variety of ranges from
top management to teams and groups.
In the following segment, we look at different ways as options to deter-
mine the importance of performance gaps and their priorities:

(1) project research. Using elements of project research to identify the

importance of gaps
 Step 5: How Important Are the Gaps? ◾ 293

(2) quantitative and qualitative measures of the importance of

performance gap
(3) organization’s strategic objectives and performance measures’
importance
(4) the balanced scorecard
(5) critical success factors
(6) brainstorming session
(7) nominal group technique
(8) force field analysis

It is important to mention that three of the aforementioned eight methods

(Brainstorming, Nominal Group Technique, and Force Field Analysis) can
be used not only for prioritizing performance gap importance but also for
conducting a Root Cause Analysis which we will cover in the next chap-
ter. Given that we have covered these three methods in this chapter, we
will present the other methods that could be used for both approaches in
Chapter 9 (performance gap importance and root cause analysis).

Using Elements of Project Research to

Identify the Importance of Gaps
Research is a careful and thorough understanding and implementation of all
elements of a study about a particular topic, phenomenon, or problem utiliz-
ing scientifically proven methods (Creswell and Creswell 2018).
This method might not be as usual or commonly used by industries, but
it is very detailed and effective. Many people view research as something
complex and abstract that needs many years of education and experience to
conduct. That perception might be through conducting medical, psychological,
scientific, or multidimensions research projects. However, suppose you know
the basic elements of research and how to conduct one about something not
as complex as any scientific topic. In that case, it is not that hard to conduct
ones like any other project that has a beginning, a middle, and an end.
Table 8.1 displays a comprehensive view of the key components, related
elements, and descriptions of project research. Clearly, this table could be
much more educational, informative, and directional than a manager wants
to go through for conducting a research project; therefore, after a high-per-
formance coach understands the process of conducting a research project,
he can only use the elements that are relevant to their topic of research.
Using this table helps you understand what is needed to conduct a relevant
research project to recognize the importance of performance gaps and
Table 8.1 Key Components, Related Elements, and Discretion of a Project Research.

294
Key Components, Related Elements, and Descriptions of a Project Research

◾
Components Explanations Elements Descriptions

Analyzing the Gap

Research Form In general cases, research Descriptive Primarily design is to describe what is going
projects are conducted in on or what occurs.
three basic forms. Relational Designed to look at the relationships
among two or more variables.
Causal Designed to verify whether one or more
variables cause or affect one or more
outcomes.
Research Time The time or cycle of time Cross-sectional Takes place at a single point.
that research is being Longitudinal Takes place over a long period.
conducted.
Repeated measures Takes two or more occurrences of
measurement.
Time series Many occurrences of measurement.
Levels of Measurement The level of measurement is a Nominal The lowest level in the hierarchy is used for
cataloging label that variables measured in categories (male/
designates the nature of data female, or English/French).
within the values of the Ordinal One level above on nominal scales because
variables. it contains more data than a nominal scale
(level of education or work experience).
Interval It identifies the potential distances between
each interval on the scale corresponding
to the scale from low to high intervals.
Ratio Or scale level is the highest level of
variables measurement, and the numbers
used to represent variables are real
numbers.
Nature of Relationship The correspondence Correlational Variables that operate in a synchronized
relationship between two manner.
variables. Third variable An undetected variable which accounts for
problem a correlation among two variables.
Patterns of Relationships Variables can be related to None There is no correlation between two
one another and variables when values on the variable are
correlational in a causal known.
nature or may have Positive A correlation among two variables when
different relationships. high values for one variable are linked with
high values on another variable and low
values are linked with low values.
Negative A correlation among variables when high
values for one variable are linked with low
values on another variable.

Step 5: How Important Are the Gaps?

Curvilinear When the shape of a correlation can be
more complicated than the other three
relationships.
Variables Entities can take on various Quantitative When variables are in numbers.
values like age that can be Qualitative When variables are not in form of numbers.
measured as a variable
Attribute When variables are specific (generally sex
given that age has a variety
or gender has two specific attributes: male
of values for people at
and female).
different times.
Property of Variables Defining properties of Independent Variables manipulated by the researcher (a
variables assists the program or a treatment).
researcher while assigning Dependent Variables affected by the independent
attributes to research variable (an outcome).

◾ 295
variables.

(Continued)
Table 8.1 Continued
Components Explanations Elements Descriptions

296 ◾
Exhaustive Variables’ properties that arise when the
researcher includes all possible
answerable reactions.

Analyzing the Gap

Mutually exclusive Variables’ properties that guarantee when
the respondent could not appoint two
attributes concurrently (it is impossible to
claim to be male and female).
Types of Data Generally, in any research, Quantitative Objects or subject’s numerical representation.
data and information are Any variable measured using numbers.
collected in two main Qualitative Objects or subjects’ nonnumerical
forms. representation. Any variables are not in a
numerical form but are in text
(photographs, sound bites, explaining
feelings, and experience in text).
Hypothesis A definite statement of Alternative A definite declaration of a research’s
research prediction that prophecy usually states what the
describes the outcome in researcher expects to happen.
solid terms (rather than Null The hypothesis illustrates a possible outcome
theoretical), which the besides the alternative hypothesis.
researcher anticipates
One-tailed A hypothesis that stipulates a direction (this
happening.
program will improve the results).
Two-tailed A hypothesis that stipulates no direction
(this program affects the results, but
unclear negative or positive).
Research Quality Quality of research strength, Empirical Research based on explicit and direct actual
ethics, and stability. It also observations and reality-based
underlines the research’s measurements.
 professionalism, accuracy, Validity How much a concept is accurately
and transparency. measured in research.
Reliability The degree that a specific research process
generates consistent outcomes.
Research Structure The main fundamental Questions The crucial issue is being questioned in the
outlines of the research research. The research questions are
and its design. typically couched in the language of theory.
Theoretical A blueprint or guideline for research. It is
founded on the current and prevailing
theories in a field of inquiry, which is
connected to and reflects the research
questions or hypothesis.
Conceptual A structure that the researcher is confident
can describe the accepted development of

Step 5: How Important Are the Gaps?

explaining the phenomenon or issue to be
researched.
Operationalization The action of converting a structure into its
manifestation (translating a program into a
real program).
Method of Reasoning A distinction is regularly Deductive Top-down reasoning operates from a
made between two wide- relatively general conclusion to a relatively
ranging techniques of precise conclusion.
reasoning approaches. Inductive Bottom-up reasoning starts from precise
observations and procedures and ends up
as a general conclusion.

Source: Adapted from Bakhshandeh (2021); Creswell and Creswell (2018); O’Sullivan, Rassel, and Berner (2017); Grant and
Osanloo (2016); Trochim and Donnelly (2008) and Camp (2001).

◾
297
298 ◾ Analyzing the Gap

which ones have more priority than others. Further investigations and explo-
rations through books and articles can provide additional information that
may be needed to go forward with a research project.

Quantitative and Qualitative Measures of

Importance of Performance Gap
Table 8.2 briefly represents elements of both quantitative and qualita-
tive measures of elements that would directly affect the overall organiza-
tion’s performance gaps caused by individuals, teams, and departments.
Quantitative measures the hard measures and qualitative measures the soft
measures (Rothwell, Stavros, and Sullivan 2016). During the assessment of
the importance of existing gaps, one should review these soft and hard
measures for determining the impact of existing performance gaps on these
measures and which one or ones need to be taken on first.
There is something we need to mention before we go through Table 8.2.
As we covered this point at the beginning of this chapter, the importance
of the measures, related elements, and relevant details all depend on who is
looking at them, what are the positions, responsibilities, and accountability
of those who are reviewing them and what type of measures (hard or soft)
Table 8.2 Quantitative and Qualitative Measures of Importance of Performance
Gap.
Elements of Quantitative and Qualitative Measures That Affect the Organization’s
Performance Gaps Caused by
Individuals, Teams, and Departments.
Type of Measures Elements Relevant Details
Quantitative Measures Output ◾ Productivity
(Hard Measures) ◾ Products
◾ Services
◾ Profitability
◾ Sales
◾ Inventory
◾ Task’s completion
◾ Shipping
Quality ◾ Product defect
◾ Services rejection
◾ Customer retention
◾ Errors
◾ Timeliness
◾ Amount of rework
◾ Waste and scrap
◾ Recycling
 Step 5: How Important Are the Gaps? ◾ 299

Table 8.2 Continued

Elements of Quantitative and Qualitative Measures That Affect the Organization’s
Performance Gaps Caused by
Individuals, Teams, and Departments.
Type of Measures Elements Relevant Details

Costs ◾ Budget
◾ Operation cost
◾ Fixed costs
◾ Flexible costs
◾ Cost of goods
◾ Overhead
◾ Cost reductions
◾ Contracts
Safety ◾ Accidents
◾ Inspection failures
◾ Training records
◾ Complaints
Time ◾ Workers’ downtime
◾ Equipment downtime
◾ Overtime
◾ Waste time
◾ Supervisory time
◾ Efficiency
◾ Meetings
◾ Training
Marketing ◾ Budget
◾ Sources
◾ Avenues
◾ Platforms
Human resources ◾ Absentees
◾ Turnovers
◾ Incidents
◾ Complaints
◾ Promotions
◾ Demotions
Qualitative measures Skills ◾ Decision-making
(Soft Measures) ◾ Problem-solving
◾ Communication
◾ Active listening
◾ Conflict resolution
◾ Intentionality and focus
◾ Relationship building
◾ Respectfulness
Work habits ◾ Tardiness
◾ Absenteeism
(Continued)
300 ◾ Analyzing the Gap

Table 8.2 Continued

Elements of Quantitative and Qualitative Measures That Affect the Organization’s
Performance Gaps Caused by
Individuals, Teams, and Departments.
Type of Measures Elements Relevant Details
◾ Professionalism
◾ Dependability
◾ Accountability
◾ Leadership qualities
◾ Rules’ violations
◾ Time offs
Work environment ◾ Complaints
◾ Grievances
◾ Job satisfaction
◾ Discrimination charges
◾ Harassment charges
◾ Turnovers
◾ Litigations
Attitudes and behavior ◾ Harsh behaviors
◾ Negative attitudes
◾ Loyalty
◾ Empowerment
◾ Acknowledgments
◾ Work refusals
◾ Confidence
◾ Disciplines
Development ◾ Promotions
◾ Pay increases
◾ Transfers
◾ Training programs
◾ Performance appraisals
◾ Effectiveness
Initiative ◾ New ideas
◾ Effective suggestions
◾ Project completions
◾ Presenting goals and
objectives
Policies ◾ Reviewing policies
◾ Updating policies
◾ Safety policies
◾ Diversity policies
◾ Inclusion policies
Procedures ◾ Review procedures
◾ Update procedures
(Continued)
 Step 5: How Important Are the Gaps? ◾ 301

Table 8.2 Continued

Elements of Quantitative and Qualitative Measures That Affect the Organization’s
Performance Gaps Caused by
Individuals, Teams, and Departments.
Type of Measures Elements Relevant Details
◾ New approaches
◾ New ideas
Source: Copyright 2021 by Behnam Bakhshandeh.

they are looking at. Basically, “what” is important to “whom” and “why.” So,
again, as a whole approach, all these elements and details are relevant to
the productivity, performance, and bottom-line success and well-being of an
organization, but between the elements of quantitative and qualitative mea-
sures, which one to emphasize, which one to use, all depends on who are
conducting it and in which branch of that organization they belong. Having
that on your mind, let’s review Table 8.2.

Strategic Objectives and Performance Measures Importance

There is a correlation between the importance of the performance gaps’ pri-
ority and the organization’s objectives and intentions. Look at the relevancy
between the organization’s goals and objectives and what performance gap
needs to be taken on first. And this relevancy should be linked to the organi-
zation’s critical success factors (CSFs) (we will cover CSFs further in this chap-
ter) and supported by the key performance indicators (KPIs) (please review
what we have covered about KPIs in depth in Chapter 6) (see Figure 8.1).
Finally, the need for corrective actions will arise as the selection of which
performance gap needs to be handled immediately and which ones later.
For designing and implementing corrective actions, the areas of focus for
each organization’s strategic objectives need to be identified. Figure 8.2 displays

Figure 8.1 Relationship and Process of Strategic Objectives and Performance

Measures for Successful Operation.
Source: Copyright 2021 by Behnam Bakhshandeh.
302 ◾ Analyzing the Gap

the process of establishing corrective actions related to the organization’s

strategic objectives, measures, and production targets.
Before we get deeper into this matter, we shall point at something that
many consultants or senior managers are missing and that is how to engage
employees in the process of selecting the importance of performance gaps
and aligning them with this sensitive process so they can also be part of it
and not just watching from the sideline. This is an important approach, and
it is necessary to appeal to both employees’ heads (the hard facts) and their
hearts (considering their emotions and feelings).
Throughout this book, we paid attention to individuals’ mindsets and
their effects on their attitudes and behavior. We took on coaching high-per-
formance coaches and managers-as-coaches to bring up employee engage-
ment levels in their organizations to make sure they create a partnership
with them in every step of the process. The following list represents chap-
ters and the relevant topics, figures, and tables that cover the methods and
processes that support high-performance coaches and manager-as-coaches
to engage employees in understanding:

(1) facts in the matter of business operation, which are not only impacting the
organization but also their own direct personal and professional lives and
(2) their heart and their emotions, which are important for individuals to
enjoy their work and feel as though their thoughts and ideas matter to
their managers and supervisors.

Given our commitment to developing professional high-performance

coaches, this book is full of useful and relevant destinations, topics, and
practical practices. Therefore, we highly recommend to our readers to use
the following list of what is important (so far within the past seven chapters)
to review for refreshing their experience for the purpose of engaging
employees Heads and Hearts in establishing correction actions:

◾ Chapter 2:
– What is Performance Conversation?
– Table 2.1: Elements, Purpose and Benefits of Strong Framework for
Performance Conversation.
– Coaches’ Strengths, Skills, and Competencies.

◾ Chapter 3:
– Figure 3.1: Relationship between Mindset, Attitude, Behavior, and
Individual and Team Performance.
 Step 5: How Important Are the Gaps? ◾ 303

– Figure 3.2: Coaching Mentality Produce Higher Performance and

Increasing Productivity.
– Table 3.4: Leadership Qualities of Effective Manager-as-Coach Rating
System.

◾ Chapter 4:
– Figure 4.2: Being, Doing, and Mindset Relevancy.
– Figure 4.3: The Fundamental State of Being and Competencies for
Establishing Relatedness and Rapport.
– Table 4.1: Fundamental State of Being and Competencies for Establishing
Relatedness and Rapport.

◾ Chapter 5:
– Individual’s High-Performance Is the Results of Their Choice.
– Table 5.2: How to Determine Your Values.
– Table 5.4: Inductive Questions for Finding Facts and Identifying
Perceptions about Problem(s).

◾ Chapter 6:
– Table 6.1: Assessing the Current Vision Clarity of an Individual or a
Team.
– Table 6.4: Assessing the Job Performance Standards of an Individual
or a Team.
– How to Establish an Agreement on “What Should Be Happening.”
– Role of critical thinking process in job performance standards
alignment.
– Table 6.5: Examples of Effective Questions for Discovering “What
Should Be Happening.”
– Table 6.6: Conducting a Team Meeting and Discussion for Discovery
of “What Should Be Happening” and Establishing Job Performance
Standards.

◾ Chapter 7:
– Table 7.2: Different Categories of Employee Performance Metrics Used
by Industries.
– Table 7.3: The Differences between “What is happening” and “What
should be happening.”
– Conducting a Performance Feedback and Discussion Session.
– Meeting About Deciding on Set of Performance Metrics and
Measurement.
304 ◾ Analyzing the Gap

Figure 8.2 Process of Establishing Corrective Actions Related to Organization’s

Strategic Objectives, Measures, and Production Targets.
Source: Copyright 2021 by Behnam Bakhshandeh.

In the example of Figure 8.2, we used the balanced scorecard’s general four
strategic objectives. However, you can use any other strategic objectives you
might find necessary for your organization or any other organizations with
which you are working. Further in this chapter, we have covered options
of using other CFSs dependent on your organization’s strategic plans, goals,
or desired outcome (review Figure 8.4 and Table 8.4). Some of the individ-
ual employees’ behaviors are also influenced by strategic objectives. Some
examples of these types of behavioral issues are tardiness or levels of absen-
teeism. There are always opportunities to provide training and development
for teams and groups to increase their emotional intelligence and self-aware-
ness. Please review the following two segments of Chapter 2:
 Step 5: How Important Are the Gaps? ◾ 305

(1) Figure 3.1: Relationship between Mindset, Attitude, Behavior, and

Individual and Team Performance.
(2) Figure 3.2: Coaching Mentality Produce Higher Performance and
Increasing Productivity.

After selecting the relevant organization’s strategic objectives, identify the

areas of focus for organizations, their departments, and their teams to pay
attention to and focus their performance and productivity to cover such
objectives. As an example, for financial objectives, the appropriate area of
focus could be marketing, sales, and productivity.
The next step is to determine what type of measurement you would use
to measure increasing or decreasing performance related to the intended tar-
gets for such performance. Intended targets are the raw numbers for weekly,
monthly, or quarterly productivity and performance. After all these processes
are measured, corrective actions can be designed with the partnership and
engagement of individuals and teams who directly influence those areas of
focus related to the organization’s strategic objectives.

Balanced Scorecard
A balanced scorecard is a metric for job performance used by organiza-
tions during their strategic performance management. This tool assists
organizations in recognizing needed improvement in their internal opera-
tions to help meet the organization’s external outcomes. The balanced
scorecard structure is based on the balance among the corresponding
aspect of internal indicators driving the organization’s outcome (Kaplan
and Norton 1996).
The balanced scorecard is designed to measures an organization’s past
quarterly, semiannual or annual productions and performance via display-
ing correspondent data. The outcome of the balanced scorecard will pro-
vide organization management with feedback opportunities on how to
alter their approach to productivity and performance and decide for future
actions (Kaplan and Norton 1992).
In Chapter 6 (Figure 6.3), we briefly touched on the balanced scorecard and
its four main internal elements that support the organization’s values, vision,
mission, and strategies (Kaplan and Norton 1996; Kaplan and Norton 1992):

(1) Customer perspective: How do our clients/customers see us?

(2) Internal perspective: Business processes and procedures’ efficiency,
effectiveness, and level of performance. What are we good at and what
do we stand out for?
306 ◾ Analyzing the Gap

(3) Growth and learning perspective: Our underlying capabilities

and improvements. Are we able to continue growing, improving, and
creating values?
(4) Financial perspective: How do we appear to the organization’s sharehold-
ers? Bottom-line measurements as the cost of goods and revenue extremes.

Note that the aforementioned four categories of CSFs represent a general

perspective of an organization that is looking for a well-run and well-
operating business. Although many elements of a well-operating business
are not mentioned on these four perspectives, or not displayed in Figure
8.3, it doesn’t mean they are not under vision, perspectives, and manage-
ment of an organization (e.g., the perspective of different divisions, depart-
ments, groups, teams, and even individual employees of the organization
and what are important to them). These elements could be viewed and
examined under number two, the internal perspective. Another example
could be the view of personal and professional development for teams
and individuals which can be found under number three, the Growth and
Learning Perspective. The point is this, the importance of performance
gaps is linked to the importance of any of the aforementioned elements of
a well-operating business from the perspective of the person in charge of
the organization and its divisions and departments for the organization’s
well-being and longevity that benefits all levels of individual employees
and management.
Figure 8.3 displays the main elements of a typical balanced scorecard
while Table 8.3 displays the generic measures related to each element and
perspective of a general balanced scorecard.

Critical Success Factors

CSFs are as critical and simple as their title. They are defined as follows:

(1) the categories of an organization, a business, or a project that are

essential to their growth and success, and
(2) they also point employees to some vital factors to pay attention to
and ensure that work, jobs, tasks, and projects are aligned throughout
teams, groups, and departments.

Some Definitions and Descriptions

The notion and model of CSF have developed and revolved through the
years. For this reason, many organizations may have used and implemented
 Step 5: How Important Are the Gaps? ◾ 307

Figure 8.3 Balanced Scorecard.

Source: Adapted from Cardy and Leonard (2011) and Spitzer (2007).

Table 8.3 Elements of Balanced Score Cards, Perspectives and Their Common
Measures.
Elements of Balanced Score Cards, Perspectives and Their Common Measures
Perspectives Common Measures
Financial Perspective ◾ Capital
◾ Return on investment (ROI)
◾ Budget
◾ Cash flow
◾ Sales
◾ Expansion
◾ Investment
◾ Profitability
◾ Salary caps
◾ Commissions levels
◾ Promotion opportunities
◾ Bonus plan
◾ Incentives
Customer Perspective ◾ Customer retention
◾ Customer satisfaction
◾ Customer acquisition
(Continued)
308 ◾ Analyzing the Gap

Table 8.3 Continued

Elements of Balanced Score Cards, Perspectives and Their Common Measures
Perspectives Common Measures
◾ Customer future needs
◾ Marketing
◾ Market share
◾ Reputation
Business Processes Perspective ◾ Processes
◾ Procedures
◾ Hiring
◾ Talent recruitment
◾ Talent retention
◾ Quality
◾ Innovation
◾ Technology
◾ Safety
◾ Cost
◾ Material
◾ Warranty
◾ Maintenance
◾ Time cycle
◾ Defects
◾ Recalls
◾ Returns
Growth and Learning Perspective ◾ Job satisfaction
◾ Employees’ retention
◾ Career development
◾ Skills
◾ Competencies
◾ Training
◾ Workplace learning
◾ Professional growth opportunities
◾ Morale
◾ Products
◾ Services
◾ Communication

Source: Copyright 2021 by Behnam Bakhshandeh.

them in different ways. Here, we have provided some definitions,

descriptions, and approaches:

◾ “The concept of CSFs (also known as Key Results Areas, or KRAs) was
first developed by D. Ronald Daniel, in his HBR article, ‘Management
Information Crisis’. John F. Rockart, of MIT’s Sloan School of
 Step 5: How Important Are the Gaps? ◾ 309

Management, built on and popularized the idea almost two decades

later” (MindTools 2021, n.p.).
◾ Rockart (1979) defined CSFs as: “[t]he limited number of areas in which
results, if they are satisfactory, will ensure successful competitive per-
formance for the organization. They are the few key areas where things
must go right for the business to flourish. If results in these areas are
not adequate, the organization’s efforts for the period will be less than
desired” (MindTools 2021, n.p.).
◾ Most organizations have some CSFs that are important to them and are
central to their focus and indication for their progress and success. CSFs
are important results for organizations critical to their success based on
their industry, focus, or products, which make the CSFs critical during
the decision-making process (Rothwell 2013).
◾ “Critical success factor (CSF) is a management term for an element that
is necessary for an organization or project to achieve its mission. To
achieve their goals they need to be aware of each key success factor
(KSF) and the variations between the keys and the different roles key
result area (KRA)” (Wikipedia 2021, n.p.).

As Rockart (1979) mentioned in the Harvard Business Review: “[c]riti-

cal success factors for any business are the limited number of areas in
which results, if they are satisfactory, will ensure successful competi-
tive performance for the organization” (Rockart 1979, 5). Furthermore,
Rockart underlines that CSFs are both internal and external. For example, a
comparison of an organization’s annual budgets to actual spending capital
on the same year would be considered an internal CSF, while the percent of
the place of the organization in the market share would be considered an
external CSF (Rockart 1979). That being said, from an organization’s per-
spective, CSFs represent performance categories that must achieve strategic
objectives and management’s expectations in order for organizations
to meet their desired outcomes. Like any other business indicator, CSF
measurements are used to track any CSFs performance in their categories
and success (Evans 2021).

How to Develop Organization’s Critical Success Factors

One of the decision-making processes is prioritizing the importance of the
selection of performance gaps. Linking the identified performance gaps to
any of an organization’s CSFs will decide which performance gaps need to
be addressed to focus on success factors.
310 ◾ Analyzing the Gap

The following are key steps for organizations to identify and develop
their critical factors:

◾ Develop the organization’s strategic objectives and goals.

◾ Distinguish the organization’s factors needed to accomplish its
objectives and goals.
◾ List the necessary and related activities relevant to critical factors.
◾ Decide the assessment for each critical factor.
◾ Monitor the progress of critical success factors.
◾ Communicate the identified critical factors to the managers and
superiors.
(Parmenter 2020; Rothwell 2013)

In today’s market, many websites from different organization developments

or business consultants offer different views and perceptions of what should
be the set of CSFs or how many CSFs are sufficient for an organization to
conduct their business. Followings are two such examples:
According to Lawrimore (2015), “the five Key Success Factors are:

1. Strategic Focus (Leadership, Management, Planning)

2. People (Personnel, Staff, Learning, Development)
3. Operations (Processes, Work)
4. Marketing (Customer Relations, Sales, Responsiveness)
5. Finances (Assets, Facilities, Equipment)”
(n.p.)

According to Quizlet (n.d.), “the six critical success factors are:

1. Achieve financial performance.

2. Meeting customer needs.
3. Producing quality products and services.
4. Encouraging innovation & creativity.
5. Fostering employee commitment.
6. Creating a distinctive competitive advantage.”
(n.p.)

So, which one is the correct one? What number of CSFs are sufficient and
proper for organizations to conduct their strategies’ objectives? We say it
all depends on many variables for each organization, what they do, their
 Step 5: How Important Are the Gaps? ◾ 311

industry, their market, and their business structure. Basically, there is no

magic set of CSFs, but any organizations must pay attention to their com-
mitment and how they want to conduct their operations to achieve their
goals and what is relevant to their departments or divisions. Therefore,
their selections of CSFs are directly relevant to what is important to them
and which would help them select what performance gaps have a priority
to improve and fi x.
Figure 8.4 displays some of the key elements of the organization’s CSFs.
We are not committed to stating these elements or categories are customary

Figure 8.4 Some Examples of Key Elements of Organization’s Critical Success

Factors.
Source: Copyright 2021 by Behnam Bakhshandeh.
312 ◾ Analyzing the Gap

for all organizations, but with a high level of certainty, we can assure clients
that many of these elements have been used by many organizations as the
focus for indication of their progress and success.
Table 8.4 represents a potential organization’s critical success factors and
descriptions of necessary actions and relevancy to overall organizations’
strategies, processes, and outcomes.

Table 8.4 Potential Organization’s Critical Success Factors.

Potential Organization’s Critical Success Factors
# Factors Descriptions of Actions and Relevancy
1 Finance ◾ Strong financial management
◾ Feasible business model
◾ Wisely controlled cashflow
◾ Emphasis on income diversification
◾ Cautious investment
2 Quality ◾ Manage product quality
◾ Review the quality of services
◾ Promote excellence in the quality of products and services.
◾ Back up products and services by offering strong refund
policies.
◾ Focus on the right product and services for the market.
3 Employees ◾ Promote partnership among management and workers.
◾ Build an environment of respect and appreciation.
◾ Promote accountability as means to career advancement.
◾ Encourage employee engagement and leadership.
◾ Promote morale, and award professionalism and retention.
4 Environment ◾ Develop strong and systematic safety policies.
◾ Promote diversity and inclusion.
◾ Establish a safe physical and emotional work environment.
◾ Tolerate any harassment behaviors.
◾ Promote respecting differences.
5 Customer care ◾ Demand a robust account management system.
◾ Promote service orientation culture.
◾ Develop organized and structured customer care policies
and procedures.
◾ Establish customer satisfaction evaluation and levels.
◾ Provide systematic promotions.
6 Processes ◾ Maintain a strong organizational infrastructure.
◾ Review processes’ effectiveness.
◾ Manage the process strategically.
◾ Assure excellent operation.
◾ Be open to changes and new ideas for process efficiency.
 Step 5: How Important Are the Gaps? ◾ 313

Potential Organization’s Critical Success Factors

# Factors Descriptions of Actions and Relevancy
7 Culture ◾ Promote the organization’s vision, mission, and core values.
◾ Promote and practice leadership qualities.
◾ Practice open-door policies.
◾ Establish an effective communication channel.
◾ Establish a developing, appreciative, and acknowledging
environment.
8 Innovation ◾ Encourage creativity and innovation.
◾ Promote entrepreneurial leadership.
◾ Reward workable change proposals that save time and
money.
◾ Implement technological training for employees.
◾ Budget for research and development of new
approaches.
9 Technology ◾ Use technology for boosting productivity.
◾ Use up-to-date internal communication systems.
◾ Support high performance by investing in needed
technology.
◾ Use automation where needed and feasible.
◾ Use automated management reports and evaluations.
10 Reputation ◾ Practice environmental protection activities.
◾ Maintain a strong recycling system in all facilities.
◾ Have systematic community services and donations.
◾ Promote your productive employees publicly.
◾ Have an annual holiday celebration in the community.
11 Sustainability ◾ Attain a sustainable scale.
◾ Have a systematic review of breakdowns and problems.
◾ Practice reality versus perception.
◾ Have a realistic relationship with the market.
◾ Have a strong customer retention system.
12 Productivity ◾ Promote productivity as access to expansion and
profitability.
◾ Provide incentives for exceeding metrics and expectations.
◾ Provide clear targets, benchmarks, and forecasting systems.
◾ Promote efficiency and effectiveness as professionalism.
◾ Encourage management involvement with low-productive
teams.
13 High performance ◾ Have a clear and precise performance standard and KPIs.
◾ Promote industries’ best practices.
◾ Promote high performers.
◾ Use high performers as instructors for teaching others.
◾ Provide necessary training for increasing performance.
(Continued)
314 ◾ Analyzing the Gap

Table 8.4 Continued

Potential Organization’s Critical Success Factors
# Factors Descriptions of Actions and Relevancy
14 Learning and ◾ Support individuals and teams by adding to their
growth knowledge.
◾ Develop learning culture.
◾ Encourage and promote openness to change.
◾ Bring in new business models and skills.
◾ Promote growth as means to career advancement.
15 Management ◾ Build a leaders’ board.
structure ◾ Build a strong management structure.
◾ Establish a relationship-based management approach.
◾ Establish retention versus turnover scorecards for
managers.
◾ Be open to lower managers and supervisors’ ideas and
input.
16 Human resources ◾ Provide systematic training and development.
development ◾ Invite and welcome ideas and input for changes.
◾ Broadcast new approaches to work, productivity, and
performance.
◾ Have systematic training in competencies and skills.
◾ Provide soft skills and emotional intelligence skills
training

Source: Copyright 2021 by Behnam Bakhshandeh.

Conducting a Brainstorming Session (Brainstorming Diagram)

A brainstorming session is another technique for identifying the importance
of the performance gap. Brainstorming would entail deciding which of the
performance gaps are more important than others and to set up a priority list
to deal with such gaps one after another in an appropriate time. Brainstorming
is a method and process of collecting ideas among teams and groups to create
solutions for problem(s). The brainstorming process starts with individuals or
team/group members spontaneously producing ideas, resulting in inventive
ideas to work on the problem(s). A key and crucial principle of this process
is to avoid criticism of ideas from any group members and to foster a free-
thinking environment that spawns many ideas (Levi 2017).
Brainstorming can be used in a meeting with one worker who is experi-
encing performance or behavioral problems. It can also be used effectively
in a team meeting or a large management retreat. Commonly, performance
coaches set ground rules for brainstorming participation. Figure 8.5 provides
an example of such ground rules.
 Step 5: How Important Are the Gaps? ◾ 315

Figure 8.5 Creative Brainstorming Ground Roles.

Source: Adapted from Rothwell, Hohne, and King (2018), Levi (2017), and Kolb (2011).

Table 8.5 Example of Nominal Group Technique (NGT) for Generating

Performance Gap Priorities.
Decision-Makers Identified Performance Gaps
Additional Altering the Change the New Production
Training Process Supervisor Schedule
David 3 1 1 2
Suzanne 2 3 1 1
Kim 3 2 1 1
Runny 3 1 2 2
Mike 2 1 1 3
Robert 4 2 1 3
Total 17 10 7 12

Using Nominal Group Technique

Another technique for producing a majority’s alignment with a subject,
such as which performance gap is more important than others or has more
urgency, is the Nominal Group Technique or NGT. Again, we have briefly
touched on NGT in Chapter 7. NGT can be used when teams or groups are
creating alternate solutions for problem(s) using a quantitative (using num-
bers) process similar to the voting process (Rothwell 2000). For example,
in Table 8.5, there are four performance gaps identified going through a
diagnosis and analysis process, and now, a team needs to vote on which
one has priority. The performance gaps would be voted on by those team
members on a scale of 1 to 5 (one having less priority to five the highest
316 ◾ Analyzing the Gap

priority) and totaled. The highest score was the selected performance gap
to take on first by the team (Rothwell et al. 2018).
According to Levi (2017) and Kolb (2011), the NGT process comprises of
six steps that encompass a private, silent, and confidential process of voting
and ranking of selected ideas and solutions:

(1) silent and confidential generation of ideas by members

(2) mixed reporting of confidential and anonymous ideas with no discussion
(3) clarification and explanation of ideas or solutions
(4) silent and confidential voting and ranking of ideas or solutions
(5) discussion and expression of priorities for solving problem(s)
(6) if necessary or needed, repetition of step 4

While those steps lend themselves to robust root cause analysis, a real-time
approach can be used with individuals or teams by simply asking worker(s) to
write down ideas about root causes and then voting on them. The result may
well be a weighted list of possible causes. At that point, performance coaches
can lead coachees to generate possible solutions to address those causes.

Process of Force Field Analysis (Force Field Diagram)

Force field analysis is another way to discuss the importance of the performance
gap by engaging relevant personal and discussing the importance of each identi-
fied performance gap. Force field analysis, also known as force field diagram,
can be used to explore the factors that help or hinder a change program (Lewin
1951). It encourages users to examine connections between driving forces (what
the team or organization wants to accomplish and the aspects that lessen the
problems) and restraining forces (the obstacles in the way of success and the
aspects contributing to the problems) that influence a change. The force field
analysis can be used at various stages of the problem-solving process, but it is
often most useful in assessing change implementation issues (Levi 2017).
Levi (2017) explained the underlying dynamics of the force field analysis as
“a method for teams to study their problem-solving activities.” Teams use group
discussions to identify the driving and restraining forces affecting any proposed
solution. The team uses this information to decide on strategies for implementa-
tion. A cycle of generation, analysis, and application of results is repeated during
the implementation process (231). Levi and Lawn (1993) have used this method
to analyze the driving and restraining forces that influenced project teams devel-
oping new products or services. Figure 8.6 is an example of such a process.
 Step 5: How Important Are the Gaps? ◾ 317

Figure 8.6 Example of Force Field Analysis Process.

Source: Adapted from Rothwell et al. (2018) and Levi (2017).

As can be seen in Figure 8.6, the project teams were motivated by their
interest in implementing new technology and enhancement of organizational
culture that would promote and encourage innovation (the desired state).
However, the success of implementing new technology and marketing any
new products was restricted by technological manufacturing issues and by
a lack of budget appropriation due to the organization’s financial issues (the
current state). By understanding these forces, the project team was inspired

Table 8.6 Steps of Performing Force Field Analysis Process.

How to Perform a Force Field Analysis Process
Steps Descriptions
Invite experts (internal or external) to contribute to your project team’s
1
knowledge and expertise.
Express and place the desired state on the right side. This is what the team or
2
organization wants to see as an outcome.
(Continued)
318 ◾ Analyzing the Gap

Table 8.6 Continued

How to Perform a Force Field Analysis Process
Steps Descriptions
Report and place the current state in the diagram. This is happening now in
3
the present situation.
Create two columns on both sides of the current state, as driving forces and
4
restraining forces.
Discuss and brainstorm about the top restricting forces and rank the impact and
5
influence on them from 0 being nothing to 5 having the largest influence.
Repeat the same process for the driving forces by discussing and
6 brainstorming about the top driving forces and rank the impact and
influence of them from 0 being nothing to 5 having the largest influence.
7 Total the number of two ratings in their columns and compare them side by side.
Discuss the findings with key organization management and submit a report
8 summary.

Source: Adapted from Levi (2017) and Dyer, Dyer, and Dyer (2013).

to include some financial, technological, manufacturing, and marketing to

the design teams to address these problems (Levi 2017).
Table 8.6 shows steps into how to implement the force field analysis
process:
While force field analysis is most often associated with looking at what
helps and hinders change (and thereby reduces resistance to change), it can
also lend itself to modification for root cause analysis. Users can choose to
consider driving forces as those that cause a problem or create a gap and
restraining forces as those that lead to resolutions or that obviate the problem.
Force field analysis of this kind could be used for real-time or robust root
cause analysis. When used in real time, performance coaches would draw a
fish bone on a napkin—or whatever is handy—and use it to focus individual
or team attention on root causes in a simple conversation. A more robust
examination using force field analysis would take more time and would
direct the attention of larger groups to pinpointing causes or else issues
affecting the implementation of solutions.

Important Assessor’s Abilities and Competencies

Chapter 2 distinguished performance coaches’ needed competencies, skills,
and abilities to conduct effective performance coaching for individuals and
teams. Chapter 7 displayed the needed Abilities for a Performance Gap
 Step 5: How Important Are the Gaps? ◾ 319

Table 8.7 Needs Abilities for Assessing the Importance of Performance Gaps
Priorities.
Needed Abilities for Assessing the Importance of Performance Gaps Priorities
# Needed Abilities to Areas of Abilities, Examinations, and Inquiries
Determine the Importance
of Gaps between “What Is
the Issue in Hand” and
“What Should Be” About
the Organization’s:
1 Elements of external ◾ To carry out strategic thinking.
environment ◾ To compare and envision the future of the
organization to present events.
◾ To assess the involvement of the external sectors
and stakeholders.
◾ Examine present challenges caused by
performance gaps on external factors such
as customers, stockholders, suppliers, and
distributors.
◾ Examine potential future challenges caused by
the performance gap on external factors such as
customers, stockholders, suppliers, and distributors.
2 Elements of internal ◾ Lead, organize, and participate in the organization’s
environment individuals, teams, and departmental performance
enhancement efforts.
◾ Assess and explore the organization’s structure and
policies.
◾ Uncover real or apparent consequences of
performance gaps to the organization and its
departments.
3 Work processing and ◾ Examine processes, procedures, workflow, required
procedures work, inputs, and outputs about the production or
delivery of services.
◾ Assess the process of workflows of departments,
teams, or groups.
◾ Assess the flow process of raw materials,
employees, and information by departments, teams,
or groups.
◾ Assess the consequences of performance gaps in the
workflow of departments, teams, or groups.
◾ Ability to categorize and prioritize the importance
of such consequences.
4 Workers’ performance ◾ Examine workers’ competencies related to their
and competencies work requirements.

(Continued)
320 ◾ Analyzing the Gap

Table 8.7 Continued

Needed Abilities for Assessing the Importance of Performance Gaps Priorities
◾ Examine available workers’ competencies’
effectiveness and functionality about the
organization’s internal and external environment
and work processing.
◾ Examine existing gaps in workers’ competencies
required or needed and those competencies that
are available.
◾ Examine existing gaps in workers’ competencies
required or needed and those competencies that
are available.
◾ Assess gaps between workers’ competencies and
what is potentially needed for future work.
◾ Examine the importance of existing gaps in
workers’ competencies.
◾ Categorize and prioritize workers’ competencies’ gaps.
◾ Assess the consequences of competencies’ gaps in
departments, teams, or groups.

Source: Adapted from Parmenter (2020), Sharma and Sharma (2018), and Rothwell
(2013).

Analyst to compare “what is the issue in hand” and “what should be happen-
ing.” See Table 7.4. In this segment of Chapter 8, we touched on the needed
abilities and competencies for a high-performance coach as the assessor for
identifying the importance of performance gaps’ priorities (see Table 8.7).

Business Case Example

As we have underlined earlier, after measuring the performance gap
between what is happening and what should be happening and how to
measure such a gap, it is time to decide the importance of those identified
gaps. Which performance gaps should be handled first? Which gaps have
more impact on production and need to be addressed for increasing human
performance sooner?
For this example, we continue to use the MBD again (see more details
about this organization in previous chapters’ business examples). The MBD
team recognized the gaps in their performance and related issues. Now
they have to decide which performance gap is more important than others
 Step 5: How Important Are the Gaps? ◾ 321

or what is the priority and order of importance among what they had
discovered as the root causes of their issues.

Step 1
To do this, they started by using and reviewing “Quantitative and Qualitative
Measures of the Importance of Performance Gap” (see Table 8.2) to under-
stand the importance of the measures, related elements, and relevant details
because these all depend on who is looking at them, their positions, respon-
sibilities, accountability of those who are reviewing them, and what type of
measures (hard or soft) they are looking at.

Step 2
The next step was to go through the “Process of Establishing Corrective
Actions Related to Organization’s Strategic Objectives, Measures, and
Production Targets” (see Figure 8.2), which is directly related to the
concept of “The Balanced Scorecard” (see Figure 8.3) and “Elements of
Balanced Score Cards, Perspectives, and Their Common Measures” (see
Table 8.3).

Step 3
In this step, they reviewed the concept of “Critical Success Factors,” and
after reviewing how to develop an organization’s CSF, they selected
the most important and relevant CSFs for their organization and the
relevancy to their industry and market. See “Some Examples of Key
Elements of Organization’s Critical Success Factors” (Figure 8.4) and
“Potential Organization’s Critical Success Factors” (Table 8.4) for refresh-
ing your memory and the options for selecting CSFs. To do this process,
the MBD team chose the Brainstorming Process (see Figure 8.5) and
Using Nominal Group Technique (see Table 8.5) again. You can review
the use of these two techniques and models by the MBD team in previ-
ous chapters.
By the end of this process, the MBD team came with a new and power-
ful set of CSFs and made a priority list about what performance gaps are
more important or necessary to attack first and bring back the team’s per-
formance to match their agreed “Job Performance Standards.”
322 ◾ Analyzing the Gap

Key Factors to Remember

Let’s review the lessons in this chapter about measuring the importance of
gaps:

◾ Prioritize the performance gaps to save time

– Identifying the performance gaps and prioritizing the importance of
them based on the organization’s need and potential consequences of
gaps can save time and energy by not interrupting the workflow to fix
everything simultaneously.

◾ Different ways to determine the importance of gaps

– Learning and understanding the different ways to determine the impor-
tance of performance gaps and their priorities can help in selecting
what method of determining importance is more appropriate for a
certain time or production.

◾ Build up your competencies

– Being honest and authentic about what you know and what you are
confident in regarding knowledge, skills, and abilities can help to
develop more skills and competencies as a high performance.

◾ Reality versus perception

– Stay away from analyzing, diagnosing, or determining performance
gaps only based on the perception of individuals, teams, or the work.
The reality of situations will emerge using a professional approach
consisting of conducting proper assessment and proven methods.
Having intuitions and perceptions is okay and, sometimes, appropri-
ate, but the best way to back up any perceptions is a reality check
(Bakhshandeh 2015).

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of different ways of
measuring performance gaps?
What is missing or in the way of your understanding?
What is your action plan to increase your overall rate?
 Step 5: How Important Are the Gaps? ◾ 323

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of the importance
and prioritizing performance gaps?
What is missing?
What is your action plan to increase your overall rate?
(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of quantitative and
qualitative measures of the importance of the performance gap?
What is missing or not understood?
What is your action plan to increase your overall rate?
(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of CSFs?
What is missing or not understood?
What is your action plan to increase your overall rate?

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Communication, Creativity & Collaboration) Skill Gap in Private-Sector
Employers in Lackawanna County, NEPA.” An Unpublished Dissertation in
Workforce Education and Development. The Pennsylvania State University.
Camp, William G. 2001. “Formulating and Evaluating Theoretical Frameworks for
Career and Technical Education Research.” Journal of Vocational Educational
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Cardy, Robert L., and Brian Leonard. 2011. Performance Management: Concepts,
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Quantitative, and Mixed Methods Approaches, 5th ed. Los Angeles, CA: Sage
Publishing.
Dyer, Gibb W. Jr., Jeffrey H. Dyer, and William G. Dyer. 2013. Team Building, 5th
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Evans, Matt H. 2021. “Critical Success Factors Defined.” https://exinfm.com/board/
critical_success_factors.htm.
Grant, Cynthia, and Azadeh Osanloo. 2016. “Understanding, Selecting, and
Integrating a Theoretical Framework in Dissertation Research: Creating the
Blueprint for ‘House’.” Administrative Issues Journal: Connecting Education,
Practice and Research 4, no. 2: 7.
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Kaplan, Robert S., and David P. Norton. 1992. “Harvard Business Review” web-
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org/1992/01/the-balanced-scorecard-measures-that-drive-performance-2.
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in Groups and Teams. Amherst, MA: HRD Press Inc.
Lawrimore, Buck. 2015. “The 5 Key Success Factors of Business.” www.linkedin.
com/pulse/5-key-success-factors-business-3-operations-buck-lawrimore/.
Levi, Daniel. 2017. Group Dynamics for Teams, 5th ed. Los Angeles, CA: Sage
Publications.
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Which Affect Technological Innovation in Organizations.” The Journal of High
Technology Management Research 4, no. 2: 225–40.
Lewin, Kurt. 1951. Field Theory in Social Science: Selected Theoretical Papers
(Edited by Dorwin Cartwright.). New York, NY: Harpers.
MindTools. 2021. “Critical Success Factors. Daniel and Rockart’s Guild to Meeting
Strategic Goals.” www.mindtools.com/pages/article/newLDR_80.htm.
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Methods for Public Administrators, 6th ed. New York, NY: Taylor & Francis.
Parmenter, David. 2020. Key Performance Indicators: Developing, Implementing,
and Using Winning KPIs, 3rd ed. Hoboken, NJ: John Wiley & Sons, Inc.
Quizlet. n.d. “6 Critical Success Factors.” https://quizlet.
com/100181511/6- critical-success-factors-flash-cards/.
Rockart, John F. 1979. “Chief Executives Define Their Own Data Needs.” Harvard
Business Review 2: 81–93.
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Critical_success_factor.
Chapter 9

Step 6: What Are the Root

Causes of the Gap?
William J. Rothwell

Once the relative importance of a performance gap is clear to stakehold-

ers, then the next step is to try to identify the root cause(s) of the gaps.
Discovering root cause(s) is an analytical process. It can be conducted in
real time or over a long time span. Pinpointing root cause(s) is critically
important—and difficult. Efforts to close measurable gaps are usually fruit-
less if they do not address the root cause(s) because those efforts will
address symptoms only and will not address why the gap exists.
It can be tempting to grasp at straws, looking for easy, quick, and cheap
solutions to tough problems. But treating symptoms rather than root causes
will rarely be helpful and will quite often make matters worse.

How This Chapter Is Organized

This chapter is organized into the following parts:

 What This Step Means

 Why Is This Step in Performance Coaching Important?
 Examples of This Step in Performance Coaching
 Approaches to Root Cause Analysis
 Competencies Required by Performance Coaches to Identify Root Cause(s)
 Key Factors to Remember
 Coaching and Developmental Questions for Managers
 References
DOI: 10.4324/9781003155928-12 325
326  Analyzing the Gap

What This Step Means

Step 6 is about investigating to answer the question “why is the gap happen-
ing?” It is not an easy question. One reason for this question is that those
enacting the role of performance coach will be tempted to skip this step and
simply jump to finding solutions. Sometimes that happens out of a strong
sense of urgency, a desire to “get on with it” to implementing a solution;
sometimes that happens because performance coaches think they already
know the root cause(s) and do not need to spend the time, money, and
effort to explore further; and, sometimes that happens because performance
coaches accept the first cause they find without taking the time to inves-
tigate more thoroughly. But one thing is clear: it is hard work to find root
cause(s)—and sometimes is not even possible.
When gaps are negative, finding the root cause(s) means discovering
what is wrong. When gaps are neutral, no causes exist because there is no
gap. When gaps are positive, identifying root cause(s) may require finding
out why strengths exist.

Why Is This Step in Performance Coaching Important?

This step is important because any performance gap may result from one or
many possible root causes. The point worth emphasizing here is that a gap
often stems from more than one root cause, but performance coaches may
be tempted to believe that any problem has only cause. And sometimes,
admittedly, the root cause simply cannot be easily be determined. About the
best that may be possible is to reach a proximal solution—that is, an edu-
cated guess about what could be the possible or even likely cause(s).
Even when causes appear to be unusual, performance coaches should
remember that famous observation from well-known British sleuth Sherlock
Holmes: Once you eliminate the impossible, whatever remains, no matter
how improbable, must be the truth.

Avoiding the Mistake of Confusing Signs or Symptoms

and Root Causes
Think for a moment about medical doctors searching for the root causes
of illness. Their approach is simple: conduct testing until all possible root
causes have been considered and either eliminated or verified as the cause
 Step 6: What Are the Root Causes of the Gap?  327

of illness. Medical doctors know that any illness may have more than one
root cause. A patient experiencing stomach pain may suffer from indigestion
and stomach cancer at the same time.
Medical doctors are trained to recognize the difference between signs and
symptoms and root causes. A medical sign is a result of a root cause that a
medical doctor recognizes; a medical symptom is a consequence of a root
cause that the patient notices. They are not always the same. Best known of
medical signs are pulse, blood pressure, temperature, and so forth. These
are the so-called vital signs. Changes in those may point to health prob-
lems to medical professionals. Symptoms can be noticed by anyone. When
a woman vomits in the morning, many people—not just medical doctors—
might suspect morning sickness.
Yet, few medical doctors are adequately training on diagnosis. Despite
the lengthy training that medical doctors receive, misdiagnosis persists as
a major problem in modern medicine. It is estimated that approximately
40,000–80,000 deaths in the United States Annually are attributable to mis-
diagnosis (“Does a Med School Degree Guarantee Diagnosis Skills?” 2015).
About 5% of autopsies shockingly reveal that diagnostic mistakes resulted in
patient deaths. One source has found that 1 in 20 outpatients are misdiag-
nosed annually and that 17% of all adverse medical events stem from misdi-
agnosis (“Does a Med School Degree Guarantee Diagnosis Skills?” 2015).
Different reasons have been offered as explanations as to why such diag-
nostic problems occur. Some experts believe that medical schools emphasize
treatment of obvious illnesses rather than training doctors to play detec-
tives. Others suggest that misdiagnosis results from patients who conceal
important information from their doctors or else offer selected, incomplete,
information to avoid embarrassment. Still others suggest that medical doctors
misdiagnose because they do not order the appropriate medical tests.
There are different kinds of medical signs. Diagnostic signs aid physicians
in finding what is wrong. A bone sticking out of a leg is a diagnostic sign of
a compound fracture. Pathognomic signs are more certain than diagnostic
signs. Yellow skin usually indicates jaundice. Prognostic signs suggest what
will happen to the patient. A lump in a woman’s breast indicates cancer—
and that suggests clear negative consequences if left untreated. Anamnestic
signs provide medical professionals with evidence of a past condition. If a
patient experiences facial paralysis, for instance, it suggests a past stroke.
Now think about modern management. Even professionally trained
managers—that is, those possessing MBA degrees from first-rate business
schools—have rarely been trained on how to diagnose what causes human
328  Analyzing the Gap

problems. Business education emphasizes skills in finance and marketing

and de-emphasizes skills in operations and human resources.
Evidence of this problem is abundant. Managers confuse signs and symp-
toms for root causes. As a simple example, consider managers who label
turnover as a problem when turnover is a consequence of one or more root
causes. Misdiagnosis leads to ill-conceived solutions. And bad solutions can
often create new problems, which (in turn) prompt more ill-conceived solu-
tions. The result is a downward spiral that robs the organization of produc-
tivity and leads to a toxic workplace.
Much information exists to help managers pinpoint root causes of human
performance problems. Much has been written about organizational diagno-
sis (see Alderfer 2010; Bristow and Sandberg 2010; Pershing 2006; Randall
and Toplis 2016; Rothwell, Stopper, and Myers 2017). Much has also been
written about diagnosing problems with teams or individual performance
(Fournies 2007; Gilbert 2007; Lencioni 2007; Mager and Pipe 1997).

The Difference between Performance

Problems and Behavior Problems
Note the difference between performance and behavior problems. A perfor-
mance problem is a gap between what work results workers are expected to
achieve and what results they do achieve. If workers are to produce four-
teen widgets per hour but produce only 3, the gap is eleven. That much is
easy to see. But a behavior problem is a gap between expected and evident
observable actions. If the organization’s dress code policy stipulates that men
should wear dress shirts and ties but one man wears casual attire to work,
the behavioral difference is apparent. But not all performance or behavior
problems are immediately obvious. It may also be challenging to pinpoint
root causes. If a worker is late for work every day, always with a good
excuse, a behavioral problem exists. But even the worker may not know,
or may not be willing to offer, the root causes leading to that behavioral
problem.
Yet, the best solutions can be implemented only when (or if) the real root
cause(s) are found and action is taken to address it or them.

Why Most Change Efforts Are Failing

Earlier, we talked about individuals’ mindsets, attitudes, behaviors, and how
they determine their thinking and decision-making processes. What made
 Step 6: What Are the Root Causes of the Gap?  329

people think differently from others is their perspectives on life and work
and how they envisioned the world around them. They knew they could
get over any circumstance and obstacles. “If there was a limit, it was not a
limit they imposed on themselves, but rather it was what others insisted on!”
(Bakhshandeh 2009, 19). There is this amazing mental phenomenon and
state of Being that many people are practicing and have created a level of
mastery around it; for many others, it is still a mystery to figure out. “There
are no limits, there is no difficulty, and there is no ‘I can’t’ until we say, ‘It
is,’ or we listen to others saying, ‘It is!’” (Bakhshandeh 2009, 19).
Why do we keep talking about this mental phenomenon? The state of
Being has a positive influence on people’s process of thinking. The rea-
son for this is because the individuals’ state of mind and the way they are
looking at issues are determined by their mindsets. It is directly related to
locating the actual problem with individuals, teams, and the organization.
Effective and productive people have a vision for what they do. They see a
future; they are planning and designing their actions to be connected to the
future they saw, and they know it is possible, not like fantasy or some “pie
in the sky.” Often, they didn’t know how to do it or how to get there, but
they had no doubt they could reach their objectives because they were in
control of their mindset (Bakhshandeh 2009).
As we talk about how to convince the decision-makers and stakehold-
ers to see the need for change, it is important to underline a fact in change
intervention; there is no guarantee that any change interventions, includ-
ing the team-building intervention, would work or will be sustainable.
There are many reasons change efforts fail; here is a variety of reasons that
account for these failures by people or organizations according to Rothwell
and Graber (2010):

 They see no reasons or need to change.

 They feel no urgency for change.
 They don’t agree on how they should change.
 People who are involved don’t agree on what to change or how to
change.
 They don’t know who should change.
 Managers think others should change, but not themselves.
 People who are involved don’t know what successful change should
look like.
 They don’t know when to change.
 They don’t know where to change.
330  Analyzing the Gap

 They don’t know why they should change.

 They don’t know how to change.
 They are resisting the change because they worry about what they must
give up.

Knowing this will help the individual or group pointing to the necessity of
a change intervention know which decision-makers and stakeholders are
potentially viewing the change.

Examples of This Step in Performance Coaching

Perhaps, an example will help to clarify what this step means in practice.
The situation: Larry Edwards is the manager of the customer service
department of his company, Ajax Chemicals. He has an employee, Letitia
James, who is a customer service representative. James’ job involves field-
ing customer complaints by phone. Edwards has received many complaints
about James from customers. She has been called “uncivil,” “impolite,”
“mean,” and even “surly.”
In Edwards’ company, customers are randomly selected and then sur-
veyed weekly to assess their relative satisfaction levels with the service they
received from Ajax. The survey results for most customer service representa-
tives averages a bottom-line satisfaction score of 6 on a 7 scale. But James
averages a score of 4. It seems that the lower her scores are, the more testy
and unhappy James becomes—and those attitudes are reflected in how she
deals with customers.
The conversation between the performance coach and coachee: Edwards
decides to have a performance coaching session with James. He follows the
steps of the performance coaching process. When he reaches step 6, the
conversation goes as follows:

Edwards: [He stops a moment to think about the situation. Then he consid-
ers how to proceed based on the body language and general manner-
isms of the coachee.] What do you think might be the reason that you
seem to get the scores that you do on the weekly customer satisfaction
surveys?
James: I honestly don’t know. It is true that I am stressed out by the volume
of calls I get—and the level of customer unhappiness I encounter. I think
I end up with customers who are more upset than the other customer
representatives seem to get. I am not sure why that happens.
 Step 6: What Are the Root Causes of the Gap?  331

Edwards: That seems unlikely. As you know, calls are routed from a central
place. As your phone line comes free, you are automatically assigned
the next caller. I could just tell you what to do, but I think that approach
would be counterproductive. I believe it would be better now if you told
me why you think other people regard you as unfriendly.
James: I just don’t know what causes these problems or what I should do
differently.
Edwards: Let’s do this. Why don’t you pick one of your colleagues to sit at
the phone with you for one day and monitor the course of your conver-
sations with customers as they come in. I will then schedule a meeting
with you and the person you choose into my office and we will debrief
the situation. I will rely on the judgment of one of your colleague on the
root cause(s) of these customer complaints.
James: Fair enough. Let’s try it.

Note that, in the previous discussion, Edwards refuses to jump to conclu-

sions about root causes. He does suggest a way to investigate the issue and
then return to decide what to do based on more information. While that
will take time and cost money to carry out, it will likely lead to better results
than jumping to conclusions about why the problem exists.

Approaches to Root Cause Analysis

Now, we touch on the number of common tools for uncovering the root
cause of problems with human performance effectiveness and its related
level of productivity.

They provide the methods by which to examine performance

problems and opportunities, and they provide the foundation by
which subsequent improvement and evaluation efforts are orga-
nized and implemented
(Rothwell, Hohne, and King 2018, 45).

One of the most importance of an analyst’s ability to establish the root

causes of performance problems with individuals’, teams’, and organizations’
encounters (Rothwell 2013). Often, the symptoms or visible indications of
issues display themselves as the actual issue! In these cases, the management
may focus on these symptoms of issues, while the actual, imperial cause
continues, undiscovered and unaddressed (see Figure 9.1). This is called the
332  Analyzing the Gap

Figure 9.1 Finding Root Causes of Problems versus Looking at the Symptoms.
Source: Copyright 2021 by Behnam Bakhshandeh.

“presenting problems.” These symptoms are the consequences or outcomes

of another cause, not the actual and real cause itself. The red flag for analysts
is confusing the “presenting problem” or the consequence and outcome of
the problem with the “underlying reason for the problem” which is the root
cause of a problem. This misunderstanding and collapse of concepts can be
very wasteful about time, capital, and resources (Rothwell 2018).
There are really two kinds of root cause analysis. One is real-time root
cause analysis; the other is robust root cause analysis. Real-time root cause
analysis is performed “on the fly”—that is, during daily events. Robust root
cause analysis requires more complete information, more time, more effort,
and usually more people.
Many approaches have been suggested to conduct root cause analysis.
Often, they suggest that work teams or groups tackle the challenge of dis-
covering root causes. That assumes robust root cause analysis should be
used. But performance coaches may use both forms of root cause analysis.
How can root cause analysis be carried out? Consider:

 fishbone diagrams
 mind mapping
 problem-solving Model

Note that the following three methods can also be used for conducting a root
cause analysis. These three methods were explained and used in Chapters 6
and 8 for some voting approaches and measuring the importance of perfor-
mance gaps (refer to Chapter 8 for more details about the following methods).
 Step 6: What Are the Root Causes of the Gap?  333

 Brainstorming diagrams
 nominal group technique (NGT)
 force field analysis

Cause and Effect Analysis (Fishbone Diagram)

Let’s look at some good tools and strategies for conducting a root cause
analysis. Cause-and-effect analysis identifies and organizes possible causes
of performance problems for individuals, occupations, and organizations.
The primary strength of this tool is that it visually organizes informa-
tion and depicts the linkages between the problem and its possible causes.
It is a popular approach to identify the potential causes of the problems. It
was designed by Kaoru Ishikawa and is variously known as the “Ishikawa
Diagram” or the Fishbone Diagram because of the fishbone shape it takes
(as shown in Figure 9.2) (Levi 2017).
For example, Figure 9.2 depicts a manufacturing problem related to the
wrong product, such as the wrong size or dimensions or functionality. The
problem statement, or the issue, is posted in the box on the left side of
the diagram. The large arrow represents the direction of the process; the
manufacturing process should produce a correct product. This process can
be used to discover root causes for any form of product, service, or even an
event.

Figure 9.2 Example of Cause-and-Effect Analysis Process Using the Fishbone

Approach.
Source: Copyright 2021 by Behnam Bakhshandeh.
334  Analyzing the Gap

Next, the cause categories are defined and written in the boxes on both
sides of the large arrow, as you can see in Figure 9.2. A common practice is not
to list too many potential causes, given that the fishbone will grow too large
for problem identification. It has been recommended to use with problems that
likely have between five and eight causes. Here, the causes should be included
in categories involved with the manufacturing process—such as employees,
materials, measurements, processes, machines, and environment. The next step
is to determine potential issues related to these categorized areas and write
them between the category and the main arrow, the manufacturing process
(as you can see in Figure 9.2). It is possible to use subcauses for the causes
related to the process’s categories. Users can expand the fishbone diagram and
add more details as desired. However, do not make it too complicated to take
you away from the key issues, and you chase a rabbit hole called symptoms!
As Rothwell et al. (2018) suggested, “[a] more generic example is to ask such
simple questions as these: Who? What? Where? When? How? And ‘Why?’” (58).
This approach can be used with one worker, a team of workers, or a whole
group of people in a management retreat to diagnose one or many issues facing
the organization. It can be used in a real-time meeting with one worker and in a
robust root cause analysis with a wicked problem (Bentley and Toth 2020). Recall
that a wicked problem is one that is exceptionally difficult to solve because it is
so complicated, because inadequate information is available about root causes,
and because interconnected with other problems or issues. Wicked problems,
when interconnected, are sometimes likened to a plate of spaghetti where
each root cause is like one noodle on the plate and they are all tangled up.

Mind Mapping
The mind mapping process is a new approach that bears similarities to brain-
storming. It was originated by Tony Buzan (2006). It relies on some traditional
approaches to brainstorming process by introducing a graphical display of
participants’ ideas correlated by areas of concerns (Buzan and Griffiths 2012).
Mind mapping does have unique benefits that distinguish it apart from
brainstorming. Mind maps are vivid visual displays portraying issues
involved with the problem. Mind mapping lends itself to real-time root cause
analysis and to robust root cause analysis. Several mind mapping software
packages—some for free—are available to performance coaches and work-
ers (Santos 2013). Table 9.1 summarizes steps in a mind mapping process.
Figure 9.3 illustrates a mind map. It is a good example of following the
aforementioned steps (Table 9.1) to create a business plan using the mind
 Step 6: What Are the Root Causes of the Gap?  335

Table 9.1 Steps of Performing a Mind Map Process.

How to Perform a Mind Map Process

Steps Descriptions
1 Start with a blank page and start from the middle of the page to expand the ideas.
2 Indicate the main idea or intention with an image or graphical representation (if
possible). It will open your imagination and assist you in focusing.
3 Use different colors extensively. Like pictures (if possible), colors also engage
your creativity and vitality.
4 Add key categories as the main branches to the main idea to make connections.
5 Add the second- or third-level branches connected to the main branches to
expand the idea.
6 Try not using straight lines connecting the ideas and branches unless you are
drawing a large mind map. Curved lines are more stimulating than boring
straight lines.
7 Use only one keyword for each line, category, or subcategory. Single words
allow for more flexibility and strength.
8 Use images and pictures as much as possible. Each additional picture or graphic
is worth a thousand words for stimulating imagination and creativity.
Source: Inspired and adapted from Levi (2017), and Dyer, Dyer, and Dyer (2013).

Figure 9.3 Example of Mind Mapping Process.

Source: Copyright 2021 by Behnam Bakhshandeh.
336  Analyzing the Gap

Figure 9.4 Example of Business Mind Mapping Process.

Source: Copyright 2021 by Behnam Bakhshandeh.

mapping process. This approach is beneficial to encourage creativity for rela-

tively simple ideas.
Figure 9.4 displays a more complex mind map. When mind maps are
prepared for more complex concepts, straight lines are typically used instead
of images.

Problem-Solving Model
Problem-solving is one underlying aspect of teamwork. It is therefore a
critical tool for performance coaches working with individuals or teams
and facilitating the resolution of their problems and coming to a com-
mon conclusion. The team’s approaches to the problem-solving process
substantially influence the outcome of the problem-solving process (Levi
2017).
 Step 6: What Are the Root Causes of the Gap?  337

The problem-solving model is commonly studied from these three per-

spectives (Levi 2017; Kolb 2011):

(1) How teams solve problems?

(2) What behaviors and attitudes support teams to effectively solve their
problems?
(3) What tools and techniques enhance the teams to solve the problems?

There are different approaches to a problem-solving process; however,

according to Levi (2017) and Kolb (2011), the following are most used and
considered as modern problem-solving approaches:

(1) descriptive approach; stages of problem-solving

(2) functional approach
(3) perspective approach; rational problem-solving

Teams usually rush through the problem-solving process and sometimes

ignore the process completely. They spend most of their time talking
about symptoms and proposing half-baked solutions without digging into
what is the primary cause of the problem(s) and understanding the char-
acteristics of the problem(s). This ineffective problem-solving undertak-
ing harms an organization and their teams’ and groups’ performance and
productivity. It is the role of the manager-as-coach or a high-performance
coach as a team facilitator to manage, educate, and guide teams and
groups in an effective, productive, and collaborative problem-solving pro-
cess (Levi 2017).

Descriptive Approach: Stages of Problem Solving

The problem-solving model and how teams are approaching the problem
solving has been researched and implemented by professional OD practi-
tioners, high-performance coaches (Rothwell et al. 2018; Levi 2017; Rothwell
2015; Cummings and Worley 2015; Rothwell, Stavros, and Sullivan 2016; Dyer
et al. 2013; Kolb 2011; Schein 1988). Understanding different elements of the
problem-solving process help high-performance coaches to better position
themselves in distinguishing ways to improve the problem-solving perspec-
tive and individuals’ views of such process.
338  Analyzing the Gap

According to Dyer et al. (2013), during the descriptive problem-solving

approach, individuals who have formed a team go through a four-stage
process to solve problems while dealing with behaviors and norms at each
stage. The four stages are as follows (see Figure 9.5):

(1) Forming
– Teams and their members are trying to understand the depth of the
problem.
– Teams are examining the problem and its characteristics.
– Team members are finding their positions and getting familiar with
their jobs.
(2) Storming
– This is a stage when conflicts are arising.
– Discussion is high, and emotions are flying.
– Problems are delineated, and solutions are considered.
(3) Norming
– Methods are selected, and approaches are developed to analyze the
problem.
– Alternatives are proposed, and action plans are generated.
– Solution(s) are selected, and action plans are conformed.
(4) Performing
– Solution(s) is implemented.
– There is a camaraderie building up among the team members.
– The team is performing productively.

Functional Approach
The functional approach to team problem-solving attempts to identify
elements that disrupt and interfere with the team process and strives to

Figure 9.5 Descriptive Approach: Stages of Teams Problem-Solving.

Source: Adapted from Levi (2017).
 Step 6: What Are the Root Causes of the Gap?  339

enhance the team’s ability and effectiveness in solving problems. Various

constant and hidden internal and external factors influence the team prob-
lem-solving process, such as emotional, social, or political factors. The fact
is there are several actions that a team can take in response to these inter-
nal and external elements that would assist or damage the team’s problem-
solving process. By examining these elements and related behaviors, a team
can manage its problem-solving process and serve as a framework for team
interaction (Dyer et al. 2013; Schein 1988).
Figure 9.6 depicts these assisting and damaging factors in the team
problem-solving process.

Prescriptive Approach: Rational Problem-Solving

The popular prescriptive approach or rational problem-solving process is a
step-by-step technique that utilizes data, observation activities, and a critical
thinking process to reach an optimal problem-solving solution. By following
and using this systematic, organized, planned, and proven procedure, teams
increase their chances of conducting successful problem-solving. The advan-
tages of a structured problem-solving technique differ depending on the
dynamics and level of complication of the problem the team is facing. The
more difficult and dynamic the problem is, the more advantageous it will
be to develop a structured problem-solving approach (Levi 2017; Kolb 2011;
Schein 1988).

Figure 9.6 Factors that Assist or Damage the Team Problem-Solving.

Source: Adapted from Dyer et al. (2013), Bakhshandeh (2009), and Schein (1988).
340  Analyzing the Gap

Figure 9.7 explains the main steps of the process of the rational problem-
solving model according to Levi (2017) and Kolb (2011):

Step 1: Identify the Problem

As a team, write a problem statement that recognizes the problem as pre-
cise, clear as possible, and is aligned by the entire team. Accurate identifica-
tion of a problem is a big help in problem-solving. The problem statement
works as an anchor for the process. At this step, the team will compare the
current state with the desired state to identify the potential gap (2017, 2011).

Step 2: Identify the Causes

List potential causes of the problem. Often, teams and their members have
entangled the symptoms or effects of a problem, presenting itself as the key

Figure 9.7 Rational Problem-Solving Model Process.

Source: Adapted from Levi (2017).
 Step 6: What Are the Root Causes of the Gap?  341

problem causing and overlooking the root causes. This is the step when
teams are looking at the potential causes of the problem. The team can use
the cause-and-effect model (fishbone diagram, Figure 9.2) to get the root
cause of a more complex problem (2017, 2011).

Step 3: Generate Alternatives

Generate many solutions without being concerned about right or wrong
answers. Teams can use creative brainstorming (Figure 8.5), mind map-
ping (Figures 9.3 and 9.4 and Table 9.2), and the nominal group technique
(Tables 7.9 and 8.5) processes to generate more mutually agreeable solutions.
To come with a more innovative discussion, the team should conduct inqui-
ries to the who, what, where, when, and how of the causes. The team should
have a large list of possible solutions as an outcome of this step (2017, 2011).

Step 4: Select a Solution

Select the best solutions to resolve the problem. This step can become an
overwhelming experience. Teams should evaluate the solutions by prioritiz-
ing the solutions by using a Pareto Chart. This bar/line illustration combines
the team’s replies and assists in evaluating and prioritizing potentially large
and diverse data. See Figure 9.8 for a sample of the Pareto Chart. Depending
on the complexity of the problem(s), the team might implement more than
one or two solutions simultaneously (2017, 2011).

Step 5: Implement the Solution

This is the time to get to work and do it! For successful implementation, the
team should come with a clear outline and action plan for implementing the
solution(s), including the steps, actions, people, schedule, and what tasks
must be completed. Factors to consider include lead times, metrics, dead-
lines, other departments, costs, management, authorizations, contingency
plan, and even internal and external political issues, costs, time manage-
ment, authorizations, and contingency plans. Use the force field analysis pro-
cess (see Figure 9.6 and Table 9.1) to see the driving and restraining forces
pushing and pulling against implementing the solutions as an intervention
and change effort (2017, 2011).

Step 6: Conduct Evaluation and Follow-Up

Analyzing the results against the created metrics and adjust if you find it
necessary. The team needs to comprehend this final step is a continuing
progression following conducting the implementation step. Is this process
answering questions such as did the solution(s) work? If it did not work,
342  Analyzing the Gap

Figure 9.8 Example of a Pareto Chart.

what happened and why? Continuous evaluation, data gathering, and analy-
sis will assist the team and management to ensure positive results and out-
comes. Modifications and adjustments are nearly always required and should
be monitored (2017, 2011).
Figure 9.8 is an example of a Pareto Chart. Here, the chart is depicting
the professional experience among supervisors and floor managers working
in a manufacturing organization, comparing (1) how many supervisors are
working on that organization and (2) how many would be fit in the seven
work experience categories. The Pareto Chart has functions of the Microsoft
Excel program and is available in several forms and shapes besides other
forms of bars and pie charts.

Competencies Required by Performance Coaches to

Identify Root Cause(s)
Performance coaches should be able to:

 separate signs, symptoms, and root cause(s)

 apply various approaches to pinpointing root cause(s)
 Step 6: What Are the Root Causes of the Gap?  343

 facilitate one-on-one, real-time approaches to root cause analysis

 facilitate robust approaches to root cause analysis

Business Case Example

At this point, the MBD team needed to know what the root causes of their
performance issues were. As we have mentioned at the beginning of this
chapter, pinpointing root cause(s) is critically important and difficult. Efforts
to close measurable gaps are usually fruitless if they do not address the
root cause(s) because those efforts will address symptoms only and will not
address why the gap exists.
It was important that the MBD team be able to distinguish between the root
cause of their performance gaps and the apparent symptoms that might be
mistakenly believed to be the actual cause of the pressing issue (see Figure 9.1).

Step 1
Given the sensitivity of these types of discussions and potential disagree-
ments (given the nature of self-protective human mindsets), we conducted
a short review of “Descriptive Approach: Stages of Teams Problem-Solving”
(see Figure 9.5) and “Factors that Assist or Damage the Team Problem-
Solving” (see Figure 9.6). This approach had a good impact on teams’ cohe-
siveness and teamwork to resolve their performance issues as one team, not
as individuals who try to make some points for self-protecting agendas.

Step 2
After that, we reviewed the “Rational Problem-Solving Model Process” to
ensure the foundation of their teamwork for recognizing the root causes of
their issue in a rational and nondefensive approach (see Figure 9.7). This
was a productive way to build up their inner relationships and to looking at
the team issues as a whole.

Step 3
The MBD used the brainstorming process to gather needed information and
feedbacks for conducting the fishbone diagram for their “Cause-and-Effect
Analysis” (see Figure 9.2). The primary strength of this tool is that it visually
organizes information and depicts the links between the problem and its
possible causes.
344  Analyzing the Gap

By the end of this work session, the MBD team recognized three poten-
tial root causes of their team’s performance gaps and some of their issues in
communication and teamwork,

Key Factors to Remember

Let’s review the lessons in this chapter about generating ways to identify
root cause(s):

 Think like a detective when identifying root cause(s)

 Avoid confusing symptoms and root cause(s)
 Realize that most problems in organizations will have more than one
root cause
 Realize that some root cause(s) can never be identified, though it is
highly desirable to make the effort to do so
 Be willing to take the time to investigate root causes rather than jumping to
action with little to no information because that can make matters worse

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of separating signs,
symptoms, and root cause(s)?
– What is missing or in the way of your understanding?
– What is your action plan to increase your overall rate?

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of approaches to
pinpointing root cause(s)?
– What is missing?
– What is your action plan to increase your overall rate?

(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to facilitate one-on-one real-time root cause
analysis?
– What is missing or not understood?
– What is your action plan to increase your overall rate?
 Step 6: What Are the Root Causes of the Gap?  345

(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to facilitate team or work group efforts to
do robust root cause analysis?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

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ANALYZING THE III
SOLUTION

Performance coaching can require some creative thinking. The reason is

simple: gaps can be closed in many ways, and coaches—working with
coachees—should consider ways to close gaps, select the “best” way to close
the gap, and reflect on the likely consequences of efforts to close gaps. Any
problem can be solved in more than one way, though some ways may be
more appropriate, cost-effective, or faster than others. This phase addresses
the issues described in the following:

Chapter 10—Step 7: How Many Ways Can the Gap Be Closed?

Finding ways to close the gap requires creative thinking, often in real
time, and precedes the decision about which solution is best.
Chapter 11—Step 8: What Is the Most Effective Way to Close the
Gap?
Finding the most effective way to close the gap is important because that
means choosing the solution.
Chapter 12—Step 9: What Are the Consequences of Closing the
Gap?
This step is akin to thinking forward, trying to anticipate the possible
results or consequences of implementing a solution 

DOI: 10.4324/9781003155928-13 347

Chapter 10

Step 7: How Many Ways

Can the Gap Be Closed?
William J. Rothwell

Once the cause of a performance gap is clear—or at least approximated—

then closing the gap becomes the next step in performance coaching.
Finding ways to close the gap requires creative thinking, often in real time,
and precedes the decision about which solution is best. Creating a list of
possible solutions before selecting one is the focus of this chapter. Think of
this step as brainstorming solutions. Any problem can be solved in many
ways, and this step requires performance coaches to brainstorm what solu-
tions are possible.

How This Chapter Is Organized

This chapter is organized into the following parts:

 What This Step Means

 Why This Step in Performance Coaching is Important?
 Examples of This Step in Performance Coaching
 Brainstorming Solutions to Performance Problems
 Pushing Idea Generation of Possible Solutions into Real Time
 Brainstorming Ways to Innovate Beyond Present Performance
 How This Step Can Go Wrong—and How to Avoid the Missteps
 Competencies Required by Performance Coaches to Generate Ways to
Close Gaps

DOI: 10.4324/9781003155928-14 349

350  Analyzing the Solution

 Key Factors to Remember

 Coaching and Developmental Questions for Managers

What This Step Means

Step 7 is about generating as many creative ways to close performance gaps
as possible. Recall that gaps can be negative (i.e., a deficiency between
what is and what should be), neutral (i.e., actual results match targets), or
positive (i.e., a strength in which present conditions are better than desired
targets).
When gaps are negative, closing them requires corrective action. When
gaps are neutral, no action is warranted. However, performance coaches
should consider possible creative ways to take advantage of neutral condi-
tions to achieve competitive advantage. When gaps are positive, any action
involves intensifying strategic strengths—or getting better at what the orga-
nization, team, or individual already excels at.

Why This Step in Performance Coaching Is Important?

This step is important because any performance gap may be closed in many
possible ways. It must be emphasized that no problem has just one solu-
tion; no performance gap can be closed in just one way. Additionally, some
problems—what some call “wicked problems” (Bentley and Toth 2020)—
may require multiple steps, and multiple solutions (Williams and Van’t Hof
2016), to solve.

Avoiding the Temptation to Jump to Conclusions

Most people have an unfortunate tendency when they confront a problem
to jump to the first solution they can think of. That is particularly true of
busy managers who are pressured to perform and are therefore eager to
solve a problem quickly when they spot one. Performance coaches and their
coachees are no different from other people. It is thus tempting—particularly
for anyone feeling a strong sense of urgency—to grasp at the first solution
they can identify. Yet, hastily chosen actions will often exacerbate a problem
rather than alleviate it because the consequences of those actions may be
ignored in a bid to choose expediency to effectiveness.
 Step 7: How Many Ways Can the Gap Be Closed?  351

Pause and Consider

While many contemporary business observers claim that modern times are
more pressure-packed than the past, the reality is that people have always
been tempted to jump to conclusions.
When performance coaches and coachees encounter performance gaps,
they should briefly pause and consider what to do. The first step in that
process is to stop. Call a time out. The second step is to reflect, even if only
momentarily, on the issue. The third step is to generate as many possible
solutions as possible. Those three steps can be taken quickly and in real
time. But it is important to carry out those steps rather than short-circuiting
them in a bid to make decisions fast.

Examples of This Step in Performance Coaching

Perhaps, some examples will help to clarify what this step means.

A Performance Coach Dealing with a Negative Performance Gap

The situation: John Smith, a manager, is confronting a problem with Mary
Georgeson. Georgeson works on an assembly line. Her coworkers complain
that she is not keeping up with the production line and that means that
the line itself is not meeting the production standards. The plant engineers
have set the standard at 400 products per hour. But the line is producing
only 380. Additional investigation and observation verify that Georgeson’s
performance is causing the performance gap. And it is measurable. Each
product is worth $3.74. A gap of 20 products per hour costs $74.80 per hour.
That translates into $598.40 per shift and $2,992 per five-day week. It Is thus
important because it leads to a sizable loss of money.
The conversation between the performance coach and coachee: Smith
decides to have a performance coaching session with Georgeson. He follows
the steps of the performance coaching process. When he reaches step 7, the
conversation goes as follows:

Smith: [He stops a moment to think about the situation. Then he considers
how to proceed based on the body language and general mannerisms of
the coachee.] How do you think you might be able to improve your work
with your co-workers on the assembly line?
352  Analyzing the Solution

Georgeson: I am not quite sure. You have not given me enough training,
and this meeting is the first time I have heard about the production
problems. While my co-workers have complained to you about me—
apparently—they said nothing to me. You are the manager. You tell me
what you want me to do, and I will try to do it.
Smith: Well, of course, I can tell you what to do. Given that we have deter-
mined the root causes of the problem that you feel that you were not
given adequate training and were not informed of the problem, I think
we should begin by giving you the training. Do you agree? You are also
informed of the production standard and the perception that you are
causing the assembly line production shortfalls. Do you agree? Can we
brainstorm on other possible solutions to the problem?
Georgeson: Sure. I think you should also look at the capping machine on
the production line. Every time I work on that, I find that it is not per-
forming properly. You should have the assembly line mechanics look
at it.
Smith: Fair enough.

Note that, in the previous discussion, Smith encourages Georgeson to brain-

storm on possible solutions. He does that to encourage her to take respon-
sibility for solving her own problems. But he could have gone steps further
by probing Georgeson for more solutions and more discussion about what
might be causing her performance problems. He could also have offered
pointed suggestions based on his own assessment of the situation.

A Performance Coach Dealing with a Neutral Performance Gap

The conversation in the previous section would have been different if the
assembly line had been meeting production standards. Under traditional
management thinking, the principle of management by exception would dic-
tate that no conversation should occur between the performance coach and
coachee for the simple reason that no problem exists (Blokdyk 2018).
Management by exception is based on the view that managers should pri-
oritize their time use. They should, according to the principle, focus only on
solving problems. If results match plans, then managers should do nothing.
After all, no problem exists.
But a neutral performance gap could also present an opportunity to
improve. Consider the revised conversation between Smith and Georgeson
in the following.
 Step 7: How Many Ways Can the Gap Be Closed?  353

The conversation between the performance coach and coachee: Smith

decides to have a performance coaching session with Georgeson. He follows
the steps of the performance coaching process. When he reaches step 7, the
conversation goes as follows:

Smith: [He stops a moment to think about the situation. Then he considers
how to proceed based on the body language and general mannerisms of
the coachee.] What are your thoughts on the production levels expected
of the assembly line you are working on?
Georgeson: I think it could be better. But it meets the targets managers—
and engineers—set for it. I suppose they knew what they were doing
when they set those targets.
Smith: I suspected as much. I always say that, if you do only what is
expected, you will end up mediocre at best. Pinpointing opportunities
for improvement—even when they are not necessarily needed—can offer
unique chances to outsmart competitors.
Georgeson: I agree with you. But I also think the workers are doing about
as well as they can.
Smith: Sure, sure. But are you willing to spend a few minutes to brainstorm
with me on ways that the production levels might be increased? What
about involving your co-workers in the same kind of brainstorming?

Note that performing in alignment with targets, or expectations, does noth-

ing to give the organization a competitive advantage. It is just not good
enough. While workers should know what is expected and take steps to
meet the minimum standards, they should also be told they are expected to
engage their minds to find ways to give their organizations advantages. That
can be done by constantly questioning how performance could be better.

A Performance Coaching Dealing with a Positive

Performance Gap
Performance coaches should be prepared to go beyond mere efforts to close
negative performance gaps or prompt new, creative thinking about neutral
gaps. The conversation in the previous section would have been differ-
ent if the assembly line had been exceeding production standards. Using
strengths-based management, performance coaches might prompt workers
to think about how they could build on their strengths even when individu-
als, teams, or organizations exceed expectations.
354  Analyzing the Solution

Strengths-based management is the view that what people enjoy doing

most may indicate their strengths (Clifton 2008). It is easier, the theory
holds, to enhance performance if it is already a strength (Orem, Binkert, and
Clancy 2007). Doing so requires visioning, a process of thinking forward
about an optimistic view of the future in which individuals or teams have
leveraged their strengths to maximum advantage. What would that look like?
The answer to that question is a strengths-based future vision.
Performance coaches can encourage people—in real time—to think
about what they enjoy most and what they do best. That can lead to a tacti-
cal (daily) view of how to leverage strengths.
A positive performance gap presents an opportunity to build on
strengths. Consider the revised conversation between Smith and Georgeson
in the following.
The conversation between the performance coach and coachee: Smith
decides to have a performance coaching session with Georgeson. He follows
the steps of the performance coaching process. When he reaches step 7, the
conversation goes as follows:

Smith: [He stops a moment to think about the situation. Then he considers
how to proceed based on the body language and general mannerisms of
the coachee.] What do you feel you do best on your job every day? What
do you believe are the strengths of your workgroup on the assembly
line?
Georgeson: I think our production levels are very high. And they are
consistent.
Smith: That is a strength. But do you enjoy achieving such high levels of
production? How much do you feel your co-workers take pleasure in
such super-production?
Georgeson: I can’t speak for others. But it does give me a sense of satisfac-
tion to see that our team outperformed the rest of the plant!
Smith: How do you think we could give you that feeling more often? You
say you sense it daily. But could we give you that feeling of accomplish-
ment more often?
Georgeson: I suppose so. Maybe we could hold periodic discussion groups
at break time about how things are going?
Smith: That is an excellent idea. How would you see that working?
Georgeson: I think we should schedule daily brainstorming sessions to gen-
erate ideas—and intensify our feelings achieved from the day’s produc-
tion levels.
 Step 7: How Many Ways Can the Gap Be Closed?  355

Smith: Brainstorming might get old after a few days.

Georgeson: Maybe we should involve the workers in coming up with a list
of ways that we could use to generate ideas. That way we would not
wear any of them out quickly.

A Tool to Guide Performance Coaches

through Brainstorming
Use the tool appearing in Table 10.1 as a job aid to help you carry out this step.

Brainstorming Solutions to Performance Problems

To carry out step 7, performance coaches and coachees must be able to
brainstorm solutions to performance gaps.
There are three ways to do that.

Table 10.1 A Tool to Guide Performance Coaches through Brainstorming: How

Many Ways Can the Gap Be Closed?
A Tool to Guide Performance Coaches through Brainstorming:
How Many Ways Can the Gap Be Closed? 
Directions:
For each step in the left column below, indicate in the center column if you have
considered it or not. Check the appropriate box. In the right column, take notes
about what you could do in that step.
Your
Answer
Notes About
Yes No What You Can
Have You, as Performance Coach, Done the Following: √ √ Do 
1 Identified the performance gap or else guided the
coachee to identify the performance gap?
2 Paused a moment?
3 Considered ways to close gaps in real time (such as
real-time brainstorming) or else guided the coachee to
consider ways to close the gap?
4 Created a lengthy list of possible ways to close the gap?
Source: Copyright 2021 by William J. Rothwell.
356  Analyzing the Solution

The first way is to rely on traditional approaches to finding creative solu-

tions to problems. Typical approaches include:

 brainstorming
 mind mapping
 the Delphi technique
 nominal group technique

In brainstorming, group members first pick a problem. Then, they cre-

ate a list of as many ideas as they can think of. Finally, they discuss
solutions and vote for one. In mind mapping, group members draw
pictures to illustrate what concepts they associate with an issue—and
thereby generate associations, which may prompt possible solutions. In
the Delphi technique, which takes its name from the ancient temple of
Delphi in Greece, a panel of experts are assembled. They are individu-
ally asked to offer solutions. Then, the combined list is handed back to
them, and the experts are prompted to vote for the best solutions while
also offering more ideas. This cycle of voting and generating ideas is
carried out over four rounds. The nominal group technique (NGT) relies
on silent idea generation from a group and then group voting to pick the
best idea.
Much has been written about such methods of channeling creative think-
ing at a time when leadership in innovation has grown to become key to
competitive advantage (Gliddon and Rothwell 2018). More than 105 ways for
individuals or groups to generate creative ideas are listed in Van Gundy’s
classic book Techniques of Structured Problem Solving (1988).
Some of the well-known approaches to idea generation described ear-
lier (and at greater length in an earlier chapter) can be adapted for give-
and-take, real-time discussions with workers. For instance, a manager and
worker can work together over a table in the company break room to list
out many possible ways to solve a problem. That does not require expen-
sive software or even a work group; rather, one manager and one worker
could do it if they set their minds to it. Likewise, the same manager and
worker could draw a picture on a napkin of ways to solve a problem.
That does not require a group or even an office or conference room. Two
people—the manager and a worker—can each write their own list of solu-
tions and then share them to see on what solutions their lists share in com-
mon and what solutions might differ across lists. That method can prompt
discussions to generate more solutions.
 Step 7: How Many Ways Can the Gap Be Closed?  357

The second way is to apply a growing number of virtual ways to gener-

ate ideas. These ways are sometimes called group decision support systems,
collaborative software solutions, idea management software, creative proj-
ect management software, or sometimes creative management software.
They often encourage asynchronous, workgroup idea generation; they
encourage collaboration; they sometimes permit idea ranking; they allow
crowdsourcing for ideas; they allow status tracking; and much more. It
is thus possible to do virtual coaching to improve performance—as well
as to improve how well people in teams work together to achieve results
(Rothwell and Park 2021).
The third way is to find creative solutions in real time. Time is becoming
the only real source of competitive advantage. While traditional approaches
to finding creative solutions often require time to apply, real-time efforts to
discover creative solutions must be carried out “on the fly” (in normal con-
versation and on the job). Linkner’s (2021) book Big Little Breakthroughs:
How Small, Everyday Innovations Drive Oversized Results gives ideas about
how to do that and is aligned with other real-time approaches—such as
those geared to developing talent daily (Rothwell, Chee, and Oi 2015) or
microlearning approaches designed to meet immediate learning needs
(Torgerson 2020). Many of the approaches suggested in “Idea Generation”
(2021) can also be adapted to real-time applications by performance coaches.

Pushing Idea Generation of Possible

Solutions into Real Time
How can performance coaches speed up the process of generating a list of
possible solutions to performance problems into real time? Often the goal is
not to apply rigorous approaches to problem-solving; rather, the goal is to
generate a long list of possible solutions.
Performance gaps can exist for organizations, work groups or teams, or
individuals. Consider an example of how to generate a lengthy list of solu-
tions with a team.

The Situation
Rolanda Dirksen is the team leader of a customer service team that takes care
of the Northeastern United States for a well-known insurance company. The
team answers customer questions and any insurance policy problems that may
358  Analyzing the Solution

arise. The team has been experiencing declining customer satisfaction mea-
sures as indicated by weekly customer surveys. It seems clear that the mea-
sures are declining because the team is pressured to service increasing calls.

The Conversation with the Team

The conversation between the performance coach and the team (coachees):
Dirksen decides to have a virtual performance coaching session with her
team. All team members work from home. Some are based in the U.S.; some
are based in Asia or Europe. Dirksen follows the steps of the performance
coaching process. When she reaches step 7, the conversation goes as follows:

Dirksen: [She stops a moment to think about the situation. Then she considers
how to proceed.] What ideas do you have, as a team, about ways we can
bring up our customer satisfaction scores?
Team Member 1 (Lorton Wiles with the webcam off on a videoconfer-
ence): Why are you asking us? You are the one making the big bucks as
manager, which they now euphemistically call “team leader.” You tell us.
Dirksen: We need to work together effectively. You are being paid for more
than just typing. The organization expects you to give us ideas. Could
we focus on the issue please?
Team Member 2 (Cheryl Laddrun): Dirksen is right. I suggest we examine
the root cause and then generate a list of possible ways to improve the
scores. Since we are paid in part on how we score, I think this is an
important issue for us individually as well as for the organization.
Dirksen: Good. Let’s do that.
Team Member 3 (Jon Cronson): I think that we are stressed out. I know I
am. I think we need to do some quick research, perhaps a quick google
search, on best ways to maintain civility while under pressure and while
stressed out.
Team Member 4 (Laura Bach): I don’t know what to suggest. It is lunch time
here. [She giggles.]

Note that, in the previous discussion, Dirksen prompts the team to do

real-time problem-solving to close the gap in customer service scores
revealed by the weekly customer satisfaction surveys. That is a way to
demonstrate step 7 for a team. Dirksen, as performance coach, does that
to tap into team creativity while also building ownership in the problem
and solutions.
 Step 7: How Many Ways Can the Gap Be Closed?  359

Brainstorming Ways to Innovate Beyond Present

Performance
Performance coaches can use many ways to brainstorm how to innovate
beyond present performance. The trend is, of course, to do that in real time.
Real-time idea generation for the performance coach—and performance
coachees—is the key to success. An alternative is to spin off problems to
committees or team that will study a problem at greater depth and then
offer solutions. But handing off problems to committees often delays action.
While it may be an excellent way to kill action—or the motivation to take
action—the demands of today’s workplace often requires immediate, if only
adequate, solutions.
Among the ways that ideas may be generated include:

 observing people perform and reflecting on what they do to discover

new ideas to address performance issues
 reading newly published books and/or journals and reflecting on how
to apply new ideas to address performance issues
 surfing the web with random keywords to generate ideas to apply to
performance issues
 meditating on ideas to address performance issues
 using structured approaches, such as mind mapping, to generate ideas
to apply to performance issues
 talking to people you do not know and asking their opinions about
ways to solve performance issues
 rephrasing your performance problem and then seeing if that offers
new solutions to performance problems
 intensifying performance problems and then seeing if that offers new ideas
 thinking about the performance problem overnight (“sleep on it”)
 brainstorming solutions to problems and then seeing which ones might
fit the performance problems you are facing

Use the assessment shown in Table 10.2.

Of course, other innovative ways exist to solve performance problems or
leverage strengths. Consider, for instance, changing:

 who does the work

 What work is done
Table 10.2 An Organizational Assessment of Approaches to Find Creative Solutions to Problems in Real Time.

360 
An Organizational Assessment of Approaches to Find Creative Solutions
to Problems in Real Time
Directions:
Use this instrument to assess how well you feel your organization’s performance coaches are generally able to apply real-time

Analyzing the Solution

approaches to generating solutions to performance problems.
Use this scale: 0 = Not at all; 1 = Performance Coaches Do This Very Poorly; 2 = Performance Coaches Do This Poorly; 3 = Performance
Coaches Do This Somewhat Well; 4 = Performance Coaches Do This Well; 5 = Performance Coaches Do This Very Well. Rate the items.
When you finish, add up the scores in the right column and place the total below. Then consult the scoring interpretation.
How Well Do You Feel That Performance Coaches in This Organization Are Generally Able to Apply Real-Time Ratings
Solutions to Generating Solutions to Performance Problems? 0 1 2 3 4 5
1 Observing people perform and reflecting on what they do as means to discover new ideas to
address performance issues
2 Reading newly published books and/or journals and reflecting on how to apply new ideas to
address performance issues
3 Surfing the web with random keywords to generate ideas to apply to performance issues
4 Meditating on ideas to address performance issues
5 Using structured approaches, such as mind mapping, to generate ideas to apply to performance issues
6 Talking to people you do not know and asking their opinions about ways to solve performance issues
7 Rephrasing your performance problem and then seeing if that offers new solutions to performance
problems
8 Intensifying performance problems and then seeing if that offers new ideas
9 Thinking about the performance problem overnight (“sleep on it”)
10 Brainstorming solutions to problems and then seeing which ones might fit the performance
problems you are facing
Total per column
Grand total (total of six columns divided by 10)
Source: Copyright 2021 by William J. Rothwell.
 Step 7: How Many Ways Can the Gap Be Closed?  361

Scoring (for Table 10.2)

If your score is Then
50–41 Congratulations. Your organization is doing a good job, in your
opinion, of generating solutions to performance problems.
40–31 Give your organization a grade of B. You have some work to do, but it
appears that you are headed in the right direction in generating
real-time ideas to solve problems.
30–21 Give your organization a grade of C. It is about average. Work on the
issues you rated low.
20–11 Give your organization a grade of D. It is below average. Work on the
issues you rated low.
10–0 Fail your organization. Take immediate corrective action.

 When the work is done

 Where the work is done
 How the work is carried out

How to Meet the Special Challenges Posed by This Step

There are several ways this step can pose challenges.
First, performance coaches may be tempted to apply the first solution
they can think of. For instance, they may suggest the coachee participate
in training—even when training is not warranted or is not an appropriate
solution. Suggesting training as a solution is admittedly a fast way to shift a
problem to someone else, but training is often the most expensive solution.
Further, only 8% of off-the-job training transfers back to a job in changed
before, and it is thus rarely an effective, sustainable solution.
Second, performance coaches may fall victim to distractions posed by
coachees. The most common distractions offered by coachees when accused
of negative performance gaps are to:

 plead that performance gaps are the fault of the organization or coach
by not providing sufficient training
 indicate that they were never informed of performance standards; key
performance indicators; common or best business practices; organiza-
tional policies and procedures; or relevant laws, rules, and regulations
 suggest that other workers are not treated the same way and thus objec-
tions to performance are unfair and capricious
362  Analyzing the Solution

Table 10.3 A Tool to Avoid Common Challenges When Considering Ways to

Close Gaps.
A Tool to Avoid Common Challenges When Considering Ways to Close Gaps
Directions:
For each step in the left column below, indicate in the center column if you have
considered it or not. Check the appropriate box. In the right column, take notes
about what you could do in that step.
Notes About
Have You Taken Steps to Avoid Each of the Following Common Your How to Avoid
Missteps When Considering Ways to Close Gaps? Answer the Mistakes
Yes No
Did you : √ √  
1 Plead that performance gaps are the fault of the
organization by not providing sufficient training?
2 Plead that performance gaps are the fault of the coach by
not providing sufficient training?
3 Indicate that they were never informed of performance
standards; key performance indicators; common or best
business practices; organizational policies and
procedures; or relevant laws, rules, and regulations?
4 Suggest that other workers are not treated the same way
and thus objections to performance are unfair and
capricious?
Source: Copyright 2021 by William J. Rothwell.

Of course, other missteps can be made. But these are the most impor-
tant. Consider using the tool appearing in Table 10.3 to brainstorm ways to
address these common missteps.

Competencies Required by Performance Coaches to

Generate Ways to Close Gaps
Performance coaches should be able to:

 pause during a performance problem: Coaches should pause and con-

sider a performance problem before jumping to conclusions or provid-
ing solutions that sound good but are not. Stop a moment and think
 Step 7: How Many Ways Can the Gap Be Closed?  363

when confronted with a problem. Encourage other people, like the

coachee, to do likewise. Call and time out and think about the problem
and possible solutions. In practice that can be done by asking for a rest-
room break or a stretch break.
 reflect and meditate effectively: Do soul-searching. Think about what is
going on and how many solutions are possible to a given problem. Take
a deep breath or rely on real-time meditation strategies to clear the mind.
 ponder creatively on ways to solve problems: Do not trust the first idea
that pops into the mind. Try to take the first idea and ask “how can that
idea be leapfrogged—that is, go one better than that?”
 ponder creatively on how to find opportunities when confronting
neutral performance gaps: Do not ignore performance when it is
meeting expectations. Ask what issues could be pushed to advan-
tage by not taking it for granted. Never be satisfied or complacent
about how things are. Be willing to ask coachees what they take for
granted in their own performance and how that performance could
be improved.
 ponder creatively on how to leverage individual, team, or organiza-
tional strengths: Always ask how strengths may be pushed to greater
advantage. Always push coachees what they believe they do best
and then how they could get even better at what they are already
good at.

Business Case Example

Continuing with the MBD case (as in previous chapters), the management
team decided to generate a lengthy list of possible ways to close the perfor-
mance gap. To that end, they chose not to meet in person, which is often a
preferred way to do brainstorming or other idea generation approaches, and
instead decided to meet online by videoconference.
The MBD team was keenly aware that face-to-face meetings lead to more
ideas than face-to-face meetings. One source found that, on average, a face-
to-face meeting will generate more than thirteen ideas, but a virtual meeting
will generate only 10 (“Face Squared—The Numbers Behind Face to Face
Networking” 2021). But the team still decided to choose a virtual meeting
because it was far less costly than a residential meeting where travel costs
can be excessive.
364  Analyzing the Solution

Step 1
The MBD team began preparing for the virtual meeting by preparing an
agenda for the virtual meeting. Team members decided on the agenda—and
on how much time would be set aside for idea generation. They arbitrarily
chose a one-hour time limit for idea generation. They then sent out a doodle
poll to pick the day and time for the meeting, since their schedules are busy.
A decision was made on the day and time, and the invitation was sent out to
all team members.

Step 2
On the day of the virtual meeting, the team members assembled. They
had chosen simple brainstorming as the preferred way to generate as
many ideas as possible. A facilitator was brought in from the HR depart-
ment to help the team come up with as many ideas as possible in the
shortest time. The facilitator began by describing what the team members
would do, why they would do it, and how the brainstorming process was
to be structured.

Step 3
The facilitator led the group in coming up with many ideas. She had cau-
tioned team members that they should not be critical during the first step
of brainstorming and simply list as many ideas as they could think of to
close the performance gap. When team members started to find issues with
the ideas, the facilitator intervened and reminded the group not to be criti-
cal during the first step of brainstorming. The facilitator then led the group
through a process of discussing the list of ideas.

Key Factors to Remember

Let’s review the lessons in this chapter about generating ways to close per-
formance gaps:

 Avoid the temptation to jump to conclusions

 Pause and consider before offering a solution to a performance problem
or a vision for leveraging a performance strength
 Focus on conversations, online discussions, or techniques of problem-
solving to address performance problems or strengths
 Step 7: How Many Ways Can the Gap Be Closed?  365

 Prompt coachees to create new ideas to solve performance problems or

leverage performance strengths
 Provide guidance, as performance coaches, to coachees through cre-
ative group sessions, virtual and asynchronous sessions, and one-on-
one real-time sessions
 Generate as many ideas as possible before selecting one
 Avoid common mistakes made in generating ideas to close perfor-
mance gaps

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of different ways of
pausing when confronting a problem or issue?
– What is missing or in the way of your understanding?
– What is your action plan to increase your overall rate?

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of generating many
possible solutions to performance problems/negative gaps?
– What is missing?
– What is your action plan to increase your overall rate?

(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to generate ideas to address neutral perfor-
mance gaps?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of creative ways to
leverage positive performance gaps?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

References
Bentley, Joseph, and Michael Toth. 2020. Exploring Wicked Problems: What They
Are and Why They Are Important. Bloomington, IN: Archway Publishing.
366  Analyzing the Solution

Blokdyk, Gerardus. 2018. Management by Exception, 2nd ed. Virginia Beach, VA:
CreateSpace Independent Publishing Platform.
Clifton, Don. 2008. Strengths-based Leadership: Great Leaders, Teams, and Why
People Follow. Washington, DC: Gallup Press.
“Face Squared—The Numbers Behind Face to Face Networking.” 2021. Great
Business Schools. www.greatbusinessschools.org/networking/.
Gliddon, David, and William Rothwell, eds. 2018. Innovation Leadership. New
York, NY: Routledge.
“Idea Generation.” 2021. Science Direct. www.sciencedirect.com/topics/
computer-science/idea-generation.
Linkner, Josh. 2021. Big Little Breakthroughs: How Small, Everyday Innovations
Drive Oversized Results. New York, NY: Poster Hill.
Orem, Sara, Jacqueline Binkert, and Ann Clancy. 2007. Appreciative Coaching: A
Positive Process for Change. San Francisco, CA: Jossey-Bass.
Rothwell, William, Peter Chee, and Jenny Ooi. 2015. The Leader’s Daily Role in
Talent Management: Maximizing Results, Engagement, and Retention. New
York, NY: McGraw-Hill.
Rothwell, William, and Cho Hyun Park. 2021. Virtual Coaching to Improve Group
Relationships: Process Consultation Reimagined. New York, NY: Routledge.
Torgerson, Carla. 2020. Designing Microlearning (What Works in Talent
Development). Alexandria, VA: Association for Talent Development.
Van Gundy, Arthur. 1988. Techniques of Structured Problem Solving, 2nd ed. New
York: Van Nostrand Reinhold; Brentwood, TN: Post Hill Press.
Williams, Bob, and Sjon Van’t Hof. 2016. Wicked Solutions: A Systems Approach to
Complex Problems. Morrisville, NC: Lulu.
Chapter 11

Step 8: What Is the

Most Effective Way
to Close the Gap?
William J. Rothwell

Once the root cause(s) of a performance gap is clear to stakeholders and

possible ways to close the gap have been brainstormed, performance
coaches should pinpoint the most effective way to close the gap. Pinpointing
the most effective way to close the gap is a mixture of art and science, since
performance coaches must strike a balance between cost, effectiveness, and
other consideration (such as organizational politics) when choosing the most
effective solution. Finding the most effective way to close the gap is impor-
tant because that means choosing the solution.
It can be tempting to forego a reasoned choice and simply grab some-
thing that looks appealing and can be implemented quickly and perhaps
inexpensively. But it is best to do some reasoned analysis to determine
what solution choice will strike the balance among cost, speed, business
impact, and other considerations (such as sustained management sup-
port). Admittedly, that is not always possible for various reasons—and
that can include company politics. Indeed, performance coaches will find
occasions when expediency simply trumps reasoned action. Still, it is
best to aim for the best, rather than the fastest or cheapest, solution when
possible.

DOI: 10.4324/9781003155928-15 367

368  Analyzing the Solution

How This Chapter Is Organized

This chapter is organized into the following parts:

 What This Step Means

 Why Is This Step in Performance Coaching Important?
 Approaches to Determining the Best Solution Choice
 Competencies Required by Performance Coaches to Select the Best
Choice
 Key Factors to Remember
 Coaching and Developmental Questions for Managers

What This Step Means

Step 8 is about selecting a solution from the choices generated in step 7. In
step 7, performance coaches generate as many possible solutions as they
can think of; in step 8, they narrow them down to one or more desirable
choices. It may sound easy. But it rarely is. Many factors complicate the
choice of what solution to use to solve a problem. While it might seem that
cost/benefit analysis—what some people call Return on Investment (ROI)—
would be the governing issue to consider (Phillips and Phillips 2006), it
turns out that organizational politics is a more frequent issue of concern
when selecting a preferred solution.
Organizational politics is a term that covers many notions. Politics is the
study of power and authority. Political issues in organizations are not merely
rational but are often perceptual and emotional (Dobson and Dobson 2006;
Greiner and Schein 1998), having to do with who gains and who loses in
any change effort. Implementing a performance coaching solution is an exer-
cise in power, and those affected by that solution may welcome it, detest it,
have mixed feelings about it, or have relatively neutral feelings due to per-
sonal or professional reasons. Self-interest is the basis of all organizational
politics.
Politics itself can sometimes be regarded as a performance problem. In
fact, as Hochwarter et al. (2020, 880) note, “demonstrating the continued
relevance of office politics, a recent survey of 2,700 individuals from over
100 countries indicated that members of the modern workforce view office
politics as one of the top barriers to job performance” (HBR Ascend Staff
2019). Common sense may dictate one course of action or solution, but
 Step 8: What Is the Most Effective Way to Close the Gap?  369

the self-interest of leaders or other powerful stakeholders may drive other

choices. Perhaps that is what is meant by the old joke that “there is a right
way, a wrong way, and our way.”

Why Is This Step in Performance Coaching Important?

This step is important because any performance gap may be closed effec-
tively through more than one solution. (In fact, some gaps must be closed
by multiple solutions.) Negative gaps require solutions; neutral gaps do not
require the choice of corrective action but can still prompt action if that
action will produce benefits that outweigh the costs or will provide other
benefits; positive gaps require efforts from among many choices to lever-
age strengths and thereby intensify (and build on) success. The point worth
emphasizing here is that closing a gap requires decisions to be made about
what solution among many should be chosen. Performance coaches take the
lead in selecting the solution(s) and implementing them.
Of note is also that any gap may result from more than one root cause
and may thus require more than one solution. Multiple solutions have the
potential to interact and create new problems—a fact that medical doctors
know well when they consider prescribing one medicine to cure illness
when the patient is already on other medicines to treat other conditions.
Medical doctors call it contraindication—meaning that medicine may create
harmful side effects when combined with one or more other medicines.
Taking aspirin is a famous example of contraindication. If patients have
headaches, medical doctors may prescribe aspirin. But aspirin has a famous
side effect: it causes stomach distress. It is thus possible to take medicine to
cure one problem only to cause other, different problems. The same prin-
ciple applies when selecting solutions during performance coaching.
Think about the issues that can arise when coaches set out to address a
performance problem. A simple example may illustrate the point. Suppose
Manager Anita Thompson wishes to demonstrate an appreciation for deal-
ing with family problems to address expressed concerns on the company’s
workplace engagement survey. Worker Marita Ortez visits Thompson and
requests permission to leave work early because Ortez has a child who is
performing in a school play. Thompson grants the request. When the time
comes for Ortez to leave early, her coworkers see that she is cleaning up her
desk and is preparing to leave work thirty minutes early. They ask where
she is going, and she tells them the manager gave her permission to leave
370  Analyzing the Solution

so that she could attend her child’s play at school. Her coworkers then go
to Thompson with many of their own legitimate reasons to leave early.
Since Thompson granted Ortez’s request, she knows that she cannot deny
legitimate requests if she is to avoid charges of favoritism. She grants all the
requests and finds that the entire work unit is empty at the end of the day
even as customers demand immediate service. The point to the example is
that solutions taken to address one cause may lead to other problems that
can spiral out of control with results that prompt nightmares.
So, an important point here is to list out the possible solutions to a per-
formance problem and then apply whatever analytical approaches that time
permits. While a robust analysis is rarely possible because of intense and
immediate pressures to act, such an approach will likely result in better solu-
tions than grabbing and using the first idea that occurs to decision-makers.

What to Consider
When selecting the most feasible solution to a problem, performance
coaches will find that they can rely on many ways to do that.
Consider such approaches as:

 What solution(s) will most decision-makers and/or workers like?

 What solution(s) will be most appealing to key (powerful) stakeholder
groups and decision-makers?
 What solution is most likely to be implemented?
 What solution will be most likely to yield measurable results?
 What solution(s) will strike a balance between cost and speed?
 What solution(s) will be most sustainable and likely to “stick” in the
corporate culture?
 What solution(s) will most likely yield a favorable return on investment?
 What solution(s) will most likely have the most impact on individuals,
teams, or organizational goals?

Use the tool shown in Table 11.1 to help reflect on, and answer, the ques-
tions appearing earlier.
Many other ways may, of course, be used to reach decisions. But the
aforementioned list probably encompasses the most common ways that a
decision is reached on how to close performance gaps.
 Step 8: What Is the Most Effective Way to Close the Gap?  371

Table 11.1 A Worksheet to Consider the Most Feasible Solution.

A Worksheet to Consider the Most Feasible Solution
Directions:
Use this Worksheet to narrow down a brainstormed list of possible solutions to
performance problems to the most feasible solution(s). For each question
appearing in the left column below, make notes in the right column below.
Questions Answers
1 What solution(s) will most decision-
makers and workers like?
2 What solution(s) will be most
appealing to key (powerful)
stakeholder groups and
decision-makers?
3 What solution is most likely to be
implemented?
4 What solution will be most likely to
yield measurable results?
5 What solution(s) will strike a balance
between cost and speed?
6 What solution(s) will be most
sustainable and likely to “stick” in the
corporate culture?
7 What solution(s) will most likely yield a
favorable return on investment?
8 What solution(s) will most likely have
the most impact on individuals, teams,
or organizational goals?
9 What other issues, if any, should be
considered? (List them below at line
10, 11, and 12 and then write your
answers in the column at right.)
10
11
12
Source: Copyright 2021 by William J. Rothwell.
372  Analyzing the Solution

How to Close the Gaps

It is worthwhile to drill down and examine how performance coaches may
use each approach mentioned earlier.

What Will Decision-Makers and/or Workers Like?

This approach means nothing more than running a popularity contest of
sorts. Ask managers and/or workers what solution they like the most. Be
sure to find out why they prefer one solution over others. Also note any
voiced opposition to a solution, find out why that opposition is raised, and
consider ways to overcome voiced concerns.

What Is Most Likely to Be Implemented?

Sometimes the best way to select a solution is to think about which one is
most likely to be implemented. A good way to do that is to ask veterans
of the organization—that is, denizens of the corporate culture who have
worked for the same organization a long time and know the decision-makers
personally—what solution they believe will be most likely to endure. Often
the old timers are good judges of what will work—and what will lead to
dismal failure.
To use this approach, call together a group that represents long-service
workers. Preferably choose workers who know the company’s leaders well.
Then brief the workers on what problem you are trying to solve and what
range of solutions you have identified. Point to one solution that you believe
is best. Then ask for the workers’ thoughts on what will happen if that solu-
tion is chosen and implemented. Be sure to probe the workers on why they
believe that a solution will lead to the results they predict. Note that this
approach will work only if the workers trust you and do not believe that you
will betray them in ways that will be counter to their own self interests. Use
the tool appearing in Table 11.2 to help you carry out the steps just described.

What Will Be Most Likely to Yield Measurable Results?

There are occasions when stakeholders do not care about anything more
than solving a problem. They may not care if it yields a favorable cost/benefit
ratio or return on investment; rather, their interest centers on solving a prob-
lem and getting immediate, measurable results.
 Step 8: What Is the Most Effective Way to Close the Gap?  373

Table 11.2 A Worksheet to Determine What Solutions Are Most Likely to Be

Implemented.
A Worksheet to Determine What Solutions Are Most Likely to Be Implemented
Directions:
Use this Worksheet to determine what solutions are most likely to be implemented.
For each step enumerated in the left column below, take notes on what you did
and/or the outcomes of what you did in the right column. When you finish, share
the results of this Worksheet with others in the organization to build support for
the solution and to take steps to avert likely unpleasant side effects caused by
solution implementation. (Also note any positive side effects that may be caused by
solution implementation and describe how to enhance or intensify their impact.)
Action Steps What Did You Do?
1 Call together a group that represents
long-service workers.
2 Brief the workers on what problem you
are trying to solve and what range of
solutions you have identified. (Point to
one solution you believe will work best.)
3 Ask for the workers’ thoughts on what
will happen if that solution is chosen
and implemented. (Note responses at
right. Probe for what the participants in
the group believe would be the best
ways to avoid the likely consequences of
implementing the preferred solution.)
4 Note the list of likely side effects and
possible actions to take to avoid the
bad side effects of implementing the
preferred solution.
Source: Copyright 2021 by William J. Rothwell.

To use this approach, select a small group and pilot test the solution(s).
Try the solutions out. Be sure to measure conditions before and after the
pilot test. As a simple example, to try out a new approach to reducing
turnover, identify the turnover rate in an organizational unit before a pilot
test. Then implement the test (for instance, a new onboarding program).
After the test is concluded, measure the turnover rate again over time
to see if introducing a new onboarding program has had any impact on
turnover. While skeptics may point to other changes in the organizational
374  Analyzing the Solution

environment that may have affected turnover rate, the results of a pilot test
are often more persuasive than mere speculation. That is especially true if
anecdotal evidence—like testimonials from workers—support the causal
link between the problem and the solution. Of course, pilot-testing takes
time, money, and effort. It is also important to exercise caution when select-
ing the location of a pilot test, since the support of the manager and work-
ers is often essential to implementation success in any change effort (Sirkin,
Keenan, and Jackson 2005).

What Solution Strikes the Balance Between Cost

and Speed?
Not all approaches to making decisions need to be data based. While some
approaches may be purely subjective, it is possible to find a middle ground
between making decisions based purely on intuition (“gut feel”) and robust,
unassailable facts and figures.
To use this approach, draw a figure like that shown in Figure 11.1. Then
plot the solutions to problems you identified in step 7. The idea is to analyze
your subjective judgments, looking for the solution that appears to be best at
striking a balance between cost and speed.

Figure 11.1 Striking the Balance between Cost and Speed.

 Step 8: What Is the Most Effective Way to Close the Gap?  375

What Will Most Likely Yield a Favorable Return on Investment?

Calculating return on investment (ROI), sometimes called cost/benefit analy-
sis, is a well-known approach. Often, managers may require a calculation of
costs and benefits before an investment is made to solve a problem (Jassy
and Kindness 2021). That is especially true if training is the proposed solu-
tion, since training is so expensive and often so ineffective (Kong 2010;
Kong and Jacobs 2012).
There is not just one way to calculate ROI; rather, there are many. One
well-known approach is the payback method, which shows how long it takes
to repay an initial investment. The payback method is sometimes used to
calculate ROI for machine purchases or other capital outlays, such as loans
taken to pay off a building or other structure. Its primary advantage is its
simplicity; its primary disadvantage is also its simplicity!
There are several ways to calculate ROI. Beattie and James (2021)
describe four such approaches and review each one by using a step-by-step
description.
But few ROI calculations are immune to criticism. Skeptics often ques-
tion the results successfully, since the approach may not address every
possible issue affecting successful implementation of change efforts such as
efforts to close performance gaps. Any implemented solutions may be influ-
enced by other conditions in the organizational setting—such as departing
or entering executives, changes in selection methods, changes in the tech-
nology used in the work, and much more. Any change that affects people
may impact the efficacy of a solution and may impact it more than the solu-
tion you chose.

What Will Most Likely Affect Individuals, Teams, or

Organizational Goals?
In recent years, much attention has been devoted to establishing measurable
goals for individuals, teams, and organizations by using the balanced score-
card or scorecard method. The idea stems from the thinking of Harvard
professors Kaplan and Norton (1996). It has also been applied to consult-
ing projects in an approach called the consultant’s scorecard (Phillips and
Phillips 2011).
Kaplan and Norton’s idea is that organizational success should not be
limited to profitability alone. Financial success is only one measure. Other
measures may also be used to make determinations about organizational
376  Analyzing the Solution

success—and about performance. Kaplan and Norton (1996) list four criteria
to be considered in a scorecard:

 Financial success: How successful is, or should be, the organization

with finances?
 Operational success: How successful is, or should be, the organization
with business operations?
 Market success: How successful is, or should be, the organization with
serving customers and gaining market advantage?
 Learning and growth: How successful is, or should be, the organiza-
tion with addressing issues associated with organizational or individual
learning and growth?

Each cell in the four quadrants can be the basis for establishing measur-
able strategic planning targets; each cell in the four quadrants can also be
the basis for evaluating organizational strategic success. The strategic targets
can be cascaded down the organization chart to establish strategic goals for
each division, department, team or work group, and worker. Worker targets
can be linked to the balanced scorecard organizational goals by establish-
ing key performance indicators (KPIs). KPIs align individual worker perfor-
mance with organizational performance. Skinner (n.d.) provides examples
of KPIs.
The same general approach can be used to set targets and evaluate the
relative success of efforts to close performance gaps. In short, any change
effort—and efforts to close performance gaps are change efforts—can be
planned and evaluated using identifiable measures. An effort to close a per-
formance gap can be the focus of planned targets expressed as KPIs. They
can then be measured for achievement just as decision-makers can mea-
sure the relative achievement of strategic goals or individual KPIs over time
(Thean 2020).
The worksheet appearing in Table 11.3 may be a helpful job aid in setting
and tracking targets for closing performance gaps.

How to Select the Most Feasible Approach

Often performance coaches must select the most feasible and not the
optimal approach. The optimal approach is the best approach. But the
most feasible approach is the one that is the most realistic and most
 Step 8: What Is the Most Effective Way to Close the Gap?  377

Table 11.3 Describe What Is the Performance Gap to Be Addresses?

What Is the Performance Gap to Be Addressed? (Describe It)
Organizational Vision:
Organizational Mission:
Division/Department/Work Group or Team Targets:
Proposed Solution to Close a Performance Gap:
Financial Results (or Results at
Objectives Measures Targets
Milestone Dates)

Market/ Results (or Results at

Objectives Measures Targets
Customer Milestone Dates)

Business Results (or Results at

Objectives Measures Targets
Processes Milestone Dates)

Learning and Results (or Results at

Objectives Measures Targets
Growth Milestone Dates)

Source: Copyright 2021 by William J. Rothwell.

likely to succeed. Choosing the most feasible approach is typically a

judgment call.
Use the Worksheet appearing in Table 11.4 to help you decide which
approach to identifying the best way to close the performance gap is the
most feasible.
378  Analyzing the Solution

Table 11.4 A Worksheet for Selecting How to Close the Gap.

A Worksheet for Selecting How to Close the Gap
Directions:
Use this Worksheet to guide your thinking as a performance coach on how to select
a way to close the gap. In Part I, briefly describe the performance problem/gap. In
Part II, briefly list all the possible ways you can think of to close the gap. Then, in
Part III, for each approach to close the gap described in the left column, offer ideas
about what approach might be a good way to close the gap in the right column. The
value of this tool depends on the quality of your thinking—or those you involve in
completing it.
Part I: What Is the Performance Gap?
Describe the performance gap briefly here:
Part II: Ways You Can Think of to Close the Performance Gap
List many ways to close the performance gap:
Part III: Approaches to Close Performance Gaps
Approach What Solution to the Performance
Gap Would the Approach Identify?
What will decision-makers and/or workers like?
What is most likely to be implemented?
What will be most likely to yield measurable
results?
What solution strikes the balance between cost
and speed?
What will most likely yield a favorable return on
investment?
What will most likely affect individuals, teams, or
organizational goals?
Source: Copyright 2021 by William J. Rothwell.

Competencies Required by Performance Coaches

to Choose the Best Way to Close Gaps
Performance coaches should be able to:

 narrow down, from a list of possible solutions, those that strike a bal-
ance between cost and speed of implementation: list the options. Weigh
 Step 8: What Is the Most Effective Way to Close the Gap?  379

the options based on different considerations—such as cost, likelihood

of acceptance by various stakeholder groups, time for implementation,
likelihood of overall success, and other criteria.
 narrow down, from a list of possible solutions, those that can work
together effectively with a minimum of contraindicators or side effects:
list possible side effects of various solutions. Try to predict the likely
side effects that will stem from solution implementation.
 narrow down, from a list of possible solutions, the most feasible solu-
tion that will be supported by political issues in the organization: define
what is meant by “feasible” in the organization. List out the specific
issues that are part of what is meant by the term “feasible.”
 facilitate workers, individually or in teams, to make decisions to narrow
down the best solutions to performance problems from a list of pos-
sible solutions: involve workers and managers in narrowing down the
solutions to identified performance problems. Describe what is meant
by “best solution” in the context of a specific organization, group or
situation.
 facilitate workers, individually or in teams, to narrow down the solu-
tions most likely to be successfully implemented from a list of possible
solutions to performance problems: describe what is meant by the word
“facilitate” in the context of the national culture, organizational culture,
and group. Involve workers and managers in narrowing down the solu-
tions to performance problems. Involve workers in selecting the “best”
solution to a performance problem.

Business Case Example

The management team of MBD remained committed to following the steps
in the performance coaching model. For that reason, the team continued
working where the project left off in the previous chapter. After brainstorm-
ing many different ways to close the performance gaps identified from previ-
ous steps, the team members reached step 8 in which the challenge was to
select the best way to close the performance gap.
The team members had a lengthy, and some might say contentious, dis-
cussion over what is meant by “best.” Whose opinion governs what is best?
What criteria are used to select the “best” way to close a performance gap
or to leverage a performance strength? Should one criterion be used to pick
best, or should multiple criteria be considered?
380  Analyzing the Solution

The team members debated this issue in a weekly meeting. When it

became apparent that the team could not reach a consensus on what is
meant by “best”—or even who should choose the criteria to be used in
judging best—the team decided they would devote a retreat to deciding how
to select the best way to close the performance gap and who would make
that decision.
At the retreat, the team members eventually decided that they would
make the decision about what solution(s) would be best and that they would
compile a list of the solutions generated in step 7 and simply take a majority
vote on which solution should be chosen. It would be up to the team mem-
bers to decide how they prioritized the solutions.
And so that is exactly what they did.
Note in this description that many ways exist by which to select the
“best” way to close performance gaps—or leverage strengths. While studies
of best practice or common business practice can help, they take time and
cost money to carry out. While it is possible (and often desirable) to poll all
stakeholder groups about what solution is preferable, a final decision about
what is “best” must ultimately be made. That will always be a subjective
opinion, regardless of how much evidence is used to make the decision and
how many people are involved.

Key Factors to Remember

Let’s review the lessons in this chapter. When choosing the best way to close
gaps, performance coaches should:

 rely on what information is available to make a choice—and realize that

all relevant information is rarely at hand
 recognize that it is seldom possible to have all necessary information to
make the best choice of a solution to close a performance gap
 realize that, since gaps can have more than one root cause, closing gaps
may require more than one solution
 be aware that efforts to use multiple solutions to close gaps caused by
more than one root cause may prompt new problems as the solutions
themselves interact with each other
 realize that the decision to use a solution often hinges primarily on the
decision-maker’s values, culture, beliefs, and attitudes
 Step 8: What Is the Most Effective Way to Close the Gap?  381

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of ways to decide
quickly yet effectively which solution of many may be most feasible?
– What is missing or in the way of your understanding?
– What is your action plan to increase your overall rate?

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of the best ways to
make decisions rather than suffer the paralysis of analysis?
– What is missing?
– What is your action plan to increase your overall rate?

(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to facilitate the choice of a good solution to
a performance problem with managers, workers, and work groups?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to choose multiple solutions when a perfor-
mance gap is caused by more than one root cause?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

References
Beattie, Andrew, and Margaret James. 2021. “A Guide to Calculating Return on
Investment.” www.investopedia.com/articles/basics/10/guide-to-calculating-roi.
asp.
Dobson, Michael, and Deborah Dobson. 2006. Enlightened Office Politics:
Understanding, Coping with, and Winning the Game—Without Losing Your
Soul. New York, NY: Amacom.
Greiner, Larry, and Virginia Schein. 1998. Power and Organization Development.
New York, NY: FT Press.
HBR Ascend Staff. 2019. “The Changing Perspectives of Young Professionals
on Work and the Workplace.” https://hbrascend.org/topics/
the-changing-perspectives-work-and-the-workplace-youth-skills-survey/.
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Hochwarter, Wayne, Christopher Rosen, Samantha Jordan, Gerald Ferris, Aqsa Ejaz,
and Liam Maher. 2020. “Perceptions of Organizational Politics Research: Past,
Present, and Future.” Journal of Management 46, no. 6: 879–907. https://doi.
org/10.1177/0149206319898506.
Jassy, Daniel, and David Kindness. 2021. “Calculating the Payback Period with
Excel.” www.investopedia.com/ask/answers/051315/how-do-you-calculate-
payback-period-using-excel.asp.
Kaplan, Robert S., and David P. Norton. 1996. The Balanced Scorecard: Translating
Strategy into Action. Cambridge, MA: Harvard Business Review Press.
Kong, Y. J. 2010. “Establishing a Comprehensive Model of Cost Analysis of Web-
based Training Programs Based on a Systems Approach.” In Proceedings
from the E-Learn World Conference on E-Learning in Corporate, Government,
Healthcare, and Higher Education. Orlando, FL. ISBN 978-1-880094-83-9
Publisher: Association for the Advancement of Computing in Education
(AACE), Chesapeake, VA.
Kong, Y. J., and R. Jacobs. 2012. “A Comparison of the Practices Used by Human
Resource Development Professionals to Evaluate Web-based and Classroom-
based Training Programs within Seven Korean Companies.” Human Resource
Development International 15, no. 1: 79–98.
Phillips, Jack, and Patty Phillips. 2006. ROI at Work. Alexandria, VA: ASTD Press.
Phillips, Jack, and Patty Phillips. 2011. The Consultant’s Scorecard: Tracking
ROI and Bottom-Line Impact of Consulting Projects, 2nd ed. New York, NY:
McGraw-Hill.
Sirkin, Harold, Perry Keenan, and A. Jackson. 2005. “The Hard Side of Change
Management.” Harvard Business Review. https://hbr.org/2005/10/
the-hard-side-of-change-management.
Skinner, Ted. n.d. “Balanced Scorecard KPI Examples: A
Comprehensive List of KPIs.” www.rhythmsystems.com/blog/
comprehensive-list-of-179-kpi-examples-for-any-industry.
Thean, Patrick. 2020. “Creating KPIs: How to Create a KPI in 5 Simple Steps.”
www.rhythmsystems.com/blog/bid/122008/5-simple-steps-to-create-useful-kpi-s.
Chapter 12

Step 9: What Are

the Consequences of
Closing the Gap?
William J. Rothwell

Once a solution has been chosen to close the performance gap, perfor-
mance coaches should reflect on the likely consequences that will be created
by the solution. This step is akin to thinking forward, trying to anticipate the
possible results or consequences of implementing a solution, and then avert-
ing negative side effects and maximizing positive side effects. Consequences
may be individually focused, organizationally focused, or both.
Perhaps a simple example will illustrate what this step means.
Suppose that an individual is tardy nearly every day. The performance
coach suggests that the individual take steps to ensure timely arrival. When
implementing the solution, the individual ends up in a marital separation.
That might be an individually focused consequence of closing the gap.
In today’s organizations, there is often such a sense of urgency to imple-
ment a solution that the consequences of implementing that solution may be
overlooked at the time it is planned. Yet the consequences could have been
anticipated if considered beforehand.
Medical doctors are familiar with the notion of anticipating consequences.
When medicine is prescribed or therapy is ordered, physicians know that
there may be side effects for any corrective action. Aspirin may cure a
headache but may also prompt stomach distress; chemotherapy may reduce
cancer’s terrible effects but may also prompt the patient’s hair to fall out.

DOI: 10.4324/9781003155928-16 383

384  Analyzing the Solution

Performance coaches, working with their coachees, must strive to antici-

pate the negative side effects of efforts to close performance gaps and take
steps to avoid or minimize them. If positive side effects are possible, they
should be seized and turned to best advantage.
It should be noted that actions may also have positive side effects.
Medicine taken to heal cancer can lead to weight loss. That weight loss can
be a positive side effect for those wishing to lose weight. It was not the
medicine’s intended effect to help people lose weight—but it does. That is
an example of a positive side effect.

How This Chapter Is Organized

This chapter is organized into the following parts:

 What This Step Means

 Why Is This Step in Performance Coaching Important?
 Examples of This Step in Performance Coaching
 Approaches to Anticipating Side Effects
 Competencies Required by Performance Coaches to Anticipate Side Effects
 Key Factors to Remember
 Coaching and Developmental Questions for Managers

What This Step Means

Step 9 is about anticipating the likely side effects or consequences that
will stem from implementing one or more solutions. Carrying out that step
may sound easy. But it rarely is easy. Since organizations are open systems
(Luhmann 1995), that means that actions taken in one part of the organiza-
tion will have ripple effects that affect the whole system. Much as tossing a
pebble in a pond will lead to ripples throughout the entire pond, so too will
an action taken in one place—or with one person or team—possibly affect
all other people and all other organizational parts. Some people call this the
spider web effect, which refers to the results of yanking one side of a spider
web and seeing the entire web vibrate in response.
Medical doctors are familiar with the notion of side effects. Quite often,
possible side effects of new drugs are identified and/or monitored during
clinical trials (Rosen 2013). In fact, an important issue to consider during
 Step 9: What Are the Consequences of Closing the Gap?  385

clinical trials is the reaction to a drug or therapy experienced by people of

different demographics (such as age, race, gender, pregnancy status, and
so forth). As new drugs or treatments are approved for use by the broader
population, side effects are noted by physicians and then logged to a cen-
tralized system called the Federal Food and Drug Administration Adverse
Reporting System. But research has also indicated that another good way to
identify emerging side effects is to analyze search engine results, monitor-
ing for how many people conduct searches on google for two or more drugs
and the effects of those drugs on each other (Rosen 2013).
Despite the best efforts of physicians to spot and avoid side effects, their
impact on health can be severe. One study, for instance, found that

in the United States, about 750 people 65 and older are hospital-
ized each day because of them, according to a 2019 report from
the Lown Institute, a nonpartisan think tank. Other research has
found that almost 80% of people 70 and older experience at least
one drug side effect in a six-month period
(Consumer Reports 2020).

The same principle applies to management and to organizations, though

no centralized reporting system exists as in medicine to track the impact of
management actions. Management actions taken in one place affect others.
Often the side effects simply cannot be predicted with precision until they
are tried out. But just as clinical trials in medicine may help to identify side
effects stemming from new drugs, pilot tests of organizational change efforts
can help to pinpoint likely positive and negative consequences of change
efforts when time and money permits.

Why Is This Step in Performance Coaching Important?

Most organizational change efforts fail. Efforts to implement solutions in
performance coaching are change efforts and are thus prone to possible, and
quite often likely, failure.
Many solutions, and many implementation efforts, fail because due con-
sideration was not given to the likely consequences of the solution. To avoid
failure, performance coaches should take steps to anticipate what conse-
quences will stem from solution implementation and then take steps to miti-
gate negative side effects or leverage positive side effects.
386  Analyzing the Solution

What to Consider
When making efforts to anticipate the likely side effects of implementing a
solution, consider such issues as these:

 Who will be affected by the solution implementation?

 What will be affected by the solution implementation?
 When will people or organizational issues be affected by solution
implementation?
 Where will people or organizational issues be affected by solution
implementation?
 Why will people or issues be affected by solution implementation?
 How will people or issues be affected by solution implementation?
 How much will people or issues be affected by solution
implementation?

The consequences of solution implementation can affect:

 individuals
 teams or work groups
 departments/divisions
 organization
 community or groups external to the organization such as customers,
suppliers, distributors, and others

Use the Worksheet appearing in Table 12.1 to guide your thinking.

How to Anticipate Consequences

There are several ways to anticipate consequences of solution implementa-
tion. An informal way is to brainstorm about them. More formal ways is to
carry out mind mapping and scenario planning.

An Informal Way to Anticipating Consequences

When performance coaches are about to make a decision to choose the
solution to a problem, it is wise to reflect on what might happen as a result.
 Step 9: What Are the Consequences of Closing the Gap?  387

Table 12.1 A Worksheet to Anticipate the Likely Side Effects of Implementing a

Solution.
A Worksheet to Anticipate the Likely Side Effects of Implementing a Solution
Who will Individuals Teams Departments Organization Community
be affected? or or Divisions or External
Groups Groups

Questions
Who will be affected
by the solution
implementation?
What will be affected
by the solution
implementation?
When will people or
organizational
issues be affected
by solution
implementation?
Where will people or
organizational
issues be affected
by solution
implementation?
Why will people or
issues be affected
by solution
implementation?
How will people or
issues be affected
by solution
implementation?
How much will
people or issues be
affected by solution
implementation?
Source: Copyright 2021 by William J. Rothwell.
388  Analyzing the Solution

The same principle applies in the game of chess. Good chess players learn
to think forward, anticipating how opponents will respond to their moves and
countermoves. While some people believe that chess geniuses can look thirty
moves ahead, research reveals that even the best players can see only fifteen
to twenty moves ahead (Markushin 2015). Often it is wise to focus on fewer
moves ahead, since trying to anticipate too far into the future leads to mis-
takes of their own (“Bruce Pandolfini Teaches Thinking, Not Chess” no date).
Simple reflection may be helpful when trying to anticipate the conse-
quences of implementing solutions. Just making the effort to think for-
ward may be enough to prompt ideas about what side effects to expect
and avert or what positive side effects may be worthy of seizing to
advantage.
Practicing managers—and performance coaches—can probably relate to
practical ways to do use simple reflection. If problems arising during the day
lead managers or coaches to experience sleepless nights, then they know
how brooding on problems can prompt insomnia. Sleeplessness can actually
be turned to advantage if the time is productively used to surface different
problems that are likely to arise during the implementation of a solution and
determine ways to avoid or minimize the negative side effects. Even taking a
walk over the lunch hour can clear the head of a manager or coach if devoted
to reflecting on work problems, likely consequences of taking action to imple-
ment solutions, and how to sidestep the impact of those consequences.

Formal Ways to Anticipating Consequences

While there may be many approaches to structured problem-solving that can
be used to anticipate consequences (Van Gundy 1988), mind mapping and
scenario planning can be particularly helpful.

Mind Mapping
Mind mapping is a good approach to use in trying to anticipate conse-
quences. A mind map, first popularized by Tony Buzan (2020), is a diagram
that shows relationships between one idea, concept, action, task and oth-
ers. A simple mind map may be nothing more than a doodle on the back
of a napkin; a more complex mind map may be a collaborative diagram,
assembled by a group of people, to illustrate how the implementation of one
solution might lead to consequences and those consequences, in turn, may
prompt other effects. We covered the process of mind mapping in detail in
 Step 9: What Are the Consequences of Closing the Gap?  389

Chapter 9. For more information about mind mapping, please review the fol-
lowing figures and tables:

 Figure 9.3: Example of Mind Mapping Process.

 Figure 9.4: Example of Business Mind Mapping Process.
 Table 9.1: Steps of Performing a Mind Map Process.

Figure 12.1 shows a simple blank mind map diagram, and it can be modi-
fied for immediate use. Free software exists to guide mind mapping, and
it can also be hosted on websites so as to permit participation by teams or
work groups from across the globe.
To use the mind map, write in the center of this figure what action you
propose to take as a solution for closing a performance gap. Then try to think
of what might happen as a result of that action. Realize that consequences
may also create chain reactions, sometimes called the “domino effect,” in
which one action can touch off a chain of events that can spiral out of control.

Figure 12.1 Example of a Simple Blank Mind Map Template.

390  Analyzing the Solution

In modern times, the so-called black swan event is a good illustra-

tion of the issue of a minor problem that touches off a most unfortunate
chain of events. A seemingly simple event—like the advent of a virus
in a small city in China—can spiral out of control, touching off a global
pandemic that threatens the world economy and leads to unexpected
side effects that could shut down global supply lines, cost countless
people their lives and others their jobs, and prompt thousands of busi-
nesses to go broke.
Can performance coaches face black swan events? The answer is “of
course they can.” A simple action can have monumental consequences. As a
simple example, a performance coach who makes a coachee angry enough
to quit may prompt a wave of resignations as others follow the departing
worker. That wave of resignations, in turn, could lead customers to ques-
tion their continued relationship with the organization, which could create a
crisis in stock price and market share.

Scenario Planning
Scenario planning is based on the notion that the future is uncertain—and
is often unpredictable. For that reason, planning necessitates looking at
contingencies and then trying to plan for those. A typical scenario plan-
ning effort will try to predict the future around three assumptions. One
assumption regards the external environment affecting the organization as
favorable or positive; one assumption regards the external environment as
unfavorable or negative; and one assumption regards the external environ-
ment to work out realistically, a best guess of what decision-makers believe
will really happen.
A scenario represents a description of a situation. Scenario planning thus
offers contingencies based on different assumptions about how the future
will work out for an organization. Scenario planning has grown to be popu-
lar in strategic planning. But it can be used in other ways—such as with
performance coaching.
To apply scenario planning to identifying the consequences of closing a
performance gap, take these steps:

(1) Describe the solution you wish to take to implement solutions to per-
formance problems.
(2) Identify what forces or issues you believe will most affect the imple-
mentation of the solution.
(3) Pinpoint areas of uncertainty.
 Step 9: What Are the Consequences of Closing the Gap?  391

(4) Create descriptions (often “best guesses”) of a positive situation that

favors your solution’s implementation, that is not favorable to your solu-
tion’s implementation, and that is your best guess of what will happen
if business conditions remain unchanged.
(5) Discuss what to do in each situation to maximize results and minimize
unfortunate side effects.

Use the worksheet shown in Table 12.2 to help carry out these steps. For
more detailed information about scenario planning, see Chermack (2011).

Table 12.2 A Worksheet to Guide Scenario Planning.

A Worksheet to Guide Scenario Planning
Directions:
For each question appearing in the left column below, write your answers in the
right column. The purpose of this Worksheet is to help guide your thinking on how
to plan a scenario planning activity. There are no right or wrong answers in any
absolute sense, but some answers may be better than others.
Questions to Guide the Preparation of a Your Answers/The Plan
Scenario Planning Activity
1 What is the solution you wish to
implement to close a performance gap?
2 What forces or issues do you believe
will most affect the implementation of
your solution?
3 What are the areas of uncertainty that
may affect implementation?
4 What positive results may stem from
your implementation? What negative
results may stem from your
implementation? What is your best
realistic guess of what results may stem
from your implementation?
5 What should you do if the conditions
favor implementation of your solution,
if the conditions do not favor
implementation of your solution, or if
the external conditions turn out to
match your realistic best guess of what
will really happen?
Source: Copyright 2021 by William J. Rothwell.
392  Analyzing the Solution

Two Examples of This Step in Performance Coaching

Perhaps two examples will help to clarify what this step means in practice.

Example 1
The situation: Mortina Erickson is the manager of the warehouse at the
Orton Company. She faces a problem: one of her workers, Mina Thorson,
is very disruptive. Thorson talks very loudly; she uses swear words in
the warehouse with the work crew and with customers; and she wears
informal clothing (such as halter tops or extreme cutoff shorts). Erickson
has had performance coaching sessions with Thorson and still holds out
hope that Thorson will change her behaviors. Erickson’s discussions with
Thorson have not gone unnoticed. Thorson’s coworkers feel that Erickson
has been “picking on Mina.” They side with her. That coworker sup-
port was unexpected. Other managers are grumbling, complaining that
Erickson’s coaching of Thorson may be having a side effect of increas-
ing absenteeism and turnover in other departments. Thorson’s behavior,
which has not changed much since the coaching began, has also encour-
aged other employees to wear increasingly inappropriate clothing to
work.
Erickson is thinking about what to do next in her performance coach-
ing sessions with Thorson. But she believes it is important to reflect on her
action—and their likely consequences—before she does anything. When
Erickson reaches step 9 of the performance coaching model, she goes to her
office and closes the door. She takes out some paper (out of her computer
printer) and draws a mind map circle in the center of several such papers.
On the first paper, she writes “Fire Thorson”; on the second paper, she
writes “give Thorson an oral warning”; on the third paper, she writes “give
Thorson a suspension”; on the fourth paper, she writes “talk to Thorson
again—but inform her what the next step might be.”
Erickson then draws some circles near the one in the center on each
page. She then tries to brainstorm, using the mind mapping method to
guide her thinking, what might happen as a result of each action. In each
case, Erickson tries to anticipate what consequences might happen with
Thorson, her coworkers, and with other stakeholders who might have
some reaction to any action Erickson takes. One possible consequence
is that Thorson will look for other job opportunities, a consequence that
Erickson would not like to see because Thorson is actually a first-rate
 Step 9: What Are the Consequences of Closing the Gap?  393

employee who just happens to have disruptive on-the-job behaviors that

need to be corrected.
Based on the results of the mind mapping activity, Erickson decides she
will talk to Thorson again to explain what will happen next if she does not
mend her ways.
Conclusion: Note that, in the previous discussion, Erickson does not
rush to action. Instead, she gives careful thought—albeit without a lengthy
delay—to think through what she will do and what might happen as a
result of what she will do. Erickson takes special steps to try to think of
negative and positive consequences of any action she might take with
Thorson.

Example 2
The situation: Howard Rumple was the CEO of a large bank. He has just
promoted Jack Lund to Bank President, a title Howard has given up. But
Howard is surprised, because he was challenged in his decision to pro-
mote Lund by Linda Monson, VP of Human Resources. Monson points out
to Rumple that his decision to promote Lund creates many problems. One
is that Lund is an alcoholic and often comes to work smelling of alcohol. A
second is that Lund is having a love affair with his administrative assistant,
which violates the bank’s policy that prohibits intimate love relationships
between managers and their direct reports. Rumple concedes that these are
serious problems with Lund’s promotion, which could give the impression
to workers that Rumple is sanctioning, and at least ignoring, love affairs and
alcohol abuse. Rumple asks Monson what she proposes for him to do after
the announcement is made of Lund’s promotion. Monson suggests executive
coaching.
Rumple calls Lund into his office. He tells him that he will give him one
year to treat his alcohol abuse and to cease his love affair with his assistant.
Lund agrees to the terms. When Rumple reaches step 9 of the performance
coaching model, he invites Lund to consider what consequences may stem
from his behavior. Lund admits that his behavior could set an unfortunate,
and bad, example for others. He commits to change his behavior and set a
positive example.
Conclusion: Note that, in the description given earlier, neither Rumple nor
Lund rushes into immediate action with ill-founded solutions and do reflect
on how the behavior of a senior executive may influence other people. Lund
commits to change.
394  Analyzing the Solution

Competencies Required by Performance Coaches

to Choose the Best Way to Close Gaps
Performance coaches should be able to:

 narrow down, from a list of possible solutions, those that strike a bal-
ance between cost and speed of implementation: brainstorm possible
solutions. Note the least costly solutions. Note the fastest solutions that
can be implemented. Then identify solutions that could strike a balance
between cost and speed.
 narrow down, from a list of possible solutions, those that can work
together effectively with a minimum of contraindicators or side effects:
identify possible negative side effects of possible solutions. Identify
possible positive side effects of possible solutions. Identify actions that
may not have many side effects. Identify possible side effects that could
touch off a chain of events or “black swan events.”
 facilitate workers, individually or in teams, to make decisions to narrow
down the best solutions to performance problems from a list of pos-
sible solutions: identify the possible negative and positive side effects
of facilitating efforts by managers and workers to narrow down feasible
solutions to performance issues. Take steps to minimize the negative
side effects and maximize the positive side effects of the consequences
of actions taken to solve problems.
 facilitate workers, individually or in teams, to narrow down the solu-
tions most likely to be successfully implemented from a list of pos-
sible solutions to performance problems: use collaborative approaches,
face-to-face or virtually, to help identify solutions to performance issues.
Become familiar with informal and formal methods that can help indi-
viduals and groups to work together to narrow down solutions.

Business Case Example

One member of the MBD management team was Clarissa Wardstone.
Clarissa was the VP of Human Resources for the organization.
Once the organization selected a course of action—several steps, in fact,
in a sequence of efforts to drive down turnover, among other corrective
actions—Wardstone suggested to others on the management team that a
meeting be held online to “consider the fallout” of what was planned.
 Step 9: What Are the Consequences of Closing the Gap?  395

MBD managers decided to increase entry-level salaries as one method

by which to drive down turnover. That was justified because many exit
interviews cited the reason for workers’ departure as pursuit of “better pay-
ing jobs.” Management reasoned that higher salaries, particularly for entry-
level staff members, would reduce turnover. After all, most turnover occurs
among those who are most recently hired.
In the meeting, Wardstone asked to speak. Then, over a zoom link with
other members of the management team, she innocently asked this ques-
tion: “[w]hat will be the fallout of increasing entry salaries at all levels of the
organization chart without offering a corresponding increase to staff with
more experience?” She was making several points without saying it in so
many words:

(1) HR should have been consulted before the management team made a
decision on increasing salaries but was not consulted;
(2) HR would have described the notion of salary compression (referring
to efforts to save money by increasing entry-level salaries but failing to
preserve the internal equity of salary across a wage scale); and
(3) HR would have probably advised against the action the management
team took because salary compression could lead to increased turnover
at higher levels of experience.

There was a long silence after Wardstone asked her not-so-innocent ques-
tion. Then other members of the management team asked Wardstone to
supply an estimate price tag for increasing all salary levels in a way com-
mensurate with the increase at entry level. She did not hesitate a moment
and said “at least 10 million dollars annually, not counting an extra 5 million
dollars in employee benefit costs.” Other committee members gasped, since
that was a huge sum for salary and benefits in MBD.
One team member suggested that a subcommittee should be formed to
consider the matter further. Wardstone objected, noting that HR had cap-
tured a benchline before the new salaries went into effect and discovered
a 20% jump in turnover at higher levels of experience on the organization
chart.
The meeting continued. Many managers seemed to be reluctant to speak
up, and so the CEO asked each member of the team to write an email to
predict the likely consequences of a salary increase at entry only and what
might be done to avert the negative side effects. The CEO also asked each
member of the team to describe what might be the likely positive side
396  Analyzing the Solution

effects of a salary increase at entry only and what could be done to leverage
those positive side effects.
The meeting was adjourned after one hour. The CEO gave each partici-
pant one week to submit the report he requested.

Key Factors to Remember

Let’s review the lessons in this chapter. When choosing the best way to close
gaps, performance coaches should:

 rely on what information is available to make a choice

 recognize that it is not always possible to have all necessary information
to make the best choice of a solution to close a performance gap
 realize that, since gaps can have more than one root cause, closing gaps
may require more than one solution
 be aware that efforts to use multiple solutions to close gaps caused by
more than one root cause may prompt new problems as the solutions
themselves interact with each other
 realize that the decision to use a solution often hinges primarily on the
decision-maker’s values, culture, beliefs, and attitudes

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to anticipate the negative side effects of
implementing a solution?
– What is missing or in the way of your understanding?
– What is your action plan to increase your overall rate?

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to identify positive side of effects of imple-
menting a solution?
– What is missing?
– What is your action plan to increase your overall rate?

(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to identify steps to take to mitigate the
negative side effects or consequences of implementing a solution?
 Step 9: What Are the Consequences of Closing the Gap?  397

– What is missing or not understood?

– What is your action plan to increase your overall rate?

(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to take steps to seize advantages stemming
from efforts to implement a solution to a problem?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

References
“Bruce Pandolfini Teaches Thinking, Not Chess.” n.d. FS Blog. Accessed August 19,
2021. https://fs.blog/2009/09/bruce-pandolfini-teaches-thinking-not-chess/.
Buzan, Tony. 2020. Mind Map Mastery: The Complete Guide to Learning and
Using the Most Powerful Thinking Tool in the Universe. Sydney, Australia:
ReadHowYouWant.
Chermack, Thomas. 2011. Scenario Planning in Organizations: How to Create, Use,
and Assess Scenarios. San Francisco, CA: Berret-Koehler.
Consumer Reports. 2020. “How to Recognize and Avoid Drug Side Effects.” The
Washington Post. www.washingtonpost.com/health/how-to-recognize-and-
avoid-drug-side-effects/2020/05/15/de438aca-88aa-11ea-9dfd-990f9dcc71fc_
story.html.
Luhmann, Niklas. 1995. “The Paradoxy of Observing Systems.” Cultural Critique,
no. 31: 37–55. https://doi.org/10.2307/1354444.
Markushin, Yury. 2015. “5 Chess Myths that Most People Believe.” Attaching
Play Secrets. Accessed August 19, 2021. https://thechessworld.com/articles/
general-information/5-chess-myths-that-most-people-believe/.
Rosen, Michael. 2013. “Editorial March 2013.” Journal of Cardiovascular
Pharmacology 61, no. 3: 175. https://doi.org/10.1097/FJC.0b013e318288182d.
Van Gundy, Arthur. 1988. Techniques of Structured Problem Solving, 2nd ed. New
York, NY: Van Nostrand Reinhold.
IMPLEMENTATION IV
AND EVALUATION

Implementing and evaluating performance coaching can be challenging.

It is often cited that many change efforts fail due to poor implementation.
Performance coaching can occur quickly (one-minute coaching) or over
many years. This Phase focuses on addressing the following questions—the
critical issues associated with implementation and evaluation.

Chapter 13—Step 10: What Are the Damages of Inaction?

What will happen if the solution is not implemented? What are the likely
consequences of inaction?
Chapter 14—Step 11: How to Implement the Solution?
How can the solution be implemented? In other words, how much time,
money, and other resources are available for implementation?
Chapter 15—Step 12: How to Evaluate the Successful
Implementation?
How can the results of the solution’s implementation be evaluated?
 

DOI: 10.4324/9781003155928-17 399

Chapter 13

Step 10: What Are the

Damages of Inaction?
William J. Rothwell

Once the likely consequences of implementing solutions have been iden-

tified, performance coaches should consider what damages—or other
results—may result from inaction. Not all problems deserve corrective
action; rather, sometimes it is best to ignore problems and focus attention on
other, more pressing issues. The damages—and sometimes legal liability—
that can result from inaction have been studied (Hinkin and Schriesheim
2004; Hinkin and Schriesheim 2008; Moore 2002; Von Bergen 2012).
While performance coaches may be tempted to act rather than think
(see Lambert 2016; Saltzman 2018; “Why the Things You Ignore Will Only
Grow” 2021), they should instead contemplate whether inaction will prompt
damaging consequences—or else have no effect or even a positive effect.
Sometimes the best way to solve a problem is to step away, even if only
temporarily, because it can help to concentrate a decision-maker’s attention
on what really matters to the organization, department, team, or worker
(Swanson 2016). Still, the consequences of inaction should be considered.
At the same time, efforts should be made to avoid a keen temptation felt by
ambitious managers to do something—that is, do anything—to solve a prob-
lem out of a bias for action (Mohrmann 2020; Mueller 2017).
Organizational leaders sometimes complain that any action with people
will be costly. For that reason, they often demand evidence of return on
investment (ROI) with training or other improvement efforts—including per-
formance coaching. ROI is nothing more than cost/benefit analysis in which
the financial cost of taking corrective action is weighed against the financial

DOI: 10.4324/9781003155928-18 401

402  Implementation and Evaluation

value of the benefits received from taking corrective action. But ROI can
also be calculated for inaction. What will be the costs of not acting to close
performance gaps and what will be the benefits of not acting? If the benefits
of inaction outweigh the costs, then minimal damage will result from doing
nothing. By the same token, if the costs of inaction outweigh the benefits,
then more damage will result from doing nothing.
Note also that ROI can be considered from a viewpoint that transcends
mere considerations of financial issues. That is the logic of the balanced
scorecard. Any action taken can have impacts on finances. But actions can
also have impacts on customer service and market share, business opera-
tions, and the learning and growth of the business. In many organizations
today, managers must weigh more than mere financial issues. How will the
organization appear to regulators? Customers? Distributors? Suppliers? Union
representatives? Interest groups and activists in the community? The point
is that inaction can have consequences that go beyond mere financial con-
siderations. If the organization is considered to be a pariah—like tobacco
companies have been perceived to be—anything the organization does is
suspect.

How This Chapter Is Organized

This chapter is organized into the following parts:

 What This Step Means

 Why Is This Step in Performance Coaching Important?
 Example of This Step in Performance Coaching
 Competencies Required by Performance Coaches to Select the Best Choice
 Key Factors to Remember
 Coaching and Developmental Questions for Managers

What This Step Means

Step 10 is about going the step beyond thinking about likely consequences
of corrective actions and taking steps to avoid negative side effects or to
leverage positive side effects of action. Simply stated, step 10 means direct-
ing attention to what is likely to happen if no corrective action is taken to
close a performance gap.
 Step 10: What Are the Damages of Inaction?  403

The same idea often surfaces in discussions about training. Some people
jokingly paraphrase Shakespeare’s quote “to be or not to be, that is the
question” in another form: “[t]o train or not to train, that is the question.”
The point here is to demonstrate awareness that training, while expensive,
can have positive consequences. But inaction can also have consequences—
both positive and negative. Perhaps, the issue is best articulated in the old
joke apparent in the statement that “if you think training is expensive, try
ignorance.” Failing to train people—or failing to train people properly—can
have serious consequences, and often, they are even more dramatic and
extreme than training is.
Failure to act is an issue that can arise in a civil law case. The concept of
laches commonly refers to failure to take action to claim a right. Failing to
file a lawsuit when the aggrieved party would otherwise have every right to
do so is an example of laches. It refers to a failure to act when taking action
is legitimate and warranted. In laches, the aggrieved party delays in filing
suit, and the result is that the defendant later has trouble assembling evi-
dence to refute the claim.
The religious have another name for failure to act: it is a sin of omission,
which means failing to act when acting is appropriate and that failure to act
ends up hurting other people. The famous 1964 Kitty Genovese criminal
case may be a classic example of a sin of omission. Genovese was a bar
tender in Queens, New York. She was stabbed to death by an attacker out-
side her apartment building as she returned home from work. Later police
discovered that 38 witnesses had observed the crime, but nobody chose to
help Genovese while she was attacked or even call the police. The failure
to act was a sin of omission. Genovese died of stab wounds while unfeel-
ing onlookers casually gawked. When asked why they behaved that way,
the witnesses claimed they “did not want to get involved.” For the most
part, there is no law in the United States that requires witnesses to crimes to
report them.
As an example of the legal principle called laches, suppose Georgiana
was sexually harassed by her immediate supervisor Jack Nichols.
Georgina suffers in silence (perhaps due to shame) and chooses not to
inform anyone at her employer but instead waits ten years before com-
plaining. In the meantime, Nichols leaves the organization, starts employ-
ment somewhere else and is eventually promoted to CEO of another
organization. Perhaps, he leaves many sexual harassment victims in his
wake—in part because Georgina failed to report the abusive actions or
take steps to get relief ten years prior. If Georgiana wants to fi le suit
404  Implementation and Evaluation

against Nichols after such a long period of time, Nichols can raise an affir-
mative defense of laches. Too much time has elapsed and that will make
it difficult for Nichols to raise an adequate defense against the sexual
harassment claim because the people involved at the time may be difficult
to track down, memories have faded, and written or electronic documents
have vanished.
The same logic applies to other possible actions that are intended to close
performance gaps. That could include individual, team, department, divi-
sional, or organizational actions. Any action has consequences. Sometimes
ignoring a performance gap leads to damage, and the consequences of that
damage can grow more severe over time. By the same token, not everything
warrants action. Efforts to chase and solve every problem will reveal an
inability to set priorities.

Why Is This Step in Performance Coaching

Important?
This step is important because performance coaches should not necessarily
prefer corrective action to inaction. Instead, any decision to act should be
weighed against what is likely to happen if no action is taken. Sometimes
problems will solve themselves if nothing is done about them!
Consider a simple example. Suppose a manager is struggling with problem-
atic behavior from a worker. Suppose Marsha Cronson is late to work every
day. The manager, Tom Clawson, has spoken to her many times about her
tardiness. But the problem persists. The manager, beside himself with concern
because he does not wish to encourage other workers to be late by witnessing
the ineffectiveness of Clawson’s actions to change Cronson’s behavior, consid-
ers suspending Cronson. But then Clawson learns that Cronson’s coworkers
have been pressuring her to get to work on time for the simple reason that
they cannot leave work until they are relieved by Cronson. So, by not acting,
Clawson benefits from the peer pressure applied to Cronson. The problem
solves itself when Cronson quits rather than modifies her behavior!
The same issue applies in management when performance coaches weigh
the relative advantages of action and inaction. Performance coaches should
always ask themselves the question

what will happen if no corrective action is taken? Will there be

negative, neutral or positive side effects resulting from inaction,
 Step 10: What Are the Damages of Inaction?  405

and (if so) what will the side effects be and how can negative side
effects be avoided or minimized?

What to Consider
When reflecting on possible damages resulting from inaction to close perfor-
mance gaps, performance coaches should often contemplate answers to such
questions as:

 What is likely to happen if no action is taken to close performance

gap(s) or to solve performance problems?
 Who will react, if anyone, if no action is taken?
 What damages will likely result from inaction?
 What kind of damages are likely to be felt from inaction?
 Who will face damages from inaction, and how will they react?
 How can the damages of inaction be minimized?

Many other questions may be posed. But answering the questions appearing
earlier may surface many ideas about what damages may (or may not) result
from taking no corrective action to close performance gaps.
Use the Worksheet appearing in Table 13.1 to guide your thinking when
reflecting on what damages may result when no corrective action is taken.

Table 13.1 A Worksheet to Guide Thinking on the Damages Resulting from

Inaction.
A Worksheet to Guide Thinking on the Damages Resulting from Inaction
Directions:
Use this Worksheet to structure and organize your thinking. In the space
immediately below the Directions, briefly describe the performance gap or
performance problem you are trying to solve. Then, in the next section, answer
each question appearing the left column by offering your answers in the right
column. There are no “right” or “wrong” answers in any absolute sense; rather,
there may be better or worse answers given the needs of your organization.
Part I: Describe the Problem
What is the problem/performance gap? Briefly describe it here:

(Continued)
406  Implementation and Evaluation

Table 13.1 (Continued)

A Worksheet to Guide Thinking on the Damages Resulting from Inaction
Part II: Questions About Inaction
Questions Answers
1 What is likely to happen if no action is
taken to close performance gap(s) or
to solve performance problems?
2 Who will react, if anyone, if no action is
taken?
3 What damages will likely result from
inaction?
4 What kind of damages are likely to be
felt from inaction?
5 Who will face damages from inaction,
and how will they react?
6 How can the damages of inaction be
minimized?
Source: Copyright 2021 by William J. Rothwell.

Of course, it is possible to apply scenario planning to any situation in

which performance coaches contemplate doing nothing. In scenario plan-
ning, performance coaches try to make predictions about what will hap-
pen based on different assumptions about the future. If future conditions
will be favorable, then the scenario is considered optimistic; if future con-
ditions are unfavorable, then the scenario is considered pessimistic; and if
future conditions are neither favorable nor unfavorable, then the scenario
is considered neutral. Performance coaches may apply the same logic to
consider what will happen if no action is taken to address a performance
problem. A worksheet like the one appearing in Table 13.2 may be help-
ful in contemplating what might happen if no action is taken.
Another way to think about reflecting on the possible consequences of
inaction is to modify the well-known force field analysis model. In the original
model, coaches can use the model to think about the forces driving change
and the forces resisting change. Change will occur when steps are taken to
weaken the restraining forces or else to strengthen the driving forces.
 Step 10: What Are the Damages of Inaction?  407

Table 13.2 A Worksheet to Guide Scenario Planning on the Consequences

Resulting from Inaction.
A Worksheet to Guide Scenario Planning on the Consequences Resulting from
Inaction
Directions:
Use this table to organize your thinking about what might happen if you do nothing
to address a problem situation. In the first box below, describe a problem situation
you are confronting. Then, for each question appearing in the left column below,
write your best guess or prediction about what might happen if no action is taken
to address the problem. When you finish, reflect carefully on next steps and
consider what might be the consequences of inaction.
What is the problem situation you are confronting? Describe it. Try to be specific and
answer who is involved, what is happening, what should be happening, and so
forth.
Questions About the Problem Situation Your Best Predictions
1 If no action is taken to address the
problem situation described above,
what is your best prediction about
what damages will result if no action is
taken to address the problem?
2 If no action is taken to address the
problem situation described above,
what is your best prediction about
what neutral side effects may be
experienced by the organization?
3 If no action is taken to address the
problem situation described above,
what is your best prediction about
what positive side effects may be
experienced by the organization?
Source: Copyright 2021 by William J. Rothwell.

But a creative way to reinvent the model is to consider the change

effort as a driving force. If action is taken, it will create positive, negative,
and neutral side effects or consequences. Likewise, if no action is taken,
that will also lead to positive, negative, and neutral side effects. See Figure
13.1 and use it as a way to help organize your thinking about a change
effort.
408  Implementation and Evaluation

Figure 13.1 A Modified Force Field Analysis for Comparing Proposed Actions versus
Inactions.
Source: Copyright 2021 by William J. Rothwell.

Examples of This Step in Performance Coaching

Perhaps, two examples will help to clarify what this step means in practice.

Situation 1
The situation: Marjorie Gulfton works with Harold Fonstor. Harold has been
struggling with his job performance. While Marjorie is not Harold’s supervi-
sor, she is concerned that his job performance problems will affect her—
and the team. To that end, Marjorie decides to play the role of performance
coach with Harold. She goes through all the steps of the performance
coaching model. When she reaches step 10, she asks herself the question
“[w]hat damages are likely to result if no action is taken with Harold?”
How the Performance Coach Addresses This Step in Performance
Coaching: Marjorie drives to and from work every day. One day, as she
drives home after work, she reflects on the answers to that question. She
tries to brainstorm on what will happen if nobody does anything about
Harold’s inadequate job performance.
She believes that the results are predictable. If no action is taken, she believes
that company managers will progress through the typical steps of corrective
action—that is, first an oral warning, then a written warning, then a 3-day sus-
pension without pay, and finally a termination for cause. Harold will then apply
for unemployment compensation, which the company will fight. At the same
time, the team will be affected because time will need to be devoted to making
up for the loss of Harold—which will most likely lead to mandatory overtime
for all workers, declining morale and employee engagement, and much effort
devoted to recruiting, selecting, onboarding, and training Harold’s replacement.
 Step 10: What Are the Damages of Inaction?  409

Inaction will lead to many damaging consequences to Harold and to the

organization’s team. Marjorie does not believe that inaction will produce a
neutral or positive effect.
Marjorie is also aware that damaging consequences could result that are
not immediately apparent. For instance, the department manager may even-
tually be fired (or else moved to another assignment) because her managers
will worry that she has shown she cannot rectify bad employee perfor-
mance like Harold’s when it becomes evident. They might use Harold’s situ-
ation as evidence that the department manager cannot do his job.
All in all, Marjorie concludes that corrective action with Harold should be
taken.
Note that, in the previous discussion, Marjorie refuses the temptation to
take corrective action immediately. Instead, she reflects on what damaging
impact may result from inaction.

Situation 2
[This situation is based on a true story.]
The situation: Maria Wilson is a senior executive in a large insurance
company. She is well-known on the senior team for her ability to meet
and exceed the targets established for her department. In fact, her bonuses
always exceed her salary by many times each year.
But Maria has a problem that can bedevil many ambitious executives. She
has an explosive effect on those who work for her. They detest her. She has
a habit of criticizing her direct reports publicly, making fun of their perfor-
mance, and badmouthing her own workers to her peers on the senior team.
As a direct consequence of her behavior, her direct reports went to see
the CEO as a group. Maria’s entire department—not including Maria—went
along. The CEO was shocked to see a large crowd in his office. To him,
it felt like a mass demonstration that one might see on the streets. Several
workers even carried placards that bore message like “Maria leaves—or we
do” and “Mutiny in Wilson’s Department—It is High Time.”
The CEO called the meeting to order and asked one of the groups to speak
on the group’s behalf. Morton Wiler stepped forward and agreed to do it.
The conversation went as follows:

CEO: Could I ask what is the meaning of this show of force?

Wiler: We have had it. We work in Maria Wilson’s department, and it is intol-
erable. She belittles us; she criticizes us in public; she bad mouths us to
her colleagues; and she generally is a bad boss. If her behavior does not
410  Implementation and Evaluation

undergo a radical transformation—and quickly—we will all walk. We don’t

have other jobs but we will leave anyway! Do something! You are her boss!
CEO: What do you propose I do?
Wiler: The Board pays you a lot of money. I bet you have ideas about how
to fix a problem like this one better than we do.
CEO: Well, the thing is that Maria consistently outperforms anyone else we
could possibly recruit to take her place. I will not fire her—at least not so
long as her job performance is so outstanding.
Wiler: Your inaction has had a price. As you know, turnover in Maria’s division
is higher than in any other. Every day people are absent. They are gone not
because of illness but because they are interviewing somewhere else within
the company or in other companies. So, inaction has been damaging.

Worse yet, we have evidence that those who work in Maria’s division have
been telling the policyholders of our insurance products not to buy them! In
other words, Maria’s management actions have motivated workers to sabo-
tage the company!
What do you have to say about that? Your inaction has prompted damag-
ing consequences.

CEO (raising his hands as one might do to surrender if people pulled a

gun on him): I give up. You have made your point. I actually believe
you, too, because she has criticized some of you when I have been in
attendance. So, I propose to hire a performance coach to re-direct her
behavior.
Wiler: You have to be joking. Do you honestly believe that arrogant, know-
it-all Maria will listen to a coach? She has a nutrition coach right now,
and she is so overweight that we need to boost the electricity on eleva-
tors when she gets on to go upstairs. My point is that she does not have
a great track record in listening to other people.
CEO: She will listen to me. I will go to the Board first and get approval
to replace her. Then I will meet with her and tell her that she has one
chance to work with a coach to improve her behavior in working with
other people. But I would ask all of you to give it a chance. Don’t quit!
Give me—and her—6 months to work this out. We can’t expect to change
a lifetime’s behaviors overnight. That is just not practical. I would also ask
all of you to keep this conversation confidential. As you know, person-
nel actions have to be confidential because workers—even Maria—have
privacy rights. We can’t tell you any more about the situation.
 Step 10: What Are the Damages of Inaction?  411

Wiler ( looking at the others in the room): Is this acceptable?

[Many people shake their heads in agreement.]

Note that, in the previous discussion, Wiler does an outstanding job of demon-
strating convincingly that the CEO’s inaction so far to act on Wilson’s behavior
has had damaging consequences on workers and company policyholders alike.

Competencies Required by Performance Coaches

to Avoid Damages Resulting from Inaction
Performance coaches should be able to:

 reflect on what negative consequences may result from taking no action

to close performance gaps: consider possible negative scenarios stem-
ming from inaction.
 reflect on what positive consequences may result from taking no action
to close performance gaps: consider possible benefits of inaction.
 balance the relative value of acting to close performance gaps and
the relative value of taking no action: weigh the cost of actions to
the cost of inaction. Weigh the benefits of action to the costs of
inaction. Compare the costs. Consider other issues that go beyond
financial considerations—such as the impact of action or inaction
on the work group/team, department, division, and organization as
well as customers, suppliers, distributors, union members, and other
stakeholder groups.
 consider what stakeholders may experience damages from inaction and
how to mitigate the effects experienced by those stakeholders: weigh
the organizational politics of action versus inaction. Will action produce
positive results? Will inaction lead to negligible consequences?

Business Case Example

Before implementing the solutions chosen in earlier chapters, the MBD
management team wanted to go a step further than in the previous chapter.
Recall that, in the previous chapter, the MBD team brainstormed both nega-
tive and positive consequences that might result from implementing solu-
tions to the problems identified.
412  Implementation and Evaluation

But members of the management team were worried that they might be
biased toward action. VP of HR Clarissa Wardstone warned the group that

managers tend to do something whenever a problem occurs. But

sometimes the best course of action is to do nothing. Of course,
acting can have negative or positive consequences. So too can
refusing to act. It is important to give due diligence consideration
to both the consequences of taking action and the consequences of
not taking action.

CFO Yi Xue agreed with Wardstone. She told the group on a zoom call that

about 2 years ago I had eye surgery to remove a cancerous growth.

If I had done nothing, I may have had additional problems from
the cancer. Doing nothing would have long-term negative conse-
quences. But doing nothing would have had at least one positive
consequence: I would not have developed the permanent red mark
on my eyelid that resulted from surgery and that is quite notice-
able to everyone who meets me. My point: taking no action, just
like acting, can have consequences that are good, bad, or indiffer-
ent. Care should be taken to consider action and inaction and their
likely consequences. That does not require a long-term committee
to study it; rather, a short and informal assessment is often good
enough. In conclusion, I agree with Wardstone.

With that, Wardstone asked the management team over the zoom video-
conference to brainstorm about what might happen if no action is taken to
reduce turnover. They felt that, if no action is taken on salaries that:

 Turnover among entry level staff would increase.

 Turnover among more experienced or more senior staff would also
increase.
 Absenteeism rates would go up because absenteeism rates go up before
turnover goes up.

Wardstone suggested that engagement rates might go down because unhappy

workers would validate each other that would lead to growing dissatisfaction.
Wardstone pointed out that active disengagement among workers was related
 Step 10: What Are the Damages of Inaction?  413

to growing accident rates, increasing health insurance claims, and many other
problems—including increased alcohol abuse and drug abuse.
By the end of the videoconference, the management team agreed that
action should be taken to address increasing turnover. The advantages of
doing something appeared to outweigh the damages that could result from
inaction.

Key Factors to Remember

Let’s review the lessons in this chapter. Performance coaches should:

 avoid the temptation to act when inaction may be a viable

alternative
 prioritize performance gaps worthy of action
 identify possible negative consequences stemming from action or inac-
tion and take steps to mitigate them
 identify possible positive consequences stemming from action or inac-
tion and take steps to leverage them to advantage

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on avoiding the temptation to act to solve every problem?
– What is missing or in the way of your understanding?
– What is your action plan to increase your overall rate?

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on prioritizing what performance gaps to close—and which
ones to ignore?
– What is missing?
– What is your action plan to increase your overall rate?

(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on identifying which stakeholder groups might experience
the most damaging effects from inaction?
– What is missing or not understood?
– What is your action plan to increase your overall rate?
414  Implementation and Evaluation

(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to mitigate the damages created by inaction
on performance problems?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

References
Hinkin, Timothy R., and Chester A. Schriesheim. 2004. “If You Don’t Hear from
Me You Know You Are doing Fine: The Effects of Management Nonresponse
to Employee Performance.” Cornell Hotel and Restaurant Administration
Quarterly 45: 362–72.
Hinkin, Timothy R., and Chester A. Schriesheim. 2008. “An Examination of
‘Nonleadership’: From Laissezfaire Leadership to Leader Reward Omission and
Punishment Omission.” Journal of Applied Psychology 93: 1234–48.
Lambert, Andrea. 2016. “Ignoring Problems Can Lead to Serious Consequences:
Learn to Face Challenges Head On.” Andrea Lambert Life Coach. https://
andrealambertlifecoach.com/ignoring-problems-can-lead-serious-consequences-
learn-face-challenges-head/.
Mohrmann, Jacob. 2020. “When We Ignore Problems to Avoid Their Solutions.”
PeopleScience.com. https://peoplescience.maritz.com/Articles/2019/When-We-
Ignore-Problems-To-Avoid-Solutions.
Moore, Henry. 2002. The High Cost of Doing Nothing: How to Avoid Troubles and
Assure Success. Kennett, MO: Skyward Publishing Company.
Mueller, Jennifer. 2017. Creative Change: Why We Resist It . . . How We Can
Embrace It. New York: Houghton, Mifflin & Harcourt.
Saltzman, Jason. 2018. “Here’s the Real Cost of Ignoring Your Problems.”
Entrepreneur. www.entrepreneur.com/article/311834.
Swanson, Ana. 2016. “The Incredible Power of Ignoring Everything.” The
Washington Post. www.washingtonpost.com/news/wonk/wp/2016/03/03/
the-incredible-power-of-ignoring-everything/.
Von Bergen, C. W. 2012. “The High Cost of Supervisory Inaction.” The Exchange
1: 1. http://homepages.se.edu/cvonbergen/files/2015/03/The-High-Cost-of-
Supervisory-Inaction.pdf
“Why the Things You Ignore Will Only Grow.” 2021. Kletische. https://kletische.
com/amplify-things-ignore/.
Chapter 14

Step 11: How to Implement

the Solution?
William J. Rothwell

Once the previous 10 steps of performance coaching have been enacted,

performance coaches must implement them. Implementation goes by many
names. Some call it execution; some call it simply implementation; and some
call it intervention. Whatever the name, it usually involves taking action. The
action can occur on a short-term basis—such as a one-minute performance
coaching session. Or it may occur on a long-term basis—such as many one-
hour session between performance coach and coachee.
Performance coaching sessions share common characteristics. They
all have a beginning, a middle, and an end. They all have a relation-
ship established of some kind between the performance coach and the
coachee. They all have goals to be achieved, actions to be taken by coach
and coachee, and results to be evaluated. In many ways, performance
coaching is like any project; in many ways, performance coaching can
be directive (run by the coach), nondirective (run by the coachee), or a
combination (some features run by the coach and others run by coaches).
Performance coaching can rely on discussions only or they can rely in part
on instruments. And performance coaching is carried out in a setting, and
for that reason, a performance coaching culture is important to establish
and maintain.

DOI: 10.4324/9781003155928-19 415

416  Implementation and Evaluation

How This Chapter Is Organized

This chapter is organized into the following parts:

 What This Step Means

 Why Is This Step in Performance Coaching Important?
 Example of This Step in Performance Coaching
 Using Project Management Methods to Guide Performance Coaching
Implementation
 Managing Across Coaching Projects
 Using Instruments to Guide or Support Performance Coaching
 Establishing a Corporate Culture that Supports Performance Coaching
 Competencies Required by Performance Coaches to Implement
Coaching
 Key Factors to Remember
 Coaching and Developmental Questions for Managers
 References

What This Step Means

Step 11 is about implementing the performance coaching effort. It typically
involves clarifying:

 Who will be coached?

 What will the coaching focus on in the short-term and long-term?
 When will the coaching sessions occur?
 Where will the coaching sessions occur?
 Why will the coaching sessions occur?
 How will the coaching sessions be organized and carried out?
 How much time, money, and effort will be devoted to performance
coaching?

Like any change effort, performance coaching is heavily dependent on

actions and follow-up.
Use the worksheet appearing in Table 14.1 to organize your thinking to
plan a performance coaching session.
 Step 11: How to Implement the Solution?  417

Table 14.1 A Worksheet to Guide Project Planning for Performance Coaching.

A Worksheet to Guide Project Planning for Performance Coaching

Directions:
Use this Worksheet to Guide you in organizing your thinking about how to implement the
solution and how to plan a performance coaching intervention. For each question appear-
ing in the left column below, provide your answer in the right column. While there are no
‘right” or “wrong” answers in any absolute sense, some answers may be better than others
for you, for those you coach, and for the organizational context.
Questions Answers
1 Who will be coached?
2 What will the coaching focus on in the short-term and long-term?
3 When will the coaching sessions occur?
4 Where will the coaching sessions occur?
5 How will the coaching sessions be organized and carried out?
Source: Copyright 2021 by William J. Rothwell.

Why Is This Step in Performance Coaching Important?

Most change efforts fail. And the root cause of failure can often be found
in ineffective implementation. It is one thing to identify the need for per-
formance coaching and select the best solutions; it is quite another thing to
conduct and sustain effective performance coaching interventions. But with-
out sustained efforts, results will rarely be achieved.
When performance coaching interventions fail, managers who act as per-
formance coaches will often cite predictable reasons. They will point to the
lack of time, money, or staff sufficient to conduct the effort. Some will try to
shift blame to the coachee or to others such as the human resources depart-
ment or other workers. But only by sustained effort, results will be achieved.
It is important to note that people cannot be helped if they refuse that
help. For that reason, it is important at the outset of any performance coach-
ing effort to assess the readiness of coaches. Do they want help? Do they see
the need for it? Will they be supported in making changes by their immedi-
ate supervisor (if not the performance coach), their coworkers, their family
members, and other stakeholders who may affect their relative commitment
to the coaching experience?
418  Implementation and Evaluation

Examples of This Step in Performance Coaching

Perhaps, an example will help to clarify what this step means in practice.
The situation: Juan Johnson is a production manager in the Acme Insurance
Company. He is about to meet with his worker Mary Oo. Mary has been
having serious job performance problems. They are meeting for the required
annual performance review. Juan is planning to discuss the performance prob-
lems with Mary and then go through all the steps of the performance coaching
process. He does not believe that it can be done in one meeting. Instead, he is
thinking that it may require monthly meetings over the next year.
Using the Worksheet appearing in Table 14.1, Juan also uses the steps in
the performance coaching model (shown in the Table of Contents of this
book) to plan for a series of performance coaching sessions with Mary.
In his first meeting with Mary, he begins by conducting the performance
review to explain why he believes there are important areas needing
improvement in Mary’s job performance. Mary does not argue; rather, she
signals a willingness to improve. When she does, Juan shares his perfor-
mance coaching plan with her and discusses how they will work together.
Mary leaves the room encouraged and appears to be motivated to improve.
Note that, in the previous discussion, Juan treats performance coaching
like a project. While he takes the lead, he does not coerce Mary into the
change effort. Instead, he explains why a change is needed in her job per-
formance and shares a plan for performance coaching to help her improve.

Using Project Management Methods to Guide

Performance Coaching Implementation
Performance coaches should be familiar with the principles of project man-
agement and apply them to performance coaching projects. Effective proj-
ects comply with the standards of project management, and performance
coaches should be familiar with those. They are set forth by the Project
Management Institute (PMI) (see Project Management Institute 2021; Sandhu
2018; Udo and Koppensteiner 2004).

Managing Across Coaching Projects

A common problem in management today is that many organizations have
numerous change efforts going on simultaneously. One author of this book
 Step 11: How to Implement the Solution?  419

asked a client how many major, strategic change efforts were being imple-
mented in the client’s organization. The answer was 99 major projects! It is
unlikely that so many projects can be successfully implemented at the same
time in any organization.
Performance coaches run into the same problem if they try to help too
many people at the same time. Coaching effectiveness can melt away when
coaches spread themselves too thin across to many clients:
How can that problem be solved?
While there are many answers to that question, one idea is to apply
the principles of Whole Systems Transformational Change (WSTC) to per-
formance coaching (Dannemiller, Sylvia, and Tolchinsky 2000; Sullivan,
Fairburn, and Rothwell 2002). In WSTC, the idea is to bring together all the
key stakeholders involved in change efforts and work with them simulta-
neously. Individual coaching efforts can be folded into a more systematic
approach to large-scale organizational change.
The steps in WSTc have been identified elsewhere. But the idea is to:

 plan a meeting with all the key stakeholders

 assess the needs of the whole group
 set common performance coaching goals that are shared by all mem-
bers of the group
 work with the group to identify ways to achieve the goal individually
and collectively
 work with the group to set targets for achievement at the individual and
group levels
 implement the change effort and thereby work to implement solutions
to performance problems
 establish methods by which individuals and groups can meet to share
concerns, work through issues, leverage strengths, and provide celebra-
tions of successes

Using Instruments to Guide or Support

Performance Coaching
Many instruments are commonly used today. Popular instruments include
the Myers-Briggs Type Indicator (MBTI), the Disc, the Rokeach Value Survey,
and the Kilmann Conflict Resolution Survey (Buros Center 2021; Inc. Coach
U 2005); 360-degree assessments are also popular in which individuals rate
420  Implementation and Evaluation

themselves on a list of criteria, and they are also rated by supervisor(s),

peers, subordinates, and members of other groups such as family members,
customers, suppliers, and distributors (Rothwell et al. 2015).
Instruments can be powerful in demonstrating to individuals or teams the
need to change and specific issues deserving of attention.

Establishing a Corporate Culture that

Supports Performance Coaching
While performance coaches and coachees may work together effectively on
their own, the coaching effort is more likely to be implemented effectively—
and the opportunity for success in implementing solutions to performance
problems is likely to be better—if the organization has established an effec-
tive corporate culture to support coaching. A culture that supports perfor-
mance coaching has distinctive characteristics. Use the instrument appearing
in Table 14.2 to assess the quality of the corporate culture in your organiza-
tion. Then, for each area identified as less than optimal, devise action strate-
gies to improve those elements of your organization’s corporate culture.
It is also helpful if performance coaches follow best practices in coach-
ing like those shown in the assessment appearing in Table 14.3. (You may
wish to assess yourself against the characteristics of an effective performance
coach and use those characteristics to identify areas for your own improve-
ment and development).

Competencies Required by Performance

Coaches to Implement Solutions
Performance coaches should be able to:

 assess the relative willingness of coachees to participate in a perfor-

mance coaching intervention
 apply effective project management approaches to performance
coaching
 manage across multiple performance coaching interventions as
necessary
 source, use, and provide feedback on various instruments that can be of
value in performance coaching sessions
 manage performance coaching sessions effectively
 Step 11: How to Implement the Solution?  421

Table 14.2 Assessing Your Organization’s Coaching Culture.

Assessing Your Organization’s Coaching Culture
Directions:
For each characteristic of an effective corporate coaching culture appearing in the left col-
umn below, rate your organization in the right column. Use this rating scale:
1 = Strongly Disagree; 2 = Disagree; 3 = Neutral; 4 = Agree; and 5 = Strongly Agree.
When you finish, add up the scores from the ratings in the right column. Then read about
your rating below.
Assessing Corporate Coaching Culture How Would You Rate Your Organization?
I Would Say That My Organization 1 2 3 4 5
Represents an Excellent Corporate
coaching Culture. That Means That
Coaching in This Organization
1 Is built on interpersonal trust.
2 Encourages self-disclosure.
3 Is based on openness.
4 Enables self-awareness.
5 Leads to self-development.
6 Allows people to acknowledge
their weaknesses as well as their
strengths.
7 Enables meaningful conversations.
8 Inspires people to improve
themselves.
9 Demonstrates a willingness of
people to give feedback to others
and receive feedback from others
for improvement.
10 Is clearly based on the belief that
everyone can be developed and
can improve.
11 Is based on a belief that leaders have
a responsibility to develop others.
12 Gives people comfort to challenge
issues that are of importance to
them.

(Continued)
422  Implementation and Evaluation

Table 14.2 (Continued)

Assessing Corporate Coaching Culture How Would You Rate Your Organization?
I Would Say That My Organization 1 2 3 4 5
Represents an Excellent Corporate
coaching Culture. That Means That
Coaching in This Organization
13 Is based on a conviction that it
is desirable to have coaches or
coachees.
14 Is not based on status because even
senior leaders may need coaching.
15 Encourages people listen and seek to
understand first.
16 Encourages people to ask questions to
discover issues and solutions.
17 Encourages teams and work groups
to be more open and practice team
coaching.
18 Relies on common terminology and
understanding of coaching.
19 Is evaluated in more than one way.
20 Can build and leverage on strengths as
well as solve problems.
Total
Source: Copyright 2021 by William J. Rothwell.

Scoring (for Table 14.2)

If your score was Then:
between
100 and 90 Congratulations. Your organization has an effective corporate
coaching culture. Give your organization a grade of A.
89 and 80 Good. Your organization has many correct elements in place
to have a wonderful corporate coaching culture. However,
your organization also has areas for improvement. Give your
organization a grade of B.
79 and 70 Okay. Your organization is about average in its corporate coaching
culture. Give your organization a grade of C. Do not rest on your
laurels. Get busy to fix the identified areas for improvement.
 Step 11: How to Implement the Solution?  423

Scoring (for Table 14.2)

If your score was Then:
between
69 and 60 Your organization is nearly failing. You have significant work
to do to improve your organization’s coaching culture. Your
organization gets a D.
59 and below Get busy. Fix your organization’s coaching culture problems.

Table 14.3 Comparing Your Organization to Best Practices in Coaching.

Comparing Your Organization to Best Practices in Coaching
Directions:
For each best practice linked to coaching in the left column below, rate your organi-
zation in the right column. Use this rating scale:
1 = Strongly Disagree; 2 = Disagree; 3 = Neutral; 4 = Agree; and 5 = Strongly Agree.
When you finish, add up the scores from the ratings in the right column. Then read
about your rating below.
Best Practices in Coaching How Would You Rate Your
Organization?
I Would Say That My Organization Aligns with 1 2 3 4 5
Global Best Practice in Coaching. That Means that
Coaching in This Organization
1 Aligns with the organization’s strategic
business plan.
2 Focuses on achieving business results.
3 Encourages self-awareness for coachee
and for coach.
4 Begins with an assessment of some
kind, either formal (databased using
an instrument) or informal (relying on
perceived needs)
5 Takes a holistic approach—which means
that it does not limit coaching discussions
to business topics only but can also
include issues having to do with physical
health, mental health, family, and personal
issues of the coachee.
6 Makes the role of the coach clear
(directive, nondirective, or both).
7 Is carried out with confidentiality in mind
(Continued)
424  Implementation and Evaluation

Table 14.3 (Continued)

Best Practices in Coaching How Would You Rate Your
Organization?
I Would Say That My Organization Aligns with Global 1 2 3 4 5
Best Practice in Coaching. That Means that Coaching
in This Organization
8 Can involve others that go beyond the
coach and coachee—such as managers,
peers, subordinates, or even those off-
the-job such as significant others.
9 Is sensitive to national culture issues.
10 Is sensitive to corporate culture issues.
11 Relies on a clear organization of each
coaching session.
12 Is carried out over a defined period of time.
13 Begins with a contract that lays out
expectations.
14 Must have the support of the coachee
throughout the coaching process.
15 Is regarded as a sign of a leader who wants
to improve continuously.
16 Is supported by important stakeholders
in the organization—such as Board of
Directors (in a publicly traded company)
or owner in a private company, CEO and
others.
17 Often focuses on one issue in each coach-
ing session.
18 Is not always held “on the job site”
because privacy is important.
19 Can sometimes include impromptu
meetings when the coachee experiences
a crisis.
20 Is periodically updated to ensure that the
measurable goals sought from the coach-
ing experience/relationship is clear and
kept up to date.
Total
Source: Copyright 2021 by William J. Rothwell.
 Step 11: How to Implement the Solution?  425

Scoring (for Table 14.3)

If your score was Then:
between
100 and 90 Congratulations. Your organization is following best practice. Give
your organization a grade of A.
89 and 80 Good. Your organization has many correct elements in place.
However, your organization also has areas for improvement. Give
your organization a grade of B.
79 and 70 Okay. Your organization is about average. Give your organization
a grade of C. Do not rest on your laurels. Get busy to fix the iden-
tified areas for improvement.
69 and 60 Your organization is nearly failing. You have significant work to do to
improve how coaching is conducted. Your organization gets a D.
59 and below Get busy. Fix your organization’s coaching problems.

Key Factors to Remember

Let’s review the lessons in this chapter. When implementing the best solu-
tions and implementing performance coaching, performance coaches should:

 assess the willingness of the coachee to participate

 manage the performance coaching intervention like a project
 manage performance coaching sessions
 manage across performance coaching interventions if necessary with
one or more people
 identify, administer, analyze, interpret and provide feedback using
instruments helpful in performance coaching

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your knowledge and understanding of ways to
assess the willingness of individuals or groups to participate in perfor-
mance coaching interventions?
– What is missing or in the way of your understanding?
– What is your action plan to increase your overall rate?
426  Implementation and Evaluation

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your knowledge and understanding of ways to
apply project management techniques to performance coaching?
– What is missing?
– What is your action plan to increase your overall rate?

(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your ability to manage a performance coaching
session with one or more people?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10
being the highest) on your ability to use various instruments in perfor-
mance coaching?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

References
Buros Center. 2021. The Twenty-First Mental Measurements Yearbook. Lincoln, NE:
Buros Center for Testing.
Dannemiller, Kathleen, James Sylvia, and Paul Tolchinsky. 2000. Whole-Scale
Change. San Francisco, CA: Berret-Koehler.
Inc. Coach U. 2005. Coach U’s Essential Coaching Tools: Your Complete Practice
Resource. New York, NY: Wiley.
Project Management Institute. 2021. PMBok Guide: A Guide to the Project
Management Body of Knowledge, 7th ed. Newtown Square, PA: PMI.
Rothwell, William, James Graber, David Dubois, Aileen Zabellero, Catherin Haynes,
Ali Alkhalaf, and Sarah Sager. 2015. The Competency Toolkit, 2nd ed., 2 vols.
Amherst, MA: HRD Press.
Sandhu, Sahil. 2018. “Key Competencies for Project Managers: An Empirical Study.”
https://digitalcommons.harrisburgu.edu/pmgt_dandt/46.
Sullivan, Roland, Linda Fairburn, and William Rothwell. 2002. “The Whole System
Transformation Conference: Fast Change for the 21st Century.” In Rewiring
Organizations for the Networked Economy: Organizing, Managing, and
Leading in the Information Age, edited by Stanley Herman, 115–42. San
Francisco, CA: Jossey-Bass/Pfeiffer.
Udo, Nathalie, and Sonja Koppensteiner. 2004. “What Are the Core Competencies
of a Successful Project Manager?” In No. 2. Paper Presented at PMI® Global
Congress 2004—EMEA, Prague, Czech Republic. Newtown Square, PA: Project
Management Institute.
Chapter 15

Step 12: How to Evaluate the

Successful Implementation?
William J. Rothwell

Step twelve in the performance coaching model is evaluation. Evaluation,

the process of placing value, should be continuous during the coaching pro-
cess. In other words, nobody should wait until the end to begin evaluation;
rather, evaluation should be planned before coaching begins. Evaluation
should also occur before, during, and after each coaching session and
before, during, and after a planned sequence of coaching experiences.

How This Chapter Is Organized

This chapter is organized into the following parts:

 What This Step Means

 Why Is This Step in Performance Coaching Important?
 Steps in Evaluating Performance Coaching
 Examples of This Step in Performance Coaching
 Competencies Required by Performance Coaches to Evaluate
 Key Factors to Remember
 Coaching and Developmental Questions for Managers

DOI: 10.4324/9781003155928-20 427

428  Implementation and Evaluation

What This Step Means

Step twelve is about evaluating performance coaching. It means placing
value on the coaching experience as it is about to occur, while it is occur-
ring, and after it took place. Evaluation can focus on feelings and percep-
tions (i.e., how much people liked the experience), on behavioral change
(how much people changed their behavior as a result of coaching), on
results or productivity, on financial return, on career progress, on goal
attainment, or other issues of importance.
Evaluation has become nearly an obsession with many in the learn-
ing and development field. Managers often request so-called return on
investment (ROI) information about training. While sponsors and clients
sometimes do request evaluation information about performance coach-
ing interventions (Bartlett, Boylan, and Hale 2014; Carter, Wolfe, and Kerrin
2005; Ensminger et al. 2015; Gray 2004; Institute for Employment Studies
2005; Lai and Palmer 2019; Leedham 2005), they less often ask for the ROI
of coaching in the same way that they do for training. Instead, sponsors and
clients more often ask for feedback on how well the coaching experience is
achieving desired results. They wish to know if:

 coaching intended to improve job performance is working

 coaching intended to correct behavioral problems is working
 coaching intended to leverage personal strengths is working
 coaching intended to help workgroups or teams is working

The abovementioned issues are much more practical than complicated

efforts to demonstrate financial benefits to skeptical managers.

Why Is This Step in Performance Coaching Important?

Evaluation is important to forecast benefits, ensure alignment of coach-
ing efforts with the organization’s strategic direction, monitor the
continuing progress of coaching interventions, and document results
achieved.
Assessment and coaching work together. Assessment identifies the
measurable goals to be achieved from the performance coaching effort.
Evaluation identifies the results achieved from the performance coaching
intervention.
 Step 12: How to Evaluate the Successful Implementation?  429

Steps in Evaluating Performance Coaching

To evaluate performance coaching, follow a step-by-step approach. It is also
important to consider who or what is evaluated, a topic also treated in the
following.

Evaluation Step by Step

The first step in evaluating performance coaching is to determine the pur-
pose of the evaluation. Why is evaluation necessary, and who wants the
information from it? Consider:

 Were the measurable objectives of the coaching session/intervention

met?
 How much did coaching contribute to achieving workers’ key perfor-
mance indicators?
 How much did coachees benefit from participating?
 In what ways did coachees benefit?
 What were the strengths and weaknesses of the coaching experience?
 How well-satisfied were those who requested the coaching experience?
 How can future coaching efforts be improved?

The second step is to decide what evaluation method(s) to use. In that step,
decide how the information will be collected. Consider:

 interviewing the coach, coachees, and stakeholders

 surveying the coach, coachees, and stakeholders
 conducting focus groups of coaches, coachees, and stakeholders
 observing coaching experiences
 reviewing secondary data related to coaching

The third step is to make, buy, or make-and-tailor the data collection meth-
ods for evaluation. Should coaches design their methods to collect data, try
to purchase some from sources outside their organizations, or purchase off-
the-shelf data collection instruments and then try to modify them for their
purposes?
The fourth step is to collect data. In short, conduct the interviews, sur-
veys, focus groups, observations, or document reviews. This step is some-
times called administration. Administering data collection can be more
430  Implementation and Evaluation

difficult than it sounds. For instance, some people may refuse to participate.
Data may be collected with a promise of confidentiality, but sensitive data
that emerge may be cause for concern. (For instance, if the confidentiality
of responses is promised when a survey is administered, what should the
organization do if a crime is reported on a survey?)
The fifth step is to analyze the results of the data collection effort. If
the data collection instruments were designed to be answered with scaled
responses, they are subject to quantitative analysis; if they are designed for
open-ended responses, they are subject to qualitative analysis. Sometimes
data analysis will require expert help on statistics, thematic analysis, or both.
The sixth step is to apply the results of the evaluation to improving future
efforts. There is little benefit to collecting information and then not using it.
Often, a good approach is to feedback the information to those who supplied
data and enlist their ideas on how to improve the coaching experience.
The seventh and final step is to document coaching results and commu-
nicate them to stakeholders. Documenting means “writing it down for future
reference.” Often, the results of evaluation are reported and then become the
basis for plans leading to improvement. Communication is also important.
Stakeholders should hear the results of evaluation. In addition, reports—like
case studies—of effective coaching experiences are essentially stories that
help shape and change the corporate culture (BB & Co 2013).

Who or What Is Evaluated?

When planning the evaluation of performance coaching, consider:

 Who will be evaluated?

 What will be evaluated?
 Who will use the results of evaluation?

Who Will Be Evaluated?

Often, it is assumed that evaluation will focus on coachees—that is, how
well they achieved the change objectives established at the outset of a
coaching experience. And, indeed, often performance coaches need to show
results with those they coach. An evaluation may be a necessity to justify
any expenditures on performance coaching or the time and effort devoted
to it. Use the evaluation in Table 15.1 as one example of a way to guide a
coachee through an evaluation.
 Step 12: How to Evaluate the Successful Implementation?  431

Table 15.1 A Tool for Evaluating the Performance Coaching Experience: The
Coachee’s Perspective.
A Tool for Evaluating the Performance Coaching Experience
The Coachee’s Perspective 
Directions:
Use this tool to evaluate the coaching experience. For each step in the 12-step per-
formance coaching process, rate your coach on how well he or she performed as a
coach on each step. Use this scale:
0 = Not appropriate; 1 = Not at all well; 2 = Somewhat well; 3 = Adequate; 4 = Well
done; 5 = Very well done.
When you have finished completing your assessment, add up the scores. Then inter-
pret them by reviewing the scoring below.
Steps in the Performance Coaching Model Rate How Well You Feel
You Performed 
How Well Do You Feel the Coach Carried Out Each Step 0 1 2 3 4 5
in the Performance Coaching Process
1 Step 1: Built rapport and readiness?
2 Step 2: Determined the issue at hand?
3 Step 3: Determined what should be happening?
4 Step 4: Clarified the measurable gap between what
is (step 2) and what should be (step 3)?
5 Step 5: Determined how important is the gap?
6 Step 6: Identified the root cause(s) of the gap?
7 Step 7: Identified a range of ways to close the gap?
8 Step 8: Determined the most effective way to close
the gap?
9 Step 9: Considered the consequences of closing the
gap?
10 Step 10: Clarified the damages of inactions?
11 Step 11: Considered how to implement the
solution(s)?
12 Step 12: Decided how to evaluate the
implementation?
Total
Add up the scores and right and place in the box at right
Source: Copyright 2021 by William J. Rothwell.
432  Implementation and Evaluation

Scoring (for Table 15.1)

If your Then
score is
60–51 Grade your coach an A. Good job.
50–41 Give your coach a B. Invite him or her to work on improving the areas
you identified for improvement.
40–31 Give your coach a C. Ask him or her to work on improving his or her
coaching skills.
30–21 How disappointing. Give your coach a D. Suggest that the coach make it
a priority to improve skills as a performance coach.
20 and You believe your coach is a failure. Suggest that the coach get some
below training on coaching.

But it is also possible to focus evaluation on others. An obvious focal

point for evaluation is the coach. Was the coach helpful? How well did the
coach help the coachee? Was the relationship productive? These and simi-
lar questions may be explored during coaching sessions or built in to be
discussed at checkpoints along a planned chain of performance coaching
sessions. Use the evaluation in Table 15.2 as one example of a way to guide
a coachee through an evaluation.
Some performance coaching interventions are requested by one
person (the sponsor who pays the bill for it) and carried out by another
person (the coach) to help a third person (the client or coachee).
Sponsors, whose interests may not necessarily coincide with those of
performance coaches or the coachees, may be the focus of attention.
Sponsors, when they exist, play an important role and do influence the
direction of performance coaching efforts. For that reason, their role and
how they enact it should also be evaluated. Sponsors can impact coach-
ing results.
Less often discussed is focusing performance coaching evaluation on how
much and what kind of support coachees receive from such stakeholders as
managers, significant others (spouse, siblings, or children), friends, cowork-
ers, and even company customers, suppliers, or distributors. It is possible to
gather data from such sources in 360-degree assessments. It is also possible
to evaluate how much, if at all, these stakeholders help or hinder on-the-job
or at-home applications of coaching advice or lessons learned.
 Step 12: How to Evaluate the Successful Implementation?  433

Table 15.2 A Tool for Evaluating the Performance Coaching Experience: The
Coach’s Perspective.
Tool for Evaluating the Performance Coaching Experience
The Coach’s Perspective

Directions:
Use this tool to help you self-assess how well you feel you managed one or more per-
formance coaching interventions. For each step in the 12-step performance coaching
process, rate yourself on how well you performed as a coach. Use this scale:
0 = Not appropriate; 1 = Not at all well; 2 = Somewhat well; 3 = Adequate; 4 = Well
done; 5 = Very well done.
When you have finished completing your assessment, add up the scores. Then inter-
pret them by reviewing the scoring below.

Steps in the Performance Coaching Model Rate How Well You

Feel You Performed 

How Well Do You Feel You Carried Out Each Step in the 0 1 2 3 4 5
Performance Coaching Process

1 Step 1: Built rapport and readiness?

2 Step 2: Determined the issue at hand?

3 Step 3: Determined what should be happening?

4 Step 4: Clarified the measurable gap between what is

(step 2) and what should be (step 3)?

5 Step 5: Determined how important is the gap?

6 Step 6: Identified the root cause(s) of the gap?

7 Step 7: Identified a range of ways to close the gap?

8 Step 8: Determined the most effective way to close the gap?

9 Step 9: Considered the consequences of closing the gap?

10 Step 10: Clarified the damages of inactions?

11 Step 11: Considered how to implement the solution(s)?

12 Step 12: Decided how to evaluate the implementation?

Total
Add up the scores and right and place in the box at right
Source: Copyright 2021 by William J. Rothwell.
434  Implementation and Evaluation

Scoring (for Table 15.2)

If your Then
score is
60–51 Grade yourself an A. Good job.
50–41 Give yourself a B. Improve the areas on which you rated yourself as wanting.
40–31 Give yourself a C. Develop an individual development plan for improvement.
30–21 How disappointing. Give yourself a D. Make it a priority to improve your-
self as A performance coach.
20 and You believe you are a failure. A mentor might help you sharpen your abil-
below ity to carry out the steps in performance coaching.

What Will Be Evaluated?

Performance coaching is a powerful intervention that can achieve far-ranging
results. Such powerful change efforts should be guided by planned targets and
then results compared to those. Each performance coaching session should
have goals; each performance coaching session should have checkpoints dur-
ing the session; each planned chain of performance coaching sessions should
have their own goals; and milestones should be established and examined
during the implementation of a long-term performance coaching intervention.
While many issues could be the focus of evaluation, two are of particular
importance:

 What was the problem or issue to be addressed by the performance

coaching effort, and how well was it addressed?
 How did people work together to achieve results, and how were interper-
sonal relationships affected by the performance coaching intervention?

The first question addresses the task outcomes that were achieved; the
second question addresses changes in interpersonal relationships or group
dynamics that were achieved. Both the what and the how is important. In
some cases—as in working to improve individual or group innovation—the
how emerges as most important.

Who Will Use the Results of the Evaluation?

Perhaps, the most important issue to consider in evaluating performance
coaching is the answer to the simple question “who wants the evaluation,
and what will they do with it?”
 Step 12: How to Evaluate the Successful Implementation?  435

If it is clear who is the primary audience or customer for evaluation

information, that can affect what objectives are set for evaluation, how data
are collected, how data are interpreted, and how the results will be used. A
simple reason: different stakeholders care about different information.
Coaches care about the effectiveness of the coaching effort. Coachees
care about the same, but they may also care about how others perceive the
coaching experience and what it might say about perceptions of their abil-
ity. Coachees may also worry about the impact of performance coaching on
helping them achieve job performance targets, prepare for promotion, or
interact with others.

Examples of This Step in Performance Coaching

Perhaps, two examples will help to clarify what evaluation means for perfor-
mance coaching.
Situation 1: Lysotta Dorfman is a performance coaching. She has
been working with Maria Taylor, a promising manager in the VouisDillon
Corporation. VouisDillon is a candymaker, and Taylor is the production
manager. She has been working with Dorfman for many months in response
to complaints from Taylor’s direct reports, who claim that she is an abusive
manager with a brutal management style. Taylor’s supervisor is the CEO of
VouisDillon, Li Ming.
Dorfman worked with Taylor to establish an improvement plan to
guide the performance coaching intervention. Li Ming was a part of the
discussion, offering thoughts on what should be improved in Taylor’s
management style. Dorfman shadowed Taylor around the plant for one
day per month, and that was part of the agreement. At the end of each
day, Dorfman would meet with Taylor to offer feedback on what she
observed throughout the day. Dorfman offered her views on what Taylor
did and what reactions Taylor’s behaviors prompted from her direct
reports. She also asked Taylor to reflect on her behavior and offer her
ideas about what could be improved in her interpersonal interactions
with others. At the end of each session, Dorfman would guide Taylor in
an evaluation of the coaching experience as well as Dorfman’s perfor-
mance and Li Ming’s contributions (if any). The evaluation was thus tightly
focused on each session.
After six months of coaching sessions, Li Ming asked Dorfman for a
report to address the answer to the simple question “what improvements
have been made?”
436  Implementation and Evaluation

Comments About Situation 1: Note that, in the previous example,

Dorfman establishes plans for each coaching session and then guides a con-
versation after each coaching session focused on evaluating results achieved.
The results of the evaluation then provide information to guide the goals to
be set for future coaching sessions. That is one way to think about evalua-
tion in performance coaching.
Situation 2: Martin Marietta has an outstanding worker named Jolson Gunns,
who is a security guard. Martin is the manager in charge of an entire region of
security guards. He supervises 32 sites in a 50-square-mile area. His workers
are on their jobs 24 hours per day, 7 days a week, 365 days per year. Each site
is different: some are corporate headquarters; some are industrial plants; some
are large retail stores; some are rental companies that rent out automobiles; and
many other organizations. The security guards in each location have different
responsibilities, which are often dictated by insurance requirements.
Martin wants to call his efforts to groom Jolson “performance coach-
ing.” His goal is to build on Jolson’s strengths and gradually train him
on how to perform every aspect of Marietta’s job. They are doing that
through daily efforts (Rothwell, Chee, and Oo 2015). He plans the devel-
opment experiences daily, using his job description as the basis for the
plan. And he believes that evaluation of the performance coaching effort
should focus on how well the Gunns is developed each day and also over
time.
Comments About Situation 2: Evaluation can take many forms and focus
on many issues. This example is intended to illustrate that point. Evaluation
can be conducted each day against daily targets, and it can be conducted
over longer timeframes when plans extend over longer durations.

Competencies Required by Performance

Coaches to Evaluate
Performance coaches should be able to:

 identify the measurable results to be achieved from a performance

coaching intervention because of an assessment: set measurable tar-
gets. Track achievement against targets. Involve key stakeholders in
tracking results.
 align performance coaching interventions with the organization’s stra-
tegic plans and goals: determine the organization’s strategic goals.
Align coaching goals with the organization’s strategic goals. Monitor
 Step 12: How to Evaluate the Successful Implementation?  437

achievement of coaching goals—perhaps establishing Key Performance

Indicators (KPIs) for the performance coaching change effort.
 plan for evaluation before a coaching intervention or session is imple-
mented: establish a project plan for the performance coaching effort.
Implement the project plan. Monitor project results.
 monitor coaching sessions and interventions as they occur: establish
performance coaching dashboards and other ways of showing results.
Meet with coachees to discuss progress. Meet with sponsors (who pay
the bills for the coaching) to discuss progress as warranted.
 pinpoint areas for improvement in coaching efforts because of sessions
and establish agendas for improvement in future sessions: create a per-
formance coaching scorecard and meet with the coachee and sponsor
regularly to discuss achievement against scorecard targets.
 document the short- and long-term results of performance coaching:
describe the anecdotal evidence of achievement. Describe quantita-
tive, empirical evidence of achievement from performance coaching as
desired or requested.
 communicate the short- and long-term results of performance coaching
to such key stakeholders as senior executives, managers, workers, and
others who have an interest in coaching outcomes: establish a coach-
ing communication plan. Communicate with the coachee. Communicate
with the sponsor. Communicate with others who are in the circle of
acquaintance of the coachee as appropriate.

Business Case Example

As Harold Corson worked on preparing a project plan to implement perfor-
mance coaching at MBD, he considered ways to evaluate the change effort
before, during, and after implementation.
Corson was quite familiar with the so-called Kirkpatrick model, widely
used in evaluating training. According to that model, training can be evalu-
ated based on:

 Reaction: How much did people like the training?

 Learning: How much did people learn from the training?
 Behavior: How much behavioral change occurred back on the job after
people participated in training?
 Results: How much did the organization gain in increased productivity,
or else save in reduced costs, from training?
438  Implementation and Evaluation

Corson felt that these four levels could be revised to fit efforts to evaluate
the benefits of actions taken to reduce turnover and/or to evaluate perfor-
mance coaching.
Corson’s team, at Corson’s direction, developed a reaction sheet to
administer weekly to managers to ask them how much they liked the salary
increases geared to their entry-level workers and how well they felt the sal-
ary increases were working to reduce turnover. Corson’s team members also
interviewed managers to see if they could offer suggestions on what to eval-
uate to ensure that the performance coaching change effort was successful.
When Corson presented his proposal for evaluation methods to the steer-
ing committee, the committee members felt that it was lacking in rigor. The
committee members wanted to see evidence that the efforts were securing
a positive cost/benefit ratio (i.e., it was gaining a positive ROI). To that end,
Corson worked with the Chief Financial Officer and her department to come
up with ways to try to measure the change effort.

Key Factors to Remember

Let’s review the lessons in this chapter. When evaluating performance coach-
ing, performance coaches should:

 plan for evaluation before sessions are conducted

 monitor each performance coaching session with individuals or groups/
teams
 document the measurable results of coaching
 communicate the measurable results of coaching to interested
stakeholders

Coaching and Developmental Questions for Managers

(1) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of ways to plan for
the evaluation of performance coaching sessions?
– What is missing or in the way of your understanding?
– What is your action plan to increase your overall rate?

(2) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your knowledge and understanding of ways to monitor
 Step 12: How to Evaluate the Successful Implementation?  439

performance coaching as it is implemented with individuals and/or

groups and teams?
– What is missing?
– What is your action plan to increase your overall rate?

(3) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to document the results from performance
coaching?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

(4) How do you rate yourself from 0 to 10 (0 being the lowest and 10 being
the highest) on your ability to communicate the results from perfor-
mance coaching?
– What is missing or not understood?
– What is your action plan to increase your overall rate?

References
Bartlett, James, Robert Boylan, and Jimmie Hale. 2014. “Executive Coaching: An
Integrative Literature Review.” Journal of Human Resource and Sustainability
Studies 2, no. 4: 188–95. www.scirp.org/pdf/JHRSS_2014111909115742.pdf.
BB & Co. 2013. “How to Change Corporate Culture with Storytelling.”
Strategic Storytelling. https://bbcostorytelling.com/blog/
how-to-change-corporate-culture-with-storytelling/.
Carter, Alison, Helen Wolfe, and Maire Kerrin. 2005. “Employers and Coaching
Evaluation.” International Journal of Coaching in Organizations 3, no. 4:
63–72. https://researchportal.coachfederation.org › Pdf.
Ensminger, David, Leanne Kallemeyn, Tania Rempert, James Wade, and Megan
Polanin. 2015. “Case Study of an Evaluation Coaching Model: Exploring
the Role of the Evaluator.” Evaluation and Program Planning 49: 124–36.
www.pieorg.org/wp-content/uploads/2016/06/Case-study-of-an-evaluation-
coaching-model_-Exploring-the-role-of-the-evaluator.pdf.
Gray, David E. 2004. “Principles and Processes in Coaching Evaluation.” The
International Journal of Mentoring and Coaching 2, no 2: 1–7.
Institute for Employment Studies. 2005. Practical Methods for Evaluating Coaching.
Brighton, UK: University of Sussex. www.employment-studies.co.uk/system/
files/resources/files/430.pdf.
Lai, Ying-Ling, and Stephen Palmer. 2019. “Psychology in Executive Coaching: An
Integrated Literature Review.” Journal of Work-Applied Management 11, no. 2:
143–64. www.emerald.com/insight/content/doi/10.1108/JWAM-06-2019-0017/
full/html.
440  Implementation and Evaluation

Leedham, Mel. 2005. “The Coaching Scorecard: A Holistic Approach to Evaluating

the Benefits of Business Coaching.” International Journal of Evidence Based
Coaching and Mentoring 3, no. 2: 30–43. https://www.researchgate.net/publi
cation/228974779_The_Coaching_Scorecard_a_holistic_approach_to_evaluating_
the_benefits_of_business_coaching.
Rothwell, William J., P. Chee, and J. Oo. 2015. The Leader’s Daily Role in Talent
Management: Maximizing Results, Engagement, and Retention. New York:
McGraw-Hill.
Rothwell, William J., and Cho Park. 2021. Virtual Coaching to Improve Group
Relationships: Process Consultation Reimagined. New York: Routledge.
SUPPORT,
MAINTENANCE,
SELF-EVALUATION,
AND SELF-RATING

Performance coaches must be self-aware, since they are the instruments for
change that can impact those they seek to help. This part demonstrates that
the fundamental foundation of all knowledge, as recognized in the carved
motto above the ancient temple of Apollo at Delphi, is to “know thyself.”
Chapter 16 focuses on building self-awareness and self-knowledge.
Appendix A points the way forward, pointing aspiring performance
coaches to resources that can take them to higher levels of competence in
practicing performance coaching.

Chapter 16—How Effective Are You?

How do you know if you are effective and productive, mentally?
Maintaining and implementing learned disciplines and conducting self-
rating and self-evaluation.

Appendix A
Selected resources to support High-Performance Coaching for Managers
and related topics.
 

DOI: 10.4324/9781003155928-21 441

Chapter 16

How Effective Are You?

Behnam Bahshandeh

Now that we have completed the fifteen chapters and gone through trying
to educate, inform, and develop you about conducting an effective high-
performance coaching process, we would like you to examine yourself and
conclude about how effective you are. How do you know if you are effec-
tive and productive, mentally, emotionally, and can actually go through high-
performance coaching with your clients and coachees?
This last chapter gives you methods and tools to maintain and implement
learned disciplines and tools which were found throughout this coaching book.
This chapter will cover:

 How to generate values for your clients and teams and increase your
effectiveness
– Leadership and management competencies
– Knowledge, skills, and abilities
– Who you are being
 The process of self-management and maintenance
– The self-managing and maintaining list (SMML)
– Weekly values and practices
 Self-evaluating
– High-performance coaches self-evaluating
– Top ten coaching processes self-rating for a manger-as-coach
– The monthly discipline of coaching self-rating
– Coaching session evaluation form
 Recommendation for reviewing some of the elements and disciplines of
previous chapters

DOI: 10.4324/9781003155928-22 443

444  Support, Maintenance, Self-Evaluation, and Self-Rating

How to Generate Values for Your Clients/

Teams and Increase Your Effectiveness
(Part 1 of 4)
The high-performance coaches’ expertise is set in assisting individuals to
improve and enhance their ability to conduct and perform their skills while
on the job, in a profession, a performance, a sporting event, etc. It may
occur while working with different people in a variety of professions, like
musicians, attorneys, executives, managers, artists, or athletes.
Our job as high-performance coaches is to uncover and distinguish pos-
sible gaps (proficiency gaps) in their skills and abilities, to find “what is hap-
pening,” then identify “what should be happening” based on their relevant
job performance standards in their careers, jobs, or performance. Finally,
with their alignment, to come with a set of training and resources (related to
their industry) for improving and enhancing their performance.
To achieve this intention, high-performance coaches provide a series of
methods and techniques based on proven models, disciplines, and platforms
seeking to provide continuous performance enhancements and improve-
ments for individuals, teams, departments, or organizations. The relationship
between high-performance coaches or managers-as-coaches is a coaching
process and feedback structure between coaches (could be managers) and
coachees (could be clients or employees or teams), that provide the learning
and the developmental environment through feedback, corrections, and new
approach techniques.
When we look at high-performance coaches’ responsibilities and their
commitment to their work with their clients, it is clear that they need to con-
stantly work on their own development and to make sure they are effective
in what they are doing with their clients and coachees.
The following four-part review summarizes what a high-performance coach
needs to have, pay attention to, and develop to be able to provide a high level
of values for their clients and coachees. Please review these elements:

 Do you have what it takes to generate values for your coachees?

 Are you confident about what you have developed in yourself as high-
performance coaches?
 Do you have the leadership and management competencies for con-
ducting effective performance coaching?
 How Effective Are You?  445

 Have you accumulated the knowledge and skills, and abilities to be

effective performance coaches?
 Are you aware of who you are being while you are doing the perfor-
mance coaching?

The following review and summary will assist you in having some answers
and will provide some opening for further learning and development for
you as effective high-performance coaches who can provide values for their
clients and coachees.
Let’s start from Figure 16.1.1, the main form of this review and summary
process. This process includes two distinct approaches:

(1) Inquiries for you to think, process, and come with your own answers.
There are no right or wrong answers, no good, bad, or acceptable
answers, only you, your authenticity and your honesty, knowing you
are not competing with anyone or anything, not trying to win in this
process, and only trying to get to know yourself better. When you come
with your own honest answers, then you are the ones responsible for
planning developmental programs for yourself and designing learning
techniques using this book or other available resources to improve and
enhance your own performance as coaches.
(2) Depicting and breaking down some of elements of this process for
your easy review. This attempt will make it easier to think and to stimu-
late your thoughts for adding what is relevant to you, your career or
your industry.

Please Come with Answers for the Following Inquiries

for Yourself
 What is value to you?
 What comes to your mind when you hear Generate value?
 What is your strength in Generating value for your clients or coachees?
 What is your weakness in Generating value for your clients or
coachees?
 What is your fear of Generating value for your clients or coachees?
 What is stopping you from Generating value for your clients or
coachees?
 What is on your way to Generating value for your clients or coachees?
446  Support, Maintenance, Self-Evaluation, and Self-Rating

Figure 16.1.1 How to Generate Values for Your Clients/Teams and Increase Your
Effectiveness.
Source: Copyright 2021 by Behnam Bakhshandeh.

Knowledge, Skills, and Abilities

 vision, mission, values, principles, commitment, and stand
 methods, models, techniques, and services
– meetings, analysis, diagnosis, feedback, evaluation, planning, and
procedures
 your knowledge
 your history
 systems, structures, and approaches
– training, workshops, seminars, etc.
 your material
– handouts, displays, manuals, brochures, and website

Leadership and Management Competencies

 leading and managing experience
 managing style
 effective communication skills
– active listening
 having people skills
– good manners
– being compassionate
– welcoming
 How Effective Are You?  447

 having a business coach or mentor

 managing and leading by example
 making a stand for your team and your customers
– having people realize their greatness versus letting them justify their
circumstances

Who You Are Being

 with yourself
– your look, fitness, appearance, and presentation
– your dreams, vision, and values
– owning and learning your failures and successes and being respon-
sible for them
 with others
– your coachees
– your partners
– your team and customers
 about what you do
– your productivity
– your planning
– your structures
– your disciplines

Knowledge, Skills, and Abilities + Leadership and

Management Competencies = Prepared
The combination of your knowledge, skills, and abilities with your leader-
ship and management competencies will make you Prepared to:

 lead and produce results in a timely manner

– schedules, meetings, appointments, and services
 respond to questions and concerns effectively
– training, developments, clients’ issues, and potential upsets
 see and predict what is coming at you
 powerfully deal with what is so and what is real
 take on your coaching business completely
 get to the source of emergencies before they are happening
448  Support, Maintenance, Self-Evaluation, and Self-Rating

Leadership and Management Competencies +

Who You Are Being = Being Credible
The combination of your leadership and management competencies and
who you are being will make you Credible with:

 listening to what you are saying

 your work and style
 following your leads
 making business decisions
 being an example of success
 your managing practices
 your coaching approaches
 life in general

Knowledge, Skills, and Abilities + Who You

Are Being = Being Developed
The combination of your knowledge, skills, and abilities with who you are
being will make you Developed in being:

 a powerful person
 an effective coach, manager and leader
 someone who can generate versus survival
 a compassionate and understanding person
 a productive and efficient person
 a patient and foreseeing manager and coach

Prepared + Credible + Developed = Generating Value

The combination of you becoming prepared, credible, and developed will
help you to Generate value for your clients and coachees by:

 increasing productivity
– being responsible for educating your clients and coachees
– being accountable for serving your clients and coachees
 increasing client base
– enrolling your clients in your vision and values for what you are
doing
– inventing new games for higher performance
 How Effective Are You?  449

 inventing new services and products

– finding out what clients or coachees need
– making it easy for clients and coachees to get what they want
 building reputations
– for good service, professional behavior, and great attitude
– for excellent business operations
 expanding business
– securing future

Set of Coaching Questions for Your Future Activities

and Maintaining What You Learned
Note: Before answering some of the following questions, please read the
next section, “Explanations. Descriptions and Directions for Answering Some
of Above Questions,” before answering some of the following questions:

 What aspects of Knowledge, Skills, and Abilities do you need to work

on or need support with?
 What aspects of Leadership and Management Competencies do you
need to work on for yourself?
 What aspects of Who You Are Being do you need to have more
understanding?
 What do you realize or notice about your abilities and skills to generate
value?
 What are you willing to do, add, change, or alter to be Prepared to gen-
erate value?
 What are you willing to do, add, change, or alter to become Credible for
generating value?
 What are you willing to do, add, change, or alter to be Developed in
generating value?
 What are you promising to yourself?
 What are you willing to do to keep your promise?
 Who will you discuss this with?

Explanations. Descriptions and Directions for

Answering Some of the Above Questions
For your complete understating for what we are looking, we have pro-
vided some explanations and directions on how to answer some of the
aforementioned coaching questions.
450  Support, Maintenance, Self-Evaluation, and Self-Rating

What Do You Realize About Yourself?

What did you learn about yourself by reading and applying the last sections?
What was the realization about yourself regarding those topics? Usually, the
nature of this realization is the “bad news,” but if it is a good thing, how?
For example, you might realize you are an opinionated person, and you
always judge and evaluate people. That by itself might be the bad news;
however, it is a good thing that you got to face it and own it, so you have
power over it, not it having power over you! (Bakhshandeh 2009).

What Are You Willing to Add, Change, or Alter?

Now that you realized a few things about yourself, what are you willing to
add, change, or alter about your life based on that realization? If you are not
adding something new, changing something old, or altering some behaviors
and trains of thought, what is the point? If you want something different for
yourself, your career, and your life, you have to do something different. Start
jotting down the changes. The scariest thing is the one you do not want
to write down, the one that you know must be done. For example, if you
realized that you are opinionated, what you would change is your view of
people. As a result, you alter the way you relate to others. You will not judge
them immediately before knowing them (Bakhshandeh 2009).

What Are You Promising Yourself?

Now that you know what needs to be added or changed, or altered, you must
make a promise to yourself that you will do something about it! This prom-
ise is one of the most important promises of your life because it is a promise
to you! A goal without a promise and a deadline is nothing but a good idea.
So, make a promise and keep it. Do not make a promise just because you do
not know how to keep it. Write down your promise based on the changes
that need to be done to transform what you realized about yourself. Using the
previous example, I promise not to judge others immediately, Or I promise not to
act on my opinion but instead spend time to find the facts (Bakhshandeh 2009).

What Are You Willing to Do to Keep that Promise?

Now that you have made the promise, you have to come up with a series of
actions that will guarantee the fulfillment of those promises! It is black and
 How Effective Are You?  451

white. It is something you will do, not just think about. You will take these
actions, and you will do them to keep your promise. This is not conceptual;
this is real! This has time, location, and format. Using the previous example;
As soon as I judge someone, I will apologize for it, and I will clean it up! Or
I will keep myself away from opinionated people who do not care about the
facts and just want to gossip (Bakhshandeh 2009).

With Whom Will You Discuss This?

These are people who you like to talk to and with whom you can share your
transformation, development, and learning experience. In some cases, these
are people you have judged, evaluated, and formed some opinion about!
(Based on the mentioned example of insight and realization). As hard as it is,
you will gain so much respect for yourself, and they will develop so much
respect for you when you clean up your mess with them and acknowledge
what you have done. Clean it up and make a new promise to them. At that
moment, you will be powerful and extraordinary (Bakhshandeh 2009).
[Note: The content of the previous five paragraphs was from the book
“Conspiracy for Greatness; Master of Love Within” (Bakhshandeh 2009,
109–12) and used with express permission from Behnam Bakhshandeh and
Primeco Education, Inc.]

Leadership and Management Competencies

(Part 2 of 4)
In this second out of four-part summaries (using Figure 16.2.2), we depict
the elements of Leadership and Management Competencies:

Please Come with Answers to the Following Inquiries

 What are Leadership and Management Competencies to you?
 What comes to your mind when you hear Leadership or Management
Competencies?
 Where are you weak or not confident in Leadership and Management
Competencies in what you do?
 Where are you strong or confident in your Leadership and Management
Competencies in what you do?
452  Support, Maintenance, Self-Evaluation, and Self-Rating

Figure 16.1.2 Elements of Leadership and Management Competencies.

Source: Copyright 2021 by Behnam Bakhshandeh.

 What is your fear of lacking Leadership and Management Competencies?

 What is stopping you from developing Leadership and Management
Competencies?
 What is in your way to develop Leadership and Management
Competencies?

Proficiencies
 To respond to the underlying occurring dynamics during coaching
sessions.
 To upgrade your clients’ or the teams’ primary source of energy.
 To replace paradigms from which your clients or the teams are
operating.
 To train your clients or the teams to invent solutions for their problems.
 To train your clients or the teams to add and implement new dimen-
sions to their perceptions and thought processes.

Capabilities
 To listen without judgment.
 To respond to the matter at hand.
 To take your clients’ and teams’ concerns seriously.
 To be fully expressed and bring play and fun to the coaching process.
 To keep up with your clients’ and teams’ speed and thinking.
 How Effective Are You?  453

Framework
 There is usually a better way.
 Risk is always reducible.
 Success is a by-product of actions and disciplines.
 It’s all solvable, or it’s not.
 Delay is increasingly expensive.

Proficiencies + Capabilities = Preparedness

The combination of your proficiencies with your capabilities will make you
be Prepare and Powerful:

 to be present versus being mystified

 to look for possibilities versus expectations
 to find resolutions versus complaints
 to be with upset versus to get entangled with emotions
 to be at cause versus to be at effect

Capabilities + Framework = Potential

The combination of your capabilities with your framework will create
potential:

 to fulfill the personal and professional vision

 to achieve the intended goals
 to expand the operations and services
 to move through obstacles speedily
 to have an effective operation

Proficiencies + Framework = Leverage

The combination of your proficiencies with your framework will give you
Leverage:

 to increase your productivity

 to have a relationship with your teams or clients
 to demand excellence and structure
 to expand the teams or business
 to have an open and authentic working environment
454  Support, Maintenance, Self-Evaluation, and Self-Rating

Power + Potential + Leverage = Effectiveness

The combination of your developing and having power, potential, and lever-
age will help you to become Effective:

 in producing results
 in relationships with your clients
 in relationships with your team members
 in fulfilling your vision and accomplishing your goals
 in expanding and achieving your future plans

Set of Coaching Questions for Your Future Activities

and Maintaining What You Learned
 On what aspect of Proficiencies do you need to work, design, or need
support?
 What aspect of Capabilities do you need to have more
understanding?
 What aspect or part of the Framework do you need to have, prepare, or
provide for yourself?
 What do you realize or notice about your Proficiencies, Capabilities and
Framework to become more effective in generating value?
 What are you willing to do, add, change, or alter to have power in man-
aging your business and life?
 What are you willing to do, add, change, or alter to have more Potential
and Leverage in your business and life?
 What are you willing to do, add, change, or alter to apply what you
learned into your business and life to generate value?
 What are you promising to yourself?
 What are you willing to do to keep your promise?
 Who will you discuss this with?

Knowledge, Skills, and Abilities

(Part 3 of 4)
In this third part out of four-part summaries, using Figure 16.1.3, we depict
the elements of knowledge, skills, and abilities.
 How Effective Are You?  455

Figure 16.1.3 Elements of Knowledge, Skills, and Abilities.

Source: Copyright 2021 by Behnam Bakhshandeh.

Please Come with Answers for the Following Inquiries

 What is Knowledge, Skills, and Abilities to you?
 What comes to your mind when you hear Knowledge, Skills, and Abilities?
 Where are you weak or not confident with Knowledge, Skills, and
Abilities in what you do?
 Where are you strong or confident with your Knowledge, Skills, and
Abilities in what you do?
 What is your fear of lacking knowledge or having Skills or Abilities?
 What is stopping you from developing Knowledge, Skills, and Abilities?
 What is in your way to develop Knowledge, Skills, and Abilities?

Strategies
 Short-term business plan (one to four years).
 Long-term business plan (five to ten years).
 Short-term business plan (one year and next quarter).
 Production targets and daily and weekly forecasts.
 Sales plan and velocity of production.
 Appropriate alliances and partnerships.

Concepts
 You are either fulfilling a vision or redoing a past event.
 There is no tomorrow; it is an illusion it will never come; it is only today!
456  Support, Maintenance, Self-Evaluation, and Self-Rating

 There is nothing wrong until you say there is.

 You are enrolling others to something powerful or small every day.
 They are not out to get you; relax!
 Stop adding meaning to everything.

Tools
 Policies and dynamics.
 Operation procedures between departments.
 Inside and outside structures.
 Team and client trainings.
 Operations logistics.

Strategies + Concepts = Solutions

The combination of your strategies with your understanding of concepts will
give you abilities to Solving issues:

 upsetting situations with a team or clients

 operation breakdown during growth time
 growing and expanding obstacles
 team and client’s expectations of you or your operations
 your own suffering

Concepts + Tools = Learning

The combination of understanding of concepts with your tools will give you
an opportunity for learning:

 How to run the business smoothly.

 How to handle issues and situations.
 How to lead your team within your organization’s vision.
 How to be responsible for your planned expansions.
 How to live your vision versus avoiding the same past mistakes.

Strategies + Tools = Applications

The combination of your strategies with your tools will give you an opportu-
nity for Applying:
 How Effective Are You?  457

 planning the work and working the plan

 practicing principles that make a difference
 implementing procedures that bring up the presence of values in busi-
ness and performance
 policies and structures for inventing rigor
 what you know is the right thing to do

Solutions+ Learning + Applications = Wisdom

The combination of solving, learning, and applying will help you to develop
Wisdom:

 to make decisions that are aligned with your vision

 to lead effectively for your team and for your clients
 to cause leadership within your team and for your clients
 to see and design your future and to make it real
 to become responsible for your business and its operations as a
whole

Set of Coaching Questions for Your Future Activities

and Maintaining What You Learned

 On what aspects of Strategies do you need to work, design, or need

support?
 What aspects of Concepts do you need to have more understanding?
 What aspects or parts of Tools do you need to have, prepare, or provide
for yourself?
 What do you realize or notice about your strategies, concepts, and tools
to become wiser to generate value?
 What are you willing to do, add, change, or alter to solve problems or
issues in managing your business and life?
 What are you willing to do, add, change, or alter to utilize on learning
more about your business and life?
 What are you willing to do, add, change, or alter to apply what you
learned into your business and life to generate value?
 What are you promising to yourself?
 What are you willing to do to keep your promise?
 Who will you discuss this with?
458  Support, Maintenance, Self-Evaluation, and Self-Rating

Who You Are Being

(Part 4 of 4)
In this fourth and the final part of these summaries, using Figure 16.1.4, we
depict the elements of knowledge, skills, and abilities.

Please Come with Answers for the Following Inquiries

 Who are you for yourself?
 How do you see yourself? Authentically, with honesty?
 What comes to your mind when you hear, Who Are You Being?
 Where are you weak or not confident in understanding and distinguish-
ing Who You Are Being?
 Where are you strong or confident in understanding and distinguishing
Who You Are Being?
 What is your fear of becoming fully expressed in Who You Are Being?
 What is stopping you from digging into recognizing Who You Are Being?
 What is in your way to distinguish and discover Who You Are Being?

Your Qualities
 your vision of the world
 your perceptions
 your life principles
 your personal integrity

Figure 16.1.4 Elements of Who You Are Being.

Source: Copyright 2021 by Behnam Bakhshandeh.
 How Effective Are You?  459

 your authenticity
 your stand in and about life

Your Experiences
 from upbringing and your family
 from working, career, and profession
 from your relationships
 from your formal or unconventional education
 from upsetting, dramatic, or exciting life events
 from your successes and failures

Your Values
 on honesty and integrity
 on responsibilities and accountabilities
 on personal and professional growth
 on respecting others regardless of their status
 on having balance in life
 on others’ experiences of yourself

Your Qualities + Your Experiences = Confidence

The combination of your qualities with your experiences will assist you in
developing your Confidence:

 in yourself
 in what you are doing
 in establishing rapport
 in building relationships
 in what you are presenting
 in your leading and managing skills
 in your ability to use your tools and materials

Your Experiences + Your Values = Evidence

The combination of your experiences with your personal values will be
Evidence:

 of your expertise
 of your managerial decisions
460  Support, Maintenance, Self-Evaluation, and Self-Rating

 of your leadership qualities

 of your abilities to deliver the intended outcomes
 of your preparation and credibility

Your Qualities + Your Values = Style

The combination of your qualities with your personal values will make up
your style:
 of taking a firm stand for your values and principles
 of focusing on fulfillment of your vision
 of not compromising your integrity
 of practicing responsibility and accountability
 of communicating and listening
 of being true to yourself and your ideals
 of being a standout for greatness for your clients and teams

Your Qualities + Your Experiences + Your Values = You

The combination of your qualities, experiences, and values is the representa-
tion and display of You and:

 the way you live

 the way you think
 the way you operate
 the way you lead
 the way you relate
 the way you present yourself
 the way you are

Set of Coaching Questions for Your Future Activities

and Maintaining What You Learned
 On what aspects of Your Qualities do you need to work, plan, or need
support?
 What aspects of Your Experiences do you need to have more empower-
ment or forgiveness?
 What aspects or part of Your Values do you need to have, prepare, or
provide for yourself and your life?
 How Effective Are You?  461

 What do you realize or notice about your qualities, experiences, and

values that make you who you are?
 What are you willing to do, add, change, or alter to solve problems or
issues on becoming yourself authentically?
 What are you willing to do, add, change, or alter to utilize in learning
more about yourself and your life?
 What are you willing to do, add, change, or alter to apply what you
learned into your business and life to generate value for yourself and
others around you?
 What are you promising to yourself?
 What are you willing to do to keep your promise?
 Who will you discuss this with?

The Process of Self-Management and

Maintenance of Learning
We are now at a place where we can create and invent practices that will
assist us in reaching our potentials and greatness. If we do not manage
and maintain what we learned to protect and support our vision, we can-
not move forward in a productive manner. In this section, we will work on
inventing new practices that will support our getting rid of any old and inef-
fective practices. This is where the rubber hits the road, the real black and
white.
At this point, we will begin to understand how to fully support this new
learning process so it can become a reality which will support us and help
us to move forward and achieve our goals and accomplish our intentions
in our high-performance coaching practice. First, I want to look at one of
the biggest obstacles in our way to do that, and that is to avoid failing. We
do not like to fail, and we will do anything not to face it. I am sure you
can recognize the emotions and feelings that arise after the experience of
failing.
Consider this. You never know whether you will fail unless you try. The
way you will fail is if you are being negative about what you say to yourself
and what you are about to do! One of the greatest quotes I have read on
this topic is from Sir Winston Churchill, the British Prime Minister during
World War II, who said, “[s]uccess is moving from failure to failure with no
loss of enthusiasm.”
462  Support, Maintenance, Self-Evaluation, and Self-Rating

Failure Is a Part of Life and Business

The one point that is hard to explain but simple to say is that failure is a part
of the process to achieve success. While failure is difficult, it is part of the
game of life and business and one of the things that, if used correctly, will
make us stronger. We have personally failed in life more than we have suc-
ceeded, but we are absolutely certain of who is at the source of our successes
and failures—us and us only. The problem starts when we do not see that the
task that we failed at does not define who we are at the core. Why? Because
we are not the project or the goal, but we are someone who is a source of the
project or goal. When we look at a failure, it is how we choose to define it. By
simply looking at only the failure and not how we failed, we are surrounded
by the ‘conspiracy for smallness’ and are the source of our own suffering.
The other side of the coin is when we look at and relate to the project or
goal as fulfilling our life vision; the idea becomes that nothing is wrong, but
we have work in front of us. We must have an ‘I can do it’ attitude because
we can accomplish anything with the abilities, intelligence, and resources
needed. This is true even in our relationships. We must stand up, dust our-
selves off, and get back in the saddle, so to speak. This is what I call ‘con-
spiracy for greatness’ and ‘mastery of love within.’
We totally understand and can feel the pain of failure. We have been
there, so we have compassion and understanding. But look at any goal or
project we take on from this view. Am I worth fighting for? Yes, You Are!
There is no doubt! We must be patient and committed to new practices,
projects, or goals that we choose to do. This is how we will have our vision
fulfilled. Remember, nothing will happen overnight. Patience and belief in
the vision are very important to this process.
The following short story “The Miracle of the Chinese Bamboo Tree”
shows us what we mean by patience:

The Chinese Bamboo tree is planted after the earth is prepared. For
the first four years, all the growth is underground. The only thing
visible above the ground is a little bulb and a small shoot growing
out of it. Leaders know what it means to pay the price to prepare the
ground, to plant the seed, and to fertilize and cultivate, water and
weed, even when they can’t see immediate results. They have faith,
that ultimately, they will reap the fruits in the harvest. And what
wonderful fruits they are—because in the fifth year, the Bamboo
tree grows up to eighty feet!
(Author unknown)
 How Effective Are You?  463

You are as powerful as that little Chinese bamboo bulb, even if you are
small outside, feel scared, even terrified to take on life and bring home the
vision you dream about! However, you are strong inside, both powerful and
determined! We hope that you can see we are relating to you as a coach.
We can do anything we put our mind, heart, and soul into. Failure is not a
negative until you say so. As a matter of fact, it is nothing until you say so!
First, start with inventing practices and actions that will guarantee the
alteration of your life and business experiences. Go back and briefly review
each of the previous chapters. Write down your primary realization and
insights about yourself concerning the topics of each chapter. It might be
something about yourself, the way you think or operate or something about
others and the way they conduct their businesses or something about your
style of coaching. Check yourself on what recognitions you have had and
what changes you want to make to move forward in a positive light. Make
the things you write as a promise to yourself and then keep that promise.
If you have not yet created a promise for yourself, it is time to do it. You
are being responsible and accountable to what you say you want in your life
and business. No more wishing, hoping, and dreaming! Now is the time to
move forward! Unfortunately, the world is full of people with great potential,
never realized. These sitting dormant people have kept their genius within
and never recognized their inner power because the inner chatter said the
task was too hard, or it would take too long. You might be one of them, but
not anymore. You are learning new information, and now you know that
greatness comes from within, like a garage filled with useful items that are
left undiscovered because nobody ever opens the garage!
Fill yourself with integrity and relate to the relationships we are now
forming with responsibility and most importantly, accountability. Be sure
that you have taken the time to write your realizations and insights by
briefly reviewing each chapter so your ideas will be fresh, and you will take
them more seriously; otherwise, it will be hard to work on your true needs.
This segment will introduce you to some practices for maintaining and
self-managing what you learned about high-performance coaching. They
are as follows:

 the self-managing and maintaining list (SMML)

 weekly value practice
 visual structure
 monthly discipline of coaching self-rating

Knowing this will help you to maintain what you have learned so far and
continue producing results out of what you have learned.
464  Support, Maintenance, Self-Evaluation, and Self-Rating

The Self-Managing and Maintaining List

The Self-Managing and Maintaining List, or SMML for short is designed to be
a place to review what you learned, promises you made, and how you are
making your promises a reality. Compile a three-section accounting of the
actions you have promised to put into place:

Part One: Insights and Realizations

As we covered in the “Explanations. Descriptions and Directions for
Answering Some of Above Questions” segment in the beginning of this
chapter, go back in the chapters you have completed, pick out the insights
or realizations you had after completing these chapters, reading the key fac-
tors of each chapter and coaching questions at the ends of each chapter.
It is vital that you have at least one insight or realization per chapter. It
will be manageable. Try to keep it no more than one so the task is doable.
While the nature of the insight is usually bad news, it can be used in
a positive way. This is to know and learn about yourself so you have the
opportunity to do something about it. Tell the truth without holding back
and allow yourself to feel and experience the impact and pain of the past
negativity. This is very important because you can tend to avoid reality
and not face the truth of a situation. That is why we said the nature of the
insight could be bad news. For example, in Chapter 4, about rapport and
how to build and establish rapport, you might have insight and realization
that I am lazy in building rapport and just want people to do their jobs.
In the following SMML format (Figure 16.2.1), the first part of the three-
part combination, we have provided you with just fifteen spaces (one space
for each of fifteen chapters), but you are more than welcome to recreate that
format on your own device and keep adding to it if it is necessary.
Right now, write your insights and realizations in the first part of the
SMML before going on to part two. What are your insights and realizations
about yourself, what are you avoiding, and where do you think you need
further development?

Part Two: Operational Promises

Operational promises are those promises you make to yourself. These will
impact the aforementioned insights and realizations that you have listed. In
other words, if you keep the promises you made based on the insights you
wrote, then you have altered and transformed the nature of your insights.
 How Effective Are You?  465

Figure 16.2.1 Part One of SMML: Collection of Insights and Realizations.

Source: Adapted from Bakhshandeh (2009).

Operational means the promises must have worked before them. You must
do something about them. They are not just conceptual like a pie in the
sky! They are real and manageable, which is why these promises are cat-
egorized as operational.
Your answers to the following questions are examples of an operational
promise:

 What are you promising to yourself?

 What are you going to do about this issue?
 What do you see you need to handle or complete?
466  Support, Maintenance, Self-Evaluation, and Self-Rating

For example, if your insights in Chapter 4 about rapport that you mentioned in
part one of SMML was:

I am lazy in building rapport and just want people to do their jobs.

Your Operational Promises related to that insight about rapport in Chapter 4

might be something as follows:

I promise to become responsible, take the necessary time and efforts

for establishing rapport with my team members.

One important note is to start each sentence with “I promise” because, in

that way, you are holding yourself accountable. These are very important
promises because they are promises you have given to yourself, the most
important person you will ever make a promise to.
If you choose not to keep these promises, your insights and realizations
will not ever see the light of day! Make a note to yourself: What you know
makes no difference in the quality of your life, it is what you do with your
knowledge that will ultimately make a difference.

“Knowledge is not power; implementation of knowledge is power!”

(Bakhshandeh 2009, n.p.)

Look at how Part One of SMML notes on each insight and realization are
relevant and make a promise. Now write it in Part Two. The number of your
insights and realizations should match and correlate with the number of
your promises.
Right now, write your operational promises in the second part of the
SMML before going on to Part Three.

Part Three: Operational Practices

Operational practices are those practices that you put in place, the nature of
which will fulfill the previously made promises. As you move further down
the SMML, you should have one operational practice for each operational
promise for each insight.
These are operational, which means they are something you do, both
specific and measurable. This is a measurement of accountability to show the
practice was completed, which means a promise is closer to being fulfilled.
 How Effective Are You?  467

Figure 16.2.2 Part Two of SMML: Collection of Operational Promises.

Source: Adapted from Bakhshandeh (2009).

These practice answers can be found at the end of the chapters where I ask:

 What are you willing to do to keep your promise?

 What actions are you taking to alter that behavior?
 What is your plan for the changes you want to implement?

Here is an example based on what we already used if your insights were as

follows:

I am lazy in building rapport and just want people to do their jobs.

468  Support, Maintenance, Self-Evaluation, and Self-Rating

And your Operational Promise was:

I promise to become responsible, take the necessary time and efforts

for establishing rapport with my team members.

Your Operational Practices could be something like:

I will use available exercises, practices, resources and tools to

develop myself as someone who is capable of easily and authenti-
cally establishing rapport with others.

Now, look at Part Two notes. Based on each operational promise, do an

operational practice and write it in Part Three, the operational promises. The
insights’ numbers should correlate with the number of operational prom-
ises, and operational promises’ numbers should correlate with the number
of your practices. For example, Insight #1, Promise #1, and Practice #1 from
Chapter 1 correlate. Continue in the same way for Chapter 2—Insight #2 and
Promise #2, and Practice #2 Chapter, and so forth up to Chapter 15.
Right now, write your operational practices in the third part of the SMML.

Weekly Values and Practices

Every week, choose a value you care about and invent new practices to have
that value experience be present for you during that particular week. Doing
this will add more happiness, fulfillment, and self-expression to your daily
life and career. They are your values, but they are the ones that you are good
at and love to have present for you. So, we will manage that together.

 The best thing you can do is to reproduce the format of Figure 16.3 on
your device so you can have access to it whenever you need to change,
and alter it weekly.
 The first thing to do is to write your life or business vision and mission
right on the top of the form because everything generates from your
relating to that vision and mission.
 Once you do all these, complete the starting and ending date of the
week, starting on Monday and ending on Sunday, and that will be the
week you are targeting.
 Then you select a value that you care about and want to work on in
that week. It could be communication, productivity, respect, health,
and/or any other value.
 How Effective Are You?  469

Figure 16.2.3 Part Three of SMML: Collection of Operational Practices.

Source: Adapted from Bakhshandeh (2009).

 After that, invent just two new practices. Just two is enough, not more
than that because we do not want you to feel as if you have a lot to do!
Have fun with it, and keep it simple and real. These are practices that
you have never done before or have not practiced for a very long time,
maybe due to resignation and despair!
 When you do that, then do the other side and select old practices that
you will eliminate and get rid of, so the experience of that value is
present for you during that week. You know exactly what you need to
stop doing, so just do it! Again, keep it simple and real. Removing what
is not working is as essential as inventing new practices.
470  Support, Maintenance, Self-Evaluation, and Self-Rating

 These two sides (inventing new practices and, at the same time, elimi-
nating the old practices) will work hand in hand by empowering you
to have the experience and the presence of your opportunities in your
personal and professional aspects of your life and career and help in
your growth as a professional coach.
 You can also repeat the same process by altering the format for use by
your team or when you are coaching an individual or a team on their
high-performance coaching or any other type of coaching.
 Going through this weekly process with your team (yours or your cli-
ent’s) and brainstorm about all the practices you and your team can
invent for what you are doing about your performance, productivity,
responsibilities, processes, and accountabilities. Doing this together will
provide more cohesiveness, and create stronger bonds and effective
communication along with anything else you all desire.

Here is an example of this simple but effective process:

The selected value of this week is communication.

New practices I am inventing based on the selected value are:
(1) I will pay attention to the speakers because what they are saying is
very important.
(2) I will not interrupt the speakers until they finish their sentences.
Old practices we are eliminating based on the selected value are:
(1) Water down the speaker’s issue immediately by saying: “That is not
true,” or “It was not like that.”
(2) Acting as I am so busy and do not have time for complaints.

What Do I Have to Give Up for This Value to Be Present for Me?

Question “C” is very important to the effective implementation and work-
ability of this process. Without giving up something in your life or profes-
sion, such as an old practice or old behavior or old belief, you cannot bring
something new in its place. Replace the old with something simple but very
elegant and powerful.
Remember the law of physics? No object can exist in the same place
at the same time. We cannot say we want health, but we will not give up
smoking. It just will not work. We cannot say we are valuing productiv-
ity but continue coming in late to work and then leaving early. It is just not
 How Effective Are You?  471

a match. We cannot say we are valuing relationships but withholding our

communications.
I highly recommend that you look at what your inner chatter is saying
about the presence of that value in your life, or how hard it is to work on,
or how frustrating it is to maintain, then you will know what you need to
give up for that value to be present for you. For example, give up the righ-
teousness of “it doesn’t work” or “I can’t do it” or “It doesn’t matter” or any
other negative, heavy barriers you are bringing into this process. Give them
up for the possibility of having that value be present for you. I know it will
not be easy, but considering your alternatives, why not?
Figure 16.3 represents the format for this process.
Self-evaluation is known as a method for methodically and thoroughly
observing, examining, analyzing, and evaluating one’s own behaviors, atti-
tudes, approaches, actions, performances, and its related outcomes and
results, personally and professionally. Self-evaluation will aid the evaluator
in enhancing, improving, or alleviating their activities and performances. It
also helps those who have conducted the self-evaluation to underline their
strengths, adjust their performance weaknesses and develop new compe-
tencies, skills, and abilities. In order to do this powerful undertaking, they
must be wanting and willing to acknowledge areas that need enhancement,
improvement, alteration, or development. Self-evaluations can be conducted
on individuals, teams, groups, departments, or on an organizational level
(Hertzberg 2020; Rothwell 2013; Camp 2001).
Some of the benefits of self-evaluating your coaching performance are as
follows:

(1) It helps you distinguish your own coaching performance strengths and
weaknesses.
(2) It underlines areas of performance coaching that need enhancement or
improvement.
(3) It gives you an opportunity to monitor and track your coaching perfor-
mance competencies.
(4) It is rewarding to observe your own development.
(5) It increases your reputation as a self-devoted professional.
(6) It could be a cause for self-motivation and more interest for further
development.
(7) It can be used as an instrument for guiding and planning your perfor-
mance coaching sessions with individuals and teams.
(8) It builds up your self-awareness.
472  Support, Maintenance, Self-Evaluation, and Self-Rating

Figure 16.3 Inventing Weekly Practices Based on Weekly Values.

Source: Adapted from Bakhshandeh (2009).
Note: The content of this segment (the SMML) is from the book “Conspiracy for
Greatness; Mastery of Love Within (Bakhshandeh 2009, 329–37) and used with express
permission from Behnam Bakhshandeh and Primeco Education, Inc.
Self-Evaluating
Table 16.1 High-performance Coaches Self-Evaluating of Competencies/Skills and Importance of Competencies/Skills on
Their Career Success.
High-Performance Coach’s Self-Evaluation
Performance Coach: Month/Year:
Manager/Supervisor: Department:
Instructions: My ability to perform How important is this
Self-evaluate by rating your own a) ability to perform general this skill skill to my career
coaching competencies and skills, and b) the importance of such at my work success
skill on the success of your coaching career.
Evaluating Scale 1 2 3 4 5 1 2 3 4 5
# General Competencies & Skills Ratings from 1(lowest) to 5 (highest)
1 Using and presenting current models, concepts, methods and ideas.
2 Tailoring coaching sessions based on individuals or teams’ needed
areas of development.
3 Using effective communication and active listening for
understanding coachees’ perspectives and needs.
4 Establishing clear and precise expectations for the coaching relationship.

How Effective Are You? 

5 Adapting and implementing a coaching style for serving the
coachees’ unique needs.
6 Providing constructive and empowering feedback to build
coachees’ confidence in their performance.
7 Recognizing, acknowledging and rewarding coachees’ attempt to
perform in the highest possible potentials.
8 Giving coachees enough responsibilities before they feel overloaded.
9 Articulating, sharing and empowering the organization’s vision,
mission and principal values.

473
10 Distinguishing possible reasons for individuals or teams’ low
performance and lack of resources.

(Continued)
Table 16.1 Continued

474
High-Performance Coach’s Self-Evaluation
Performance Coach: Month/Year:


Manager/Supervisor: Department:

Support, Maintenance, Self-Evaluation, and Self-Rating

Instructions: My ability to perform How important is this
Self-evaluate by rating your own a) ability to perform general this skill skill to my career
coaching competencies and skills, and b) the importance of such at my work success
skill on the success of your coaching career.
11 Recognizing team dysfunctions and sources of conflicts among
individuals and their direct managers or supervisors.
12 Understanding organization’s compensation, incentives, and reward
systems.
13 Understanding source of personal and team’s motivation for higher
productivity and performance.
14 Translating the concept of bigger picture into smaller objectives and
desired outcomes for easier achievements.
15 Describing and explaining individuals’ and teams’ contributions to
the organization’s success.
16 Clearly explaining the chain of command, accountabilities and
management among individuals, teams, departments, and the
organization.
17 Understanding and distinguishing performance and objectives’
potential calculated risks.
18 Assisting coachees to set their goals, priorities and importance of
their intentions and desired outcomes.
19 Creating safe environment and encouraging learning and
development.
 High-Performance Coach’s Self-Evaluation
Performance Coach: Month/Year:
Manager/Supervisor: Department:
Instructions: My ability to perform How important is this
Self-evaluate by rating your own a) ability to perform general this skill skill to my career
coaching competencies and skills, and b) the importance of such at my work success
skill on the success of your coaching career.
20 Holding myself accountable for quality of my performance and
delivery of goods.
Individual Totals
Total of Above Individual Totals
Final Average (Above totals divided by 20)
Two actions for this month that will bring up my two lowest evaluation rates by at least 2 points:
Action 1:
Action 2:
Source: Copyright 2021 by Behnam Bakhshandeh.

How Effective Are You?  475

476  Support, Maintenance, Self-Evaluation, and Self-Rating

Table 16.2 Top Ten Coaching Processes Self-Rating for a Manger-as-Coach.

Description:
Use the following ten categories to conduct a self-rating process on your level of abilities,
competencies, and skills as a manager-as-coach to deliver and conduct elements of each
category. Authenticity, honesty, integrity, and accountability are the keys to conducting
a useful and productive self-rating undertaking. Conduct this self-rating quarterly and
adjust accordingly.
Date: Manager-as-Coach: Team:
Quarter: Report to Manager/Supervisor: Department:
Rating Scale: Rating Scale: 1 =Poor, 2 =Marginal, 3 =Acceptable, 4 =Good, 5 =Excellent
# Categories Declaration Statement Rating
1 2 3 4 5
1 Outcome My coaching approach assists my
employees to be effective.
As a result of coaching, my employees’
job performance has improved.
As a result of coaching, my team has
demonstrated an increase in their
performance.
My employees look forward to our
coaching conversation.
My employees have expressed gratitude
and appreciation for our coaching
conversations.
 
2 Collaboration I display respect and courtesy during our
coaching conversations with my
employees.
I use encouraging and empowering
language during our coaching sessions
with my employees.
I do not pressure or compel my
employees to join me in a coaching
conversation.
I create a safe and positive environment
for my employees to discuss their issues
or ideas.
 How Effective Are You?  477

Date: Manager-as-Coach: Team:

Quarter: Report to Manager/Supervisor: Department:
During the coaching sessions, I ask my
employees for their contribution, an
input to the coaching process
improvement.
 
3 Empathy During our coaching conversation, I
make sure my employees notice that I
understand their perspectives and
positions.
I acknowledge and display understanding
of my employees’ feelings and emotions
during coaching on sensitive issues.
I show patience during coaching by
providing enough time for my
employees to express themselves fully.
I do not interrupt their dialogues or
invalidate my employees expressing
their issues.
During our coaching conversation, I stay
present to what it takes for my
employees to express their issues
without fear.
 
4 Awareness Before any coaching session with my
employees, I make sure my mindset is
positive and compassionate.
During coaching sessions, I ask questions
that assist my employees in discovering
other options to problems.
During coaching conversations with my
employees, I make sure to provide
relevant examples.
I make sure to provide positive and
relevant feedback to my employees for
them to continue productive
conversations.
(Continued)
478  Support, Maintenance, Self-Evaluation, and Self-Rating

Table 16.2 Continued

Date: Manager-as-Coach: Team:
Quarter: Report to Manager/Supervisor: Department:
Rating Scale: Rating Scale: 1 =Poor, 2 =Marginal, 3 =Acceptable, 4 =Good, 5 =Excellent
By the end of a coaching conversation,
my staff has greater clarity about the
issues they face
5 Goal Setting I make sure to set relevant and important
goals for my employees’ work and job
performance.
During our coaching conversations, I do
not push my agenda or goals as a
manager to my employees.
I make sure to set realistic and attainable
goals during my coaching sessions with
my employees.
I ensure that all goals set during the
coaching sessions are measurable.
Every quarter I encourage my employees
to review and adjust their goals for
increasing their performances.
 
6 Action I always encourage my employees to
Planning develop a simple, clear, and attainable
action plan.
I make myself available to assist my
employees in designing and set their
action plans.
During coaching sessions, I assist my
employees in focusing on the concept of
achieving success through planning.
During the coaching session, I keep notes
and record my employees’ action plans
and deadlines.
I ensure to plan a review with my
employees to check on their action plan
and its progress every month.
 
 How Effective Are You?  479

Date: Manager-as-Coach: Team:

Quarter: Report to Manager/Supervisor: Department:
7 Processes During a regular coaching session, I ask
my employees to provide a brief report
on the progress of their goals.
During coaching conversations, I make
sure to address any performance deficits
directly with my employees.
I make sure to acknowledge my
employees’ progress and positive efforts
in every coaching conversation.
I make sure my employees know the
wisdom of “planning their work” and
“working their plan.”
Regularly I ask my top high performers to
conduct a team coaching session on
some related topics.
 
8 Accountability I hold myself accountable for maintaining
my knowledge, abilities, and skills in
performance coaching.
I keep my employees accountable for
their actions, behavior, and attitude
during our coaching sessions.
I keep my employees accountable for
delivering their action plans and their
related details.
During our coaching conversation, I
always emphasize my employees’
personal and professional
responsibilities.
I ensure my employees are aware that
accountability is being responsible
before the fact, not after the fact.
 
9 Feedback During each coaching conversation with
my employees, I provide feedback on
using their productive conversation.

(Continued)
480  Support, Maintenance, Self-Evaluation, and Self-Rating

Table 16.2 Continued

Date: Manager-as-Coach: Team:
Quarter: Report to Manager/Supervisor: Department:
Rating Scale: Rating Scale: 1 =Poor, 2 =Marginal, 3 =Acceptable, 4 =Good, 5 =Excellent
I ask my employees to complete a
“coaching session evaluation form”
when conducting a team coaching
session.
I make sure the positive feedbacks are in
a public forum when an opportunity is
available.
I make sure potential negative feedbacks
are in a private setting and in a
constructive fashion.
I make sure to explain my feedback
content and context to my employees
for their education and development.
 
10 Ethics I make sure I follow all company’s HR
roles and policies during my coaching
sessions with my employees.
During our coaching sessions, I do not
ask my employees about the personal
aspects of their lives.
I ensure my employees that anything they
say in our coaching conversations will be
kept confidential.
I keep all my employees’ personal
information that we talk about during
coaching conversations confidential.
I am applying all professional, ethical
policies related to our profession and
industry.

A.Quarterly Total Per Rating Scale

B.Quarterly Total Per Rating Scale (total of all above rating scales)
 How Effective Are You?  481

Date: Manager-as-Coach: Team:

Quarter: Report to Manager/Supervisor: Department:
C.Quarterly Final Rating Average (above total of all rating scales
divide by 10)

Three actions for this quarter that would bring up my three lowest manager-as-coach
coaching processes ratings by at least one scale on the next quarter rating:
Action 1:
Action 2:
Action 3:
Note:
Source: Copyright 2021 by Behnam Bakhshandeh.

Table 16.3 Monthly High-Performance Coach or Manager-as-Coach Discipline of

Coaching Self-Rating Process Format.
Monthly Discipline of Coaching Self-Rating
Performance Coach: Month/Year:
Supervisor: Department:
Rating Scale 1 2 3 4 5
# Disciplines Ratings from
1(lowest) to 5
(highest)
1 Learning new, present or updated concepts, models,
techniques and ideas in the industry.
2 Continue learning about effective communication and
active listening.
3 Clarifying clear current and desired states.
4 Displaying professional behavior and attitude.
5 Displaying responsibility and accountability.
6 Establishing rapport with others with ease.
7 Monitoring and practicing what works.
8 Maintaining relationships with individuals and teams.
(Continued)
482  Support, Maintenance, Self-Evaluation, and Self-Rating

Table 16.3 Continued

Monthly Discipline of Coaching Self-Rating
Performance Coach: Month/Year:
Supervisor: Department:
Rating Scale 1 2 3 4 5
# Disciplines Ratings from
1(lowest) to 5
(highest)
9 Learning from their successes and failures and
implementing correction actions.
10 Asking questions and conducting inquires for uncovering
what is happening.
11 Empowering their individual and team clients.
12 Continue learning from best coaches in their industry.
13 Practicing professionalism and being approachable.
14 Displaying humility, patience, and compassion.
15 Displaying elements of Emotional Intelligence.
Monthly Total per Scale
Monthly Total (Total of above monthly totals per scale)
Monthly Average (Above monthly total divided by15)
Two actions for this month that would bring up my two lowest rating disciplines by
at least two points:
Action 1:
Action 2:
Source: Copyright 2021 by Behnam Bakhshandeh.

(9) It gives you more self-confidence as a professional high-performance

coach.
(10) It opens new windows to understand and adjust your mindset, attitude,
and behavior.

High-Performance Coach’s Self-Evaluating

Table 16.1 represents the high-performance coach’s self-evaluating form.
High-performance coaches can use this form to self-evaluate their own
 How Effective Are You?  483

Figure 16.4 Coaching Session Evaluation Form.

Source: Adapted from Bakhshandeh (2008).
484  Support, Maintenance, Self-Evaluation, and Self-Rating

coaching performance by rating (1) their ability to perform general coaching

competencies and skills and (2) the importance of such skill on the success
of their coaching career.

Top Ten Coaching Processes Self-Rating for a

Manger-as-Coach
Your knowledge, abilities, and skills as a manager-as-coach are also essential
to your performance as a high-performance coach. You can use the follow-
ing ten categories to conduct a self-rating process on your levels of abilities,
competencies, and skills as a manager-as-coach to deliver and perform ele-
ments of each category.
Authenticity, honesty, integrity, and accountability are the keys to con-
ducting a valuable and productive self-rating undertaking. Therefore, run
this self-rating quarterly and adjust coordinately.

Monthly Discipline of Coaching Self-Rating

In this part of the self-evaluation segment, we introduce the “Monthly
Discipline of Coaching Self-Rating” displayed in Table 16.3. As we have
mentioned, the concept of self-rating and self-evaluation is a dignified act of
self-awareness and self-regulation by professional high-performance coaches
who are interested in their personal and professional growth and devotion
to their clients and their careers. Table 16.3 displays some of the core disci-
plines of high-performance coaches.

Coaching Session Evaluation Form

One of the ways to conduct self-evaluation is providing an opportunity
for your coaching clients, teams or coachees to rate you on your coaching
presentation. This attempt could be for one-on-one individual presentation
coaching, or teams’ presentation coaching in a team seminar, workshop, or
developmental training.
Figure 16.4 is an example of a coaching session evaluation form that you
will give participants to evaluate your coaching session, using (1) rating sys-
tems, (2) close-ended questions, (3) invitations to further participation, and
(4) open-ended questions:
 How Effective Are You?  485

Helpful Review of What Works for Self-Evaluation

At this point, besides the self-evaluating tools in this chapter, we are recom-
mending that you to reviewing and use the following some self-evaluating
elements and disciplines from previous chapters in this book:

 Chapter 2
– Table 2.2: Quarterly Performance Conversation and Reflection Check
List for Employees/Coachees.
– Table 2.3: High-Performance Coaching Tool. Inspired and adapted
from Rothwell (2015).
 Chapter 3
– Table 3.3: Presence and Use of Emotional Intelligence at Work by a
Manger-as-Coach Rating System.
– Table 3.4: Leadership Qualities of Effective Manager-as-Coach Rating
System.
 Chapter 4
– Table 4.1: Fundamental State of Being and Competencies for
Establishing Relatedness and Rapport.
 Chapter 5
– Table 5.2: How to Determine Your Values.
 Chapter 6
– Table 6.1: Assessing the Current Vision Clarity of an Individual or a
Team.
– Table 6.4: Assessing the Job Performance Standards of an Individual
or a Team.
 Chapter 7
– Table 7.4: Analyst’s Competencies and Skills, and their Facilitating
Outputs.
– Table 7.6: Needed Abilities for a High-Performance Gap Analyst
for Comparing “What Is Happening” and “What Should Be
Happening.”
– Table 7.7: Needed Core Competencies for a High-Performance Gap
Analyst for Comparing “What Is Happening” and “What Should Be
Happening.”
486  Support, Maintenance, Self-Evaluation, and Self-Rating

– Table 7.8: Evaluating Organization’s and Manager’s Performance

Measurement Progress.
 Chapter 8
– Table 8.7: Needs Abilities for Assessing the Importance of
Performance Gaps Priorities.
 Chapter 10
– Table 10.1: A Tool to Guide Performance Coaches Through
Brainstorming: How Many Ways Can the Gap Be Closed?
– Table 10.2: An Organizational Assessment of Approaches to Find
Creative Solutions to Problems in Real Time.
 Chapter 11
– Table 11.2: A Worksheet to Determine What Solutions Are Most
Likely to Be Implemented.
 Chapter 14
– Table 14.1: A Worksheet to Guide Project Planning for Performance
Coaching.
– Table 14.3: Comparing Your Organization to Best Practices in
Coaching.
 Chapter 15
– Table 15.1: A Tool for Evaluating the Performance Coaching
Experience: The Coachee’s Perspective.
– Table 15.2: A Tool for Evaluating the Performance Coaching
Experience: The Coach’s Perspective.

References
Bakhshandeh, Behnam. 2008. “Bravehearts; Leadership Development Training,
2nd Edition.” Unpublished Training and Developmental Course on
Coaching Executives and Managers. San Diego, CA: Primeco Education,
Inc.
Bakhshandeh, Behnam. 2009. Conspiracy for Greatness: Mastery of Love Within.
San Diego, CA: Primeco Education, Inc.
Camp, William G. 2001. “Formulating and Evaluating Theoretical Frameworks for
Career and Technical Education Research.” Journal of Vocational Educational
Research 26, no. 1: 4–21.
Hertzberg, Karen. 2020. “How to Write a Self-evaluation.” Grammarly Blog Website.
www.grammarly.com/blog/how-to-write-a-self-evaluation/.
 How Effective Are You?  487

Rothwell, William J. 2013. Performance Consulting: Applying Performance

Improvement in Human Resource Development. San Francisco, CA: John Wiley &
Sons.
Rothwell, William J. 2015. Beyond Training & Development, 3rd Edition: Enhancing
Human Performance Through a Measurable Focus on Business Impact.
Amherst, MA: HRD Press, Inc.
Appendix A: Sources
for Education and
Implementations

Chapter 1
The General Concept of Coaching
Books
Chambers, Dave. 2013. Coaching: The Art and the Science—The Complete Guide
to Self Management, Team Management, and Physical and Psychological
Preparation. Illustrated edition. Richmond Hill, Ont. ; Buffalo, NY: Firefly Books.
Gallwey, W. Timothy, Zach Kleiman, and Pete Carroll. 1997. The Inner Game of
Tennis: The Classic Guide to the Mental Side of Peak Performance. Revised ed.
edition. New York: Random House Trade Paperbacks.
Martens, Rainer. 2012. Successful Coaching. Fourth edition. Champaign, IL: Human
Kinetics.
Martin, G. L. 1987. Coaching: An Effective Behavioral Approach. LA: Times Mirror/
Mosby.
Sabock, Ralph J., and Michael D. Sabock. 2008. Coaching: A Realistic Perspective.
9th ed. Lanham, Md: Rowman & Littlefield Pub.

Articles
Brell, Carolin, Jens Rowold, Jürgen Weibler, and Martina Moenninghoff. 2011.
“Evaluation of a Long-Term Transformational Leadership Development
Program.” Zeitschrift Fuer Personalforschung. German Journal of Research
in Human Resource Management 25 (August): 205–24. https://doi.
org/10.2307/23279289.

489
490  High-Performance Coaching for Managers

Harwell-Kee, Kathryn. 2019. Coaching. The Learning Professional, 40 (4), 66–67.

Kampa-Kokesch, Sheila, and Mary Z. Anderson. 2001. “Executive Coaching: A
Comprehensive Review of the Literature.” Consulting Psychology Journal:
Practice and Research 53 (4): 205–28. https://doi.org/10.1037/1061-
4087.53.4.205.
Mukherjee, Sraban. 2012. “Does Coaching Transform Coaches? A Case Study of
Internal Coaching.” International Journal of Evidence Based Coaching and
Mentoring 10 (2): 76–87.
Segers, Jesse, Daniël Vloeberghs, Erik Henderickx, and Ilke Inceoglu. 2011.
“Structuring and Understanding the Coaching Industry: The Coaching Cube.”
Academy of Management Learning & Education 10 (2): 204–21. https://doi.
org/10.5465/AMLE.2011.62798930.
Stern, Lewis R. 2004. “Executive Coaching: A Working Definition.” Consulting
Psychology Journal: Practice and Research 56 (3): 154–62. https://doi.
org/10.1037/1065-9293.56.3.154.
Witherspoon, Robert, and Randall P. White. 1996. “Executive Coaching: A
Continuum of Roles.” Consulting Psychology Journal: Practice and Research 48
(2): 124–33. https://doi.org/10.1037/1061-4087.48.2.124.

Videos
Center for Positiv Psykologi. 2014. Margaret Moore on Positive Psychology and
Coaching. www.youtube.com/watch?v=segLzIJlW_Q.
Coaching: Introducing Annie Boate. n.d. Accessed October 15, 2021. https://video.
alexanderstreet.com/watch/coaching-introducing-annie-boate.
Evercoach by Mindvalley. 2019. Deep Coaching Techniques In A Live Coaching
Session | Rich Litvin. www.youtube.com/watch?v=rUTAh4gFGaQ.
Smith Leadership LLC. 2012. What Is Coaching? www.youtube.com/watch?v=
nFx6yKZrzco.
TED. 2018. Want to Get Great at Something? Get a Coach | Atul Gawande. www.
youtube.com/watch?v=oHDq1PcYkT4.

Webpages
Goldsmith, Wayne. 2019. “The Five Stages of Coaching: Going from Beginner
to the Best Coach You Can Be.” WG COACHING. March 27, 2019. https://
wgcoaching.com/the-five-stages-of-coaching-going-from-beginner-to-the-best-
coach-you-can-be/.
Schultz, Joshua. 2021. “What is Coaching in the Workplace and Why is it
Important?” September 29, 2021. PositivePsychology.Com. https://positivepsy-
chology.com/workplace-coaching/
Toneatto, Meriflor. 2021. “3 Ways to Capitalize on the Next Wave in Positive
Psychology.” International Coaching Federation. August 30, 2021. https://
coachingfederation.org/blog/capitalize-on-positive-psychology.
 Appendix A  491

Report
International Coaching Federation. 2020. 2020 ICF global coaching study executive
summary. https://coachingfederation.org/app/uploads/2020/09/FINAL_ICF_
GCS2020_ExecutiveSummary.pdf

Blogs
Martin, Carolyn. 2021. “Fempower Coaching: Together We Move Forward.”
ICF Foundation (blog). August 30, 2021. https://foundationoficf.org/
fempower-coaching-together-we-move-forward/.
Martin, Carolyn. 2021. “Three Takeaways on the Coaching Industry’s Recovery
from the Pandemic.” ICF Foundation (blog). July 30, 2021. https://
foundationoficf.org/three-takeaways-on-the-coaching-industrys-recovery-
from-the-pandemic/.
Morrison, Mike. 2010. “History of Coaching—A True Insight into Coaching.”
RapidBI (blog). November 29, 2010. https://rapidbi.com/history-of-coaching-
a-true-insight-into-coaching/.

Tools
Coach/Coachee’s agreement template by ICF foundation (direct download) https://
foundationoficf.org/wp-content/uploads/2021/02/Ignite_Coaching-Agreement.
docx
Matching coaches and coaches template by ICF foundation (direct download)
https://foundationoficf.org/wp-content/uploads/2021/02/Ignite_
TipsforMatching.docx 

Chapter 2
Performance Coaching
Books
Angus, McLeod, and Thomas Will. 2010. Performance Coaching Toolkit. McGraw-
Hill Education (UK).
Cook, Sarah. 2009. Coaching for High Performance. Electronic resource.
1st edition. IT Governance Publishing. https://go.oreilly.com/
pennsylvania-state-university/library/view/-/9781849281041/?ar.
Holroyd, Jane, and Richard Field. 2012. Performance Coaching Skills for Social
Work. London; Thousand Oaks, Calif.: Learning Matters : Imprint of SAGE
Publications.
492  High-Performance Coaching for Managers

Payne, Vivette. 2006. Coaching for High Performance. Electronic resource. 1st
edition. AMA Self-Study. https://go.oreilly.com/pennsylvania-state-university/
library/view/-/9780761214618/?ar.
Ramsay, Jack, and Jim Lynch. 2004. Coaching for Performance Improvement.
Dallas: University Press of America.
Review, M. I. T. 2018. Coaching for High Performance. Electronic resource.
1st edition. MIT Sloan Management Review. https://go.oreilly.com/
pennsylvania-state-university/library/view/-/53863MIT60147/?ar.
Russell, Jeff, and Linda Russell. 2013. Fearless Performance Reviews: Coaching
Conversations That Turn Every Employee into a Star Player. 1st edition. New
York: McGraw-Hill Education.
Whitmore, John. 2002. Coaching for Performance: GROWing People, Performance
and Purpose. Electronic resource. 3rd ed. People Skills for Professionals.
London ; Naperville, IL: Nicholas Brealey. http://ezaccess.libraries.psu.
edu/login?url=www.netLibrary.com/urlapi.asp?action=summary&v=1&boo
kid=75074.
Wilson, Carol. 2011. Best Practice in Performance Coaching: A Handbook for
Leaders, Coaches, HR Professionals and Organizations. Reprint edition.
London: Kogan Page.
Wilson, Carol. 2011. Best Practice in Performance Coaching: A Handbook for
Leaders, Coaches, HR Professionals and Organizations. Reprint edition.
London: Kogan Page.

Articles
Blackett, A. D., A. B. Evans, and D. Piggott. 2021. “Negotiating a Coach Identity:
A Theoretical Critique of Elite Athletes’ Transitions into Post-Athletic High-
Performance Coaching Roles.” Sport, Education and Society 26 (6): 663–75.
https://doi.org/10.1080/13573322.2020.1787371.
Blackett, Alexander David, Adam B. Evans, and David Piggott. 2018. “‘Active’ and
‘Passive’ Coach Pathways: Elite Athletes’ Entry Routes Into High-Performance
Coaching Roles.” International Sport Coaching Journal 5 (3): 213–26. https://
doi.org/10.1123/iscj.2017-0053.
Chan, Jonathan T., and Clifford J. Mallett. 2011. “The Value of Emotional
Intelligence for High Performance Coaching.” International Journal of Sports
Science & Coaching 6 (3): 315–28. https://doi.org/10.1260/1747-9541.6.3.315.
Dunn, Winnie, Lauren M. Little, Ellen Pope, and Anna Wallisch. 2018.
“Establishing Fidelity of Occupational Performance Coaching.” OTJR:
Occupation, Participation and Health 38 (2): 96–104. https://doi.
org/10.1177/1539449217724755.
Harvard Business Review. 2021. “Leaders Need Professional Coaching Now More
Than Ever. March 2, 2021. https://hbr.org/sponsored/2021/03/leaders-need-
professional-coaching-now-more-than-ever.
 Appendix A  493

Kahjoogh, Mina Ahmadi, Mehdi Rassafiani, Winnie Dunn, Seyed Ali Hosseini, and
Nazila Akbarfahimi. 2016. “Occupational Performance Coaching: A Descriptive
Review of Literature.” New Zealand Journal of Occupational Therapy 63 (2):
45–49.

Videos
Nice. 2016. Performance Coaching: The Definition. www.youtube.com/watch?v=
HONNR6sZQ18.
NLP Times. 2017. NLP Coaching: What It Is High Performance Coaching? www.
youtube.com/watch?v=3J3-SKp9Cos.
Performance Coaching: Definition & Overview—Video & Lesson Transcript. n.d.
Accessed October 15, 2021. https://study.com/academy/lesson/performance-
coaching-definition-overview.html.
Ruth Kudzi. 2020. What Does A Performance Coach Actually Do? www.youtube.
com/watch?v=qBVTjS3AzxE.
Steve Long. 2017. What Is Performance Coaching? www.youtube.com/watch?v=
VX9FKhevhMU.
The Performance Thinking Network. 2020. Performance Coaching Part 1 | What Is
Performance Coaching? www.youtube.com/watch?v=PCPQFjlq95w.

Report
Human Capital Institute. 2016. Building a coaching culture with manag-
ers and leaders. www.hci.org/system/files/research//files/field_content_
file/2016%2520ICF.pdf

Blogs to Follow
“Coaching Statistics: The ROI of Coaching in 2021.” Luisa Zhou. January 12, 2021.
www.luisazhou.com/blog/coaching-statistics/.
Anubha Kathuria Bellani. “Feedspot—A Fast, Free, Modern RSS Reader. It’s a
Simple Way to Track All Your Favorite Websites in One Place.” Accessed
October 15, 2021. www.feedspot.com.

Tools
Free Employee Coaching Template: Improve Employee Performance www.viama-
ven.com/s/Employee-coaching-template-viaMaven.docx 
494  High-Performance Coaching for Managers

Chapter 3
Mindset, Attitude, Behavior and Performance
Book
Cannon, Fiona. 2017. “The Agility Mindset: How Reframing Flexible Working
Delivers Competitive Advantage.” Electronic resource. Springer EBooks.
https://doi.org/10.1007/978-3-319-45519-8.
Long, Weldon. 2013. The Power of Consistency: Prosperity Mindset Training
for Sales and Business Professionals. Electronic resource. 1st edi-
tion. Wiley. https://go.oreilly.com/pennsylvania-state-university/library/
view/-/9781118526538/?ar.
McDonald, Kent. 2015. Beyond Requirements: Analysis with an Agile
Mindset. Electronic resource. 1st edition. Addison-Wesley Professional.
https://go.oreilly.com/pennsylvania-state-university/library/view/-/
9780133039863/?ar.
Sheehan, Kevin, and Jessica Ryan. 2017. Growing a Growth Mindset: Unlocking
Character Strengths through Children’s Literature. Lanham, Maryland:
Rowman & Littlefield Education.
Sweeney, John, and Elena Imaretska. 2015. The Innovative Mindset.
Electronic resource. 1st edition. Wiley. https://go.oreilly.com/
pennsylvania-state-university/library/view/-/9781119161288/?ar.

Article
“Seven Steps to Developing a High-Performance Mindset; Your Work ; Gina
London The Communicator.” n.d. Accessed September 6, 2021. https://
advance-lexis-com.ezaccess.libraries.psu.edu/document/?pdmfid=1516831&cr
id=4ee014c4-6cd6-458a-b163-20e757ec7361&pddocfullpath=%2Fshared%2Fdo
cument%2Fnews%2Furn%3AcontentItem%3A5VNF-H8N1-DYTY-C2T8–00000–
00&pdcontentcomponentid=333993&pdteaserkey=sr0&pditab=allpods&ecomp
=qzvnk&earg=sr0&prid=7e5a2c79-d7b8–4f7d-a0ab-dc9ddccc8498.
Battistelli, Adalgisa, Maura Galletta, Igor Portoghese, and Christian Vandenberghe.
2013. “Mindsets of Commitment and Motivation: Interrelationships and
Contribution to Work Outcomes.” The Journal of Psychology 147 (1): 17–48.
https://doi.org/10.1080/00223980.2012.668146.
Burgoyne, Alexander P., David Z. Hambrick, Jason S. Moser, and S. Alexandra Burt.
2018. “Analysis of a Mindset Intervention.” Journal of Research in Personality
77 (December): 21–30. https://doi.org/10.1016/j.jrp.2018.09.004.
Business Wire. 2015. “Survey: Executives Say Mindset Most Important Factor in
Business Performance and Career Success,” May 11, 2015. www.proquest.com/
docview/1679874600/abstract/3846F98E9C0C43F5PQ/1.
Ng, Betsy. 2018. “The Neuroscience of Growth Mindset and Intrinsic Motivation.”
Brain Sciences 8 (2): 20. https://doi.org/10.3390/brainsci8020020.
 Appendix A  495

Nolder, Christine J., and Kathryn Kadous. 2018. “Grounding the Professional
Skepticism Construct in Mindset and Attitude Theory: A Way Forward.”
Accounting, Organizations and Society 67 (May): 1–14. https://doi.org/10.
1016/j.aos.2018.03.010.
Wright, P. C., & Geroy, G. D. (2001). Changing the mindset: The training myth
and the need for world-class performance. The International Journal of Human
Resource Management, 12 (4), 586–600. https://doi.org/10.1080/09585190122342

Video
“EMPATHY—BEST SPEECH OF ALL TIME By Simon Sinek | Inspiritory—
YouTube.” n.d. Accessed September 6, 2021. www.youtube.com/watch?v=
IJyNoJCAuzA.
Carol Dweck. 2014. The Power of Believing That You Can Improve | TED. www.
youtube.com/watch?v=_X0mgOOSpLU.
Roger, D., & Petrie, N. (2016). Work Without Stress: Building a Resilient Mindset for
Lasting Success (Audio Book) (1st edition). McGraw-Hill.
Simon Sinek. 2020. What Makes the Highest Performing Teams in the World |
Simon Sinek. www.youtube.com/watch?v=zP9jpxitfb4.

Webpages
Goodridge, Clare Sarah. 2020. “How to Develop a High-Performance Mindset.” The
Flow Research Collective. November 5, 2020. www.flowresearchcollective.
com/blog/high-performance-mindset.
Mackay, Anna-Lucia. 2015. “The Four Mindsets: How to Influence, Motivate and
Lead High Performance Teams | Wiley.” Wiley.Com. November 2015. www.
wiley.com/en-us/The+Four+Mindsets%3A+How+to+Influence%2C+Motivate+
and+Lead+High+Performance+Teams-p-9780730324782.

Blogs to Follow
Guise, Stephen. 2014. “Growth Mindset Vs. Performance Mindset.”
Stephen Guise. November 3, 2014. https://stephenguise.com/
growth-mindset-vs-performance-mindset/.
Julie, Tiffany. n.d. “Blog.” Tiffany Julie (blog). Accessed October 15, 2021. www.
tiffanyjulie.com/blog/.
Laurie, Andrea. n.d. “The Blog | Andrea Laurie International.” Andrea Laurie.
Accessed October 15, 2021. www.andrealaurie.com/blog.
Peak Performance Mindset—21 Secrets How To Achieve More In Life. (2020, June 13).
The Athlete Blog. https://theathleteblog.com/peak-performance-mindset/
Stillman, Jessica. n.d. “The Mindset Shift That Will Improve Your
Performance at Everything.” Accessed October 15, 2021. www.themuse.com/
advice/the-mindset-shift-that-will-improve-your-performance-at-everything. 
496  High-Performance Coaching for Managers

Chapter 4—Step 1
How to Establish Relatedness and Building Rapport?
Books
King, Serge Kahili. 1985. Mastering Your Hidden Self: A Guide to the Huna Way. 1st
edition. Wheaton, Ill., USA: Quest Books.
Liska, Cathy, Meg Hanrahan, Marie Snidow, Brian McReynolds, Julie Binter, Amy
Gamblin, Laurissa Heller, Margi Bush, Clinton Ages, and Ellen Zebrun. 2015.
Coaching Perspectives V. CreateSpace Independent Publishing Platform.
O’Connor, Joseph, and John Seymour. 1993. Introducing NLP: Psychological Skills
for Understanding and Influencing People. Rev ed. edition. Thorsons.
Starr, Julie. 2008. Coaching Manual: The Definitive Guide to the Process,
Principles & Skills of Personal Coaching. 2nd edition. Harlow, England ; New
York: Prentice Hall.
Whitworth, Laura, Karen Kimsey-House, Henry Kimsey-House, and Phillip Sandahl.
2007. Co-Active Coaching: New Skills for Coaching People Toward Success in
Work and, Life. 2nd edition. Mountain View, Calif: UNKNO.

Article
Baker, Zachary, Emily Watlington, and C. Knee. 2020. “The Role of Rapport in
Satisfying One’s Basic Psychological Needs.” Motivation and Emotion 44
(April). https://doi.org/10.1007/s11031-020-09819-5.
Boyle, Alysoun. 2020. “Self-Determination, Empowerment and Empathy in Mediation:
Rehumanising Mediation’s Effectiveness.” Newcastle Law Review, The, January.
https://search.informit.org/doi/abs/10.3316/informit.591932249556950.
Campbell, Rankyn M. 2016. “Does Enhancing Relatedness Amongst Varsity-Level
Athletes Improve Team Performance?” 1–121.
Hadden, Benjamin W., C. Veronica Smith, and C. Raymond Knee. 2014. “The Way I
Make You Feel: How Relatedness and Compassionate Goals Promote Partner’s
Relationship Satisfaction.” The Journal of Positive Psychology 9 (2): 155–62.
https://doi.org/10.1080/17439760.2013.858272.
Norfolk, Tim, Kamal Birdi, and Deirdre Walsh. 2007. “The Role of Empathy in
Establishing Rapport in the Consultation: A New Model.” Medical Education
41 (7): 690–97. https://doi.org/10.1111/j.1365-2923.2007.02789.x.
Tickle-Degnen, Linda, and Robert Rosenthal. 1990. “The Nature of Rapport and Its
Nonverbal Correlates.” Psychological Inquiry 1 (4): 285–93.

Video
Gutman, Mike. 2018. Building Rapport with Remote Colleagues. Accessed
September 6, 2021. www.linkedin.com/learning/remote-work-foundations/
building-rapport-with-remote-colleagues.
 Appendix A  497

The Coaching Institute. 2020. 3 Steps to Building Rapport Online as a Coach | The
Coaching Institute. www.youtube.com/watch?v=XeLothGaOwg.
Tony Robbins. 2016. How to Build Rapport | Tony Robbins. www.youtube.com/
watch?v=-9uHBEGpJm4.
WISE Workplace. 2013. Professor Ray Bull: The Importance of Building Rapport.
www.youtube.com/watch?v=OIti6BY1XQs.

Webpages
“82 Ways How to Build Rapport With Anyone You Work With.” 2019.
Get Lighthouse. July 4, 2019. https://getlighthouse.com/blog/
how-to-build-rapport/.
“Employer Factsheet: Coaching Skills—Building Rapport | Croner-i.” May
31, 2019. Accessed October 15, 2021. https://app.croneri.co.uk/topics/
coaching-and-mentoring/employer-factsheet-coaching-skills-building-rapport.
“Preparing For Coaching And Creating Inner Space.” n.d. Accessed October 15,
2021. www.personal-coaching-information.com/preparing-for-coaching.html.
“Why Rapport Is Everything In Coaching.” 2016. Holistic Health and Wellness
Training | Health Coach Institute (blog). May 17, 2016. www.healthcoachinsti-
tute.com/coaching/why-rapport-is-everything-in-coaching/.

Blogs
Ab-intus. 2019. “Building Client Rapport in Coaching.” Abintus (blog). July 24,
2019. www.abintus.co.uk/building-client-rapport-in-coaching/.
Building Rapport: Establishing Strong Two-Way Connections. (n.d.). Retrieved
September 6, 2021, from www.mindtools.com/pages/article/building-rapport.
htm
Chandrasekaran, Sridhar. n.d. “Life Coach Bloggers: Rapport Building Statements
and Questions in Coaching with Examples List.” Life Coach Bloggers (blog).
Accessed October 15, 2021. http://lifecoachbloggers.blogspot.com/2020/11/
Rapport-Building-statement-Questions-life-Coaching-Examples-List.html. 

Chapter 5—Step 2
What Is the Issue at Hand?
Articles
Bakhtiyari, Mehrsa. n.d. “Work Environment and Employee Performance: A Brief
Literature Review.” Authorea, Inc. Accessed September 6, 2021. https://doi.
org/10.22541/au.156881614.48075353.
Barros Ahrens, Rudy de, Luciana da Silva Lirani, and Antonio Carlos de Francisco.
2020. “Construct Validity and Reliability of the Work Environment Assessment
498  High-Performance Coaching for Managers

Instrument WE-10.” International Journal of Environmental Research and

Public Health 17 (20): 7364. https://doi.org/10.3390/ijerph17207364.
Belk, William. 2017. “58% of High-Performance Employees Say They Need More
Quiet Work Spaces.” CNBC. March 15, 2017. www.cnbc.com/2017/03/15/58-
of-high-performance-employees-say-they-need-more-quiet-work-spaces.html.
Björk, Lars E. 1975. “Work Organization and the Improvement of the Work
Environment.” Ambio 4 (1): 55–59.
Lenz, R. T. 1980. “Environment, Strategy, Organization Structure and Performance:
Patterns in One Industry.” Strategic Management Journal 1 (3): 209–26.
https://doi.org/10.1002/smj.4250010303.
Vischer, Jacqueline C. 2008. “Towards an Environmental Psychology of Workspace:
How People Are Affected by Environments for Work.” Architectural Science
Review 51 (2): 97–108. https://doi.org/10.3763/asre.2008.5114.

Video
O.C. Tanner Company. 2014. Create a Culture of Happiness. www.youtube.com/
watch?v=c7ilDOzonrQ.
O.C. Tanner Company. 2020. How Taco Bell Uses O.C. Tanner’s Employee
Recognition Platform to Celebrate Employees. www.youtube.com/
watch?v=RdTQg0xeTwc.

Webpages
“How to Use Coaching to Support Diversity and Inclusion.” n.d.
Training Industry (blog). Accessed October 15, 2021. https://
trainingindustry.com/articles/diversity-equity-and-inclusion/
how-to-use-coaching-to-support-diversity-and-inclusion/.
Fine, Alan. 2020. “How Coaching Helps Overcome the Most Common Hurdle to
Diversity, Equity, and Inclusion.” October 22, 2020. www.td.org/insights/how-
coaching-helps-overcome-the-most-common-hurdle-to-diversity-equity-and-
inclusion.
Marr, Lucy. 2020. “Top 10 Trending Diversity, Equity, and Inclusion Training Experts.”
AAE Speaks: Blog | AAE Speakers Bureau (blog). October 12, 2020. www.
allamericanspeakers.com/blog/top-10-trending-diversity-equity-and-inclusion-
training-experts/.

Blog
“Managing Diversity in the Workplace | CoachDiversity.” September 13, 2021.
CoachDiversity Institute (blog). Accessed October 15, 2021. https://coachdiver-
sity.com/blog/managing-diversity-in-the-workplace/.
Blackbyrn, Sai. 2019. “30 Coaching Trends That You Must Know (2021 Edition).”
June 30, 2019. https://coachfoundation.com/blog/30-coaching-trends/.
 Appendix A  499

LaMark, Dottie. 2019. “How to Conduct a Skills Gap Analysis: A Step-by-Step

Guide.” The Predictive Index. December 6, 2019. www.predictiveindex.com/
blog/how-to-conduct-a-skills-gap-analysis/.
Satyendra. 2020. “Organizational Environment and Its Impact on the Performance—
IspatGuru.” August 17, 2020. www.ispatguru.com/organizational-environment-
and-its-impact-on-the-performance/.

Report
Agrawal, Sapana, Aaron De Smet, Pawel Poplawski, and Angelika Reich. 2020. “How
Companies Are Reskilling to Address Skill Gaps | McKinsey.” February 12, 2020.
www.mckinsey.com/business-functions/people-and-organizational-performance/
our-insights/beyond-hiring-how-companies-are-reskilling-to-address-talent-gaps. 

Chapter 6—Step 3
What Should Be Happening?
Books
Andrei, Peter. 2020. How Highly Effective People Speak: How High Performers Use
Psychology to Influence With Ease. Independently published.
Bornancin, Brandon. 2021. Whatever It Takes: Master the Habits to Transform Your
Business, Relationships, and Life. Brandon Bornancin.
Burningham, Tim. 2019. Be An Awesome Boss!: The Four C’s Model to Leadership
Success. Independently published.
Frankl, Viktor E., William J. Winslade, and Harold S. Kushner. 2006. Man’s Search
for Meaning. 1st edition. Boston: Beacon Press.
O’Neill, Mary Beth A. 2007. Executive Coaching with Backbone and Heart: A
Systems Approach to Engaging Leaders with Their Challenges. 2nd edition. San
Francisco: Jossey-Bass.
Steven J. Stowell, Cherissa S. Newton M. Ed, and Eric D. Mead. 2019. Coaching for
Results: The 5 TIPS That Drive Performance. Edited by Emily Hodgson-Soule.
First edition. CMOE Press.
Stoltzfus, Tony. 2008. Coaching Questions: A Coach’s Guide to Powerful Asking
Skills. 1st edition. Virginia Beach, VA: Coach22 Bookstore LLC.
Trenton, Nick. 2021. Stop Overthinking: 23 Techniques to Relieve Stress, Stop Negative
Spirals, Declutter Your Mind, and Focus on the Present. Independently published.

Articles
Katzenbach, Jon R., and Douglas K. Smith. 2015. The Wisdom of Teams: Creating
the High-Performance Organization. Harvard Business Review Press.
500  High-Performance Coaching for Managers

Ng, Betsy. 2018. “The Neuroscience of Growth Mindset and Intrinsic Motivation.”
Brain Sciences 8 (2): 20. https://doi.org/10.3390/brainsci8020020.
Waal, André A. de. 2007. “The Characteristics of a High Performance
Organization.” Business Strategy Series 8 (3): 179–85. https://doi.
org/10.1108/17515630710684178.

Webpages
“The Ultimate Guide To High Performance Coaching.” 2021.
Evercoach—By Mindvalley. Accessed October 15, 2021. www.
evercoach.com/ultimate-guide-to-high-performance-coaching/
become-a-high-performance-coach.
Boyatzis, Richard, Melvin Smith, and Ellen Van Oosten. n.d. “Coaching for
Change.” Harvard Business Review. Accessed September 7, 2021. https://hbr.
org/2019/09/coaching-for-change.
Smith, Amanda. May 17,2020. “Hiring a Performance Coach: The 5 Things
You Should Know.” Accessed October 15, 2021. www.cxeinc.com/blog/
bid/243052/Hiring-a-Performance-Coach-The-5-Things-You-Should-Know.

Video
Life Coach Hub. 2014. Vision Coaching: What’s Your Vision? www.youtube.com/
watch?v=Cg_vsTocQqs.
MindToolsVideos. 2018. The GROW Model. www.youtube.com/watch?v=K3iJwoydBbg.
Pranjic, John. 2021. “Why ‘Vision’ Is Important For Coaches and A Personal Story
About Developing My Own [Coaching 01].” 3four3. 2021. https://343coaching.
com/podcast/soccer-by-3four3/vision-important-coaches-personal-story-
developing-coaching-01/.
Ruth Kudzi. 2020. What Does A Performance Coach Actually Do? www.youtube.
com/watch?v=qBVTjS3AzxE. 

Chapter 7—Step 4
What Is the Measurable Gap?
Articles
Buckingham, Marcus, and Ashley Goodall. 2015. “Reinventing Performance
Management.” Harvard Business Review, April 2015. https://hbr.org/2015/04/
reinventing-performance-management.
Deshler, Donald D. 2005. “A Closer Look: Closing the Performance Gap |
Adlit.” Stratenotes 13 (4). www.adlit.org/topics/curriculum-instruction/
closer-look-closing-performance-gap.
 Appendix A  501

Meier, Kenneth J., Nathan Favero, and Ling Zhu. 2015. “Performance Gaps and
Managerial Decisions: A Bayesian Decision Theory of Managerial Action.”
Journal of Public Administration Research and Theory 25 (4): 1221–46.
https://doi.org/10.1093/jopart/muu054.
Morris, Donna. n.d. “Death to the Performance Review: How Adobe Reinvented
Performance Management and Transformed Its Business.” WorldatWork
Journal, 10.
Pidun, Tim, and Carsten Felden. 2012. “On Improving the Visibility of Hard-
Measurable Process Performance.” International Journal of Intelligent Information
Technologies (IJIIT) 8 (2): 59–74. https://doi.org/10.4018/jiit.2012040104.
Zhu, Ling, and Amanda Rutherford. 2019. “Managing the Gaps: How Performance
Gaps Shape Managerial Decision Making.” Public Performance & Management
Review 42 (5): 1029–61. https://doi.org/10.1080/15309576.2019.1568886.

Webpages
“3 Steps to Closing the Performance Gap—KPMG Belgium.” 2019. KPMG.
September 30, 2019. https://home.kpmg/be/en/home/insights/2017/10/3-
steps-to-closing-the-performance-gap.html.
“Guide to Gap Analysis with Examples | Smartsheet.” n.d. Accessed September 15,
2021. www.smartsheet.com/gap-analysis-method-examples.
Guerra-López, Ingrid, and Alisa Hutchinson. 2013. “Measurable and Continuous
Performance Improvement: The Development of a Performance Measurement,
Management, and Improvement System.” Performance Improvement Quarterly
26 (2): 159–73. https://doi.org/10.1002/piq.21151.
Jaenke, Richard. 2013. “Identify the Real Reasons Behind Performance Gaps.” ATD.
August 8, 2013. www.td.org/magazines/td-magazine/identify-the-real-reasons-
behind-performance-gaps.
Moody, Kathryn. 2016. “Why Facebook Still Uses Traditional Performance
Reviews.” HR Dive. October 13, 2016. www.hrdive.com/news/
why-facebook-still-uses-traditional-performance-reviews/428175/.
Peterson, Oliver. 2019. “Gap Analysis: How to Bridge the Gap between Performance
and Potential | Process Street | Checklist, Workflow and Sop Software.” July 19,
2019. www.process.st/gap-analysis/.
Tregear, Roger. n.d. “Define, Measure & Close Process Performance Gaps at Your
Organization.” Accessed September 14, 2021. https://blog.leonardo.com.au/
define-measure-close-process-performance-gaps-at-your-organization.

Video
Center for Coaching Certification. 2019. The Performance Gap Indicator. www.
youtube.com/watch?v=OZZsClZRqZ4.
GarryPlatt. 2010. From Performance Gap to Needs Analysis. www.youtube.com/
watch?v=bJKowt50a0Y.
502  High-Performance Coaching for Managers

GarryPlatt. 2010. When Is a Performance Gap a Developmental Need? www.you-

tube.com/watch?v=aNLWK0p22y4.
Integrity Solutions. 2018. What’s the Performance Gap When Coaching Doesn’t
Happen? www.youtube.com/watch?v=_P1S6saf7IY.

Blogs to Follow
Guthrie, Gerorgina. 2019. “These Gap Analysis Tools Will Help You Identify Every
Opportunity.” Cacoo. January 10, 2019. https://cacoo.com/blog/gap-analysis-
tools-will-help-identify-every-opportunity/.
Solutions, Lambda. 2019. “Why Your Organization Needs Skill Gap Analysis.”
January 23, 2019. www.lambdasolutions.net/blog/why-your-organization-
needs-skill-gap-analysis.

Tools
“10 Performance Management Tools Every Hr pro Should Know.” 2021. People
Managing People. January 4, 2021. https://peoplemanagingpeople.com/tools/
performance-management-tools/.
Doe, Jane. 2018. “John Doe Jr. Xyz Corporation,” 11. www.edgetrainingsystems.
com/wp-content/uploads/2019/07/EdgeGAP_Analysis_SampleReport.pdf 

Chapter 8—Step 5
How Important Is the Gap?
Books
Fusch, Gene, and Richard C. Gillespie. 2012. A Practical Approach to Performance
Interventions and Analysis: 50 Models for Building a High-Performance Culture.
Upper Saddle River, N.J: FT Press.

Articles
Anyim, Wisdom Okereke. n.d. “Identifying Gaps and Opportunities to Improve
Performance in University Libraries Using Benchmarking and Performance
Appraisal System,” 17.
Johnston, David, Dominic Miles-Shenton, and David Farmer. 2015. “Quantifying
the Domestic Building Fabric ‘Performance Gap.’” Building Services
Engineering Research and Technology 36 (5): 614–27. https://doi.
org/10.1177/0143624415570344.
 Appendix A  503

Min, Byung Hee, and Youngmin Oh. 2020. “How Do Performance Gaps Affect
Improvement in Organizational Performance? Exploring the Mediating Roles
of Proactive Activities.” Public Performance & Management Review 43 (4):
766–89. https://doi.org/10.1080/15309576.2020.1713826.
Wren, Carla. n.d. “Employee Perceptions of Leadership Styles That Influence
Workplace Performance.” Ph.D., United States—Minnesota: Walden University.
Accessed September 15, 2021. www.proquest.com/docview/2013763038/abstra
ct/77EE253520924813PQ/1.

Webpages
“What Is a Key Performance Indicator (KPI)? Guide & Examples.” n.d. Qlik.
Accessed October 15, 2021. www.qlik.com/us/kpi.
Pavlou, Christina. 2021. “Skills Gap Analysis Template: How to Identify Training
Needs (Free, Downloadable Sample).” TalentLMS Blog. January 15, 2021.
www.talentlms.com/blog/skills-gap-analysis-template/.
Votaw, Kathleen Quinn. 2017. “Address Talent Issues with a Gap Analysis.”
Vistage Research Center. August 14, 2017. www.vistage.com/research-center/
talent-management/20170815-address-talent-issues-with-a-gap-analysis/.
Wright, Tom. 2021. “How to Implement the Balanced Scorecard (Strategy Framework).”
2021. www.cascade.app/blog/how-to-implement-the-balanced-scorecard.

Video
GarryPlatt. 2010. When Is a Performance Gap a Developmental Need? www.
youtube.com/watch?v=aNLWK0p22y4.
ISO Training Institute. 2020. Balanced Scorecard | Strategy Maps | Performance
Management | Performance Evaluation | Kpi. www.youtube.com/watch?v=
I1xO7_KktSE.
OpenTuition. 2019. SWOT, Objectives, Critical Success Factors and Benchmarking—
CIMA E3. www.youtube.com/watch?v=YIG_qVwfpPg.

Webinar:
Wilsey, D. (2019, November 14). Webinar—Balanced Scorecard Basics. Balanced
Scorecard Institute. https://balancedscorecard.org/balanced-scorecard-
basics-webinar/

Blogs
Assessing performance needs. www.ifc.org/wps/wcm/connect/c64343d0-f3ec-4ed4-
ad5c-049f80d24180/GuideToTraining_p26-43_Assesing+Performance+Needs.
pdf?MOD=AJPERES&CVID=ndeLnca
504  High-Performance Coaching for Managers

www.washoecounty.us/repository/files/13/Performance%20Gap%20Analysis%20
web.pdf
Performance gap analysis: A tool to assist managers/supervisors.
Performance Gap to Needs Analysis. (2015, November 17). Cerius Executives.
https://ceriusexecutives.com/performance-gap-needs-analysis/

Tools
Personal assessment coaching guide by Center for Army Profession and
Leadership, October 2020. https://caccapl.blob.core.usgovcloudapi.net/web/
repository/pdf-files/Personal-Assessment-Coaching-Guide.pdf 

Chapter 9—Step 6
What Are the Root Causes of the Gap?
Books
Planitz, Mark A. 2008. “Handbook of Human Performance Technology: Principles,
Practices, Potential (3rd Ed.) Edited by James A. Pershing.” Performance
Improvement 47 (8): 52–54. https://doi.org/10.1002/pfi.20023.
Prakacita, Rian. n.d. “The Quality Toolbox Second Edition.” Accessed September
15, 2021. www.academia.edu/32325558/The_Quality_Toolbox_Second_Edition.

Articles
Olsen, Jason. 2019. “The Nominal Group Technique (NGT) as a Tool for Facilitating
Pan-Disability Focus Groups and as a New Method for Quantifying Changes in
Qualitative Data.” International Journal of Qualitative Methods 18 ( January):
1609406919866049. https://doi.org/10.1177/1609406919866049.

Webpages
Delbecq, Andre L., Andrew Van de, and David H. Gustafson. n.d. “Nominal Group
Technique.” Accessed September 15, 2021. https://chess.wisc.edu/niatx/con-
tent/contentpage.aspx?NID=147.
Hessing, Ted. 2015. “Nominal Group Technique.” Six Sigma Study
Guide (blog). November 21, 2015. https://sixsigmastudyguide.com/
nominal-group-technique/.
MindTools. n.d. “Cause and Effect Analysis: Identifying the Likely Causes of
Problems.” Accessed September 15, 2021. www.mindtools.com/pages/article/
newTMC_03.htm.
 Appendix A  505

Video
HarvardX. 2017. How to Create Cause-and-Effect Diagrams. www.youtube.com/
watch?v=mLvizyDFLQ4.
Nathan Orme. 2017. Root Cause Analysis. www.youtube.com/watch?v=TKv4Mw7qQbI.
System Improvement. 2020. “Seven Secrets of Root Cause Analysis—YouTube.”
2020. www.youtube.com/watch?v=-3KacrTlZJg.
TapRooT®. 2021. Seven Secrets of Root Cause Analysis. www.youtube.com/
watch?v=-3KacrTlZJg.

Blogs to Follow
Directpoint. 2018. “Comparing Delphi and NGT Decision Techniques.”
Directorpoint (blog). December 5, 2018. https://landing.directorpoint.com/
blog/delphi-and-ngt-decision-techniques/.
Goodrich, Belinda. 2011. “Brainstorming vs Nominal Group
Technique—PMP Exam Concepts.” PM Learning Solutions
(blog). May 30, 2011. www.pmlearningsolutions.com/blog/
brainstorming-versus-nominal-group-technique-pmp-concept-13.
Treu, Jason. 2019. “Employee Performance Issues: How Root Cause Analysis Can
Move Employees Forward.” Executive Coach, Culture Change and Employee
Engagement in Dallas (blog). November 11, 2019. https://jasontreu.com/2019/
11/11/employee-performance-issues-how-root-cause-analysis-can-move-
employees-forward/.

Tools
Kane, Robert, and Rosalie Kane. n.d. “How to Use the Fishbone Tool for Root
Cause Analysis,” 3. www.cms.gov/medicare/provider-enrollment-and-
certification/qapi/downloads/fishbonerevised.pdf 

Chapter 10—Step 7
How Many Ways Can the Gap Be Closed?
Books
BCC, Dr David Neal. 2019. Bridging The Gap: How to Connect, Coach, and Create
with Millennials, Gen Z and Beyond. Aletheia Press.
Douglas, Christina A., and William H. Morley. 2000. Executive Coaching: An
Annotated Bibliography. Greensboro, N.C: Center for Creative Leadership.
Franklin, Maren. 2006. Performance Gap Analysis: Tips, Tools, and Intelligence for
Trainers. American Society for Training and Development.
506  High-Performance Coaching for Managers

Gilbert, Thomas. 2013. Human Competence: Engineering Worthy Performance.

Pfeiffer.
Stanier, Michael Bungay, Lolly Daskal, Daniel H. Pink, Robin Sharma. 2019. The
Coaching Habit by Michael Bungay Stanier, Leadership Gap. The Coaching
Habit, Leadership Gap [Hardcover], Drive Daniel Pink, The Leader Who Had
No Title 4 Books Collection Set. Stockholm: Simon & Schuster UK.

Articles
Bush, Mary Wayne, and John Lazar. n.d. “International Journal of Coaching in
Organizations,” 67.
Chevalier, Roger. “Updating the Behavior Engineering Model.” Performance
Improvement, 42, 5, 8–14.

Webpages
Fisher, Ossa. 2015. “8 Proven Ways to Help Close the Achievement Gap—EdSurge
News.” EdSurge. October 27, 2015. www.edsurge.com/news/2015-10-27-8-
proven-ways-to-help-close-the-achievement-gap.
Mackay, Anna-Lucia. 2015. “The Four Mindsets: How to Influence, Motivate and
Lead High Performance Teams | Wiley.” Wiley.Com. November 2015. www.
wiley.com/en-us/The+Four+Mindsets%3A+How+to+Influence%2C+Motivate+
and+Lead+High+Performance+Teams-p-9780730324782.
Mankins, Michael C., and Richard Steele. 2005. “Closing the Strategy-to-Performance
Gap: Techniques for Turning Great Strategy Into Great Performance—
Strategy—United States.” 2005. www.mondaq.com/unitedstates/operational-
performance-management/34286/closing-the-strategy-to-performance-gap-
techniques-for-turning-great-strategy-into-great-performance.
Narum, Claire. n.d. “Uncovering Performance Gaps With Front End Analysis.”
Accessed October 15, 2021. www.dashe.com/blog/instructional-design/front-
end-analysis-improving-performance/.
Rose, Robertson. 2020. “The 4 Steps To Conduct An Effective Training Needs
Analysis.” Roundtable Learning (blog). October 15, 2020. https://
roundtablelearning.com/the-4-steps-to-conduct-an-effective-training-needs-
analysis/.
Taylor, Johnny C. 2021. “How to Address the Skills Gap.” SHRM. October 12, 2021.
www.shrm.org/resourcesandtools/tools-and-samples/how-to-guides/pages/
how-to-address-the-skills-gap.aspx.

Video
Claudia, F. n.d. “Identifying Competency Gaps in the Workplace—Video & Lesson
Transcript.” Study.Com. Accessed September 15, 2021. https://study.com/acad-
emy/lesson/identifying-competency-gaps-in-the-workplace.html.
 Appendix A  507

Blog
“No Gap No Coaching | ICF Credentialing Coach | Mentor Coach | Carly
Anderson, MCC.” 2018. Anderson, Carly. 2018. “No Gap No Coaching.” June
15, 2018. https://carlyanderson.com/no-gap-no-coaching.
“The 4 Steps To Conduct An Effective Training Needs Analysis.” 2020. Roundtable
Learning (blog). October 15, 2020. https://roundtablelearning.com/the-4-
steps-to-conduct-an-effective-training-needs-analysis/.
Anderson, Carly. 2019. “The What Who and How of Coaching.” September 14,
2019. https://carlyanderson.com/the-what-who-and-how-of-coaching.
Moran, Joanna. 2017. “Closing an Employee Performance Gap.” February 8, 2017.
http://mysite-d94745a2.dudaone.com/closing-an-employee-performance-gap.
Moran, Joanna. 2017. “How to Lead a Huge Performance Leap Forward.” February 8,
2017. http://mysite-d94745a2.dudaone.com/how-to-lead-a-huge-performance-
leap-forward. 

Chapter 11—Step 8
What Is the Most Effective Way to Close the Gap?
Books
Franklin, Maren. 2006. Performance Gap Analysis: Tips, Tools, and Intelligence for
Trainers. American Society for Training and Development.
Marr, Bernard, and James Creelman. 2011. “Selecting Strategic Initiatives.” In More
with Less: Maximizing Value in the Public Sector, edited by Bernard Marr and
James Creelman, 112–33. London: Palgrave Macmillan UK. https://doi.org/10.
1057/9780230300408_6.
Surface, Eric A. 2012. “Training Needs Assessment: Aligning Learning and
Capability with Performance Requirements and Organizational Objectives.” In
The Handbook of Work Analysis: Methods, Systems, Applications and Science
of Work Measurement in Organizations, 437–62. Series in Applied Psychology.
New York, NY, US: Routledge/Taylor & Francis Group.

Articles
Chevalier, Roger. 2010. “Gap Analysis Revisited.” Performance Improvement 49 (7):
5–7. https://doi.org/10.1002/pfi.20160.
Evans, Bill. 2004. “Closing the Performance Gap: Five Simple Tools Can Help.”
Handbook of Business Strategy 5 (1): 191–94. https://doi.org/10.1108/
10775730410493496.
Henri, Jean-François. 2004. “Performance Measurement and Organizational
Effectiveness: Bridging the Gap.” Managerial Finance 30 (6): 93–123. https://
doi.org/10.1108/03074350410769137.
508  High-Performance Coaching for Managers

Kellogg, Marion S. 1967. “Closing the Performance Gap; Results-Centered

Employee Development.”
Middlebrook, Rebecca Helminen, and Angela Palchesko. 2004. “Turning Research
Into Results: A Guide to Selecting the Right Performance Solutions: [1].”
Performance Improvement 43 (1): 44–46.
Smith, Ken G, Edwin A Locke, and David Barry. 1990. “Goal Setting, Planning, and
Organizational Performance: An Experimental Simulation.” Organizational
Behavior and Human Decision Processes 46 (1): 118–34. https://doi.org/10.
1016/0749-5978(90)90025-5.
Zairi, Mohamed. 1992. “The Art of Benchmarking: Using Customer Feedback to
Establish a Performance Gap.” Total Quality Management 3 (2): 177–88.
https://doi.org/10.1080/09544129200000019.

Webpages
“Aligning Employee Performance to Organization Performance and MVVs | Kent
State University.” n.d. Accessed September 15, 2021. www.kent.edu/
yourtrainingpartner/aligning-employee-performance-organization-performance-
and-mvvs.
“Coaching Training for Managers.” n.d. Performance Consultants.
Accessed September 15, 2021. www.performanceconsultants.com/
coaching-training-managers.
“Conducting a Gap Analysis to Improve Team Performance.” 2018. Ready
Training Online. April 4, 2018. https://readytrainingonline.com/articles/
gap-analysis/.
“Dealing With Poor Performance: Is It Lack of Ability or Low Motivation?” n.d.
Accessed September 15, 2021. www.mindtools.com/pages/article/newTMM_
80.htm.
F., Claudia. n.d. “Aligning Group Goals With Individual Performance Goals—
Video & Lesson Transcript.” Study.Com. Accessed September 15, 2021. https://
study.com/academy/lesson/aligning-group-goals-with-individual-performance-
goals.html.
Heathfield, Susan M. n.d. “Use 6 Steps to Coach Employees to Help Improve Their
Work Performance.” The Balance Careers. Accessed September 15, 2021.
www.thebalancecareers.com/
use-coaching-to-improve-employee-performance-1918083.
Nebes, Bill. 2016. “The Eight-Step Approach To Closing Performance Gaps.” Nebes
Consulting. November 21, 2016. http://nebesconsulting.com/uncategorized-en/
eight-step-approach-closing-performance-gaps/
SHRM. 2021. “How to Address the Skills Gap.” SHRM. July 2, 2021. www.shrm.org/
resourcesandtools/tools-and-samples/how-to-guides/pages/how-to-address-
the-skills-gap.aspx.
Verlinden, Neelie. 2021. “10 Tips for Effective Employee Performance Coaching.”
AIHR (blog). May 14, 2021. www.aihr.com/blog/performance-coaching/.
 Appendix A  509

Video
Babson College. 2014. Managing Poor Performers: What You Need To Know Before
Taking Action. www.youtube.com/watch?v=bBBdx_oVcs4.
Cmoeinc. 2014. Performance Coach: The One Minute Employee Coaching Session.
www.youtube.com/watch?v=7loZQmqL1AI.
Leadership and Talent Development. 2019. 2020 Performance Management:
Feedback and Coaching. www.youtube.com/watch?v=IjFppQL4fiQ.
TEDx Talks. 2013. Cleverly Connected: Sir John Whitmore at TEDxCheltenham.
www.youtube.com/watch?v=6fld90L6Hkw.

Blogs to follow
“Problem Solving Critical Thinking Reasoning Decision Making Planning.” n.d.
Accessed September 16, 2021. www.basicknowledge101.com/subjects/prob-
lemsolving.html.
Cherry, Kendra. n.d. “Effective Problem-Solving Strategies and Common Obstacles.”
Verywell Mind. Accessed September 16, 2021. www.verywellmind.com/
problem-solving-2795008.
Githens, Greg. 2012. “Identify Performance Gaps and Get Out of the Rut of
Solutioneering.” Leading Strategic Initiatives (blog). July 17, 2012. https://
leadingstrategicinitiatives.com/2012/07/17/identify-performance-gaps-and-get-
out-of-the-rut-of-solutioneering/.
Problem Solving—3 Basic Steps. (n.d.). Retrieved September 16, 2021, from https://
blog.thinkreliability.com/problem-solving-three-basic-steps

Webinars
Nickols, F. (2020). Thirteen problem-solving models. 1–28. www.uapb.edu/sites/
www/Uploads/Assessment/webinar/session%203/13%20Problem%20Solving%
20Models.pdf 

Chapter 12—Step 9
What Are the Consequences of Closing the Gap?
Books
Cook, Marshall. 1998. Effective Coaching. McGraw Hill Professional.
Fournies, Ferdinand, and Ferdinand F. Fournies. 1999. Coaching for Improved
Work Performance, Revised Edition. 3rd edition. New York: McGraw-Hill
Education.
Hargrove, Robert. 1999. Masterful Coaching Fieldbook. San Francisco: Pfeiffer.
510  High-Performance Coaching for Managers

Articles
Bachkirova, Tatiana, and Carmelina Lawton Smith. n.d. “From Competencies to
Capabilities in the Assessment and Accreditation of Coaches.” International
Journal of Evidence Based Coaching and Mentoring 13 (2): 123–40. https://
doi.org/10.3316/informit.386228358655701.
Chase, Melissa A., Cathy D. Lirgg, and Deborah L. Feltz. n.d. “The Sporr Psychologist,
1997,11,8–23 O 1997 Human Kinetics Publishers, Inc. Do Coaches’ Efficacy
Expectations for Their Teams Predict Team Performance?”
Funke, Joachim, Andreas Fischer, and Daniel V. Holt. 2018. “Competencies for
Complexity: Problem Solving in the Twenty-First Century.” In Assessment and
Teaching of 21st Century Skills, edited by Esther Care, Patrick Griffin, and
Mark Wilson, 41–53. Educational Assessment in an Information Age. Cham:
Springer International Publishing. https://doi.org/10.1007/978-3-319-65368-6_3.
Hagemann, Norbert, Bernd Strauss, and Dirk Büsch. 2008. “The Complex Problem-
Solving Competence of Team Coaches.” Psychology of Sport and Exercise 9 (3):
301–17. https://doi.org/10.1016/j.psychsport.2007.04.003.
Jones, Rebecca J., Stephen A. Woods, and Yves R. F. Guillaume. 2016. “The
Effectiveness of Workplace Coaching: A Meta-Analysis of Learning and
Performance Outcomes from Coaching.” Journal of Occupational and
Organizational Psychology 89 (2): 249–77. https://doi.org/10.1111/joop.12119.

Webpages
“Finally, We Are Shifting from Performance Management, to Coaching
for Performance.” 2017. Mark Hocknell | Customer Value. Business
Results (blog). October 10, 2017. www.markhocknell.com/
finally-shifting-performance-management-c4p/.
Lawson, Karen. n.d. “How to Coach for Improved Performance | Edward Lowe
Foundation.” Accessed September 15, 2021. http://edwardlowe.org/how-to-
coach-for-improved-performance-2/.
McNamara, Carter. n.d. “Problem Solving and Decision Making (Solving Problems
and Making Decisions).” Accessed September 16, 2021. https://managemen-
thelp.org/personalproductivity/problem-solving.htm.

Blogs
Dumitrascu, Sorin. 2021. “Skills and Competencies for Problem Solving.”
Medium. August 29, 2021. https://medium.datadriveninvestor.com/
skills-and-competencies-for-problem-solving-419fe3db7876.
Harris, Robert. 2002. “Problem Solving Techniques.” January 5, 2002. www.
virtualsalt.com/problem-solving-techniques/.
Malouff, John. 2018. “Over Fifty Problem-Solving Strategies Explained.” Using
Psychology. October 15, 2018. https://blog.une.edu.au/usingpsychology/2018/
10/15/over-fifty-problem-solving-strategies-explained/. 
 Appendix A  511

Chapter 13—Step 10
What Are the Damages of Inaction?
Books
Argyris, Chris, David A. Schon, Donald A. Schön, and David Schon. 1996.
Organizational Learning II: Theory, Method, and Practice. Addison-Wesley
Publishing Company.
Dattner, Ben. 2011. Credit and Blame at Work. www.simonandschuster.com/
books/Credit-and-Blame-at-Work/Ben-Dattner/9781439169575.
Weick, Karl, and Kathleen Sutcliffe. 2007. “Managing the Unexpected Resilient
Performance in an Age of Uncertainty” 8 ( January).
Weiss, Antonio E. 2012. Key Business Solutions: Essential Problem-Solving Tools and
Techniques That Every Manager Needs to Know. Pearson UK.

Articles
Metcalfe, Mike, and Elizabeth Hobson. 2001. “Concern Solving Not Problem
Solving,” 9.

Webpages
Berglas, Steven. 2002. “The Very Real Dangers of Executive Coaching.” Harvard
Business Review, June 1, 2002. https://hbr.org/2002/06/the-very-real-dangers-
of-executive-coaching.
Sandahl, Phillip. 2021. “How To Turn Team Conflict Into Trust, Resilience &
Results.” 2021. https://teamcoachinginternational.com/team-conflict-trust-
resilience-results/.
Weick, Karl, and Kathleen Sutcliffe. 2007. “Managing the Unexpected Resilient
Performance in an Age of Uncertainty” 8 ( January).

Video
Debbie Narver. 2016. Lesson 1: Strategic Problem Solving and Decision Making for
Managers. www.youtube.com/watch?v=JsWrrfqgIBc.
Life Coach Training Institute. 2021. Overthinking & Inaction —Week 3: How to Get
out of Your OWN Way. www.youtube.com/watch?v=1EfndfdiZw4.
TED-Ed. 2016. 5 Tips to Improve Your Critical Thinking—Samantha Agoos. www.
youtube.com/watch?v=dItUGF8GdTw.

Blogs to Follow
Lipovski, Terry. 2020. “The Problem with Problem Solving Managers | LinkedIn.”
2020. www.linkedin.com/pulse/problem-solving-managers-terry-lipovski/.
512  High-Performance Coaching for Managers

“Why Is Problem Solving Important for Leaders.” 2018. Florida Tech Online.
December 28, 2018. www.floridatechonline.com/blog/business/problem-
solving-a-critical-leadership-skill/.
Problem solving. (n.d.). Retrieved September 16, 2021, from www.icaew.com/
learning-and-development/job-essential-skills/employability-skills/problem-
solving

Tools
Miller, Kelly. 2021. “12 Essential Coaching Skills for Managers and Leaders.” 2021.
https://positivepsychology.com/coaching-skills-managers-leaders/. 

Chapter 14—Step 11
How to Implement the Solution?
Books
Clutterbuck, David, and David Megginson. 2005. Making Coaching Work: Creating
a Coaching Culture. CIPD Publishing.
King, Serge Kahili. 1985. Mastering Your Hidden Self: A Guide to the Huna Way. 1st
edition. Wheaton, Ill., U.S.A: Quest Books.
Nieuwerburgh, Christian van. 2015. Coaching in Professional Contexts. SAGE.

Articles
Pulakos, Elaine D., Rose A. Mueller-Hanson, Ryan S. O’Leary, and Michael
Meyrowitz M. n.d. “Building a High Performance Culture: A Fresh Look at
Performance Management,” 44. www.shrm.org/hr-today/trends-and-forecasting/
special-reports-and-expert-views/Documents/High-Performance-Culture.pdf

Webpages
“Creating A Coaching Culture, Transformational Leadership Culture—Performance
Consultants.” n.d. Accessed October 15, 2021. www.performanceconsultants.
com/coaching-culture.
“How to Instill a Coaching Culture.” n.d. CCL. Accessed September 16, 2021. www.
ccl.org/articles/leading-effectively-articles/instill-coaching-culture/.

Video
“What Is a Coaching Leadership Style?” 2020. Performance Consultants. November 10,
2020. www.performanceconsultants.com/what-is-a-coaching-leadership-style.
 Appendix A  513

GreggU. 2020. Performance Management Leadership. www.youtube.com/

watch?v=EFcCEYj9c80.

Webinar/Podcast
“How HR Can Establish a Successful Coaching Culture.” 2020. AIHR (blog).
September 16, 2020. www.aihr.com/blog/coaching-culture/.
Jody Holland Training & Speaking. 2017. Employee Performance Coaching Tips!
www.youtube.com/watch?v=p7cp6heXUlU.

Blogs
Reid, Joanne, and Victoria Hubbell. n.d. “Creating A Performance Culture.” Ivey
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Tools
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source=facebook&hss_channel=fbp-157493064283
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Supervisor’s Guide to Performance Management, Coaching & Corrective Action:
www.depts.ttu.edu/hr/documents/CorrectiveActionWebsiteResources.pdf 

Chapter 15—Step 12
How to Evaluate the Successful Implementation?
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Killion, Joellen, Chris Bryan, and Heather Clifton. 2020. Coaching Matters, 2nd
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Rynne, Steven B., Clifford J. Mallett, and Martin W. O. Rabjohns. 2016. “High
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Ely, Katherine, Lisa A. Boyce, Johnathan K. Nelson, Stephen J. Zaccaro, Gina Hernez-
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Ibarra, Herminia, and Anne Scoular. 2019. “The Leader as Coach.” Harvard Business
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MacLean, Joanne C., and Packianathan Chelladurai. 1995. “Dimensions of Coaching
Performance: Development of a Scale.” Journal of Sport Management 9 (2):
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 Appendix A  515

Performance Management—Coaching as Conversation: https://hr.fas.harvard.edu/

files/fas-hr/files/pm_conversations_2.26.18.pdf 

Chapter 16
How Effective Are You?
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Evered, Roger D., and James C. Selman. 1989. “Coaching and the Art of
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Peterson, David B., and Kurt Kraiger. 2003. “A Practical Guide to Evaluating
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Emil Berg, Morten, and Jan Terje Karlsen. 2012. “An Evaluation of Management
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Stenzel, Beth K. n.d. “Correlation between Teacher Mindset and Perceptions
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“How to See If Your Employee Coaching Is Having a Positive Effect.” n.d. Accessed
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Schuy, Marcel. 2018. “Coaching Evaluation—Deliver Highly Effective Coaching
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Stange, Jocelyn. n.d. “Coaching to Engage: 12 Rules to Effective, Ongoing
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Wilson, Graham. n.d. “What Are Coaching Styles and How Do They Work?”
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Leadership Lessons. 2019. A Practical Method to Effective Coaching. www.youtube.
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LearningFromWOeRK. 2011. Evaluating Coaching Sessions. www.youtube.com/
watch?v=X5ii4kJa4zw.
Proctor Gallagher Institute. 2015. What Is Effective Success Coaching? www.you-
tube.com/watch?v=DUrBSpImifo.
TEDx Talks. 2014. Building Your Inner Coach | Brett Ledbetter |
TEDxGatewayArch. www.youtube.com/watch?v=q7a5TIzOmeQ.
TEDx Talks. 2018. Leaders Who Coach Are Creating Better Workplaces, and so Can
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ypKRJ0IPP-k.
The Coaching Institute. 2021. Foundations Of Coaching Success | TCI Courses.
www.youtube.com/watch?v=iHLFauEK1_U.
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Coaching Institute. www.youtube.com/watch?v=bAysORfwy8k.

Blogs
“How to Coach Teammates: A Key Responsibility of Effective Leaders.” 2018.
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 Appendix A  517

“Planning with Solution-Focused Coaching.” 2021. Erickson Coaching International.

July 30, 2021. https://erickson.edu/planning-solution-focused-coaching.
“What It Takes to Coach Your People.” n.d. CCL. Accessed October 15, 2021. www.
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“Why Workplace Coaching and Why Now?” n.d. Integral. Accessed October 15,
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“Practical Methods for Evaluating Coaching | Institute for Employment Studies
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studies.co.uk/resource/practical-methods-evaluating-coaching.
Index

Note: Page numbers in italics indicate a figure and page numbers in bold indicate a table.

A disparity between what is and should be

happening and, 241–245, 242, 250,
absolute words, avoiding, 273 251–252, 253, 263, 292
accountability, 63, 87, 91, 214–215, 215, 221 elements of, key, 263–264, 263
acknowledging coachees’ progress, examples of, 255, 257
40– 41 feedback session and, 270–274
action plan future time performance gaps and, 242,
data from, 160 243–244
developing, as step in high-performance Gilbert’s Behavior Engineering Model and,
coaching, 39 260–261
executing, 157 Gilbert’s Performance Matrix and, 259–260
investigating, 160 Gilbert’s three stages of analysis and, 258–259
active listening, 38, 61, 62, 94, 273 job analysis and, 250, 253
adaptability, 87, 90–91, 100 level of analysis and, 253, 254
alignment, creating, 216–218 Mager and Pipe’s Model and, 261
American Society for Training and Development models for, 258–262
(ASTD), 5 needs assessment versus, 263–264
analysis negative gaps, 242, 243–244, 350–352
of causes of performance gaps, approaches neutral gaps, 242, 243–244, 350,
to, 331–342 352–353
defining, 240 overview, 237, 239
Gilbert’s three stages of, 258–259 people component of business and, 264–265
level of, 253, 254 performance analysis and, 250
of solution, 347 performance gap definition and,
see also analysis of performance gaps 240–241
analysis of performance gaps performance metrics and, 244–245, 246–249,
analysis definition and, 240 282–284, 283
analyst competency and, 254–255, 256–257, positive gaps, 242–244, 242, 350, 353–355
257 present time performance gaps and, 242–243,
analyst role and, 253–254 242
assessor competency and, 266, 266–267, process of, 241, 241, 245, 250
268, 268–269 progress in performance and, evaluating, 278,
business case example, 278–284 279–281
data collection for, 262, 262 questions for and by manager-as-coach and,
discussion session and, 270–274 275–277

519
520  Index

required performance and, 265, 265 resources, 494–495

resources, 500–502 as step in high-performance coaching,
Rummler and Brache model for, 258 establishing, 38
solitary analyst method and, 245 see also mindset
sources of potential performance gaps and, authenticity, 92, 125–127
identifying, 265–266 authority versus leadership, 211–212
as step in high-performance coaching/model, awareness of coachees, 63
58, 59
systems component of business and, 264–265
tracking, 284, 285 B
analyst
competency of, 254–255, 256–257, 257 balanced scorecard, 199, 304–306, 304, 307,
role of, 157, 158, 253–254 307–308
analytic ability, 255 behavior
anamnestic signs, 327 defining, 80–81
Anticipatory Principle, 47 overview, 1–2, 75
appreciative inquiry (AI) coaching as performance measurement, 81–84, 83–84
concept of, 46 problems, 328
empowering coachees and, 39 relationship among mindset/attitude/
5-D cycle, 48 performance and, 77–78, 78
4-D cycle, 48 resources, 494–495
functions of, 46 behavioral coaching, 122
Organizational Development versus, 46 Behavior Engineering Model (BEM), 260–261
positive questions and, 50 Being, state of
principles of, 47 accountable, 214
stages of, 48–50, 48 authentic, 125–127
training and, 46 at cause, 193–194
Appreciative Inquiry Model (AIM), 46 courteous, 128–129
approachability, 126 Doing and, state of, 190
artificial intelligence (AI), 209–211 at effect, 194
assessor competency engaging, 129–131
analysis of performance gaps and, 266, envisioning the outcome and, 190
266–267, 268, 268–269 individual choice and, 149, 152–153
importance of performance gaps and, 318, leadership and, 191–192
319–320, 320 manager-as-coach, 121–123, 122
Association for Talent Development (ATD), 4, 6, positive influence of, 329
62, 253 rapport/relationship building and, 120–123,
Association for Talent Development (ATD) DBA 122, 125, 132–133
Association for Talent Development (now respectful, 127–128
the Association for Talent Development self-effectiveness, assessing, 458–461, 458
(ATD), 4 vision statement and, 191, 193
at cause, being, 193–194 benchmark/benchmarking, 97–98, 98–99, 200,
at effect, being, 194 201, 202
attitude best industry practices, 200, 201, 202, 420,
coaching and, 76 423– 425
compassionate, 41 bias, avoiding, 273
defining, 80 Big Data, 208–209
empathetic, 41 black swan event, 390
of management/manager, 41 bounce records, 219
overview, 1–2, 75 brainstorming
positive, 38 closing performance gaps and, 355–357, 355, 359
relationship among mindset/behavior/ session, conducting, 314, 315
performance and, 77–78, 78 tool, 355, 355
 Index  521

business case examples closing performance gaps

analysis of performance gaps, approaches to, assessing, 359, 360–361
278–284 brainstorming and, 355–357, 355, 359
causes of performance gaps, identifying, business case example, 363–364
343–344 challenges to, 361–362, 362
closing performance gaps, 363–364 Delphi technique and, 356
consequences of closing performance gaps, examples of step, 351–355
reflecting on, 394–396 idea generation and, 356–358
envisioning the outcome, 227–231 importance of, 350–351
function of, 123 innovation and, 359
importance of performance gaps, identifying, jumping to conclusions and, avoiding, 350
320–321 meaning of, 350
inaction damages, determining, 411–413 mind mapping and, 356
issue/need at hand, recognizing, 167–184 nominal group technique and, 356
rapport/relationship building, 123–140 overview, 347, 349–350
strategies for closing performance gaps, pause and consider action and, 351
selecting, 379–380 performance coach competency and, 362–363
successful implementation of solution and, resources, 505–507
evaluating, 437–438 as step in high-performance coaching/model,
business plan/strategy, 56 59, 59
see also consequences of closing performance
C gaps, reflecting on; strategies for closing
performance gaps, selecting
calm manners, 92 coach, see performance coach competency
career commitment, 76, 216 coachees
casual conversation during feedback, avoiding, acknowledging progress of, 40–41
272 awareness of, 63
cause assessment, 157 empowering, 39
cause and effect analysis, 332–333, 333 feedback to, 40
causes of performance gaps, identifying learning opportunities for, designing, 63
analysis of, approaches to, 331–342 recognizing progress of, 40–41
business case example of, 343–344 relationship with high-performance coach
examples of, 330–331 and, 11, 68–69
failing change efforts and, 328–330 rewarding progress of, 40–41
importance of, 326–330 successful implementation of solution and,
meaning of, 326 evaluating, 430, 431–432
overview, 237, 325 tracking/monitoring progress of, 39–40
performance coach competency and, values for, 444–451, 456
342–343 coaching
performance versus behavior problems and, attitude and, 76
328 behavioral, 122
resources, 504–505 capacities, 1
signs/symptoms and, confusing with, career commitment and, 76
326–328 consulting versus, 8–9
as step in high-performance coaching/model, defining, 4–5
59, 59 delivery approaches, 18–20, 20
see also root cause analysis directive, 19–20, 20, 34–36, 34
change agent as high-performance engagement of employees, 5–6
coach, 60 executive, 12
change intervention, 157, 159–161 feedback, 13
change management, 157–158, 157 HRD professionals and, 14
choice, individual, 149, 152–156 in leadership development, 13
Clear Coaching Limited study, 7 in management, 12–14, 99–100, 101, 102
522  Index

nondirective, 18–19, 20 development skills, 13

organization commitment and, 76 emotional intelligence, 86–87
overview, 1–3 of importance of performance gap assessor,
peer, 11 318, 319–320, 320
perceptions of, public, 8 leadership, 451–454, 452
performance and, 76 management, 451–454, 452
personal, 10–11 managerial coaching, 13–14
prevalence of, 5–8 managerial skills, 13
productivity and, 5–6, 76 problem-solving, 96
professional, 10–13 rapport/relationship building and coach’s,
relationship management and, 87, 97 117–120, 120
resources, 489–491 training in accruing, 120, 120
return on investment of, 6–7 see also assessor competency; performance
sales increase and, 76 coach competency
skills/competencies, 60–63 competitiveness of business and performance
studies, 5–8 coaching, 70
survey about effectiveness of, 20–26 conceptual level of criteria, 203, 203
talent development and, 14 conflict, fear of, 221
team, 11–12 conflict management, 87, 95–96
training for, 97 consequences of closing performance gaps,
training with, 6 reflecting on
types, 10–13 anticipating, 383–386, 387, 388–391
workforce education and, 14 black swan event and, 390
see also high-performance coaching; business case example, 394–396
performance coaching considerations in, 386
coaching agreement, 62 domino effect and, 389
coaching culture examples of, 392–394
assessing, 420, 421–425 formal methods of anticipating, 388–391
barriers to, 18 importance of, 385
benefits of effective, 17–18 informal methods of anticipating,
defining, 14–16 386, 388
effectiveness of, 17–18 meaning of, 384–385
elements essential to, 16–17 mind mapping and, 388–390, 389
employee engagement and, 5–6 overview, 347, 383–384
functions of, 15 performance coach competency and, 394
high-performance organization and, 16–17, 17 resources, 509–510
occurrences of, 16 scenario planning and, 390–391, 391
performance, 41 as step in high-performance coaching/model,
coaching presence, 62 59, 59
coaching programs, defining, 21 Constructionist Principle, 47
collaboration, 218 consulting, 8 –9
commitment, 76, 216–217, 221 contraindication, 369
communication corporate culture, 420
direct, 63 corrective plan, implementing, 65, 383–384
effective, 217–218 cost/benefit analysis, see return on investment
engagement and, 129–130 (ROI)
as leadership quality, 100 courtesy, 128–129
performance coaching success and, 38 creative thinking, 347, 349, 356–357
social awareness and, 87, 94 criteria as performance standards, 202–203, 203,
compassion, 41, 61, 87, 93, 128–129 204–205
competency critical incident worksheet, 84, 85
of analyst, 254–255, 256–257, 257 critical success factors (CSFs)
as buzzword, 86 concept of, 306, 308–309
 Index  523

defining, 306, 308–309 from training by organization, previous, 160

developing, 309–312 deduction/deductive approach, 163–164,
elements of organization’s, 310–312, 311 166–167
Lawrimore’s five key, 310 Define Stage of appreciative inquiry coaching, 49
potential, 312, 312–314 Delphi technique, 356
Quizlet’s six key, 310 demotion records, 218
strategic objectives and, 301, 304 descriptive approach to problem solving model,
critical thinking, 99, 216, 217, 219–220 337–338, 338
cultural values, 154–155 Design Stage of appreciative inquiry coaching, 49
customer perspective of performance, 199–200, Destiny Stage of appreciative inquiry coaching,
199, 305 49–50
customer service assessment, 257 developmental skills, 13
diagnostic signs, 327
D directive coaching, 19–20, 20, 34–36, 34
Directive Coach’s Assets Wheels, 34–35, 34
data Discovery Stage of appreciative inquiry
from action plans, 160 coaching, 49
for analysis of performance gaps, 262, 262 discussion, establishing effective, 41– 42
from bounces records, 219 diversity awareness, 87, 93–94
change intervention and, evidence for, documenting information/data, 161, 162–163
159–161 Doing, state of
from clients/customers/stakeholders, 160 Being and, state of, 190
collection methods, 172–174 envisioning the outcome and, 190
critical role in issue/need at hand inaction damages and, 401–402
and, 172 individual choice and, 149, 152–153
from decision-makers’ values, 161 management and, 191–192
deductive approach to gathering, rapport/relationship building and, 121, 122,
163–164, 166–167 123
from demotion records, 218 vision statement and, 191, 193
documenting, 161, 162–163 domino effect, 389
from firing records, 218 Dream Stage of appreciative inquiry coaching, 49
from focus group, 178–179, 179–181 driving forces, 316, 318, 406– 407
from high-performance organizations, dysfunctions of team, 220–222
159–160
from historical/extended documents, E
172–173
from incentive records, 219 electronic performance monitoring
inductive approach to gathering, 163, 164, (EPM), 209
165 emotional balance, 87, 90
from industries, related, 160 emotional intelligence (EI)
from local organizations, 160 assessment tool for rating, 97, 98–99
mining, 209–210 clusters, 87, 88
from observation, 173–174 competency, 86–87
occurring problems and, 161 defining, 86
from one-on-one interview, 174, 175–178, functions of, 86–88
179 overview, 75
from past performance records, 218 performance and, 75
from performance reviews, 219 relationship management and, 87, 95–97
from productivity records, 218 self-awareness and, 87–89, 87
from promotions records, 218–219 self-regulation and, 87, 90–92
qualitative, 262 social awareness and, 87, 92–95
quantitative, 262 training in high performance and,
sources of current crisis and, 161 85–86, 88
524  Index

Emotional Intelligence Competency-Based resources, 499–500

Training and Development, responsibility and, 213–214, 215
85– 86 sourcing power for high performance and,
empathy, 41, 87, 93, 100, 102, 128 190
employees as step in high-performance coaching/model,
coaching and, 5–6 37–38, 58, 59
high-performance coaching and, 56–57 values and, 215, 215
retention of, 14 vision and, 191–195, 215, 215
see also coachees see also performance standards
employment benefits, avoiding discussions about ethical guidelines, 63
during feedback, 42 evaluation/measurement, 157, see also specific
engagement type
Being and, state of, 129–131 evaluator role, 157, 158–159
coaching and employees, 5–6 exception, management by, 352
communication and, 129–130 excuses, avoiding making, 272–273
correction actions and employee, execution of solution, see solution, implementing
302–303, 304 executive coaching, 12
high-performance coaching and employee, expectations, explaining, 272
56–57 experience, 34, 36
as leadership quality, 100
environmental relations assessment (ERA), F
171–172, 179, 197–198
environmental scanning, 197–198 facts versus perceptions, 146–147, 161, 162–163
environments failure
organization, 147–148, 149 avoiding, 461
organizational assessment and, 148, 150–152 of change efforts, 328–330
organizational diagnosis and, 148, 150–152 as part of business/life, 462–463
performance and, 58, 147–149, 149 self-effectiveness and, assessing, 461–463
of trust/respect, 41 training and, not engaging in, 403
work, 148, 149 trying and, 461
envisioning the outcome Federal Food and Drug Administration Adverse
accountability and, 214, 215 Reporting System, 385
agreement about, practice for establishing, feedback
211–219, 215 absolute words and, avoiding, 273
areas making biggest difference in robust active listening and, 273
partnership with employees and, 211–214, analysis of performance gaps and, 270–274
215 bias and, avoiding, 273
Being and, state of, 190 casual conversation during, avoiding, 272
business case example, 227–231 to coachees, 40
culture and, 215, 215 coaching, 13
Doing and, state of, 190 employment benefits and, avoiding
environmental relations assessment and, discussions about during, 42
197–198 excuses and, avoiding, 272–273
importance of, 37–38 expectations and, explaining, 272
integrity and, 212–213, 215 generalizations and, avoiding, 273
leadership and, 211–212, 215 on inadequate performance, 271–273
mission and, 215, 215 performance, 207, 270–274
organization foundation and, supporting, 216 performance examples and, 272
overview, 107, 189–190 preparing/planning for, 271–274
partnership/alignment and, creating, 216–218 questions for, interviewer/interviewee,
process of, 196–198 275–277
questions for, asking powerful and effective, rapport/relationship building and, 273
222–224, 225–226 as step in high-performance coaching, 40
 Index  525

tips for conducting, 277 from coach’s perspective, 66–67, 66

why someone has poor performance, conditions for delivering effective, 41–42
avoiding discussion of during, 272 directive coaching in, 34–36, 34
financial perspective of performance, 199, 200, engagement of employees and, 56–57
306 environments affecting performance
financial success, 376 and, 58
firing records, 218 functions of, 12
Fishbone Diagram, 332–333, 333 internal factors and, 58
fit and match person and organization concept, by manager-as-coach, 36–41, 36, 69–70
116–117 model, 57–60, 57, 64–65, 65, 66
fixed mindset, 80 objectives, potential, 42–43
focus group, data from, 178–179, 179–181 performance conversations and, 44
force field analysis/diagram, 316–318, 317, process, 36–41, 36, 64–67, 65, 66
317–318, 408 self-evaluating, 482, 483, 484
forming stage of problem solving, 338, 338 steps in, 36–41, 36, 58–60, 59, 67, 67–68
front-end analysis, 254 structure of, 39–40
functional approach to problem-solving model, training and, 12, 60, 85–86
337–338, 339 see also specific step in
future negative performance gap, 242, 244 High-Performance Coaching Model
future neutral performance gap, 242, 244 effectiveness of, 58
future performance desired, see envisioning the environments and, considering, 58
outcome internal factors and, attention to, 58
future positive performance gap, 242, 244 overview, 57–58
future time period performance gaps, 242, steps in, 58–60, 59, 64–65, 65, 66
243–244 see also specific step in
High-Performance Improve Process Model,
G 156–159, 157, 253–254
high-performance management practice,
generalization, avoiding, 273 questions as, 224, 225–226
Gilbert’s Behavior Engineering Model (BEM), high-performance organizations, 16–17, 17,
260–261 159–160
Gilbert’s performance matrix, 259–260 high-performance work teams (HPWTs), 12
Gilbert’s three stages of analysis, 258–259 historical/extended documents, data from,
goals 172–173
developing, 63 Human Performance Enhancement (HPE)
selecting strategies for closing performance approach/practitioner, 60, 163–164, 172,
gaps and, impact on, 375–376, 377 259, 263
values versus, 153 Human Performance Improvement (HPI)
great place to work model, 170, 179 approach/practitioner, 60, 156–159, 157,
growth and learning perspective of 172, 199, 254, 259, 263
performance, 199, 200, 306 Human Resources Development (HRD), 1, 14,
growth mindset, 80 172–173
guidelines, ethical/professional, 63, 164
I
H
ICF Global Coaching Client Study (2020), 6
happiness, 45– 46 idea generation, 356–358,
hard skills, 119 see also brainstorming
high-performance coaching importance of performance gaps, identifying
assessment tool, 67, 67–68 assessor competency and, 318, 319–320,
candidates for, 60–63 320
change agent and, 60 brainstorming session and, 314, 315
coach-coachees relationship and, 11, 68–69 business case example, 320–321
526  Index

critical success factors and, 306, 308–312, intervention specialist role, 157, 158
312–314 interview, data from one-on-one, 174, 175–178,
deciding on, 292–293, 298 179
force field analysis/diagram and, 316–318, interview process for uncovering the reality of
317, 317–318 relationships, 131, 134–135, 135–138, 138,
nominal group technique and, 315–316, 315 138–139, 140
overview, 237, 291–292 intrapersonal skills, 87, 89–90
performance in measuring, 301–305, 301 Ishikawa Diagram, 332–333, 333
project research and, 293, 294–297, 298 issue/need at hand, recognizing
qualitative measures of, 298, 298–301, 301 analysis methods, 181–182
quantitative measures of, 298, 298–301, 301 business case example, 167–184
resources, 502–504 change intervention and, evidence for,
as step in high-performance coaching/model, 159–161
58, 59 data collection’s role in, critical, 172
strategic objectives in measuring, 301–305, deductive approach to gathering data and,
301, 304 163–164, 166–167
inaction damages, determining diagnostic models for, 169–172
business case example, 411–413 documenting information and, 161, 162–163
competency of performance coach and, 411 environmental relations assessment for,
considerations in, 405–407, 405–406, 407, 408 171–172, 179
Doing and, state of, 401–402 environments affecting performance and,
examples of, 408–411 147–149, 149
importance of, 404–405 facts versus perceptions and, 146–147, 161,
meaning of, 402–404 162–163
overview, 401–402 great place to work model for, 170, 179
resources, 511–512 High Performance Improve Process Model
return on investment and, 401–402 and, 156–159, 157
scenario planning and, 406, 407 importance of, 37
inattention to results, 221 individual choice and, 149, 152–156
incentive records, 219 individual and group behavior model for, 170
individual inductive approach to gathering data and,
choice, 149, 152–156 163, 164, 165
happiness, 45–46 overview, 107, 145
interests, 152–153 presenting findings and, 183–184
performance assessment, 257 qualitative analysis and, 182
performance level, 253, 254 quantitative analysis and, 182
individual and group behavior model, 170 resources, 497–499
induction/inductive approach, 163, 164, 165 as step in high-performance coaching/model,
innovation, 100, 359 37, 58, 59
insights, 464, 465 SWOT analysis for, 171, 179 
instruments supporting solution implementation,
419– 420
integrity, 87, 91, 212–213, 215, 215 J
intent, avoiding focus on, 272
job analysis, 250, 253
interest in others, 130
job performance, see performance
interests, individual, 152–153
judgmental questions, 223
internal perspective of performance, 199, 200, 305
jumping to conclusions, avoiding, 350
International Coaching Federation (ICF), 4, 6, 8,
62, 97
International Society for Performance K
Improvement study, 7
interpersonal skills, 87, 96 key performance indicators (KPIs), 199–200, 199,
intervention, see solution implementation 266, 301, 376
 Index  527

Key Results Areas (KRAs), see critical success leadership qualities of, 99–100, 101, 102
factors (CSFs) monthly discipline of coaching, self-rating for,
Kirkpatrick model, 437– 438 481–482, 484
Kitty Genovese criminal case, 403 paradoxical issue of, 69
knowledge/knowledge categories, 34, 35, 119 question about, 69–70
knowledge, skills, and abilities, 454– 457, 455 top ten coaching processes, self-rating for,
knowledge, skills, attitudes, and behaviors 476–481, 484
(KSABs), 86, 118, 255 managerial coaching, 12–14, 99–100, 101, 102
managerial skills, 13, see also competency
market analysis, 257
L market success, 376
mentoring, 97
laches concept, 403– 404
mind mapping
leadership
closing performance gaps and, 356
authority versus, 211–212
consequences of closing performance gaps
Being and, state of, 191–192
and, anticipating, 388–390, 391
competency, 451–454, 452
root cause analysis and, 332, 334, 335, 335,
development, 13
336, 336
envisioning the outcome and, 211–212, 215, 215
mindset
organization values and, 117
defining, 79–80
qualities, 99–100, 101, 102
in Directive Coach’s Assets Wheels, 34, 35
leading questions, 223–224
Einstein’s view of, 79
learning
fi xed, 80
continuous, 102
formation of, 79
growth and, 376
growth, 80
opportunities, designing, 63
overview, 1–2, 75
level of analysis, 253, 254
positive, 38
Likert Five-Level Response format, 21
relationship among attitude/behavior/
listening skills, 38, 61– 62, 94, 273
performance and, 77–78, 78
resources, 494–495
M as step in high-performance coaching,
establishing, 38
Mager and Pipe’s Model, 261 types of, 79–80
management see also attitude
attitude of, 41 mission statement, 191–192, 192, 195, 195
change, 157–158, 157 multiple perspectives, 94–95
coaching in, 12–14, 99–100, 101, 102 multiple questions, 224
competency, 451–454, 452 multisource feedback, 13
conflict, 87, 95–96
Doing and, state of, 191–192
by exception, 352 N
relationship, 87, 95–97
skills, 13 needs assessment, 39, 254, 263–264
strengths-based, 354 negative performance gaps, 242, 243–244,
supply, 257 350–352
manager-as-coach neutral performance gaps, 242, 243–244, 350,
analysis of performance gap and, questions 352–353
for and by, 275–277 nominal group technique (NGT), 283, 283,
Being, state of, 121–123, 122 315–316, 315, 356
defining, 69 nondirective coaching, 18–19, 20
effective, 69 Non-Disclosure and Confidentiality agreement,
high-performance coaching by, 36–41, 36, 179
69–70 norming stage of problem solving, 338, 338
528  Index

O growth and learning perspective of, 199, 200,

306
objectives, emphasizing work-related, 42 importance of performance gaps and,
observation, data from, 173–174 measuring, 301–305, 301
occupation performance level, 253, 254 individual assessment of, 257
omission, sin of, 403 individual level, 253, 254
one-on-one interview, data from, 174, 175–178 internal perspective of, 199, 200, 305
open-ended analysis, 254–255 matrix (Gilbert), 259–260
operational level of criteria, 203, 203 measuring actual, 206, 208–211
operational practices, 466– 468, 469 metrics, 244–245, 246–249, 282–284, 283
operational promises, 464– 466, 467 occupation level, 253, 254
operational success, 376 organizational assessment and, 148, 150–152
organization organizational diagnosis and, 148, 150–152
assessment of, 148, 150–152 organization level, 253, 254
commitment of, 76, 216–217 outcome for measuring, 81–84, 83–84
culture of, 115–116 overview, 1–2, 75
diagnosis, 148, 150–152 past data on, 218
environment, 147–148, 149 perspectives of, 199–200, 199, 305–306
foundation of, 216 problems, 328
performance level, 253, 254 rapport and, 37
values of, 114–117 relationship among mindset/attitude/behavior
Organization Development (OD), 1, 46, 60, 86, and, 77–78, 78
122 required, 265, 265
outcomes as performance measurement, 81– 84, resources, 494–495
83– 84 reviews, 219
sales, 76, 257
team assessment of, 257
P training and, 9
performance analysis, 250, 254, see also analysis
Pareto Chart, 341–342, 342 of performance gaps
partnership, creating, 216–218 performance assessment meeting, 44
pathognomic signs, 327 performance coach competency
patience, 61 causes of performance gaps and, identifying,
pause and consider action, 351 342–343
payback method, 375 closing performance gaps and, 362–363
peer coaching, 11 consequences of closing performance gaps
people component of business, 264–265 and, 394
perceptions versus facts, 146–147, 161, 162–163 inaction damages and, determining, 411
performance personal skills needed for, 60–61
artificial intelligence in measuring, 209–211 selecting strategies for closing performance
assessment, 157, 257 gaps, 378–379
behavior for measuring, 81–84, 83–84 self-evaluation of, 473–475
Big Data in measuring, 208–209 successful implementation of solution and,
coaching and, 76 evaluating, 436–437
coaching culture, 41 see also competency
critical incident worksheet and, 84, 85 performance coaching
customer perspective of, 199–200, 199, 305 awareness of coachees and, 63
defining, 31–32, 33, 81 benefits of, 43
elements of, 32, 33 best practices, 420, 423–425
emotional intelligence and, 75 competitiveness of business and, 70
environments and, 58, 147–149, 149 conditions for effective, 41–42
feedback, 207, 270–274 defining, 32–33
financial perspective of, 199, 200, 306 functions of, 9–10
 Index  529

importance of, 33 personal values, 154

objectives, potential, 42–43 planning for performance gaps, 65
overview, 1–2, 31 Poetic Principle, 47
performance consulting versus, 8–10 positive influence, 95, 99, 329
reality versus interpretations and, 61 positive performance gap, 242–244, 242, 350,
resources, 491–493 353–355
structure for, providing, 39–40 Positive Principle, 47
successful implementation of solution and, positive psychology coaching, 39, 44– 46
evaluating, 432, 433–434 positive questions, asking, 50
see also high-performance coaching positivity, 44– 46, 50, 87, 91–92, 126
performance consulting, 8 –10 prescriptive approach to problem-solving model,
performance conversations 337, 339–340, 340
benefits of, 51–52 presenting problems, 331–332
defining, 43–44 present negative performance gap, 242, 243
elements of framework, 50, 51–52 present neutral performance gap, 242, 243
in negative performance gap, 351–352 present positive performance gap, 242–243, 242
in neutral performance gap, 353 present time performance gaps, 242–243, 242
performance assessment meeting versus, 44 problem solving
in positive performance gap, 354–355 competency, 96
postponing, avoiding, 271 as leadership quality, 99
purpose of, 51–52 partnership and, 218–220
reflection, 50, 53–55 rational, 337, 339–340, 340
virtual, 358 stages, 338
performance examples, presenting, 272 problem-solving model
performance gaps, 168, 237, 240–241, see also approaches to, 337–342, 338, 339, 340
analysis of performance gaps; causes of descriptive approach to, 337–338, 338
performance gaps, identifying; closing functional approach to, 337–338, 339
performance gaps; importance of importance of, 332
performance gaps, identifying perspectives of, 337
performance management prescriptive approach to, 337, 339–342, 340
business plan/strategy and, 56 product assessment/introduction, 255, 257
defining, 52, 55 productive questions, 223
employee involvement/engagement and, 56–57 productivity and coaching, 5 – 6, 76
functions of, 52, 56 productivity gaps, 255
workplace systems/technology and, 56 productivity records, 218
performance standards professional coaching, 10–13
adjusting, 205–208, 205, 208 professional guidelines, 164
assessing individual/team, 207, 208 professionalism, 127, 214
best industry practices, 200, 201, 202 professional standards, 63
criteria, 202–203, 203, 204–205 professional values, 155
critical thinking process in, 219–220 prognostic signs, 327
developments in, assessing needs for further, progress, tracking/evaluating, 39– 40, 63,
207 279–281
establishing, 206 project research, 293, 294–297, 298
explaining/educating about, 206 promotions records, 218–219
function of, 198–199 proximal solution, 326
key performance indicators, 199–200, 199 psychological needs, basic, 112–114
performance comparison with, 206–207
reviewing, 205–208, 205, 208 Q
performing stage of problem solving, 338, 338
personal coaching, 10–11 qualitative analysis, 182
personal happiness, 45 qualitative data, 262
personal responsibility, 61 qualitative measures, 298, 298–301, 301
530  Index

quantitative analysis, 182 recording feedback meetings, 272

quantitative data, 262 redirection, 40
quantitative measures, 298, 298–301, 301 relatedness, 111–112, see also rapport/
questions relationship building
as high-performance management practice, relationship management, 87, 95–97
224, 225–226 relationships, see rapport/relationship building
judgmental, 223 relevant questions, 223
leading, 223–224 respect, 41, 99, 127–128
multiple, 224 responsibility, 61, 87, 91, 213–215, 215
positive, asking, 50 restraining forces, 316, 318, 341, 406
powerful, asking, 62, 222–224, 225–226 retention of employees, 14
productive, 223 return on investment (ROI)
relevant, 223 calculating, 375
skills for asking, 255  of coaching, 6–7
inaction damages and, 401–402
R selecting strategies for closing performance
gaps and, 368, 375
rapport, defining, 37, 110–111 successful implementation of solution and,
rapport/relationship building evaluating, 428
Being state of manager/coach and, 120–123, with training, 375, 401, 428
122, 125, 132–133 rewarding coachees’ progress, 40– 41
business case example, 123–140 robust root cause analysis, 332
competency coach and, 117–120, 120 root cause analysis
Doing state of manager/coach and, 121, cause and effect analysis, 332–333, 333
122, 123 Fishbone Diagrams, 332–333, 333
feedback and, 273 mind mapping, 332, 334, 335, 335, 336, 336
fit and match person and organization overview, 331–332
concept and, 116–117 problem-solving model, 332, 336–342, 339,
importance of, 37, 68–69 340
organizational culture and, 115–116 real-time, 332
organization values and, 114–117 robust, 332
overview, 107, 109–110 symptoms versus, looking at, 331–332, 332
partnership/alignment and, creating, 216 Rummler and Brache model, 258
performance coaching success and, 37
psychological needs and, 112–114
quality relationships and, 109 S
rapport definition and, 37, 110–111
re-establishing relationship and, 272 sales increase and coaching, 76
resources, 496–497 sales performance, 76, 257
as step in high-performance coaching, 37 scenario planning, 390–391, 391, 406, 407
synchrony and, 113–114 self-assessment, 87, 89
training and, 117, 119–120 self-awareness, 87– 89, 87
understanding, 273 self-confidence, 87, 89
rational problem solving, 337, 339–340, 340 self-control, 87, 89
reality of relationships, interview process for Self-Determination Theory (SDT), 112–113
uncovering, 131, 134–135, 135–138, 138, self-effectiveness, assessing
138–139, 140 Being, state of, 458–461, 458
reality versus interpretations, 61, 100 coachees’ values and, 444–451, 446
realizations, 464, 465 coaching session evaluation form, 483, 484
real-time root cause analysis, 332 competency/skills evaluation, 473–475
recognizing coachees’ progress, 40– 41 failure and, 461–463
recognizing issue/need, see issue/need at hand, knowledge, skills, and abilities, 454–457, 455
recognizing leadership competency, 451–454, 452
 Index  531

management competency, 451–454, 452 as step in high-performance coaching/model,

monthly discipline of coach-as-manager, self- 59, 60
rating, 481–482, 482, 484 Whole Systems Transformational Change and,
overview, 441, 443 419
resources, 515–517 see also successful implementation of
review of, 485–486 solution, evaluating
as step in high-performance coaching/model, solutions to performance gaps, see solutions,
59, 60 implementing; strategies for closing
top ten coaching processes for coach-as- performance gaps, selecting; successful
manager, self-rating, 476–481, 484 implementation of solution, evaluating
weekly values/practices, 468–471, 472 spider web effect, 384
see also Self-Management and Maintaining storming stage of problem solving, 338,
List (SMML) 338
self-fulfilling prophecy, 146 strategic objectives in measuring importance of
Self-Managing and Maintaining List (SMML) performance gaps, 301–305, 301, 304
insights/realizations, 464, 465 strategies for closing performance gaps, selecting
operational practices, 466–468, 469 balance between cost and speed and, 374,
operational promises, 464–466, 467 374
purpose of, 464 business case example, 379–380
self-realization, 122 competency of performance coach and,
self-regulation, 87, 90–92 378–379
sensitivity, 127 considerations, 370, 371
side effects, understanding/anticipating, financial success and, 376
383–386, 387, 388–391 goals and, impact on, 375–376, 377
signs, 326–328 implementation likelihood and, 372,
Simultaneity Principle, 47 373
sin of omission, 403 importance of, 369–370
skills, 118–119, see also competency; learning and growth and, 376
specific type market success and, 376
skillset, 118–119 meaning of, 368–369
social awareness, 87, 92–95 measurable results likelihood and, 372–374
social values, 154 methods of closing performance gaps and,
soft skills, 118–119 examining, 372–376,
solitary analysis method, 245 373
solution analysis, 347, see also closing operational success and, 376
performance gaps; consequences of overview, 347, 367–368
closing performance gaps, reflecting on; popular strategies and, 372
strategies for closing performance gaps, resources, 507–509
selecting return on investment and, 368, 375
solution, implementing as step in high-performance coaching/model,
coaching projects and, managing across, 59, 59
418–419 targets and, tracking, 376, 377
competency of performance coach and, 420 worksheet for, 377, 378
considerations in, 416, 417 strength-based coaching, 39
corporate culture and, 420 strengths-based management, 354
examples of, 418 successful implementation of solution, evaluating
importance of, 417 approach to, 429–430, 431–432, 432,
instruments supporting and, 419–420 433–434, 434–435
likelihood of, 372, 373 business case example, 437–438
meaning of, 416 coachee’s perspective, 430, 431–432
overview, 399, 415–416 coach’s perspective of, 432, 433–434
project management methods and, 418 evaluation step by step, 429–430
resources, 512–513 examples of, 435–436
532  Index

importance of, 428 as intervention, 120

issue being evaluated and, 434 for managerial skills, 13–14
meaning of, 428 medical, 327
overview, 399, 427 money spent on, 70
performance coach competency and, past, evidence from, 160
436–437 performance and, 9
person being evaluated and, 430, performance gaps and, 168
431–432, 432, 433–434 for professionalism, 214
resources, 513–515 rapport/relationship building and, 117,
results of evaluation and, 434–435 119–120
return on investment and, 428 return on investment with, 375, 401, 428
supply management, 257 as solution, 10, 361, 375
survey of coaching effectiveness Training and Development (T&D), 1, 56–57, 57,
Likert Five-Level Response formant and, 21 184, 206, 304
overview, 20 transparency, 100
participant selection criteria, 21 trust, 41, 62, 87, 96, 220
research questions, 21
results, 22–26, 22, 23, 24, 25
survey statements, 21
U
SWOT analysis, 171, 179 ultimate level of criteria, 202–203, 203
symptoms, 326–328
synchronization, 113–114
synthesis, 255 V
systems component of business, 264–265
values
for coachees, 444–451, 446
T cultural, 154–155
decision-makers’, 161
talent development, 14 determining, 155–156, 156
team envisioning the outcome and, 215, 215
building, 12, 87, 96 goals versus, 153
coaching, 11–12 leadership role in, 117
dysfunctions, 220–222 mission statement and, 195, 195
high-performance work, 12 organization, 114–117
performance assessment, 257 personal, 154
problem-solving approaches, 337–342, 338, professional, 155
339, 340 selecting, 153–154
360-degree feedback, 13 social, 154
tracking/managing progress, 39– 40 types of, 154–155
training vision statement and, 195, 195
appreciative inquiry coaching and, 46 weekly practices of, evaluating, 468–471, 472
benchmark for, 97–98, 98–99 virtual idea generation, 357
for coaching, 97 vision
coaching combined with, 6 characteristics of, 192–195
competency/knowledge and, accruing, 120, 120 connection to, understanding individuals’/
debate about, 403 teams’, 195, 196
defining, 119–120 defining, 191
emotional intelligence and high-performance, envisioning the outcome and, 191–195, 215, 215
85–86, 88 of happiness, Seligman’s, 45
evaluating, 437–438 mission versus, 191–192, 192, 195
failure to engage in, 403 statement, 191–193, 192, 195, 195
high-performance coaching and, 12, 60, see also envisioning the outcome
85–86 vital signs, 327
 Index  533

W work, 148, 149

work environment, 148, 149
what is happening, see issue/need at hand, work environment analytic, 255
recognizing workers, 148, 149
what should be happening, see envisioning the workforce education, 14
outcome Workplace Learning & Performance
Whole Systems Transformation Change (WSTC), 419 (WLP), 1
wicked problem, 334 workplace systems/technology, 56