Dear Colleague,

We are delighted to have you as part of the program on “Conducting Powerful Performance
Reviews”. This program is considered as the FIRST STEP into the world of developing yourself
into a great people manager. This program will provide you with tools to conduct powerful
performance reviews. It will also help you understand the criticality of your role as someone
handling the most sensitive and important resource in an organization – People.

Today’s session is an Instructor Led Training program where you will be given inputs on how to
understand the various aspects involved in conducting performance review/appraisals.

Post training steps would include forming of an online-learning community and sharing job aids
with you that will make implementing what you have learnt easier for you.

This handbook will act as an excellent reference material for you to abreast yourself of the
various tenets of performance review skills from time to time.

I sincerely hope that you would find today’s program very useful, insightful and exciting.

Yours sincerely,

Manish Kharbanda, CHRO

MTS India

Program Code: OM011.03 ©SSTL Page 2 of 46

 CONFIDENTIALITY NOTICE

This material is the property of SSTL.

This material cannot be reproduced, in whole or in part, in any form or medium now known
or hereafter invented or created (to create a new program or otherwise) without the written
consent of CHRO, SSTL. Any violation of this shall be considered a misuse of SSTL Intellectual
Property.

Program Code: OM011.03 ©SSTL Page 3 of 46

 HOW TO USE THIS BOOK

This Participant Manual has been designed to assist you with the program on “Conducting
Powerful Performance Reviews”. Feel free to write notes in the margins or spaces provided
throughout this book. This book has been designed to serve as a guide / reference material for
your future requirements.

All information provided in this book is for understanding and developing skills on how to
conduct powerful Performance Reviews for your team now and in the future. Various
concepts, materials, exercises, assignments, activities and definitions of terms and jargons have
been added for better understanding of the program.

The word participant or learner has been used interchangeably to indicate someone who is
attending the workshop.

Self-assessments have been added to help participants get a feel of their skill sets.

Program Code: OM011.03 ©SSTL Page 4 of 46

 THE LEARNING METHODOLOGY

The learning methodology includes:

1. ILT – Instructor Led Training

2. Observations and Introspection
3. Experiential Learning
4. Practice Sessions
5. Workouts and exercises
6. Evaluations to check learning
7. Tools and Job Aids

Program Code: OM011.03 ©SSTL Page 5 of 46

 CONTENTS

S.No. MODULE SESSION

MTS Competencies to Development 1. Competency to Development Need

1 Need Identification Identification

1. Understanding the 7 step appraisal

process
Communicating for Performance
2 2. Understanding the first 3 steps of the
7 step process

1. Describe
Performance/Behaviors/Results

Unlocking Barriers to Performance 2. Invite Analysis and Feedback

3
3. Give Impact/Influencing statements

4. Action Planning

Program Code: OM011.03 ©SSTL Page 6 of 46

 VALUES AND COMPETENCY CONNECT WITH PROGRAM

Values Competency Competency Proficiency Level -

Behavior Threshold
addressed
by program
Conceptual Thinking KSA II

Action Oriented A II
Inspiration to
be a doer Team Leadership KSA II

Building Capability KSA II

Delivering Customer Centricity SA II

Excellence
Entrepreneurial Conceptual Thinking KSA II
Spirit
Team Leadership KSA II
Mutuality
Building Capability KSA II

Program Code: OM011.03 ©SSTL Page 7 of 46

 Program Input – Learning Goals Session(s) in the program addressing this

Realizing the value of Timely & Well structured Module 2 Session 1:

review in enhancing People Engagement,
Performance and Development Intro to 7 step performance review/appraisal model

Value of Preparation, Data Collation and Module 2 Session 2:

Transparency driven Objectivity in effectiveness of Components of Performance review/appraisal
Review meetings Framework (Prepare, State Clear Agenda,)

Module 3 Session 3:
Learning to provide comprehensive feedback across
Components of Performance review/appraisal
issues of Performance, Competencies, Behaviors
Framework
and Development needs
(Give Impact/Influencing Statement)

Module 3 Session 1/Session 2:

Learning the art & science of Fair, Objective and Components of Performance review/appraisal
Constructive Feedback both ways Framework (Describe Performance, Behavior, Result,
Invite Analysis and Feedback)

Module 3 Session 4:

Creating a buy-in, agreed closure and trackable plan Components of Performance review/appraisal
out of Review & Feedback meetings Framework

(Action Planning)

Module 4 Session 4:
Learning to track post review progress and using the
Components of Performance review/appraisal
same to enhance Performance, Engagement &
Framework
Development
(Action Planning)

Program Code: OM011.03 ©SSTL Page 8 of 46

 OBJECTIVES OF THE PROGRAM

- Conduct prepared, scientific and well structures reviews

- Create individual development plans based on organizational competencies
- Create a buy-in on trackable action plans on the basis of developmental
feedback to improve performance and engagement

Program Code: OM011.03 ©SSTL Page 9 of 46

 YOUR EXPECTATIONS FROM THE SESSION

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Program Code: OM011.03 ©SSTL Page 10 of 46

 MY LEARNING DIARY

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Program Code: OM011.03 ©SSTL Page 11 of 46

 MY LEARNING DIARY

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Program Code: OM011.03 ©SSTL Page 12 of 46

 MODULE 1: MTS Competencies to Development Need Identification

Session: Competency to Development Need Identification

Program Code: OM011.03 ©SSTL Page 13 of 46

 COMPETENCY TO DEVELOPMENT NEED IDENTIFICATION

Competency based DNI

Situation 1

There is a Sales Manager in your circle who is very good at acquiring customers and meeting his
targets.

But his senior is always miffed at his inability to provide monthly sales reports in a segment
wise basis. What is more, he (the manager) also seems to achieve his targets on a very random
basis. In the process, his segment wise achievements seem to fall short in certain important
segments of the market.

His senior has taken up this issue with him a number of times in the last year, as a result of
which improvement does happen for a month but then things slip back to the usual. The
damage this situation is doing to the business in this manager’s territory is that by the time his
senior sensitizes him to the neglect in achieving and presenting segmentwise acquisition
results, a month or so is already passed. Thereafter, by the time this manager tightens his own
team of inhouse and channel sales people, more than two months pass before any serious
segment focus begins to happen. This is resulting into lost opportunities in the market. The
funny thing is that the overall targets are always achieved or exceeded by this manager.

Now, as the L&D Head of your Circle, you have to find answers to the following questions
before you offer a Development solution to this manager’s senior:

Questions

1. Looking at the MTS Competency Framework, which Competency or Competencies need

development in this situation? Specifically, which KSAs out of these competencies need to
be addressed and to what level of proficiency?

2. What Development Plan or Approach would you recommend for this Manager, by choosing
the right mix of development options from the Development Approaches Pie-Chart?

Program Code: OM011.03 ©SSTL Page 14 of 46

 Competency based DNI

Situation 2

You have an interesting situation with a very competent Division level Network Tech. Support
Manager in your Circle. This manager is leading a team of in-house Tech. Support managers
who are then delivering their support through and in partnership with MTS Tech Support
Partners.

This manager’s senior has come to you with the critical issues he sees as the development
needs of this manager’s team and has even thought of a possible solution for it. He says t you
that he is really worried about this guy, because he is a long term asset for him. In this senior’s
eyes he is a very good technical and situational problem solver. But he is concerned that this
guy seems to be heading for a burnout because of work overload, as his team is really
incompetent. This senior so miffed with this manager’s team that he tells you about instances
when the entire tech support operation in this manager’s territory comes to a standstill when
he is absent for some reason ran, which is very rare.

He tells you to organize a Problem Solving based training programme for this manager team on
an urgent basis. But he says that he cannot spare them for more than a day.

Now, you need to develop the most effective DNI based solution for this situation. Do you think
what the senior is telling you is the right solution? Are there any more questions you need to
ask before concluding about the right solution here? To help you reach a good decision, here
are few guiding questions that you may ask yourself and maybe the senior also:

Questions

1. Looking at the MTS Competency Framework, which Competency or Competencies need

development in this situation? Specifically, which KSAs out of these competencies need to
be addressed and to what level of proficiency?

2. What Development Plan or Approach would you recommend for this Manager and his
team, by choosing the right mix of development options from the Development Approaches
Pie-Chart?

Program Code: OM011.03 ©SSTL Page 15 of 46

 Competency based DNI

Situation 3

Your Circle Finance Head approaches you for a training program need for his team. He says
that these people need to be trained on Process Orientation and Customer Service. You find
this a very interesting combination of training needs. So you decide to probe further. You ask
him as to what development needs would he like to be addressed through such a training.

He tells you that his team is essentially clearing a lot of expense statements on a daily basis and
also filing in a lot of requisite formats and MIS reports. He says that he has been hearing from a
lot of internal customers that his team is slow in responding to their needs, both in terms of
payment clearances for field level and other managers, as well as in terms of delays and
inaccuracy in filing the required requisition formats and MIS reports at his level and even
higher.

Based on this, he says that he needs to provide a comprehensive training to these people on
Process Oriented work that leads to better compliance and also Service Oriented work that
leads to improved response to internal customers. He goes on to add that possibly a lot of
delays in his team’s clearing of payments is also possibly happening due to their not adhering to
the process requirements right from the start of taking any requisitions, so he feels that
possibly there is a connect between the two needs anyway.

You really admire the insightfulness and bandwidth of thinking of your Finance Head and ask
for some days to come back to him with the right solution. Now how would you approach this
situation? Do you agree with his assessment entirely or partly? To help you develop the most
optimum solution in this situation, here are a few questions to be asked?

Questions

1. Looking at the MTS Competency Framework, which Competency or Competencies need

development in this situation? Specifically, which KSAs out of these competencies need to
be addressed and to what level of proficiency?

2. What Development Plan or Approach would you recommend for this Manager and his
team, by choosing the right mix of development options from the Development Approaches
Pie-Chart?

Program Code: OM011.03 ©SSTL Page 16 of 46

 MODULE 2: Communicating for Performance

Session 1: Understanding the 7-step process

Session 2: Understanding 3 steps of the 7-step process

Program Code: OM011.03 ©SSTL Page 17 of 46

 7 STEP PERFORMANCE REVIEW MODEL

1. Prepare

7. Action 2. Set
planning Climate

6.
Impact/Infl 3. State
uencing Agenda
statements

5. Invite
4. Describe
analysis
performanc
and
e/behavior/
receiving
results
feedback

Program Code: OM011.03 ©SSTL Page 18 of 46

 APPLYING THE 7-STEP PERFORMANCE REVIEW/APPRAISALS PROCESS

STEP 1: PREPARE

Preparation Checklist

1. Determine objectives of the review 4. Think about what to say & how to say it
session
 How will I start the discussion?
 What am I trying to accomplish?
 How will I engage the Team member?

 How will I deliver the feedback?

2. Describe the situation & impact 5. Anticipate & plan for reactions

 What’s the situation?  What might the Team member’s

reaction(s) be?
 What could be the underlying
causes?  What would your response be to each
reaction?
 Who are the stakeholders?

 What’s the impact on the

organization, customers, and
team?

 What values and competencies

have been impacted and how?

3. Gather the facts
 What information do I have?
 Who should I speak to?
 What questions should I ask?
6. Decide when to talk to the Team member (find
a mutually convenient time)
 When and where would be the best
time to discuss this with the Team
member?

 What information do I need to  What steps do you need to take to

validate the situation? ensure an appropriate time and
location?

Program Code: OM011.03 ©SSTL Page 19 of 46

 Formal Session

Agree on timing—schedule a time to meet Be flexible—turn a question or complaint into

and a length of session that suits both parties an opportunity for spontaneous
coaching/review

Allow sufficient time—overestimate the time Be clear—make clear how much time you have
required for the meeting and make at the outset of a session
allowances for the unexpected

Schedule ahead—schedule follow-up Decide the venue—book a time and place for
meetings in advance (if necessary, book two the meeting to review performance and take
meetings because Team member’s availability additional action if necessary
may be limited)

Program Code: OM011.03 ©SSTL Page 20 of 46

 Form for conducting effective reviews/appraisals

STEP 1: PREPARE

Instructions

Refer to the performance review opportunity you have identified for your lowest performing
Team member. This exercise will be completed on your own. To maintain confidentiality, this
worksheet will not be shared with the group.

1. Describe the situation

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

2. List all the stakeholders. A stakeholder is defined as “one who has a share or an interest
in an enterprise.”

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

3. What is the desired outcome and why?

___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________

Program Code: OM011.03 ©SSTL Page 21 of 46

 4. List the data sources and the information important to consider.

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

Program Code: OM011.03 ©SSTL Page 22 of 46

 STEP 2: SET INVITING CLIMATE

1. Have a positive tone

 What is the appropriate tone that I can use to convey warmth?

2. Invite the Team member in a pleasant way

 What small talk can I use?
 What are the verbal and non-verbal cues I can use to convey warmth?

3. Maintain a favourable environment

 What is the medium I’m going to use- face to face or telephone?
 How do I ensure no interruptions during the meeting?
 Should the coaching session be formal or informal session?

4. Make Team member feel comfortable

 How much time should I spend on making the Team member feel comfortable?
 How much time does the Team member have on hand for the meeting?
 Have I communicated the time taken for the meeting to the Team member?

Example: Manager may start conversation with the following statements

“Hi. Have a seat. How are you? Do you want some water? How was last week for you?”
“Hello. You look tired. Tough day? Have some tea or coffee.”
“Hi. That’s a nice tie. Did you watch some movie in the weekend?”

Program Code: OM011.03 ©SSTL Page 23 of 46

 Form for conducting effective reviews/appraisals

STEP 2: SET THE CLIMATE

Instructions

Refer to the performance review opportunity you have identified for your lowest performing
Team member. This exercise will be completed on your own. To maintain confidentiality, this
worksheet will not be shared with the group.

1. How will you set the right physical climate?

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

2. What would you say to create a non-threatening environment?

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

Program Code: OM011.03 ©SSTL Page 24 of 46

 STEP 3: STATE CLEAR AGENDA

1. Outline the objective of conducting the conversation

 What is the overall/bigger objective I want to discuss with the Team member?
 What are some of the alternative ways of wording the objective?
 How will I respond if the Team member has not understood the objective?

2. Outline a neutral agenda

 What words can suggest neutrality? Are there any words that suggest
otherwise?
 What is the appropriate length of the agenda to be told to the Team member to
hold his/her interest?

3. Be specific and honest about why you asked for the meeting
 How much research have I done on the Team member performance?
 How will handle defensiveness from the Team member?
 What language and tone can I use to show honesty?

4. Remind agreement
 What is the voiced/unvoiced agreement between the company/Manager and
the Team member?
 Have I set agreements in my earlier conversations?
 What are the performance objectives and measurements?
 Are the performance objectives and measurements clearly understood and
communicated?

5. Request for the Team member's help

 How can I be proactive to get Team member to speak/detail his/her
performance?
 What questions can I ask Team member?

Example: When Manager would like to talk to Team member about late coming to office, he
may say “I would like to talk to you about office attendance for last month.”

When Manager wants to talk about lack of achievements of sales targets, he may say “I would
like to talk to you about improving revenues for MTS.”
When Manager wants to conduct performance review, he may say” I would like to talk to you
about your overall performance for the last quarter.”

Program Code: OM011.03 ©SSTL Page 25 of 46

 Form for conducting effective reviews/appraisals

STEP 3: STATE CLEAR AGENDA

Instructions

Refer to the performance review opportunity you have identified for your lowest performing
Team member. This exercise will be completed on your own. To maintain confidentiality, this
worksheet will not be shared with the group.

1. Write down the specific agenda statement for the situation chosen earlier? (Write at
least two alternate agenda statements)

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

Program Code: OM011.03 ©SSTL Page 26 of 46

 MODULE 3: Unlocking Barriers to Performance

Session 1: Describe Performance/Behaviors/Results

Session 2: Invite Analysis and Feedback
Session 3: Give Impact/Influencing statements
Session 4: Action Planning

Program Code: OM011.03 ©SSTL Page 27 of 46

 STEP 4: DESCRIBE PERFORMANCE/BEHAVIOR/RESULTS

1. Describe the deviation in performance/behavior/results

 What is the deviation done by the Team member?
 How can I make the deviation sound as crisp as possible?

2. If positive feedback, describe the adherence/overachieving to targets, process, behavior

 What are the accomplishments of the Team member?
 How can I make the accomplishments sound crisp?

3. Give facts not judgment

 What are the specific situations where Team member has demonstrated the
deviation/adherence to process/behavior/task?
 Do I have evidence of the Team member behavior/performance/results?

4. Quote specific situations where Team member has/has not demonstrated as per
agreement
 Have I recorded the situations?
 How do I handle objections from the Team member at this point?
 What objections may the Team member raise?

Example: “Despite our agreement on the goal to achieve X number of data activations in 2010, I
see that you have fallen short by 10%.”
First time defaulter: “It was agreed that we will reach the meetings on time, however last week
you reported late by more than 15 minutes for two meetings.”
“Despite reminders from Ms. Y, you have not responded back to her with status of her
connection activation.”

Program Code: OM011.03 ©SSTL Page 28 of 46

 Form for conducting effective reviews/appraisals

Step 4: Describe Performance/Behavior/Results

Instructions

Refer to the performance review opportunity you have identified for your lowest performing
Team member. This exercise will be completed on your own. To maintain confidentiality, this
worksheet will not be shared with the group.

1. Describe the performance/behaviour/results for your situation in a factual, non

judgmental manner.(remind agreement as well)

______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________

Program Code: OM011.03 ©SSTL Page 29 of 46

 STEP 5: INVITE ANALYSIS AND RECEIVING FEEDBACK

1. Ask questions to understand reasons for achievement/non achievement

 What questions should I ask?
 How many questions should I ask?

2. Allow time for response

 What is the appropriate time to wait?
 How do I handle long pauses?
 What cues can I use to enter the conversation if the Team member response is
stretched out?

3. Ask open ended questions and probe with specific probes if required
 How will I use the probing funnel structure?
 What are the different questions I can ask at different stages in the funnel
structure?

4. Ask for all possible reasons

 What questions can I ask to elicit other reasons?
 How will I know if the Team member has given all reasons?

Example: Following the funnel structure for non-achievement of targets

“What are the reasons for not achieving the gross activation target last year?”
“Why do you think your team member was able to achieve his targets?
“Let’s see the customers you contacted, on what basis did you prospect them?
“What script do you follow while speaking to the customer?
“Do you have any feedback for me?”
“Are there any other reasons you think is responsible for non-achievement of targets?”

LISTENING AND PROBING

Listening and Probing are important tools for a Manager to know and master because the
process of giving feedback to a Team member, the process of performance review requires you
to be able to understand the message and feeling that the Team member is communicating.
Manager needs to understand their concerns, probe to elicit information that will later help to
customize solutions for individual Team member.

What is listening?

Listening is an art, a skill, a discipline, and like other skills, it needs self-control. Manager
must understand what is involved in listening and develop the necessary techniques to listen.
Manager must ignore their own needs and concentrate attention on the person speaking.
Hearing becomes listening only when you pay attention to what is said and follow it very
closely.

Program Code: OM011.03 ©SSTL Page 30 of 46

 Difference between listening and hearing

Listening is an intellectual process while hearing is biological. It is a skill and like any other skill it
has to be learnt and practiced. Listening starts with an intention to listen. If you do not intend
to listen, there will be no listening; only hearing. You need to make up your mind and decide to
be a better listener.

Steps in the Listening Process

The steps are as follows:

Probing

Appropriate Probing Structure:

Program Code: OM011.03 ©SSTL Page 31 of 46

 • Use open-ended questions to "open up" a conversation and get full information.
• Open ended questions usually begin with statements like “Tell me about…” or
“Explain to me…”
• Open ended questions have unlimited answers.
• Use closed-ended questions to close in on one area and pin down specific facts or
details.
• Closed ended questions have specific answers and can be answered in ‘yes’ or ‘no’.

Examples of open-ended questions: “What happened? Why do you think it was not achieved?
Why do you think this idea will work? What is your plan for this?”

Examples of close-ended questions: “Did you inform the customer in advance ? Is the report
ready? Do you think you can do this?”

Probing Questions

• Probing questions are open- e n d e d questions with borders. They may have
several specific answers.
• Use probing questions when you want to dig a little deeper to identify the Team
member’s needs.
• Remember - if one probing question doesn't do the whole job, feel free to use
another. Use several probing questions, if necessary, to learn what you need to
know.

Examples of Probing questions: “What exactly did you find out about the customer?”

Program Code: OM011.03 ©SSTL Page 32 of 46

 Good Question

Type Example Advantages Disadvantages

Open “What are your Encourages Can produce too long a reply
How…? What…? views on your appraise to talk Can be too broad a question
Where…? performance in Can relax the
When…? Why…? the past year?” appraise
Which…? Prevents
appraiser from
revealing
prejudices
Comparative “Comparing this Helps appraise to Sets strict guidelines within
Comparing… How job to your last, focus and make which to answer
does… what are the comparisons May not be an appropriate
compare with…? differences?” Explores question
“How does the appraiser’s
way you manage attitude and
the section now feelings
compare with
how you did it six
months ago?”
Hypothetical “What if you were Encourages Can raise appraiser’s
What if…? in charge of the appraise to expectations if not relevant to
Imagine…? department; what explore the conversation
changes would alternatives
you make?” Useful if the
“Imagine you appraise tends to
were in my shoes; blame other
what would you people or
do?” situations for
their mistakes
Focused “That’s Gives the Can confine the appraise to a
That’s interesting interesting what appraiser more specific area Can appear
what you said you said about information on a aggressive and too probing
earlier, what feeling annoyed; particular issue
else…? what else did you Gives the
feel?” appraise
guidance on the
flow of questions

Program Code: OM011.03 ©SSTL Page 33 of 46

 Reflective “It seems you Shows that the If used too often, it can
It seems you were content to appraiser is interrupt the flow of the
were… let John take over listening conversation
on that occasion; Confirms
would that be information
right?” Confirms feelings

Link “Moving on to the Maintains the

Moving on… way in which you flow of questions
What…? handle
customers, what
would you say is
your main
strength?”

Closed “Did you take all Useful in small Can make the
Have you…? Did the recruitment amounts to check conversation sound like an
you…? Was it…? interviews during facts interrogation
the past year?” Confirms feelings Conversation becomes one-
Stops the appraise sided
giving lots of Can unnerve the appraise if
information not relaxed
Leading (Value) “You don’t really None! Puts words into appraiser’s
… Don’t you? believe that, do mouth
… Aren’t you? you?” The appraiser reveals personal
Wouldn’t you “You are enjoying opinions
agree that…? your current role, It is difficult to refute
aren’t you?”
Multiple “What are the None! Confusing
Many questions best things about People forget what has been
together your job and asked
would you
recommend
internal
promotion and
what are your
views on
training?”

Program Code: OM011.03 ©SSTL Page 34 of 46

 Receiving Feedback (Adapted from “The Power of Feedback” by Joseph R Folkman)

Feedback can be very powerful. Those who look for and accept it position themselves to be
more competent and capable. Those who resist, reject, or avoid it doom themselves to the
limitations of their own personal insights— which may be right or wrong, but they will never
know. They fail to see the power in feedback.

In an assessment looking at over 1,000 managers, we asked direct reports if their managers
actively looked for opportunities to get feedback. Only 16 percent of managers had consensus
from their teams that “actively looking for feedback” was a strength. Most people do not feel
they lack feedback from others on how they could improve their performance at work.

Folkman has suggested the following principles which can make us react to feedback received
from others in a more favourable manner, thus contributing towards our growth as leaders,
managers and individuals.

The process of giving thousands of people feedback on their individual performance has
uncovered several clear and defined principles of feedback that generally apply in most
interactions involving feedback. We begin by discussing each of those principles.

PRINCIPLE 1
Asking others for input increases their expectation that you will change in a positive way.

Many who receive feedback turn that feedback into measurable change. However, others
receiving feedback do not change. This frustrates not only those receiving the feedback, but
also those providing the feedback. This leads to a second principle.

PRINCIPLE 2
If you receive feedback but do not change for the better, you will be perceived more negatively
than if you had not received feedback.

You can compound your negative feedback by ignoring or rejecting it. When people receive
feedback, they react. Their reactions may range from extremely negative to extremely positive,
or there may be no visible reaction at all. Regardless of the reaction, a third principle emerges.

PRINCIPLE 3
You will not change what you do not believe needs to be changed.

A personal feedback experience is fundamentally different from looking at a production report

or an accounting statement. Even though someone may provide feedback in a way that leaves
no room for doubt or difficulty in understanding, this does not necessarily guarantee that
people will believe the feedback, or that they will act on it. Those who receive feedback and
then make changes or adjustments in their behavior become better people because of the
feedback. But there may be a few obstacles along the way including denial.

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 PRINCIPLE 4
Rather than accept criticism, we tend to denounce not only what is said, but those who say it.

As people move from childhood to adulthood, the maturation process makes us more effective
as adults than we were as children. However, because children have not had years of practice in

denial, most of them are much more effective at accepting feedback than adults. The extent to
which you have developed your denial skills determines the extent to which you accept
feedback or question its accuracy.

PRINCIPLE 5
All perceptions are real, at least to those who own them.

Experience suggests that the most productive approach to handle feedback is to assume they
are real. Even when perceptions are completely inaccurate, they still represent reality.

PRINCIPLE 6
Balancing your normal but counterproductive reactions to feedback is essential in effectively
dealing with feedback.

Balance is the key to effectively dealing with feedback. For example, you must be able to
balance between rationalization and taking feedback too literally. Effectively dealing with
feedback may require some rationalization, but it may also require you to take some results at
face value.
Those who deal most effectively with feedback are those who maintain a proper balance
between counterproductive behaviours. For most people, such balance is difficult to achieve.

PRINCIPLE 7
The process of change begins with accepting the feedback given.

Consider the following helpful ideas about how to look at feedback:

1. I enjoy feedback. I constantly look for ways to receive feedback, because of the learning
opportunities offered.

2. I know feedback is difficult to give, and it is often uncomfortable for others to provide.
Attacking those who provide feedback only prevents me from getting more feedback in the
future. I let others know their input is valuable. I appreciate the fact that other people took
the time, effort, and personal risk to provide feedback, even if I do not agree with it.

3. I would rather receive negative feedback than no feedback at all.

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 4. Feedback can be both positive and negative, but I first consider the positive to reinforce the
things I do well. I avoid dwelling on the negative and expecting the worst.

5. The only people who are truly incompetent are those who refuse to listen to and accept
feedback from others. No one is perfect, but those who come closest are those who
continually try to improve based on the feedback they receive from others.

6. Receiving negative feedback does not mean I am the worst person that ever lived. It only
means that someone cares enough to tell me how to improve. If we really dislike someone,
the last thing we would do is tell them how to improve.

7. I believe I can change and improve. Others expect me to do something in response to their
feedback, and I will find at least one thing I can do something about. I will make changes
and then report to those who provided the feedback about the things I have chosen not to
change and the areas I would like to change.

Form for conducting effective reviews/appraisals

STEP 5: INVITE ANALYSIS AND RECEIVE FEEDBACK

Instructions

Refer to the performance review opportunity you have identified for your lowest performing
Team member. This exercise will be completed on your own. To maintain confidentiality, this
worksheet will not be shared with the group.

1. Write questions to invite analysis and feedback for your chosen situation.

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 STEP 6: GIVE IMPACT/INFLUENCING STATEMENTS

1. Describe the behavior with specific instances pointed out

 While restating the behavior how can I not use the word ‘you’?

2. Describe the consequences of the behavior on the organization, department, Team

member and the Manager
 Have I constructed various consequences so that I am ready with multiple impact
statements?

3. Both positive and corrective feedback to be given

4. Let the Team member know how you feel as a result of the above mentioned
consequences
 Are my feelings specific or generic?

Example of Influencing Statement:

 “I know the hard work on this year’s budget, and for the first time we did not have cost
overruns. This has saved the company Rs. 20 lakh, you have shown yourself committed
to the top lines of the company, I am projected in good light and I am feeling elated”
 “I wanted to let you know that I appreciated the overtime devoted to getting it right.
This has ensured top quality on the project, customers are happy and I am glad that you
work with me”
 “The presence of my Team member at the leadership meeting has projected an executive
presence and good command of the audience. This projects your good facilitation skills,
my managerial ability to groom you and our company benefits from a potential young
leader. I am quite delighted about this development”

Example of Impact Statement:

 Since we have not achieved the HR recruitment targets for Div level in the last three
months consistently despite measures taken to improve your consultant database, this
shows your lack of persistence in achieving targets, projects our HR team in a poor light
in front of the rest of the organization and reflects poorly on my managerial capability
and I am feeling quite angry about this.”
 When my team member is consistently late in getting the last 4 activations despite
reminders, the customers have complained, you have lost business, MTS has been
projected as an irresponsible company, you portray poor time management skills and it
reflects poorly on my ability to manage you. I am very upset about this.”

Program Code: OM011.03 ©SSTL Page 38 of 46

 Form for conducting effective reviews/appraisals

STEP 6: GIVE IMPACT /INFLUENCING STATEMENTS

Instructions

Refer to the performance review situation that you have chosen for your lowest performing
Team member. This exercise will be completed on your own. To maintain confidentiality, this
worksheet will not be shared with the group.

1. Write two impact statements for your chosen situation.

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 STEP 7: ACTION PLANNING

1. Ask the Team member for ideas/ solutions

 What questions should I ask to generate solutions?
 How will I react if Team member asks me to generate solution?
 What should I do if the solution generated by the Team member is unreasonable
/impractical?

2. Agree on action
 How do I get Team member’s agreement on appropriate action steps?
 What can I check for see that action steps are specific and not general?

3. Offer your support

 What additional support/training is required?
 When in the conversation should I offer support?

4. Close the discussion

 What encouraging phrases can I use to close the discussion?

5. Ensure corrective action plans are documented

 What is the format for documenting action plans?
 Who will document?
 Does the document provide for time intervals to check progress?

6. Provide the support promised

 What steps are to be taken to execute the support items?
 Which departments do I have co-ordinate with for execution?

7. Check progress regularly

 How do I define regular intervals?
 Where will I check progress?
 Who will check and report progress?
 How is the progress to be documented?

8. Develop Team member

 What are the action steps to develop the Team member?

9. Recognize improvement
 What are the ways to felicitate improvement?
 Are parameters defined to capture improvement?

Example: Considering that your performance contributes to the revenues of this company, how
do you think you can improve on your performance?

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 Going forward to set an exemplary example in customer service, what steps would you want to
take?
Knowing that only hard work without requisite skills and knowledge is not going to promote
movement for you, what support or updating of skills/knowledge would you want?

Form for conducting effective reviews/appraisals

STEP 7: ACTION PLANNING

Instructions

Refer to the performance review situation that you have chosen for your lowest performing
Team member. Answer the following questions below. This exercise will be completed on your
own. To maintain confidentiality, this worksheet will not be shared with the group.

1. What is the intended goal for the Team member?

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2. What approach would you use to make an action plan?

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3. What are the key points you would want to see in the action plan?
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 INTEGRATED ROLE PLAY FORM

Step 1: Prepare

1. List the data sources and the information important to consider.

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Step 2: Set the Climate

1. How will you set the right physical climate?

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2. What would you say to create a non-threatening environment?

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 Step 3: State Clear Agenda

1. Write down the specific agenda statement for the situation? (Write at least two
alternate agenda statements)

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Step 4: Describe Performance/Behavior/Results

1. Describe the performance/behaviour/results for the situation in a factual, non

judgmental manner(remind agreement as well)

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 Step 5: Invite Analysis and Feedback

1. Write questions to invite analysis and feedback for the situation.

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Step 6: Impact Statement

1. Write two impact statements for the situation.

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 Step 7: Action Planning

1. What is the intended goal for the team member?

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___________________________________________________________________________

2. What approach would you use to make an action plan?

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3. What are the key points you would want to see in the action plan?
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 ACTION PLAN

Team member Name: _________________________ Date Reviewed: __/__/____

Area:

 Performance
 Behavior
 Development

Quarterly Goal:
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______________________________________________________________________________
______________________________________________________________________________

S.No. Input Activities Support Needed from To be Done by

others/Manager

Team member Signature: _______________________ Date: _____/_____/_____

Manager Signature: _____________________________ Date: _____/_____/____

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