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Ch. 9 - Preparing for the Performance Interview

- be careful of judging what you cannot measure
- training is essential for successful reviews. you must know how to create a genuine dialogue with the interviewee. be a good listener by not talking when the other wants to talk and by encouraging the employee to speak freely and openly. be an active listener by asking appropriate and tactful questions, not a passive listener who lets the other party talk with little guidance or support.
- avoid "why" questions that place the interviewee on the defensive bc they may intentionally or unintentionally communicate disapproval, disbelief or mistrust
- playing the role of evaluator reduce the two-way communication process and negatively effects your relationship.
- interviewees perceive interviewers who know how to handle performance-related information, assign goals, and give feedback to be equitable, accurate and clear during performance interviews, in other words to be credible.


Preparing for the Performance Interview:

Reviewing Rules, Laws, and Regulations

- there are no laws that address the performance review directly, but several EEO laws and guidelines pertain to the review process.
- you need to be keenly familiar with laws such as the following to avoid charges of unlawful practice during reviews: Title VII of the 1964 Civil Rights Act as emended, the Age Discrimination in Employment Act of 1967, and the Americans with Disabilities Act of 1990 that forbid discrimination based on age, race, color, gender, religion, national origin, and physical or mental impairments.
- all elements of the employment process are covered by civil rights laws and EEO guidelines, including hiring, training, compensating, promoting, transferring and discharging.
- be careful of assessing traits such as honesty, integrity, appearance, initiative, leadership, attitude, and loyalty that are difficult to rate objectively and fairly.
- using unreliable and unvalidated performance appraisal systems may cause serious legal problems bc personal preferences, prejudices, and first impressions may lead to intentionally inflating or deflating performance ratings to get even, punish employees or promote them to another department.
- laws do not require performance reviews, but ones conducted must be standardized in form and administration, measure work performance, and be applied equally to all employees.
- scholars warn that communication btwn "superiors" and "inferiors" in the review process leads to ritual forms of address that are guided by commonly understood cultural and social stereotypes, traditional etiquette and gender-specific rules.
- if this is so, do not be surprised if you violate EEO laws and guidelines. The American workforce is increasingly older, and age discrimination is becoming the most prominent area of litigation even though older workers perform better than younger workers.
- all supervisors who conduct performance reviews must receive a detailed written guidelines and instructions and be trained in conducting all aspects of reviews, particularly the interview.
- they must follows these guidelines to the letter.
- have two or more staff review employees separately as cross-checks on accuracy and avoidance of bias
- be sure performance appraisals are reviewed with employees, making sure employees have the chance to offer suggestions and raise concerns before signing them. employees should have full access to all records pertaining to their work.
- age will play an ever-greater roles as baby boomers turn 50 and 60 in ever-greater numbers.


Selecting Review Model:

- theorists and orgs have developed performance review models to meet EEO laws and to conduct fair and objective performance-centered interviews applicable to different types of positions and orgs.
- their goals are to establish competencies, set goals and expectations, monitor performance, and provide meaningful feedback.


Review Model:

Behaviorally Anchored Rating Scale (BARS) Model

- in the BARS model, skills essential to a specific position are identified trough a position analysis and standards are set, often with the aid of industrial engineers.
- typical jobs for which behaviors have been identified and standards set include telephone survey takers (at so many telephone calls per hour), meter readers for utility companies (at so many meters per hour), and data entry staff or programmers (at so many lines or entry per hour).
- job analysts identify specific skills and weigh their relative worth and usage. each job has specific measurable skills that eliminate game-playing or subjective interpretations by interviewers.
- employees report high levels of review satisfaction with the BARS model bc they feel they have greater impact on the process and see interviewers as supportive
- they know what skills they are expected to have, their relative worth to the org, and how their performance will be measured. however, not every job has measurable or easily identifiable skills, and arguments often arise over when, how, and by whom specific standards are set.
- Gordon and Miller have also discovered that raters distort the evaluation they make on subjective instruments in order to achieve goals other than providing an accurate assessment of the employee's performance (e.g., maintaining interpersonal relationships and group harmony)
- THE BARS model focuses on skills


Review Model:

Management by Objectives (MBO) Model

- the MBO model invovles a supervisor and an employee in a mutual (50-50) setting of results-oriented goals rather than activities to be performed.
- advocates for the MBO model contend that behaviorally based measures can account for more job complexity, be rated directly to what an employee does, and minimize factors the employee cannot control.
- this model is designed to be less role ambiguous and subjective than person-based measures by making clear which behaviors are required for a specific job. it facilitates performance feedback and goal setting by encouraging employer-employee discussions regarding strengths and weaknesses.
- the MBO model classifies all work in terms of four major elements: inputs, activities, outputs and feedback.
- inputs include equipment, tools, materials, money and staff needed to do work
- outputs are results, end products, dollars, reports prepared, or services rendered.
- feedback refers to subsequent supervisor reaction or lack of it to the output


Review Model:

Management by Objectives (MBO) Model

- when you act as a performance review interviewer using a MBO model, follow these guidelines:
- always consider quality, quantity, time and cost. the more criteria you use, the greater the chances that the measurement will be accurate.
- state results in terms of rangers rather than absolutes. allow for freedom of movement and adjustment.
- keep the number of measurable objectives critical to performance to not more than size or eight, and set a mutual environment.
- try for trade-offs between mutually exclusive aims and measures. an objective that is too complex may be self-defeating. for example, attempts to reduce labor and decrease cost at the same time may create more problems than you solve.
- when the value of the performance is abstract, initiate practices that make it measurable.
- if you can't predict conditions on which performance success depends, use a floating or gliding goal that enables you to adapt to changing circumstances. unfortunately, the strengths of the MBO model, including its interactive nature and adaptability to complex positions, have led many orgs to abandon it bc of the large number of meetings required and the amount of documentation necessitated. Gordon and Miller write that unlike other models, it can't be standardize to facilitate comparisons across individuals or organization units.
- the MBO model focuses on goals.
- applies four criteria to each position: quality, quantity, time and cost.
- do not consider too many objectives.
- beware of setting complex objectives.


Review Model:

Universal Performance Interviewing Model

- William Cash developed the UPI and tested it in more than 40 organizations
- the model begins with four basic questions that can serve as guidelines for fairness and comparisons among employees. interviewers must be able to specify what is missing or not being done well so they can provide feedback to institute change.

1. What is not being done that should be?
2. What expectations are not being met at what standard?
3. Could the person do it if motivated?
4. Does the individual have the skills to perform as needed?

- narrow each problem to a coachable answer. for ex, maybe no one has emphasized that getting 100% of customers' numbers at the beginning of calls is critical bc the customer number drives the system and makes it easier to access billing and other info under that number.
- maybe the employee knows that customer's number by heart and intends to place it in the correct position on the screen after the customer hangs up. the observation judgement dilemma has always been a problem for performance reviewers.


Review Model:

Universal Performance Interviewing Model

- the four questions in conjunction with six key words shown in the figure enable interviewers to make several observations about performance. this model can be employed with others (such as the 360-degree review process) or with separate observations by supervisors, peers and customers (internal and external) that can be compared to one another for consistency, trends, and rater reliability.
- the six key words are (1) keep, (2) stop, (3) start, (4) less, (5) more, and (6) now
- a sheet of paper with the four q's in columns can provide the bases for coaching sessions that take place weekly for production workers and monthly for professionals.
- a summary session may be done quarterly with an annual review to set goals for the coming year, review progress and look at developmental needs.
- once you have answered the four basic qs start on the model with keep, the first of the six words.
- when an employee is doing something well, make sure the person knows you appreciate a job well done. then go to stop, followed by start, less, more and finishing with a time frame for improving performance.
- the word now emphasizes the importance of making appropriate changes immediately. define now specifically in terms of weeks or perhaps months.


Review Model:

Universal Performance Interviewing Model

- the UPI focuses on performance and work requirements.
- try to understand why performance is lagging.
- reviews must recognize excellence as well as problems
- play the role of coach that than evaluator or disciplinarian
- don't turn a mole hill problem into a mountain
- hint and suggest before correcting.
- the UPI enables you as a coach to start with positive behavior you wish the employees to maintain, followed by behaviors you wish corrected now. this begins the interview on a positive note. your stop list should be the shortest and reserved for behaviors that are qualitatively and procedurally incorrect, place an employee at risk, or are destructive to others in the workplace.
- you can present each of the four questions and the six words at different nonverbal and verbal levels, including hints, suggestions, and corrections. for ex., I want you to stop doing..., I want you to start doing...now, You must do more of..., You must do less of...
- Interviewers may spend too much time on the analytical end and too little time on a specific behavior to be altered and how.
- if you can't provide a specific alternative behavior, there is no need for a performance review.
- the purpose of every performance interview is to provide accurate feedback to the employe about what must be altered, changed or eliminated and when.
- most employees want to do a good job and the performance mentor or coach must provide direction for resolving the problem
- another part of the model, crucial in performance interviews, are the two Ss- Specific and Several
- performance interviews must not be a guessing game. the two Ss enable interviewers to provide specific examples to show the problem isn't a one-time incident but a trend.
- vague comments and suggestions may harm relationships and fail to improve performance.


Review Model:

The 360-Degree Approach

- this approach has gained widespread acceptance, particularly among fortune 500 companies
- it allows org members to receive feedback on their performance, usually anonymously, from all major constituencies they serve such as supervisors, peers, subordinates, subcontractors, customers and so on.
- each firm employs a somewhat unique 360 degree process, questionnaires and interview schedules, but we can describe the typical process
- an employee works with a supervisor to select a number of evaluators, such as a direct supervisor, staff at the same level as the employee, colleagues, and individuals from departments that the employee interacts with on a regular basis.
- this model requires a team and interpersonal skills. questionnaires covering skills, knowledge and style are sent to each of the evaluators.
- the completed questionnaires are summarize and in some cases scores are displayed on a spreadsheet.
- the manager selects individuals from the original group to serve as a panel to conduct a feedback interview.
- the interviewer/facilitator may take the raw data from the questionnaire and interview the evaluators.
- the employee receives the data in advance of the meeting. each participant comes with coaching or behavior change input. the purpose is not to attack or blame the employee but to provide objective, behavior-based feedback with suggestions where necessary for improvement.
- the employee may not need much improvement, so compliments are acceptable.


Review Model:

The 360-Degree Approach

- the interviewer/facilitator may ask the employee to start the meeting with reactions to the data, then ask open questions with neutral probes.
- Tell me about your position in R&D; Tell me more; Explain it to me; Describe your frustrations with the consultant's training manual.
- If you were going to take on a similar project, what would you do more or less of?
- the 360 approach uses a group feedback interview
- employ open questions and probe into answers
- a plan for improvement is essential
- be aware of pluses and minuses of each review model
- once the feedback session is finished, both parties formulate a plan for improvement.
- the use of multi-source feedback for employee development works best in organizations that sue a goal-setting process from the top down.
- the 360 approach has a number of advantages. the questionnaires and interview provide objective data and feedback necessary for employee improvement and development bc this feedback emanates from multiple sources: supervisors, peers, subordinates, and customers. the employee not only has control over who gives feedback but is able to read, hear, and discuss the data that provides documentation for dealing with performance problems


Review Model:

The 360-Degree Approach

- critics: although it is designed for employee development, it gets entangled with the appraisal process.
- multiple raters may increase the scope of info provided to the employee but not better information.
- anonymous ratings may be inaccurate, incompetent, and biased.
- quantitative and structured feedback on generic behaviors is easy to acquire, score and disseminate, but it may have a serious problem of accuracy, fairness and interpretations bc it is hard to control rater tendencies.
- involving persons in authority may taint the process and reduce its credibility.
- although most feedback reviews lead to improvement performance, 38% of effects are negative. they offer suggestions:
- use this system for development rather than decision-making purpose, help employees interpret and react to ratings, minimize the amount of info given to employees, don't have performance review team members evaluate employees in all areas, and use the 360 degree system on a regular basis rather than once or occasionally.
- different scores from raters, the involvement of raters that re untrained or inexperiences in areas they are rating, and the assumption that increasing the number of raters results in feedback quality.


Review Model:

The 360-Degree Approach

- Garold Markle says that this model is extremely inefficient bc it is enormously time consuming on the part of both interviewer and interviewee and takes weeks or months in turnaround time.
- this delay may result in both parties forgetting what they had to say during the process.
- critics recognize it's strengths and weaknesses and recommend solutions to make it more effective and reliable
- use this model as a regular part of performance reviews and for decision making only. don't use this approach as the primary mechanism for delivering downward feedback.
- provide training and guidance for all raters, emphasizing objectivity in ratings to lessen bias and limit raters to their areas of expertise. don't assume that more raters equals quality feedback, and be careful of overloading employees with data.
- choosing the best model is important for the review process but the best model will fail if the performance interview isn't conducted skillfully and if neither part is dissatisfied with its nature and outcome.
- orgs often try one system after another and may adopt the system others are abandoning. the communication that takes place during the interview or interviews is critical in every system.


Conducting the Performance Interview

- study the employee's past record and recent performance reviews. review their self-evaluation
- understand the nature of their position and work. pay attention to the fit btwn the employee, the position, the org, etc.
- identify in advance the primary purpose of the interview, especially if it is one of several with an employee. prepare key q's and forms you will use pertaining to measurable goals
- know yourself and the employee as a person. from an appraisal perspective, you may see the interview as required and scheduled by the org, superior-conducted and directed, top-down controlled, results-based, past-oriented, concerned with what rather than how, and organizationally satisfying.
- by contrast, from the developmental perspective, the interview is initiated by individuals whenever needed, subordinate conducted and directed, bottom-up controlled, skill-based, now and future oriented, concerned with HOW, cooperative, and self-satisfying.
- select a developmental approach, Markle's "catalytic coaching" rather than an appraisal approach.
- understand the relationship that exists btwn you and the employee. research reveals that two or more reviewers often evaluate the same employee different bc their relationships differ
- schedule the interview several days in advance so that both parties can prepare thoroughly. prepare a possible action plan to be implemented following the interview.
- relationship influences both parties and the nature of the interview.
- select and understand the perspective of the interview.


Opening the Interview

- put the interviewee as ease with a pleasant and friendly greeting
- get the person seated in an arrangement that is nonthreatening and not superior-subordinate.
- fear of what performance interviews might yield interferes with communication btwn the parties and keeps the review process from achieving full potential
- establish rapport by supporting the employee and engaging in a few minutes of small talk. orient the employee by giving a brief outline of how you want the interview to proceed.
- if there is something the employee wants to talk about first, do it. an alteration of your interview plan is worth the improved communication climate.
- encourage them to ask questions, bring up topics, and participate actively throughout the interview.
- be prepared by flexible in the opening.


Discussing Performance:

- use all of your listening skills
- feedback is central in performance interviews
- communication skills are essential to successful performance interviews
- be aware of your own NV cues and observe the interviewee's NV cues
- it is not so much WHAT is said but HOW it is said
- listen carefully and adapt your listening approach to the changing needs of the interview, listening for comprehensions when you need to understand, listening for evaluation when you must appraise, with empathy when you must show sensitivity or understanding and for resolution when developing courses of action to enhance performance.
- be an active listener is good advice and common sense; but interviewers must know WHY they are listening actively: motives may include a desire to exhibit efficient appraisal behavior, to show a concern for the interviewee's well-being, or to collect evidence that may be used for or against the subordinate at a later date.
- the first two are positive, but the third may be detrimental to the interview and future interactions.
- maintain an atmosphere that ensures two way communication beyond level 1 by being sensitive, providing feedback and positive reinforcement, reflecting feelings, and exchanging information.
- feedback may be your most important skill. use a team of interviewers rather than a single interviewer. research shows that the panel approach produces higher judgement validation, better developmental action planning, greater compliance with EEO laws, more realistic promotion expectations, and reduced perception of favoritism


Discussing Performance:

- make the discussion full and open btwn both parties with the goal of improving individual and org performance.
- keys to success are your abilities to communication info effectively and encourage an open dialogue.
- strive to be a coach in career management and development.
- discuss the interviewee's total performance, not just one event. begin with areas of excellence so you can focus on the persons strengths. strive for an objective, positive integration of work and results. cover standards that are met and encourage the interviewee to identify strengths. communication factual, performance related info and give specific examples.
- excessive praise or criticism can create anxiety or distrust. employees expect and desire to discuss their weaknesses.
- an employee that receives no negative feedback or suggestions of ways to improve will not know which behavior to change. discuss needed improvements in terms of specific behaviors in a constructive, nondirective, problem-solving manner.
- employees are likely to know what they are not doing, but unlikely to know what they should be doing. let the employee provide input.


Discussing Performance:

- probe tactfully and sensitively for causes of problems. on the other hand, don't heap criticism upon employees. the more you point out shortcomings, the more threatening, anxious and defensive the employee will be.
- as the perceived threat grows, so will the person's attitude towards you and the review process. it is often not what is intended that counts but what the other party believes is intended.
- Terry Lowe identifies seven ways to ruin the performance interview:

1. the halo effect occurs when you give favorable ratings to all duties when the interviewee excels in only one.
2. the pitchfork effect leads to negative ratings for all facets of performance bc of a particular trait you dislike in others.
3. the central tendency causes you to refrain from assigning extreme ratings to facets of performance.
4. the recency error occurs when you rely too heavily on the most recent events or performance levels. the length of service of an interviewee may lead you to assume that present performance is high because past-performance was high.
5. the loose rater is reluctant to point out weak areas and dwells on the average or better areas of performance.
6. the tight rater believes that no one can perform at the necessary standards
7. the competitive raters believe no one can performance higher than their levels of performance.

- summarize the performance discussion and make sure the employee has enough chance to ask qs and make comments before establishing goals. use reflective probes and mirror qs to verify info received and feedback given. use clearinghouse qs to be sure the employee has no further qs or concerns.
- develop a true dialogue with the interviewee
- strive for a balance between criticism and praise.
- use questions to gain and verify info


Setting New Goals and a Plan of Action

- focus on the future and not the past
- goal setting is the key to successful performance reviews and should constitute 75% of the interview.
- focus on future performance and career development. although it's important to evaluate on the basis of past performance, it is just as important to anticipate future growth, set goals and establish career paths
- review previous goals before setting new ones bc both parties must be able to determine when goals have been met and why
- make goals few in number, specific and well-defined rather than ambiguous, practical, neither too easy nor too difficult, and measurable.
- avoid either or statements, demands and ultimatums
- combining feedback and employee suggestions with clear goals setting-while avoiding intentional or unintentional impositions of goals-produces the highest level of employee satisfaction. decide upon follow-up procedures with employee and how goals will be implemented
- the interviewee must be an active participant


Closing the Interview

- close with the perception that the interview has been valuable to both parties.
- don't rush it
- be sure the interviewee understands all that has transpired. conclude on a note of trust and open communication
- end with feelings that this has been an important session for the interviewee, interviewer, and org.
- if you have filled out a required form sign off on the agreements. if organizational policy allows, permit interviewees to put notes by items they feel strongly about
- provide a copy of the signed from as a record of the plan for the coming performance period.


Approaching the Interview as a Coaching Opportunity:

- a new vision for orgs with an emphasis on developing, empowering and retaining the best talent is coinciding with a new vision of the performance interview, or in the words of Gordon and Miller, "conversation about performance."
- Management consultant Garold Markle calls this vision "catalytic coaching"
- a comprehensive, integrated performance management system build on a paradigm of development. its purpose is to enable individuals to improve their production capabilities and rise to their potential, ultimately, causing orgs to generate better business results. it features clearly defined infrastructure, methodology and skill sets. it assigned responsibility for career development to employees and establishes the boss as developmental coach.
- catalytic coaching is future rather than past centered, places responsibility on employees rather than the supervisor and deals with salary indirectly.
- the supervisor is a coach rather than an evaluator. Markle declares that this approach spells the end of the performance review as we have known it.


Approaching the Interview as a Coaching Opportunity:

- when we reviewed several performance review models designed to develop employees and enhance performance, the notion of coaching-effective communication in a nonjudgmental atmosphere-was the centerpiece of each
- former pro-football coach Don Shula and former pro-football player Ken Blanchard have developed a set of basic principles that appropriately spell out the word "coach"

- Conviction Driven: never compromise your beliefs
- Overlearning: practice until it's perfect
- Audible ready: respond predictably to performance
- Consistency of leadership: consistency in performance
- Honesty based: walk the talk

- they emphasize the importance of commitment to excellence, honesty, responsibility, and teamwork that result in effective interpersonal communication, a review that provides meaningful feedback, and an enhanced level of performance.
- the philosophy of coaching rather than judging performance has heightened the need for more frequent and improved performance interviews, discussions and development.
- frequent com. between supervisors and employees results in more favorable job-related performance ratings.
- Kenneth Wexley claims that if a manager provides coaching on an ongoing basis the appraisal interview becomes a review of issues that have already been discussed by the manager and employee in the past.


Approaching the Interview as a Coaching Opportunity:

- organizations are conducting various forms of performance interviews on a more frequent basis and are connecting them closely to developmental and coaching plans.
- employees prefer a supportive climate that includes mutual trust, subordinate input, and a planning and review process. create a supportive climate that involves the interviewee.
- they want to be treated sensitively by a supportive, nonjudgmental interviewer. they want to contribute to each aspect of the review, get credit for their ideas, know what to expect during the interview, have the ability to do what is expected, receive regular feedback, and be rewarded for a job well done.
- above all, the employee must see "fairness" in the performance interview, and it's the nature of the communication that takes place during the appraisal interview that is especially critical in creating a sense of fairness about the process
- you can create a relaxed, positive and supportive climate by continually monitoring the employee's progress, offering psychological support in the forms of praise and encouragement, helping correct mistakes, and offering substantial feedback.
- base your review on performance, not on the individual. provide performance-related info and measure performance against specific standards agreed upon during the previous reviews.
- employees see supervisors as helpful, constructive, and willing to help them solve performance-related problems when these supervisors encourage them to express their ideas and feelings and to participate equally in performance review interviews.
- "too seldom" is a common complaint
- providing feedback on a regular basis can avoid formal, once-a-year tooth pulling reviews dreaded by both parties.
- evaluate poor performance immediately before damage to the organization and employee is irreparable. avoid surprises during the interview causes by withholding criticisms until the formal review session. conduct as many sessions as necessary to do the right job.



- review an employee's performance on the basis of standards mutually agreed upon ahead of time.
- apply the same objectives equally to all employees performing a specific position
- research and good sense dictate that performance, promotion and problem issues are discussed in separate interview sessions.
- performance review interviews occur at least semiannually, while promotion, salary and performance problem interviews usually take place when needed.
- deal with performance problems before they disrupt the employee's work or association with your organization
- select a performance review model most appropriate for your org, employees and positions.
- for both employer and employee, flexibility and open-mindedness are important keys in successful performance review interview.
- flexibility should be tempered with understanding and tolerance of individual differences.
- the performance process must be ongoing, with no particular beginning or end. supervisors and subordinates are constantly judged by the ppl around them.
- by gaining insights into their own behavior and how it affects others, both parties can become better ppl and organization members.


Ch. 10 - Persuasive Interview

- persuasive interview's essential purpose is to influence how parties think, feeling and/or act.
- it's a mutual interaction in which both parties must play active and critical roles bc persuasion is done with not to another. you take part in persuasive interviews every day as a customer or salesperson, recruit or recruiter, child or parent.
- the pervasiveness or persuasion in our daily lives leads Roderick Hart to write that one must only breathe to need to know something about persuasion.


The Ethics of Persuasion

- ethics and persuasion are interrelated. more than 2000 yrs ago the greek theories Isocrates wrote that it is not enough to learn the mere techniques of persuasion; we must also be aware of the moral responsibilities when attempting to alter or reinforce the beliefs or behavior of others.
- his concerns about the state of ethics in ancient Greece are reflected in our twenty-first century society.
- fewer than 20% of respondents see practitioners such as lawyers, business execs, labor union leaders, stockbrokers, etc. as high or very high in ethics.
- lead David Callahan to write a book called the cheating culture: why most americans are doing wrote to get ahead.
- since the persuasive interview is a mutual activity, both parties share ethical imperatives.
- as receivers and senders of persuasion, we have the responsibility to uphold appropriate ethical standards of persuasion. in your role as a communicator and recipient of persuasive messages, ask yourself this: what ethical standards should guide my conduct in this particular case? what should i expect of others?


The Ethics of Persuasion:

What is Ethical?

- when do we cross ethical boundaries?
- ethical issues focus on value judgments concerning degrees of right and wrong, virtue and vice, and ethical obligations in human conduct. notice the word degrees. it's easy to agree that a person is trying to sell a fraudulent investment scheme or home repair rip-off, particularly to a vulnerable or desperate person, is unethical. other situations are not as easy. for ex., you may criticize a politician or insurance sales rep for using extreme fear appeals and then use these same appeals to persuade a friend to stop smoking or a child not to get into a car with a stranger.
- what about a "stealth strategy" in which an undercover person pretends to be a tourist, fellow student, or concerned citizen rather than an skilled persuader?
- even single, carefully selected words may tip the balance: depression for recession, socialist for government-funded institution, terrorism for all violent acts, excuse for explanation, propaganda for information
- every strategy and tactic discussion may be misused and identified as manipulative


The Ethics of Persuasion:

Fundamental Ethical Guidelines

- although we don't wish to force a given system of values or ethical code upon the reader, we do argue that he/she has a responsibility to form one. we believe that it's desirable both for the immediate practical reasons of self-interest and for more altruistic reasons that a person accept responsibility for what he/she does in persuasion both as receive and as a source.
- the age-old golden rule remains relevant for your ethical conduct. do unto others are you would have them do unto you.
- while it is hard to develop a code of ethics applicable to all persuasive situation and agreeable to all, ethical communication should be fair, honest, and designed not to hurt people.
- BE HONEST: most of us are basically honest and seldom tell outright lies, but we might fib a bit about missing a class or being late for work, exaggerate a little to gain approval or sympathy, or fudge on a desire or motive. if we are truly honest, we will not attempt to conceal or true motives, compromise our ideas and idea to gain an advantage, fail to divulge disbelief in what we advocate, or camouflage unwillingness to fulfill commitments and promises. how will if eel about myself after this communicate act? could i justify by act publicly if I am called on to do so? - ask yourself these two qs to assess honesty
- BE FAIR: if you follow the golden rule, fairness won't be an issue. ask yourself qs that address fairness. how vulnerable is the other party bc of status differences, how serious are the possible consequences, how adequate and fair are my arguments, etc. sometimes emotional and strong disagreements are common is persuasive interviews, but unfair tactics may result in irreparable harm to this and future interactions with this party.


The Ethics of Persuasion:

Fundamental Ethical Guidelines

- BE SKEPTICAL: have a healthy trust of others, but don't be gullible. every con artist depends on your assistance and gullibility. balance your trust with skepticism, don't let greed or getting something for nothing make you a willing accomplice. be wary of simplistic assertions, claims, promises, and solutions that guarantee quick fixes and really good deals. these people succeed bc their clients ask few questions, did no research, and refuse to listen to those who preached caution.
- BE THOUGHTFUL AND DELIBERATE IN JUDGEMENT: sometimes mere skepticism is not enough. the "buyer beware" notion of ethics, alive and well in Ponzi schemes epitomized by Madoff's ventures, places the burden of proof on you, the persuadee. both parties in the persuasive interview should ask critical qs and demand answers backed by solid evidence. listen, think, question, synthesize, and research and then decide whether or not to accept a person, idea or proposal. we are typically more interested in appearance than substance. if we like the other party who looks like us, acts like us, sounds like us, talks like us and appears to have the right connections, we assume proposals are logical and acceptable.
- BE OPEN-MINDED: this does not mean that you don't have strong beliefs, attitudes, and values or commitments, it does mean that you do not automatically assume that persuaders of certain professions, political parties, religions, races, genders, ages, etc. are untrustworthy or trustworthy, competent/incompetent, caring/uncaring, etc. this amounts to persuader profiling. don't automatically reject or accept proposals that challenge the ways things have always been done or that appear to be new. be open to dissent and opinions of others.
- BE RESPONSIVE: provide verbal and NV feedback to other party so they can understand your needs, limitations, and perceptions of what is taking place and being agreed to. reveal what you are thinking and how you are reacting. be actively invovled in the interview from opening through close. persuasion can be seen as a transaction in which both persuaders and persuadee bear mutual responsibility to participate actively in the process.
- remember that appearance often outweighs substances and to always be open to opposing views.
- being fair is the basis to ethical persuasion.


Most Successful Persuasive Interviews Meet the Following 5 Criteria:

- next step is to purge your list of prospects; quality is better than quantity. possibility of successful interview increases if your interviewee meets five criteria

1. your proposal creates or addresses a need, desire or motive for this interviewee. if there's no need or desire, there will be no persuasion
2. your proposal and you are consistent with the interviewee's values, beliefs and attitudes. lack of compatibility, trust or respect may results in failure to persuade.
3. your proposal is feasible, practical or affordable for the interviewee. possibility is critical to persuade.
4. your proposals advantages outweigh the disadvantages for interviewee. must acknowledge and neutralize stated and unstated objections.
5. there is no better course of action for interviewee. your proposal should be the best among choices.

- once you've trimmed your list of interviewees, start preparing for the interview by analyzing each prospect.


It takes a lot of hard work and research to meet these 5 conditions. There are several factors to take into account to assure the best results:

1. Sources
2. Analyzing the other party
3. Physical and mental characteristics
4. Socioeconomic background
5. Culture
6. Values/Beliefs/Attitudes
7. Emotions
8. Atmosphere
9. Timing
10. Physical Setting
11. Outside sources


Analyzing the Interviewee:

Personal Characteristics

- take into consideration age, gender, race, size, health, disabilities, physical fitness, and intelligence. any one or a combination of these characteristics may affect what a person is able to do or wants to do.
- avoid all too frequent societal stereotypes such as all elderly ppl are slow and gullible, blonds are dumb, hispanics are illegal aliens, women are technically challenged, and those with poor health lead unhealthy lives.
- each one of us is a composite of personal characteristics that is impossible to stereotype. research does indicate that a level of intelligence makes interviewees less receptive to persuasion.
- highly intelligent interviewees are more influence by evidence and logical arguments and tend to be highly critical. both factors make them more difficult to persuade.


Analyzing the Interviewee:

Educational, Social and Economic Backgrounds

- level of education attainment may affect interviewees.
- college graduates tend to be more invovled in public affairs, the sciences, cultural activities, have good jobs with good incomes and to hold fewer stereotypes and prejudices, and also to be more critical thinkers, flexible and independent.
- socioeconomic background includes the interviewee's memberships and are important bc our attitudes are strongly influence by the groups we belong to. the more committed an interviewee is the various groups the less likely you are to persuade this person with an effort that appears to conflict with group norms
- one of two major determinants of behavior intention os the normative influence on an individuals and its importance to the individual. normative influence is a persons belief that important individuals or groups think it is advisable to perform or not perform certain behaviors. know the persons occupation, income, avocations and hobbies, superior/subordinate relationships, marital status, geographical background, dependents, work experience, their ways of viewing people, places, things, events and issues
- memberships may be powerful outside forces.


Analyzing the Interviewee:


- cultural differences may affect interview. western cultures tend to be "me" centered and stress the importance of individual accomplishments, leadership and accumulation of awards and things.
- Asia and similar countries are more "we" centered and stress the importance of the group or team and see those who stress self and claim individual achievement as distasteful and offensive.
- some cultures consider bribery a normal part of business, others feel that it's necessary to give gifts are part of the process.
- bargaining is a essential part of persuasion in many cultures, often preceded by a relationship-building period over dinner or tea.
- in the US 'time is money' so americans expect others to be one time. in great Britain it is considered correct to be 5-15 mins late, and in Italy a person may arrive 2 hrs late and not understand why you are upset.


Analyzing the Interviewee:


- each culture has a set of generally accepted values - fundamental beliefs about ideal states of existence and modes of behavior that motivate ppl to think, feel or act in particular ways. values, often referred to as "hot buttons" by collect recruiters, sales reps, and politicians, are the foundations of beliefs and attitudes.
- the following scheme of values includes those central to the American value system, the hot buttons that motivate interviewees to think, feel or act in a certain way at certain times. determine which ones are most relevant to your interviewee
- Survival Values: peace and tranquility, personal attractiveness, preservation of health, safety and security
- Social Values: affection and popularity, cleanliness, conformity and imitation, generosity, patriotism and loyalty, sociality and belonging.
- Success Values: accumulation and ownership, ambition, competition, happiness, material comfort, pride, prestige and social recognition, sense of accomplishment.
- Independence Values: equity and value of the individual, freedom from authority, freedom from restraint, power and authority
- Progress Values: change and advancement, education and knowledge, efficiency and practicality, quantification, science and secular rationality.


Analyzing the Interviewee:


- determine which values are most relevant to this interviewee in this situation and with this issue.
- political, economic, social, historical and religious beliefs emanate from values. determine which of those beliefs relate to a topic and proposal. if equity and value of the individual are important values, an interviewee is likely to support equal rights and opportunities for women and minorities. if education is important the person is likely to support increased school funding, give to college fundraising campaigns, etc.
- attitudes are relatively enduring combinations of beliefs that predispose ppl to respond in a particular way to ppl, orgs, places, ideas, and issues. if you're a conservative, you are more likely to react predictably to thinks you consider to be liberal.
- attitudes come from beliefs that come from cherished values. determine the interviewee's probable attitude toward the need or desire you will develop and the proposal you will make.
- consider a party's probable attitudes along an imaginary scale from 1-9 with 1-3 being strongly positive, 4-6 being neutral, and 7-9 being strongly negative.
- if it's position 1 or 2, little political effort may be require. if it's on 8 or 9 than persuasion may be impossible beyond a small shift in feeling or thinking. if it's a 4-6 you should be able to alter ways of thinking, feeling or acting with good persuasive effort. this may not be the case if an interviewee is strongly committed to remaining neutral, undecided or non-committed.


Analyzing the Interviewee:


- persuasion theorists from Aristotle in ancient Greece to present day have claimed that the interviewee's attitude toward the interview (ethos, credibility, image) is the most important determinant of success. you must assess the interviewees attitude toward you, your profession, and the org you represent. several dimensions determine your credibility including trustworthy/safe, competent/expert, goodwill, composure, and dynamic/energetic
- think of your previous experiences with this person. if an interviewee doesn't like you, distrusts our org and/or sees your profession as dishonest, you must alter these attitudes during the interview.
- your appearance, attainments, personality, manner, composure, etc are important for maintaining high credibility.
- ppl tend to react more favorable to high credible interviewers who are similar to them in important ways and appear to share their values, beliefs, and attitudes.
- while they want interviewers to be similar to them they also expect them to be wiser, brave and more knowledgable, more experiences and more insightful.


Analyzing the Interviewee:


- emotions, sometimes called feelings and passion, significantly influence how ppl think, feel and act.
- along with values, emotions are "hot buttons" you need to discover and push if you hope to persuade.
- some emotions are necessary for survival including hate, fear, anger, love and sexual attraction. others are necessary for social involvement such as pride, shame, guild, sympathy, pity, humor, joy and sadness. you must be aware of the other party's mood, why the party feels that way and how it is likely to affect the interview.
- with mood of the interviewee in mind along with topic, situation, and the purpose, determine which emotions you must appeal to in this interview.
- what then is the relationship btwn values, beliefs, attitudes and emotions in persuasive interviews?
- the process begins with values (our fundamental beliefs ab existence and behavior), which lead to specific beliefs (judgements ab what is probably true or believable), which form attitudes (organizations of relevant beliefs that predispose us to respond in particular ways), which may result in judgement or action towards a person, place, thing, idea, proposal and act.
- specific values and emotional appeals serve as triggering devices for judgement and actions. altering or reinforcing and interviewee's thinking, feeling or acting is a complex process.


Analyzing the Situation:


- study carefully the atmosphere in which the interview will take place. know why the interview is occurring at this time: a regularly scheduled event, an emergency and moment of opportunity, and major event, a routine interaction, etc.
- will the climate be hostile, friendly, ambivalent, or apathetic?
- the "why" of the interview may vary significantly btwn parties


Analyzing the Situation:


- timing may be critical. when is an ideal time to conduct an interview, when would it be too early or too late, what events have preceded this interview such as visits from competitors, etc.
- what events will take place following the interview, such as a competing fund-raiser, annual sale, or budget meeting?
- certain times of the year are great for some interviewers while terrible for others.
- timing may be everything


Analyzing the Situation:

Physical Setting

- provide for privacy and control interruptions, especially telephone calls. make an appointment if it's hard to guess how much time an interview will take.
- will you be the host of the interview/is it on your turf or in your office, are you a guest in which the interview is taking place on the interviewee's turf, or is it occurring on neutral ground such as a conference room, hotel, etc.
- if you are trying to recruit a student for your university, you might prefer to get the interviewee on campus during a beautiful fall day, etc.
- a good physical setting can go a long way


Analyzing the Situation:

Outside Forces

- outside influences may wage counter persuasive efforts
- organizational or professional policies may prescribe what you can and cannot do in a sales interview.
- you may be trying to convince a friend to attend your college while another college is recruiting this person with a full-ride scholarship, mom and dad want them to attend the same college they went to, etc.
- awareness of outside influences may determine how you open an interview, select appeals and evidence, develop proposals and address counterpersuasion


Researching the Issue:

- be the best informed and most authoritative person in each interview
- investigate all aspects of a topic, including events that may have contributed to the problem, reasons for and against change, evidence on all sides of an issue, and possible solutions.
- search for solid up-to-date info
- the interviewee can demand support, challenge assumptions, generalizations or claims and ask for documentations of a source.
- impress parties by having answers to qs and being knowledgable. try to determine what the interviewee knows about an issue and attitudes held by the interviewee towards the issue and possible solutions.
- don't overlook any potentially valuable sources of info such as the internet, emails, interviews, letters, pamphlets, surveys, unpublished studies, reports, newspapers, journals, gov. documents.
- use your own experience as research, know the sources available to interviewee.


Researching the Issue: Types of Evidence

- gather and use a variety of evidence to support your need and proposal. collect examples, both factual and hypothetical to illustrate your points.
- ppl like good stories that make problems real. gather stats, collect statements from knowledgable authorities, look for comparisons and contrasts btwn situations, proposals, products and services.
- locate clear and supportable definitions for key terms and concepts.
- distinguish opinion from fact
- the effect of a well supported persuasive interview last longer than a poorly supported one.


Planning the Interview:

Determine Your Purpose

- if you know the interviewee will be a hard sell bc of values, beliefs, and attitudes, then your purpose may be merely to influence thinking or feeling in a minor way. getting an interviewee to think about an action or to admit there is a problem may be a major success for a first interview. later you might move on to more significant change or support/action.
- in other situations you may move quickly through need and desire to solutions with a good chance of success.
- set a realistic goal for the interview. don't assume that after one interview that person is not interested or will not change. some say it may take five contacts before a sale is made so be patient


Planning the Interview:

Select Main Points

- don't make the need too complicated. know the strength of each point and introduce it strategically
- select reasons to establish need or desire. don't rely on a single reason bc the interviewee may see little urgency in a issue that is so simple or unidimensional or find it easy to reject or attack one point. more points also enhance the effectiveness of persuasion over time.
- six or eight points may make an interview too long and superficial as you rush through them all and may overload interview with info leading them to be confused or bored.
- after selecting 3-4 points, determine the strength of each for the situation and this will help determine the order in which you present the points.
- if there is a chance of running out of time or being rushed, present the strongest point first.


Planning the Interview:

Develop Main Points

- develop each point into what the interviewee will see as valid and acceptable logic. carefully craft and blend the logical and psychological.

- you can argue from accepted belief, assumption or proposition which invovled three explicitly stated or implied assertions
- all students living in apartments should have renters insurance, you live in an apartment, point is you should have renters insurance.
- you need not state all three parts of this pattern if the interviewee is likely to provide the mission assertion or conclusion. regardless, your argument rests of the first assertion that is a critical belief, assumption or proposition. you can leave second or third assertion unstated.

- arguing from condition is based on the assertion that if something does or does not happen, something else will or will not happen.
- if you continue to drink and drive you are going to lose your license.
- you're going to continue drinking and driving
- you're going to lose your license.
- weigh conditions carefully and be able to support them effectively. as with arguing from accepted belief, you may invite the interviewee to fill in a missing part or parts.


Planning the Interview:

Develop Main Points

arguing from two choices is based on the assertion that there are only two possible proposals or course of action. you delete one by establishing that it will not work or resolve a problem, and conclude the obvious.
- you can take the p lane or drive to your interview in Philadelphia
- driving the 700 miles to Philadelphia will require you to miss the final exam in Psychology 495
- point: you should fly to Philadelphia
- the argument rests on being able to limit the choices and convincing the interviewee that one is unacceptable so yours is the only remaining.

- arguing from example leads to a generalization about a while class of people, places, things, or ideas from a sample of this class. for instance, an interviewer attempting to persuade a university administrator of the dangers of binge drinking on campus might use this argument:
- sample: in a recent survey of college students it was discovered that 69% of 500 respondents admitted to binge drinking
- point: the majority of students take part in binge drinking.
- your evidence must warrant your conclusion
- the quality of the sample, as in a survey interview, is critical in argument from example.

- arguing from cause-effect is related to example bc interviewers often use a sample as proof of a causal relationship. unlike the argument from example that leads to a generalization, this argument attempts to establish was caused a specific effect. for ex.:
- in a study of 100 auto accidents, police officers said that nearly a third occurred while drivers were texting, about the same as when drivers had been drinking
- point: texting while driving causes as many accidents as drinking alcohol and driving
- you must convince the other party that the evidence leads to the only or major cause of effect.


Planning the Interview:

Develop Main Points

- arguing from facts reaches a point that explains best a body of facts. this his how investigators argue when attempting to explain a phenomenon
- while investigating the storm damage caused in a two county area on 6/5, we noted that the storm had moved in a nearly straight line. in open areas, there was no evidence of a twisting motion in grass and weeds. tree s and small buildings were knocked down but not twisted. no one hear the tell-tale freight train sound of a tornado
- point: it's obvious that the storm damage was the result of straight line winds and not a tornado.
- unlike argument from example, this interviewer in this case is arguing from a variety of facts, not a sample of a class of things.

- arguing from analogy occurs when you point out two things (people, places. objects, proposals, ideas) have important characteristics in common and draw a conclusion based on these similarities. for example, a coach might argue like this:
- points of comparison: like north side, west lake high has a veteran quarter back who is an excellent runner as well as a passer. their line is anchored by four seniors who are both large and fast. their pass defenders have made six interceptions this year. and they have a junior kicker who has made fields goals from as far as 46 yards
- point: West Lake High will be hard to beat, just like north side.
- the number of significant similarities are critical in developing and selling this argument.


Planning the Interview:

Select Strategies

1. Identification Theory
2. Balance and Consistency Theory
3. Inoculation Theory
4. Induced Compliance Theory
5. Psychological Reactance Theory

- once you have chosen main points and persuasive patterns, select psychological strategies to make them persuasive. a number of theories explain how you might bring about changes in thinking, feeling, and acting.
- these theories explain complex human activities through careful observation of what happens in the real world and may serve as persuasive strategies.


Select Strategies - Identification Theory

- Kenneth Burke, arguably the leading rhetorical theorist of the 21st century claims that you persuade by identifying with the interviewee.
- strive to establish consubstantiality (a substantial similarity) with the interviewee.
- the overlapping circles representing the interview parties in our model in ch. 2 are based on Burke's notion that to communicate or persuade, you must talk the other party's language "with speech, gesture, tonality, order, image, attitude, and ultimately identifying" your ways with theirs.

- their are several ways to identify with a person and establish common ground:
- Associating with groups to which you both belong, shared cultural heritage or regional identification, programs you both support, etc.
- Disassociating from groups, cultures, regions or programs the interviewee opposed or is distant from.
- Develop appearance and visual symbols that establish identification such as dress, hairstyle, makeup, jewelry, political buttons, religious symbols, etc. appearances are important in perceiving common ground.
- Sharing language such as jargon, slang, colloquialisms, and in-group words and phrases.
- Employing content and values important to the interviewee.
- strive for real identification, not fabrication to initiate the change you desire.


Select Strategies - Balance or Consistency Theory

- according this this theory, human beings strive for a harmonious existence with self (values, beliefs, and attitudes) and experience psychological discomfort (dissonance) when aspects of existence seem inconsistent or unbalanced.
- you may experience this source-proposition conflict when you like persons but detest their positions or issues or dislike persons but favor their products or services.
- you experience attitude-attitude conflict when you oppose government involvement in your life but want the government to outlaw hate speech and require prayer in public schools.
- you experience perception-perception conflict when you see Mexico as beautiful but dangerous place to vacation.
- you experience behavior-attitude conflict when you believe strongly in law and order but use a fake ID to get into bars.
- not all interviewees are happy with harmony
- an interviewer may create or resolve dissonance.
- you may create psychological discomfort (dissonance) by attacking a source or pointing out attitude, perception or behavioral conflicts. then you show how the interviewee can bring these inconsistencies into balance by providing changes in sources, attitudes, perceptions and behaviors.
- if you detect that an interviewee is experiencing psychological discomfort, you may bring about balance or consistency by helping the interviewee see no inconsistency, perceive the inconsistency as insignificant, or tolerate inconsistency.


Select Strategies - Inoculation Theory

- according to this theory, it is more effective to prevent undesired persuasive effects from occurring than using damage control afterwards.
- for ex., a few years ago one of the authors receive a phone call from the state police warning him of solicitors who were claiming to be representatives of state police sponsored charity for children and relating what solicitors were telling contributors
- the called hoped the preemptive call would prevent the author from being victimized and maintain the credibility of legitimate police charities
- in this strategy, you forewarn the interviewee, perhaps by exposing the interviewee to small doses of a potential persuader's language, arguments and evidence so the interviewee can resist the effort.
- or you might provide arguments and evidence the interviewee may use to mount and effective counter-effort if confronted by an interviewer against whom he or she is being immunized.
- an inoculation strategy immunizes an interviewee from future persuasions


Select Strategies - Induce Compliance Strategy

- according to this theory, you may change an interviewer's way of thinking, feelings or acting by inducing her or hum to engage in activities counter to values, beliefs or attitudes.
- participation in counter-activities may bring about self-persuasion
- apply enough pressure so an interviewee will comply without feeling there is no choice. feeling coerced may prevent change.
- variety of ways to induce compliance. you might induce an interviewee to espouse a belief or counter-attitude to understand or appreciate the other side of an issue, such as a liberal position of sex education or a conservative position on health care reform.
- you might induce an interviewee to take part in an unaccustomed or unattractive activity, such as going to a religious service or helping at a homeless shelter
- you might induce an interviewee to play an opposite role, such as a superior instead of subordinate, teacher instead of student, parent instead of child
- you might induce a party to act to receive a reward or avoid a punishment, such as tickets to a concert or speeding ticket.
- there are many ways to trigger self-persuasion


Select Strategies - Psychological Reactance Theory

- according to this theory, ppl react negatively when someone threatens to restrict a behavior they want to engage in. they may value the restricted behavior more and want to engage in it more frequently
- people may devalue alternatives bc they feel they are truck with them and may resent the restricting agent.
- organizations produce limited editions of books, stamps, coins and cars to enhance demand for them.
- tickets to NCAA basketball final four are of great value bc they are scarce.
- interviewees may be less in favor of giving to the college development fund or joining their athletic booster clubs if they feel they are being forced.
- whenever possible, avoid real or perceived pressure on the other party to think, feel or act differently
- make your proposal attractive, make scarcity or a deadline known without appearing to threaten, develop a serious need without excessive appeals to fear and offer choices
- restricting behavior may lead to persuasion or resentment


Opening: Gain Attention and Build Interest

- be flexible, adaptable and cautious about assumptions. you are conducting an interview, not giving a speech. plan how you will involve the interviewee throughout the interview.
- your opening must gain attention and interest, establish rapport and motivate interviewee to take part. the major advantage of the interview over public or mass persuasion is the chance to tailor your message to a single party.
- adapt the opening to each interviewee and setting. don't rely on a standard/traditional formula
- when insufficient info is unavailable or you don't have the chance to study interviewee ahead of time, use the first few mins of the interview to discover how you can best adapt to this person.
- take note of dress, appearance, manner. ask a few q's designed to discover background, interests, and attitudes critical to this interview. listen to what the interviewee "says" verbally and nonverbally. if the party consists of more than one person, detect who is the leader or spokesperson
- the majority of persuasive interactions fail in the first few seconds, during the attention step in the opening, so choose your language and NV actions carefully. think of openings in sales calls made to your home and how you reacted. persuaders trying to convince you to give to a charity are often trained to recite a prescribed opening regardless of your age, gender, income, background or level of interest. you may dislike the charity; it makes no difference to the persuader.
little wonder that few of these "cold" calls succeed.
- begin with a warm greeting and use the interviewee's name if you have it. if the person is a stranger, do not make your greeting sound like a question but trying to guess their name. this suggests that you are unsure of the persons name or identity, unsure of yourself and not prepared.


Opening: Gain Attention and Build Interest

- if you know the interviewee well and both the situation and your relationship warrant it, use the person's first name. as a general rule, don't greet a stranger, superior or person in a formal setting by first name or nickname unless you are asked to do so
- it may be necessary to introduce yourself (name position title background, etc), your organization (name location nature history products or services) and the purpose of the interview.
- you may begin with a sincere inquiry about family or mutual friends or small talk about weather, sports, construction or campus facilities. don't prolong the rapport stage. be conscious of the interviewee's situation and preferences.
- if the person replied immediately after the greeting "what can I do for you?" then you know this person wants to get down to business.
- cultures differ in the amount of acceptable small talk and socializing. most Americans want to get to the point and get the job done. Japanese and other cultures desire to get acquainted, to follow interaction rituals and to go slower in making commitments and decisions. do not prolong the rapport stage
- involve all members of the other party from the start so each person will play an active role throughout the interaction. American persuaders and persuadees, particularly male, tend to take turns unevenly during interactions and to speak at length during each turn. Japanese and others take turns evenly and make shorter statements.
- use the opening to create mutual interest in the interview and establish trust and degree of affection or liking between the parties. each party should understand the purpose of the interview and how they will share control.
- neither rush or prolong the opening
- reduce reticence by involving the interviewee immediately and often. the opening should be a good fit with the whole interview.
- if the opening fails, there may be no body and closing. do not use routine openings even for routine interviews.


Conducting the Interview:

Need or Desire

- create a need or desire by developing in detail three or four points you selected in the preparation stage.
- introduce them in the order you have determined will be most effective, strongest point first or last with weaker points in the middle.


Conducting the Interview:

Need or Desire - Develop One Point at a Time

- explain a point thoroughly. provide sufficient evidence that is factually based, authoritative, recent, and well documented.
- use a variety of evidence (examples, stories, authority, stats, comparisons, definitions) so the interviewee isn't buried under an avalanche of figures not bored with one story after another.
- incorporate the values, beliefs and attitudes important to this interviewee.


Conducting the Interview:

Need or Desire - Encourage Interaction

- this is an interview, not a speech. you are more like to persuade someone if they are actively invovled. stress how each point affects this interviewee's needs and desires.
- do not go to your next point until there has been some sort of agreement. with one point developed and agreed upon, move to point two, three, and so on. do not rush through a point or jump to the next one if the interviewee raises objections or poses questions. move on when the interviewee seems ready to do so. be patient and persistent



1. Information-Gathering
2. Verification
3. Encouraging Interaction
4. Attention and Interest
5. Agreement
6. Objection

- although you rarely come to a persuasive interview with a schedule of questions, questions serve a variety of functions in persuasive interview.
- never tell when you can ask because this invovles the interviewee as an active participant rather than a passive participant
- ask and then listen.
- you cannot plan on a series of questions to get the job done, particularly of an interviewee sees no need, has no desire or is unaware of options
- questions play unique roles in persuasive interviews
- use questions to analyze the interviewee.


Questions - Information-Gathering Questions

- ask questions to determine knowledge level and to draw out concerns and objections. listen carefully to responses and probe for accuracy and details. for example:

- tell me what concerns you about your liability insurance coverage?
- what do you know about the compensation programs for installing windmills on your property?
- how frequently do you travel between Pittsburgh and Philadelphia
- uses these types of questions to analyze the interviewee


Questions - Verification Questions

- questions can clarify and verify interactions
- use reflective, mirror and clearinghouse questions to check the accuracy of assumptions, impressions, and information obtained before and during the interview.
- you may assume you have answered an objection satisfactory or gotten an agreement when you have not.
- be certain an interviewee understands what you are saying and grasps the significance of your evidence and points.
- silence on an interviewee's part can indicate confusion or disagreement as well as understanding and agreement.
- ask things like:

- Does that answer your concerns about the length of our MBA program in strategic management?
- You seem to be most concerned about scholarship money available for your daughter.
- Are we in agreement that a laptop computer would serve your needs and financial situation best?


Questions - Encouraging Interaction Questions

- questions can stimulate interactions
- questions early in interviews warm up both parties and set the tone for the interview.
- encourage the interviewee to play and active role in the interview.
- an interviewee feels freer to ask questions and provide meaningful feedback once he or she plays an active part in the process and understands what you expect.
- use questions to discover how a quiet or noncommittal interviewee is reacting:

- how was your tour of the production facility?
- what do you think of the new ad campaign?
- what are your thoughts about the year-around school calendar?


Questions - Attention and Interest Questions

- use questions to keep interviewees turn in and alter to what you are saying. they may be busy or preoccupied with other concerns and their minds may wander. interesting, challenging and though-provoking questions maintain interest and attention.

- how would you feel if your insurance company would refuse to cover your new child born with a physical problem?
- do you remember the winter of 2020 when your power went out for 6 days?
- what would you do if your company suddenly went out of business?

- questions can sustain interest and attention


Questions - Agreement Questions

- use questions to obtain small agreements that lead to bigger agreements. getting agreement after each point leads to agreement at the end of the need so you can move effectively to establishing criteria for solutions.
- don't ask for agreement or commitment before you have developed or supported a point thoroughly
- a barrage of generalizations and claims will not prove a point or establish as need.
- use a yes-response question (often in the form of a statement) to control the interview and lead to agreement after throughly developing one or more points of small agreements.

- With the market rebounding, this is a great time to invest, don't you agree?
- I know you understand that limiting bonuses this year is the best way to meet the recession
- I'm sure you don't want to risk your child's future


Questions - Objection Questions

- don't try to substitute questions or substance
- use questions to respond tactfully to objections and draw out unstated questions and objections
- get these on the table at the proper time. questions can also discover what an interviewee knows about an issue and reveal the importance or reasons behind the objections

- You can cost is a major concern in purchasing a hybrid SUV, but what would you pay over the next five years for gasoline in a standard SUV?
- You seem hesitant about your trip to China, what is your major concern?
- what info do you need to remove doubts about this proposal?

- don't ask q's prematurely that call for agreements when you have established nothing upon which to agree.
- use leading and loaded qs sparingly bc high-pressure tactics turn off interviewees.
- a series of qs are unlikely to persuade; you must present good reasons supported by info and evidence.


Adapting to the Interviewee: Indecisive, Uninterested Interviewees

- the interviewee may see no personal need or relevance. if an interviewee is indecisive, uninterested or uncertain, help the person see the reality and urgency of the problem, issue or need. use opening techniques to get the interviewee's attention and generate interest in the problem.
- lead off with your strongest point and provide a variety of evidence that informs and persuades. use questions to draw out feelings and perceptions and involve the interviewee.
- emphasize the urgency of the issue and the necessity of acting NOW. use moderate fear appeals to awake the interviewee to dangers to self, family or friends. appeal to values such as preservation of health, safety, security, freedom from restraint, ownership, and value of the individual. show HOW the interviewee can make a difference.


Adapting to the Interviewee: Hostile Interviewees

- don't assume there will be hostility. if an interviewee may be hostile, be sure your impression is accurate. don't mistake legitimate concerns or objections or a gruff demeanor as hostility. if a person is truly hostile, determine why and then consider a common ground approach.

- a yes-but approach: begins with areas of agreement and similarity and gradually leads into points of disagreement. it lessens hostility and disagreement later by establishing common ground early on.
- a yes-yes approach: gets an interviewee in the habit of agreeing when you reach apparent disagreements, the interviewee may be less likely to disagree.
- an implicative approach: withholds and explicit statement of purpose or intent to avoid a knee-jerk negative reaction from the interviewee. you hope the interviewee will see the implications of what you are saying, perhaps feeling they came up with the concerns and solution.

- regardless of the common ground approach, be polite, listen and avoid being defensive or angry when working with hostile interviewees.
- hostility often results from lack of info, misinformation or rumors. respond with facts, expert testimony, examples, stories and comparisons that prove, clarify and resolve issues between parties.
- be willing to accept minor points of disagreement and to admit your proposal is not perfect; no proposal is.
- employ shock-absorber phrases that reduce the stink of critical questions: "many residents I talk to feel that way, however..." "thats an excellent question but when you consider...." "I'm glad you thought of that because...."
- you must get to the point in a reasonable amount of time.


Adapting to the Interviewee: Close Minded and Authoritarian Interviewees

- this type of interviewee relies on trusted authorities and is more concerned about who supports a proposal than a proposal itself.
- facts alone, particularly statistics, will not do the job. show that the interviewee's accepted authorities support your persuasive efforts. the close-minded and authoritarian person has strong, unchangeable central values and beliefs and you must be able to identify yourself and your proposal with these values and beliefs.
- don't bypass hierarchical channels or alter prescribed methods. authoritarians react negatively to interviewers who don't belong or appear to be out of line, and may demand censure or punishment for appearing to violate accepted and valued norms.


Adapting to the Interviewee: Skeptical Interviewees

- if the person is skeptical, begin the interview by expressing some views the interviewees holds - a yes-yes or yes-but approach. maintain positive nonverbal cues such as a firm handshake, eye contact, a warm and friendly manner, and appropriate appearance and dress.
- if the interviewee feels you are young and experienced, allude tactfully to your qualifications, experience, and training and provide evidence that is substantial and authoritative.
- be well prepared and experienced without bragging
- avoid undue informality and a cocky attitude. if they see you as argumentative, avoid confrontations, attacks on the person's position and demands
- if the interviewee thinks you are a know it all, be carefully when talking about your qualifications, experience and achievements.
- if they have concerns about your org, withhold its name until you have created personal credibility
- if the name must come out early in the interview, try to improve its image by countering common misperceptions, relating how it's changed, or identifying its strengths. you may have to distance yourself from some elements or past practices of your organization.
- image or credibility may be the major cause of failure.


Adapting to the Interviewee: Shopping Around Interviewees.

- they may shop around before making a major purchase or decision and will face counter-persuasion from other interviewers. when meeting with a shopper or an undecided person, forewarn and prepare the interviewee.
- provide them with supportive arguments, evidence and responses to qs or points others are likely to raise. give small doses of the oppositions case's (inoculation theory) to show the strengths and weaknesses of both sides.
- develop a positive, factual, nonemotional approach that addresses the competition when necessary but dwells primarily on the strengths of your position and proposal.


Adapting to the Interviewee: Intelligent, Educated Interviewees

- these tend to be less persuasible bc of knowledge level, critical ability and faculty for seeing the implications behind arguments and proposals. research shows that such interviewees are more likely to attend to and comprehend the message position but are less likely to yield to it. for example, they are likely to see through the good guy-bad guy approach used in many sales situations.
- when working with these interviewees, support your ideas thoroughly, develop arguments logically, and present a two-sided approach that weighs both sides of the issues. minimize emotional appeals, particularly if the person is neutral or initially disagrees with your position or proposal.
- encourage the interviewee to ask questions, raise objections and be an active participant.
- if an interviewee is of low intelligence or education, develop a simple, one sided approach to minimize confusions and maximize comprehension. a complex, two sided appraoch and intricate arguments supported by a variety of evidence may confuse them
- use examples, stories and comparisons rather than expert testimony and stats


The Solution: Establishing Criteria

- when you have presented the need, summarized your main points, and gotten important agreements, you are ready for solutions.
- begin the solution phase by establishing criteria (requirements, standards, rules, norms, principles) that any solution should meet. if the interviewee is obviously ready to move into this phase of the interview before you have presented all of your points, move on.
- establish a set of criteria with the interviewee for evaluating possible solutions. this process is natural to us. for ex., when selecting a college major, you may have considered courses, core requirements, specialties, careers, faculty, availability of internships, and marketability when you graduate. in simple decisions such as selecting a place to eat, you may have criteria in mind such as type of food and drink, cost, distance, location atmosphere music etc.
- use this natural process in persuasive interviews
- as you think of criteria prior to the interview and develop them with the interviewee during the interview, realize that not all criteria are of equal importance. for ex., admissions directors at universities have found that quality of school is the most important criterion for out of state applicants while cost is number 2 or number 2 for in state students. the situation can influence the criteria
- for ex., cost may override all other criteria during an economic recession
- establishing a set of criteria with the interviewee invovles the interviewee in the process; shows that you are attempting to tailor your proposal to his or her needs, desires and capabilities, provides a smooth transition from the need to the solution; and reduces the impression that you are overly eager to sell your point. agreed-upon criteria enable you to build a foundation of agreements, provide an effective means of comparing and assessing solutions, and deals with objections.
- establishing criteria is natural but often unconscious
- all criteria are not created equally
- criteria are designed to evaluate and do persuade


Considering the Solution

- present your solution in detail. don't assume the interviewee will understand the details and nature of the solution you have in mind unless this becomes clear during the interview. it's best to err on the side of too much info rather than too little.
- if you consider more than one solution, deal with one at a time. explain a solution in detail and use whatever visual aids might be available and appropriate: booklets, and brochures, drawings and diagrams, materials objets and models
- interviewees may remember only about 10 percent of what they hear but about 50 percent of what they do and 90 percent of what they both see and do
- approach the solution positively, constructively and enthusiastically. believe in what you are presenting and show it. emphasize the strengths and benefits of your proposal rather than the weakness of the competition
- avoid negative selling unless the competition forces you to do so as a matter of self-defense. the interviewee is likely to be ore interested in the advantages of your proposal than the disadvantages of another.
- help interviewees make decisions that are best for them. encourage questions and active involvement.
- use repetition, which one writer calls the heart of selling, to enhance understanding, aid memory, gain and maintain attention, and make the interviewee aware of what is most important
- educate the interviewee about options, requirements, time constraints and new features


Handling Objections

- perhaps nothing seems more threatening than the though of an interviewee raising unexpected or difficult objections
- it's best to encourage the interviewee to voice objections to reveal the interviewee's concerns, fears, misunderstandings and misinformation. do not assume agreement bc the interviewee raises no questions or objections. watch for NV cues such as restlessness, fidgeting, poor eye contact, raised eyebrows, confused looks, signs of boredoms or silences.
- find out what is happening within. objections are numerous and often issues, goal, situation or interviewee specific

- PROCRASTINATION: never do today what you can put off until tomorrow
- Examples: Let me think about it. I've still got three weeks before that paper is due. My old truck is doing fine so I'll wait for a while.
- COST: that's a lot of money
- Examples: that iPhone is too expensive for me, I didn't expect remodeling to cost that much, That's pretty expensive for a two-day conference.
- TRADITION: we've always done it this way
- Examples: that's how we have always done business, we've always had our reunions there, my father chose that line of shoes when he opened business in 1924
- UNCERTAIN FUTURE: who knows what tomorrow will bring
- Examples: my job is rather iffy right now, the economy is struggling, so I'm reluctant to hire new staff, at my age, I don't buy green bananas
- NEED: what is the problem?
- Examples: we have good investments, so we don't need life insurance, the current system is working fine right now, we don't have much crime around here so we don't need an alarm system


Handling Objections: How to Approach Objections

- anticipate objections and eliminate surprise. think about handling each objection as a series of steps

1. plan how to respond to reduce surprises
2. listen carefully, completely and objectively never assuming you understand the other person's point or concern until you have heard it
3. clarify the objection making sure you understand exactly what it is and its importance before you reply
4. respond appropriately, tactfully and seriously. if an objection is serious to the interviewee, it is serious.

- there are four common strategies for handling objections
1. minimize the objection
2. capitalize on the objection
3. deny an objection
4. confirm an objection


1. Minimize the Objection

- minimize an objection by restating it to make it less important or by comparing it to another weightier matter. provide evidence to reduce its importance

- Interviewee: we've always thought it would be great to live downtown in a loft like this, but we are afraid of the crime rate in downtown areas
- Interviewer: that was true a few years ago but crime is declining in the centers of the city and spreading to outlying areas where there are fewer police forces. robberies have declined by 23% in this areas during the past three years and increased by 27% in outlying areas

- reduce the importance of that objection


2. Capitalize on the Objection

- capitalize on an objection to clarify your point, review the proposal's advantages, offer more evidence, or isolate the motive behind the objection. convert a perceived disadvantage into an advantage

- we'd like to purchase a house instead of continuing to pay rent on an apartment, but the housing market seems really bad with all the foreclosures and banks being reluctant to make home loans right now
- actually, this is a good time to buy a home. mortgage rates at 3 percent are the lowest in almost 50 years; the market is flooded with good homes in all price ranges. all of this will change in a few months as the recession lessens and more buyers enter the market

- take advantage of the objection


3. Deny an Objection

- deny an objection directly or indirectly by offering new or more accurate info or by introducing new features of a proposal. you cannot deny an objection by merely denying it; you must PROVE IT

- i have heard that your group wants to raise our property taxes by 25% and are against the school voucher program that allows many of us to send our children to faith based schools
- actually it's a 2.5% increase on property taxes to prevent the loss of quality teachers in our schools, busing for students, and advance course essentials. we are not against the voucher program


4. Confirm an Objection

- confirm an objection by agreeing with the interviewee. it is better to be honest and admit problems than to offer weak defenses.
- don't try to deny the undeniable.

- admit that something is expensive if it is, but point out other high priced comparable items and the perks to why the price is high in the product you are selling



- approach the closing confidently and positively. don't pressure the person or appear to eager. interviewers may hesitate to close, fearing they my fail to persuade while interviewees fear they will make a wrong choice.
- sales professionals, cite hesitation to ask for a sale as the major cause of failure to sell

- the closing consists of three stages
1. trial closing
2. contract or agreement
3. leave-taking


1. Trial Closing

- close as soon as possible and don't keep talking if the interviewee is sold on your proposal. you make talk yourself out of an agreement.
- as you approach the end of the solution phase, watch and listen for NV and V cues that lets you know the person is moving towards a decision. verbal cues may be questions that let you know they are truly interested. NV cues include enthusiastic expressions, head nods, smiles, etc.
- yes-response and leading questions verify that the interviewee is ready to close. I'm sure you can see this is the way to to go. you want this condo, don't you? do you want to face a lawsuit?
- after you have asked a trial closing question, be quite. give them time to think and self persuade. silence communicates confidence and gives the interviewee a chance to raise unanswered questions and objections
- if you get a no to your trial closing question, ask why. you may need to review the criteria, compare advantages and disadvantages of acting now, or provide more information
- a interviewee may not be ready to act. fear of possible consequences and how others may react may overcome a need or desire.
- if you get a yes to your trial closing question, lead into the contract or agreement stage "we can sign off on this today." "we can have this equipment installed within two weeks" "it would be a relief to have this decision made"
- always know when to stop talking and probe insightfully and cautiously into negative responses


2. Contract or Agreement

- after a successful trial closing, move onto the contract or agreement stage. this is a critical time because the interviewee knows the closing and a commitment are coming.
- be natural and pleasant. maintain good communication. consider closing techniques appropriate for this stage
- an assumptive close addresses part of the agreement with a phrase such as "I assume you prefer..."
- a summary close summarizes agreements made as a basis for decisions
- an elimination of a single objection close response to the single objection that stands in the way of an agreement
- and either-or close limits the interviewee's choices, then shows that the solution you advocate has the most advantages and fewest disadvantages
- an I'll think it over close acknowledges the interviewee's desire to think about a decision. try to discover the level of interest and why they are hesitating
- a sense of urgency close stresses why they should act now
- a price close shows the saving possible or the bottom line of the offer


3. Leave-Taking

- when the contract or agreement is finished, no agreement or contract can be reached, or another interview is necessary, conclude pleasantly and positively. don't let the leave-taking phrase be abrupt or curt. you may undo the rapport and trust you have worked to establish
- adapt the verbal and nonverbal leave-taking techniques discussed in chapter 4 or combine them to suite each interviewee.
- be sincere and honest in this final closing phase, and make no promises you cannot or will not keep bc of personal or authority limitations, organizational policies, laws or time constraints.
- leave-taking should reinforce all that you have accomplished.


Psychological Strategies:

1. Contrast Principle

- in the contrast principle, interviewers know that if a second item is fairly different from the first in attractiveness, cost, or size, it seems more different that it actually is. if I want to rent you an apartment, I may show you a rundown one first and then a somewhat better apartment next. you may see the second apartment as substantially rather than moderately better. if a sales person can sell you an expensive suit first, then expensive ties shirts and belts seem inexpensive in comparison


Psychological Strategies:

2. Rule of Reciprocation

- the rule of reciprocation instills in you a sense of obligation to repay in kind what another provides. for instance, if a person gives you a free soft drink and then asks you to buy a raffle ticket, you feel obligated to buy the ticket even though it m ay cost more than the soft drink. this process is at work every time you open your mail and discover yet another packet of personalized address labels. you are likely to send in a donation or not use the labels even though you did not request them. research reveals that if you use the labels and do not send in a donation you may experience psychological discomfort and fear shame if someone discovers your action
- we feel obligated to return favors.


Psychological Strategies:

3. Reciprocal Concessions

- in a reciprocal concessions strategy, you feel a sense of obligation to make a concession in response to a concession. parties employ this psychological strategy in labor-management negotiations when one party, for example, concedes on health care and the other then feels obligated to concede on retirement benefits. you encounter this strategy every day in interactions such as when a roommate agrees to provide the car for an outing and you feel obligated to pay for the gas.
- one concession deserves another, or not.


Psychological Strategies:

4. Rejection than Retreat

- a rejection than retreat strategy begins with a proposal that may make a second more acceptable. the idea is that after you reject the first you will feel both obligated and someone relieved to agree to the second. one study discovered that if Boy Scouts asked ppl to purchase $5 circus tickets and were turned down, the same person were likely to say yes to the second proposal of a dollar chocolate bar. the boy scouts gained either way and the persuadees feel good about helping out for a lesser amount. salespersons often start with the top of the line and then retreat to a fallback position if necessary.


Psychological Strategies:

5. Undercover or Stealth Marketing

- in undercover or stealth marketing, an interviewer party or two or more ppl pretends to be a friendly, disinterested party and not a sales representative. for example, two people appearing to be tourists or visitors ask a person passing by if she will take their picture. the cooperative passerby agrees and just happens to notice that the couple has a very interesting and attractive digital camera. she asks about it and the party, who just happens to be undercover sales reps for this camera company, gladly comply. the persuadee as no idea that the sales interview has even taken place.


Be a Critical Participant: Language Strategies

- language is far more than a collection of words and rules for proper uses. language is the instrument and vehicle of human action and expression.
- skilled interviewers are keenly aware of the power and manipulation of verbal symbols, but too many of us see the symbols are merely words and rules.
- researchers warn that as receivers, we need to get to the bottom of persuasive meanings; carefully analyzing the symbols used or misused by persuaders can help us get there.
- an important first step in this analysis is to identify common language strategies


Language Strategies: Framing and Reframing

- persuaders use language to frame or construct the way you see people, places, things and objects.
- for instance, use of jargon substitutes peculiar words for common words. while some jargon seems harmless enough (schedule irregularity for flight delay) others can hide the truth (terminological inexactitude for lie), make something sound more technical than it is, more valuable than it is, or less severe that it is.
- jargon may require special interpretations and make us dependent on attorneys for help, advice and action
- strategic ambiguities are words with multiple or vague meanings. persuaders assume you will interpret the words according to their specific needs or perceptions without asking embarrassing, negative or insightful questions
- if a politician claims to be a conservative or moderate, what exactly is this person? studies show that we will pay a premium price for light, diet natural and low carb products without knowing how these differ from ones that are not.
- imagery - word pictures - contains multi-sensory words to color what you have experiences, will experience, may experience or experience indirectly. a rep for a travel agency with the aid of posters pictures and websites will help you visualize yourself on the trip. on the other hand, an interviewer might employ the same tactics to paint a negative picture with apocalyptic images and dire predictions if you vote for a specific person, purchase a certain product, join a certain group, etc.
- euphemisms substitute better sounding words for common words. cadillac was the first to substitute preowned for used cars, emphasizing ownership rather than use. you might find an inexpensive interview suit but not a cheap one and purchase from a sales associate rather than a clerk. lifelike christmas tree sounds better than a fake one. we are all attracted by pleasant sounding words, names and labels
- differentiation is not an attempt to find a better sounding word but to alter how you see reality. for ex., when an animal rights advocate wants you to become and animal guardian instead of an animal owner, this person wants to change how you see your relationship with your pet. calling female members of an org. women is not political correctness-a euphemism-but an effort to change perceptions of the abilities, capabilities, and maturity of women compared to girls. the purpose of euphemisms and differentiation are very different; the first wants to make something SOUND BETTER while the second wants to change your VISIONS OF REALITY


Language Strategies: Appealing to People

- interviewers may appeal to your historic faith in the rule and wisdom of "the people", following Lincoln's adage that you can fool all of the people some of the time and some of the people all of the time, but you can't fool all of the people all of the time.
- the ad populum tactic claims to speak on behalf of the people, the alleged majority, such as voters, students, employees, college athletes, consumers, small business owners, etc. it is the common folk of course, not the elite, the government, the administration or the execs.
- the bandwagon tactic urges you to follow the crowd, to do what everyone else is doing, buying, wearing, attending, voting, etc. it appeals to your desire to belong and conform, often accompanies by a note of urgency "this course if filling up quickly" "these tickets are almost sold out"
- listen for important qualifiers such as nearly, probably. almost, majority. ask for numbers or names of those who have signed a petition, agreed to a change, or joined and organization. be cautious of phrases such as experienced investors, people in the know, and those who are on the move that are designed to pressure and flatter.
- for many of us, the majority rules.
- always have an inquiring mind


Language Strategies: Simplifying the Complex

- interviewers attempt to reduce complex issues, controversies, and situations to their simplest elements. the thin entering wedge, also known as the domino effect or the slippery slope, claims that one decision, action or law after another is leading toward disastrous consequences.
- talk to a person who is against censorship, gun control, or same sex marriages and you are likely to hear how censorship of books in schools is one more step towards censoring all reading materials, how same sex marriage is a slippery slow toward the destruction of home and the family.
- look for evidence of a related, intentional string of actions that are tipping dominos, producing wedges or sliding down a dangerous slope.
- slogans are clever words or phrases that encapsulate positions, standards or goals. they are vague but powerful means to alter the way you think feel or act because they are catchy and entice you to fill in the meaning- to self persuade. interviewers rely on slogans to attract customers, recruiters, contributors, and loyalty and may change them to communicate different messages. ask what slogans mean and if they truly represent the person, org, campaign or solution
- an interviewer may polarize people, organizations, positions, or courses of actions by claiming that you only have a choice of two: conservative or liberal, friend or foe, chevy or ford, wind power or nuclear power, for gun control or against gun control, etc. polarizing limits our choices and our thinking.


Language Strategies: Dodging the Issue

- attacking a source does not address the issue. sharing guilt does not remove the guild. blaming others is an attempt to dodge responsibility.
- interviewers may attempt to dodge critical issues, questions or objections, ad hominem (getting personal) dodges undesired challenges by discrediting a source because of age, culture, gender, race, affiliations or past positions, statements or claims.
- a parent may tell a child to just consider the source when the child is called a name or has a belief challenged. someone may urge you to ignore research conducted by a known conservative or liberal. insist that the interviewer address the issue, point or substance of the research.
- you have used the tu quoque tactic since childhood to dodge an issue or objection by revolving it upon the challenger or questioner "you're one too" "it takes one to know one" "so do you". these are classic tu quoque responses. if you question a political candidate about taking money from special interests, the person may reply "all politicians take money from special interests"
- interviewers may dodge issues by transferring guilt to others, making the accuser, victim or questioner the guilty party. cheating on an exam is the professors fault, parking illegally is the colleges fault, etc. don't allow attribution of guilt to others without addressing questions, concerns and objections


Logical Strategies

- the logical and psychological are inseparable.
- persuaders develop arguments into what appear to be valid and acceptable patterns. it is important to recognize and challenge these common logical patterns.


Logical Strategies

Argument from Example

- argument from example is a statement about the distribution of some characteristics among the members of a whole class of people, places or things. it's based on a sample of this class. if you recognize this patter, ask what is the total amount of this sample, what is the nature of this sample, when was it taken, what is the interviewer asserting from this sample? always check the sample from which generalizations come from. be aware of hasty generalizations in which the persuader generalizes to a whole group of people, places or things from one or few examples. for ex. a friend may tell you not to dine a particular place bc they had a bad meal there once.


Logical Strategies

Argument from Cause-to-Effect

- argument from cause-to-effect addresses what caused an effect. ask was this cause able to generate this effect, was this the only possible cause, was this the major cause, what evidence is offered to establish this causal link, etc. be aware of the post hoe or scrambling cause-effect fallacy that argues simply because B followed A, A must have caused B. for instance, I got the flu the day after I got that flu short, so that must have given me the flu. just because B followed A, does not mean that A caused B


Logical Strategies

Argument from Fact or Hypothesis

- arguing from fact or hypothesis offers the best accounting or explanation for a body of facts and is the type of reasoning investigators use in murder mysteries. a football coach may argue that bc he has a senior QB who has started for 3 yrs, and has a bunch of other good members on the team, that this will be the team's breakout year. ask these questions when hearing an argument from fact: how frequently is this hypothesis accurate with these facts? is the body of facts sufficient? what facts would make this claim more or less convincing, how simple or complex is the hypothesis, etc


Logical Strategies

Argument from Sign

- arguing from sign is a claim that two or more variables are related in such a way that the presence or absence of one may be taken as an indication of the presence or absence of the other. for ex., you may note that the flag on the post office is at half-mast and reason that someone important has died. ask what is the relationship between these variables, is the presence or absence verifiable, what is the believability or reliability of the sign, etc. a sign may have many meanings or no meaning


Logical Strategies

Arguing from Analogy or Comparison

- arguing from analogy or comparison is based on the assumption that if two people, places, or things have a number of similarities they also share significant others. a sales rep might argue that since a moderately priced SUV has many of the same features as a luxury SUV, you should lease the less expensive SUV bc it is of the same quality. ask how similar are these similarities, are enough similarities provided, are these similarities critical enough to claim, etc. look for important differences as well as similarities


Logical Strategies

Arguing from accepted Belief, Assumption or Proposition

- arguing from accepted belief, assumption or proposition is based on a statement that is thought to be accepted or proven.the remainder of the argument follows from the assertion such as smoking causes cancer, you are a smoker, therefore you may get cancer. ask do you accept the foundational assertion, does the other assertions follow logically from the chain of assertions, does the claim necessary follow from these assertions, etc. beware that arguments based on alleged self-evident truths that cannot be questioned or disputed bc they are "fact"


Logical Strategies

Argument from Condition

- in argument from condition an interviewer asserts that if something does or does not happen, something else will or will not happen. the central focus in the word IF. ask is the condition acceptable, is this the only condition, is the he major condition, etc
- if arguments may ignore obvious or unpredictable conditions


Evidence is critical and needs to be assessed carefully

- look closely at the evidence an interviewer offers or does not offer to gain attention and interest, establish credibility and legitimacy, support arguments, develop a need or present a solution. evidence may include examples, stories, authorities or witnesses, comparisons and contrasts, stats and key definitions. use these questions to assess the acceptability of an interviewer's evidence

- is the evidence given trustworthy? are the persuaders and ppl being cited reliable or unbiased?
- is the evidence authoritative? what are the training, experience and reputation of those being cited and what position were they in to observe the facts events or data?
- is the evidence recent? is the most recent evidence available or is newer evidence of available? have ppl changed their mind?
- is the evidence documented sufficiently? do you know where and how the stats or results were determined, who determined them, and when they were reported?
- is the evidence relayed accurately? can you see alterations or deletions in quotes, stats, or documentations? is the evidence cited in context?
- is the evidence sufficient in quantity? are enough authorities cited? enough examples given?
- is the evidence sufficient in quality? are opinions stated as facts, how satisfactory is the sample, does proof evidence outweigh clarifying evidence, etc?

- insist on both quality and quantity of evidence. assess reliability and expertise of sources.
- be active in the interview. each interview has the potential of altering or reinforcing the way you think, feel, act, including the money you spend, the votes you cast, relationships you establish, possessions you protect, the work you do and life you lead. as a variety of questions during each interview. informational questions, for example, enable you to obtain info and explanations, probe into vague and ambiguous terms and comments, reveal feelings and attitudes that may lie hidden or merely suggested.
- there are NO foolish questions, only questions you foolishly fail to ask.


Counseling Interview

- this is one of he most sensitive interviews bc it occurs only when a person feels incapable or unsure of handling a personal problem. the problem may be work performance, grades, finances, relationships, health etc.
- the purpose of the counseling interviewer is to assist a person in gaining insight into and ways of coping with the problem, not to resolve the problem for them
- ultimately the person with the problem must resolve it. that's why many sources refer to the counseling interview as the helping interview
- relatively few ppl are highly trained counselors or therapists, but nearly all of us counsel or help co-workers, friends, family members, students, neighbors and fellow members of org when they approach us with a problem or concern and ask us to listen, offer a bit of advice, or help them cope with a situation
- your formal training in counseling may range from none to several hours in training sessions and workshops to prepare you for your helping role as a member of the clergy, a physician, a lawyer, or a funeral service director.
- experts in crisis management claim that in a time of crisis, everyone is a resource.
- the so called lay counselor with minimal training has proven to be quite successful, partly because people seeking help trust people similar to them and appear to be open, caring and good listeners.
- nearly every state as a CASA court appointed special advocate program in which carefully selected volunteers undergo hours of training and then become advocates for children who have been abused or neglected. they get to know these children thoroughly and serve as their voice in court.


Ethics and the Counseling Interview

- ethics is at the heart of every counseling interview, and it's not unusual for counselors to face difficult ethical dilemmas such as maintaining appropriate boundaries with subordinates and know when to say no to a request for help.
- the preamble to the "code of ethics" of the American Counseling Association (ACA) specifies that through a chosen ethical decision making process and evaluation of the context of the situation, counselors are empowered to make decisions that help expand the capacity of ppl to grow and develop. a variety of resources on counseling offer many guidelines for this decision making process.


Ethics and the Counseling Interview:

Establish and Maintain Trust

- you must establish trust with the party you wish to help, what the ACA identifies as the cornerstone of the counseling relationship. the potential value of a sound relationship base can not be overlooked bc the relationship is the specific part of the process that conveys the counselor's interest in and acceptance of the client as a unique and worthwhile person and builds sufficient trust for eventual self disclosure and self revelations to occur.
- trust and safety is clearly the most important because it is the core trait or essential element of the counseling interview.
- without trust, no interview is likely to occur.
one study found that ppl yet contemplating change, compared to those that are contemplating change, already engaged in change, or maintaining previous changes, have significantly lower expectations of help and the interviewer's acceptance, genuineness and trustworthiness.
- to establish and sustain trust, you must show that you are trustworthy. be genuinely interested in the person seeking help and prove that you respect the person's privacy. keep interactions strictly confidential so the interviewee can disclose his or her innermost thoughts and concerns without fear that you will relate these to others. honor all commitments you make.
- trust is the keystone to effective counseling


Ethics and the Counseling Interview:

Act in the Interviewee's Best Interest

- all of your efforts to help must be in the other's best interest. know if the person is capable of making sound choices and decisions. encourage interviewees to make decisions within their personal beliefs, attitudes and values. respect the other's dignity as you strive to promote this person's welfare.
- some authorities on counseling claim that an interviewer's self disclosure of personal experiences and background helps the the interviewee to gain insights and new perspectives for making changes bc of an equalized relationship and reassurance.
- on the other hand, others warn that while sharing personal stories may be powerful, this sharing may appear to be self-indulgent to the interviewee and detract from the interviewee's own experiences.
- provide info necessary for the interviewee to make informed decisions and choices. this requires you to be well informed ab relevant information on this person's socioeconomic status, education, work history, family background, group memberships, medical and psychological history, test results and past issues and courses of action/
- talk to ppl who know the interviewee well such as instructors, employers counselors family members friends and coworkers to gain insights into the interviewee that will guide you when conducting the counseling interview
- asses info from others carefully. all of us have formed negative, defensive or wary attitudes towards a person bc of what others have told us only to discover the opposite was true when we interacted directly with this person. beware of preconceptions that may lead you to prejudge an interviewee or formulate a defensive or antagonistic approach. be particularly cautious when working with children.
- always respect the other party's dignity and worth.


Ethics and the Counseling Interview:

Understand Your Limitations

- be realistic ab your counseling skills and limitations, and do not try to handle situations for which you have neither the training nor the experience. self awareness is an important aspect of competence and involves a balanced assessment of our strengths and limitations.
- know when to refer the interviewee to a person with greater counseling skills and expertise. for instance, a teacher must be able to detect when a student needs psychological or medical rather than academic help.
- skills counselors are open minded, optimistic, self assured, relaxed, flexible and patient. they are people centered rather than problem centered. they are sensitive to others' needs and are able to communicate understanding, warmth, comfort and reassurance.
they give interviewees undivided and focused attention. provide verbal and nonverbal responses and they are excellent listeners
- listening is the most crucial helping skill
- society provides us with euphemisms for vagina, breasts, penis, intercourse rape, and masturbation. how comfortable are you with using proper terms and names for conditions, actions and body parts. your unease is likely to become apparent to the interviewer and stifle disclosure and communication.


Ethics and the Counseling Interview:

Do Not Impose Your Beliefs, Attitudes and Values

- you bring you entire self to each counseling interview, including your personality, beliefs, attitudes, values and experiences. be aware of the importance of the values you hold and how they compare to the values of the interviewee. the value of both parties affect all aspects of the counseling interview.
- in other words, can you restrain your personal beliefs, needs and attitudes so as not to become argumentative or defensive and not to impose your will on the interviewee? you must be able to work jointly in devising plans and courses of action.
- anyone who feels they can operate from a value neutral perspective is deeply mistaken. you transmit your values through dress, appearance, eye contact, manner and words. although it is impossible to be value neutral or value free, you must strive to understand and respect the interviewee's values that may be very different from your own. can you set aside your values or suspend judgement so you can conduct a successful and helping interview?


Ethics and the Counseling Interview:

Respect Diversity

- you must understand and respect the interviewee's culture and how it differs from your own bc cultural differences may have a variety of effects on your counseling interview. merely being culturally aware is not adequate.
- culture controls our lives and defines reality for us, with our without our permission and or intentional awareness. when you think of the word culture you may focus on gender, race, ethnicity, and national origin but it is recommended that helpers regard all conversations with clients as cross-cultural. add sexual orientation, socioeconomic class, geographical area, religion or spirituality, physical and mental abilities and family form to your list.
- if you feel that you aren't prepared for cross-cultural counseling, seek training and assistances from skilled counselors. interviewers who are racially unaware must obtain sufficient training in becoming multiculturally competent.
- such training should emphasize racial and cultural self awareness, knowledge ab other racial and cultural groups in the context of interpersonal interactions and skill development in terms of intervening with clients in a culturally appropriate manner.
- improve cultural awareness by avoiding generalizations and stereotypes; there is diversity among diversity
- try to meet ppl where they are, not where you think they ought to be.
- don't assume the correct values belong to your culture exclusively. when there is a match of world views btwn interviewer and interviewee, good working relationships are established and interviewees feel more understood. a mismatch may hinder the relationship.
- on the other hand, don't assume cultural differences override all other considerations in counseling interviews. qualities intrinsic to the personalities, attitudes and nonverbal behaviors of interviewers than gender or ethnic group membership-largely account for counseling effectiveness.
- strive to be more than "culturally aware"


Prepare Thoroughly for the Counseling Interview

Anticipate Questions and Responses

- if you know an interviewee thoroughly prior to the interview, you may anticipate and respond effectively to common comments and questions such as the following:
- if I need help I'll let you know, I can take care of myself, I need to get back to work, Why should I discuss my problems with you, You won't understand, Don't tell mom and dad, No one knows how I feel, Get off my back, I can't afford to take time off, You don't know what it's like being a student, parent, patient or teacher, etc.
- the more thoroughly you have analyzed the interviewee, the more likely you are to know WHY a person is reacting in a certain why and how to reply effectively.
- if an interviewee asks for help without notice or explanation and you have no relational history with this person, rely on your training and experiences to discover what is bothering the person and how you might help.
- don't assume you know why a person is calling, showing up at at your door, or bringing up a topic. ask open ended questions that enable the interviewee to explain the purpose of the interview. listen carefully for info and insights that will enable you to help this person
- listen rather than talk and be prepared for rejections of offers to counsel.


Consider Interviewing Approaches

Directive Approach

- when using a directive approach, you control the structure of the interview, subject matter, pace of interactions and length of interview.
- you collect and share info, define and analyze the issues, suggest and evaluate solutions, and provide guidelines for actions.
- in brief, you serve as an expert or consultant who analyzes problems and provides guidelines for actions
- the interviewee is a reactor and recipient rather than and equal or major player in the interaction. the directive approach is based on the assumption that you know more about the problem than the interviewee and are better suited to analyze it and recommend solutions.
- the accuracy of this assumption, of course, depends on you, the interviewee and the situation.
- know when to maintain control and when to let go.


Consider Interviewing Approaches

Nondirective Approach

- the interviewee controls the structure of the interview, determines the topics, decides when and how they will be discussed, ands sets the pace and length of interview
- you assist the interviewee in obtaining info, gaining insights, defining and analyzing problems, and discovering and evaluating solutions.
- you listen, observe and encourage but do not impose ideas.
- most sources prefer a nondirective approach to counseling and emphasize the interviewer's role as engaging, exploring, encouraging, listening, understanding, affirming, reassuring, and validating rather than ordering, confronting, directing, warning, threatening, cautioning and judging.
- this approach is based on the assumption that the interviewee is more capable than you of analyzing problems, assessing issues and solutions, making correct decisions, etc. the interviewee must implement recommendations and solutions.
- the accuracy of this assumption, like the directive assumption, depends on you, the interviewee and the situation.
- the interviewee may know nothing about the problem or potential solutions, or worse, may be misinformed about both. the interviewee's problem may not be lack of information or misinformation but the inability to visualize a current or future problem or make sound decisions.
- you serve as an objective, neutral referee, presenting pros and cons of specific courses of actions.
- distinguish between when you are serving as expert advisor and when, perhaps subtly and unintentionally, you are imposing personal preferences.
- don't assume a problem is lack of information.
- the interviewee may prefer a directive (highly structured) interview approach. a study of Asian American students showed that when career counselors used a directive approach, students saw them as more empathetic, culturally competent, and providing concrete guidance the produced immediate benefits.


Consider Interviewing Approaches

Combination of Approaches

- many counseling interviews employ a combo of directive and nondirective approaches. you may begin with a nondirective approach to encourage the interviewee to talk and reveal the problem and its causes.
- then you may switch to a more directive approach when discussing possible solutions or courses of action
- a directive approach (highly structured) is best for obtaining facts, giving information and making diagnoses
- a nondirective approach tends to open up large areas and bring out a great deal of spontaneous information


Prepare Thoroughly for the Counseling Interview

Select a Structure

- no standard structural format for the counseling interview, but the "sequential phase model" is applicable is most counseling situations.
- they developed this structure originally from handling calls to campus and community crisis centers.

1. establish a helpful climate (affective/emotional)
- making contact
- defining roles
- developing a relationship

2. assessment of crisis (cognitive/thinking)
- accepting info
- encouraging info
- restating info
- questioning for info

3. affect integration (affective/emotional)
- accepting feelings
- encouraging feelings
- reflecting feelings
- questioning for feelings
- relating feelings to consequences or precedents

4. problem solving (cognitive/thinking)
- offering info or explanations
- generating alternatives
- decision making
- mobilizing resources


Prepare Thoroughly for the Counseling Interview

Select a Structure

- the affective or emotional phases, 1 and 3, involve the interviewee's feelings and trust in the counselor, feelings about self and feelings about the problem. a nondirective approach is usually the best for the affective phases (1 and 3) of the interview.
- the cognitive or thinking phases, 2 and 4, involve thinking about the problem and taking action. a directive or combination approach is usually best for the cognitive phases.
- the typical counseling interview begins with establishing rapport and a feeling of trust (phase 1 - establishment of helpful climate), proceeds into discovering the nature of the interviewee's problem (phase 2 - assessment of problem), probes more deeply into the interviewee's feelings (phase 3 - affect integration) and comes to a decision about a course of action (phase 4 - problem solving).
- don't expect to move through all four phases every counseling interview or to proceed uninterrupted or in numerical order. you may go back and forth between phases 2 and 3 or 3 and 4, as different aspects of the problem are revealed or disclosed, feelings increase or decrease in intensity and a variety of solutions are introduced and weighed.
- unless the interviewee wants specific info (where to get medical or housing assistance, how to drop or add a course, how to get an emergency loan) you may not get to phase 4 until a second, third or fourth interview.


Prepare Thoroughly for the Counseling Interview

Select a Setting

- consider carefully the climate and tone of the interview. each will affect the levels of communication that take place and the willingness to disclose feelings and attitudes.
- provide a climate conducive to good counseling - quiet, comfortable, private and free of interruptions
- an interviewee will not be open and honest if other ppl can overhear the convo
- select a neutral location such as a lounge, park, or org cafe where the interviewee might feel less threatened and more relaxed. some interviewees feel more comfortable or safe only on their own turf so consider meeting in the person's room, home, office or business
- when possible, arrange seating so that both parties are able to communicate freely. you may want to sit on the floor with a child, perhaps playing a game, drawing pics, or looking at a book. many students comment that an interviewer behind a desk makes them ill at ease, as though the "might one" is sitting in judgement.
- they prefer a chair at the end of the desk, at a right angle to the interview, or in chairs facing one another with no desk in between
- arrangements of furniture can contribute to or detract from the information, conversational atmosphere so important in counseling sessions
- counseling interviewers found that a round table, similar to a dining room or kitchen table is preferred by interviewees bc it includes no power or leader positions. interviewees like this arrangement bc they often family family matters around the dining or kitchen table.
- don't underestimate the importance of location or setting.
- a round table is a traditional arrangement for problem solving.


Conducting the Interview

The Opening: Rapport and Orrientation

- the counseling interview may consume considerable time getting acquainted and establishing a working relationship, even when your relationship with the interviewee has a long history
- the relational history may be positive or negative bc both parties monitor previous interactions and enter a new exchange with high or low expectations
- the counseling interview if often more threatening than other interactions
- an interviewee my begin by talking about the building, books on shelves, pics on the walls, view out the windows, or weather. be patient
- he interviewee is sizing up you, the situation, setting and may be building up the nerve to introduce an issue.
- the rapport stage is your chance to show attention, interest fairness willingness to listen, and ability to maintain confidences. in other words, it is the critical stage in establishing trust with the interviewee.
- you can discover their expectations, and apprehensions about the interview and attitudes toward you, your position, your org and counseling sessions.
- when rapport and orientation are completed, let the interviewee begin with what seems to be of most interest or concern to them. it is the first step toward revealing the precise nature of the problem the interviewee has been unable to face or solve. do not rush this process. observe the NV cues that may reveal inner feelings and their intensity
- remember to accept seemingly irrelevant opening comments.


Conducting the Interview

Encourage Self-Disclosure

- disclosures of beliefs, attitudes, concerns, and feelings determines the success of the CI (counseling interview) and is a major factor in the interviewee's decision to seek or not seek help
- studies reveal that self disclosing is a very complex process that involves intricate decision making
- the climate conducive for disclosures begins during the opening minutes of the interaction. research suggests that the situations is the most important variable in determining level of self disclosure. if positive, it creates a trusting relationship and engenders feelings of safety, pride and authenticity. the interviewee may come to see that keeping secrets inhibits the helping process where as disclosing produces a sense of relief from physical and emotional tension.
- during this stage, focus attention on strengths and achievements rather than weaknesses and failures and what is most in need of attention. this approach builds confidence and a feeling that it is safe to disclose beliefs, attitudes and feelings
- encourage interviewee disclosure by disclosing your feelings, attitudes and ensuring confidentiality and using appropriate humor.
- although full self disclosure is a desirable goal, an interviewee may be less tense and more willing to talk to you by hiding some undesirable facets of themselves.
- if you initiate the counseling session, state clearly and honestly what you want to discuss. if there is a specific amount of time allotted for the interview make this known so you can work within it.
- the interviewee will be more at ease knowing how much time is available. quality is more important than the length of time spend with an interviewee. attire an role behavior significantly affects the interviewee's perceptions of attractiveness and level of expertise and determine how closely the person will be drawn to you and the level of self-disclosure


Conducting the Interview

Encourage Self-Disclosure

- enhance SD through appropriate reactions and responses. prepare carefully to reduce surprises and don't be shocked by what you see and hear. release tensions with tasteful humor but don't appear to minimize the interviewee's problem
- speak as little as possible and don't interrupt the interviewee. listen empathetically. be sure your voice, facial expressions, eye contact and gestures communicate confident, warm and caring image. avoid highly directive responses until you have established a close, working relationship based on tactfulness and honesty.
- culture is a major determinant of the extent of SD in counseling interviews. research has showed how different cultures see the authority of counselors. some eastern cultures ppl see counselors as authority figures and may find a nondirective appraoch unsettling bc the authority has turned the interview over to them for control. they feel much more comfortable when counselors use a directive, interviewer-centered approach.
- african americans engaged in an ongoing assessing process. they assessed client therapist match (white or black) which was influence by salience of black identity, court involvement and ideology similarity between client and therapist. they then assessed their safety. used this info to monitor and manger their degree of SD along a continuum.
- study showed importance of counselor SD along cross cultural counseling - particularly their reactions to and experiences of racism or oppression
- gender may also play a role in determining SD. females tend to disclose more about themselves and their problems than do males, especially on intimate topics such as sex and a persons SD history often affects disclosure in other interviews.
- males often has psychological defense to protect themselves from feelings of weakness and to restrict emotional reactions.


Conducting the Interview:


- most important skill to master. listen for empathy so you can reassure comfort express warmth and try to place yourself in the interviewee's position and world.
- listen for comprehension so you can be patients, receive, understand, and recall interactions accurately and completely.
- avoid listening for evaluation that judges and may openly criticize.
- directly or indirectly moralizing, blaming questioning and disagreeing are major roadblocks to effective counseling.
- to get to the heart of the problem, give undivided attention to the interviewee's words and their implications and to what is unintentionally or intentionally left unmentioned.
- don't interrupt or take over the convo. beware of interjecting personal opinions, experiences or problems. too often, a person may want to talk about a serious illness of a father or mom but the counselor takes over with a story about his or her own family illness.
- if the person pauses or stops talking for a few mins, use silence to encourage the interviewee to continue talking. several NV behaviors communicate a willingness to listen: leaning forward and facing the other person squarely, maintaining good eye contact, and reflecting attention through facial expressions. interviewee's interpret smiles, attentive body postures and gestures as evidence of warmth and enthusiasm


Conducting the Interview:


- observe how the interviewee sits, gestures, fidgets, and maintains eye contact. pay attention to the voice for loudness, timidity, evidence of tension, and changes
- these observations provide clues about the seriousness of the problem and the interviewee's state of mind.
- deceptive answers may be lengthier, more hesitant and with long pauses. ppl also maintain eye contact longer when they lie.
- if you are going to take notes or record the interview, explain why and stop if you detect that either activity is affecting the interview adversely. ppl may be hesitant to leave a recording that other might hear. they are willing to confide in you, not others.
- look for NV signals but interpret them cautiously.


Conducting the Interview:


- qs play important roles in CI, but asking too many is a common mistake. questions may interrupt the interviewee, change topics prematurely, and break the flow of SD's
- numerous qs reduce the interviewee to a mere respondent and may stifle the interviewee's own questions
- open ended qs encourage interviewees to talk and express emotions. both are important for encouraging, reflecting and questioning about feelings and restating and probing for information.
- ask one q at a time bc double-barreled qs result in ambiguous answers with neither portion answered clearly and thoroughly.
- use encouragement probes such as: And? Uhuh? I see. Go on. then what happened? And then?
- use informational probes for clarification, explanation, and in-depth info such as: why do you think that happened? how did she react? what do you mean he "overreacted"? tell me more about your confrontation with this person.
- use clearinghouse probes which can ensure that you have obtained all necessary info about an incident or problem. ex: what happened after that? are these all of the important details? anything else you would like to talk about? have I answered all of your questions?
- some questions can help interviewees make meanings of situations such as: what worries you the most right now, what do you think you can learn from this, what scares you the most now, etc.
- they also provide you with examples of what they call getting through questions that help interviewees manage their emotions: how did you get through that? how are you finding it possible to get through this family crisis, what did you do to feel better about this, etc

- avoid curious probes into feelings and embarrassing incidents specifically if the person seems hesitant to elaborate.
- beware of qs that communicate disapproval displeasure or mistrust that make the person less open and trusting..
- avoid leading questions except for unusual circumstances. counselors working with children may to through intensive training in programs such as "finding words" that stress the use of non-leading questions
- avoid why questions that appear to demand explanations and justifications and put the interviewee on the defensive. imagine how they would react to qs like why weren't you on time, why did you do that, why confront this person, why do you think that. etc.

- keep qs open ended and don't ask too many. phrase them all with care.


The Closing:

- if interviewees feel they have imposed on you or been pushed out the door as though on an assembly line, progress made during the interview may be erased, including the relationship fostered
- the verbal and nonverbal leave taking actions in ch 4 discuss how interviewers are close both consciously and unconsciously. decide which means or combinations of means best suits you and the other party
- the interviewee should be able to tell when the closing is commencing. don't begin new topics or raise new qs. don't expect to meet all expectations or finish with a neat solutions. be context that you have stirred thought and enabled the interviewee to discuss issues and express feelings. leave the door open for further interaction
- make interviewee active participant in closing


The Telephone Interview

- many CI interviews take place over the phone, perhaps a cell phone while one or both parties are walking to class, driving to work, having dinner, working in the office, etc.
- TI's are common bc they are inexpensive, convenient, allow for anonymity, can give on a sense of control, and can take place over long distances and at any time of the day or night.
- unfortunately, TI's may come at a very inconvenient time when a counselor is too busy to talk, in a dif time zone, or in counseling another person. this often happens during office hours. the telephone invites multitasking bc a party can do other things while listening to you
- respondents found TI helpful for both global and specific improvement and that they were satisfied with the counseling they received. they rate the counseling relationship and level of interpersonal influence similar to f2f counseling. noted that the absence of visual contact and recommended training for counselors to use their voices and substitutes for place, clothes, nonverbal cues such as eye contact and gestures and physical appearance.



- you take part in a counseling interview whenever you try to help a person gain insight into a physical, career, emotional or social problem and discover ways to cope. they counseling interview is a highly sensitive interview bc it usually does not occur until a person feels incapable of handling a problem or a counselor decides that a helping session is needed.
- preparation helps to determine how to listen, question, inform, explain, response and relate to each interviewee. no two interviews are identical bc no two interviewees are situations are identical.
- thus, there are many suggestions but few rules for selecting interview approaches, responses, questions and structures.


Ch. 12 - The Health Care Interview

- arguably the most sensitive of interviews because it deals with the mental and physical well-being of the interviewee. interviewers have wide variety of medical training, practices, specialities, competences, experiences and their interactions with patients may range from routine checkups, inquiries about health care concerns, treatment for minor illnesses, and minor surgeries to critical, life-threatening situations that seriously impair the patient's ability to communicate effectively
- purposes of HCI are to asses a person's mental or physical health, provide this person with relevant and accurate info, and prescribe courses of action that will meet the person's health needs and concerns
- whether or not you are planning a career in health care, you have and will take part in HCI's with varying degrees of seriousness throughout your lifetime. the growing emphasis on preventative medicine will increase the frequency of such interviews and you are likely to establish long term relationships with a wide range of health care professionals


Ethics and the Health Care Interview

- ethical issues are invovled in most, if not all decisions that relate to the goals, design, implementation and evaluation of any health care intervention. these ethical issues are often implicit and embedded in subtle decision-making processes and their delineation requires as assessment of unintended impacts
- it's difficult to create and apply a single code of ethics to complex health care interventions and assessments that pertain to specific individuals with specific needs, problems and abilities in specific situations, and with specific health care providers who may range from license practical nurses and emergency medical technicians to highly trained specialists in practices such as neurology, oncology and psychiatry
- the effort to develop a suitable code of ethics is important bc interventions that are sensitive to ethical concerns are more likely to gain the trust and respect of intended populations and collaborators. codes developed by a variety of health care associations provides us with a core of ethical principles of standards appropriate for the health care interview.
- the centuries old adage of do good and do no harm is considered paramount or foremost ethical maxim for health care providers and includes physiological, psychological, social and cultural aspects of harm and good.
- the intention to do good can result in harm. recommended physical activities or medications may result in injuries or health complications. to do good while avoiding harm, then, includes such principles as being competent as a health care provider, remaining within your area of competence, communicating truthfully, assuming responsibility for individual and professional actions, and reporting health care professional who appear to be deficient in character or competence.


Patient-Centered Care (PPC)

- perceptions and practices of health care are undergoing significant changes in the 21st century as health care practitioners and patients espouse a collaborative partnership, as mutual participation in health care
- PPC places an emphasis on patients and providers as co-agents in the problem-solving context. tis new trend, or what some sources argue dates back to ancient Greece, assures that patient needs preferences and beliefs are respected at all times.
- partnership building communication assists patients in assuming a more active role in the medical dialogue, either through active enlistment of patient input (asking for patient's opinion and expectations, use of interest cues, paraphrasing and interpreting the patient's statements to check for physician's understanding and explicitly asking for patient understanding) or passivity by assuming a less dominating stance within the relationship (being less verbally dominant)
- advocates of co-agency contend that when patients are more actively invovled as partners, rather than passive bystanders, they are more satisfied with their care, receive more patient-centered care such as info and support, are more committed to treatments and managing health issues, have a stronger sense of control over their health and experience better health
- patient-centered health care can advance in the US if both parties hare control and actively seek to reduce relational distance.
- although both parties are unique in some way, they share many perceptions, needs, values, beliefs, attitudes and experiences. both should strive to maintain dignity, privacy, self-respect and comfort.
- goal of HCI is the develop a reciprocal relationship, where the exchange of information, identification of problems, and development of solutions is an interactive process
- relationship btwn patient and provider is the most critical component of the health care delivery process. establishing a collaborative relationship tends to ensure that HCPs respect patients wants, needs and preferences and that patients have the info and support to make effective decisions to take part in their health care.


Patient-Centered Care (PPC)

- how patients perceive their relationships with their providers influences how they take part in the interview
- reducing relational distance is central but neither party should rush this relationship too quickly. each party must try to know and understand one another bc mutual understanding reduce relational distance. may enhance relationship by trying to be relaxed and confident, showing interest in one another as unique ppl, maintaining objectivity, being sincere and honest, using respect, paying attention to verbal and NV cues, remaining flexible and maintaining appropriate degrees of control
- a reciprocal relationship is key, both parties must strive to reduce relational distance
- respect rights and dignity of every patient.
- although it takes two parties to form a productive relationship, providers and patients continue to believe the provider has the burden to make the relationship work.
- the health care providers ability to be flexible and adaptable is extremely important in medical encounters.
- the patient-physician relationship is of greatest benefit to patients when they bring medical issues to the attention of their physicians in a timely fashion, provide info about their medical problem to the best of their ability and work with their physician in a mutually respectful way and alliance. this would be collaboration at its best.


Patient-Centered Care (PPC):

Sharing Control

- sharing control is first step to building a collaborative relationship
- traditionally, power and authority have been lopsided in the HCI
- the provider is highly trained, sees the situation as routine, speaks in scientific terms and jargon few understand, appears to be in control of self and situation, is emotionally uninvolved, and is fully clothed in a suit or uniform. control gravitates to the provider bc this party chooses and controls the setting, timing and structure of the interview.
- closed questions, limited reactions, changing of topics and interruptions signal who is in charge. when patients challenge this situation, providers may quickly reassert their authorial presence or ignore the challenge.
- physicians may dismiss internet research patients found as face threatening and assert their authority. male patients in particular perceived that physicians felt a loss of control when they mentioned internet research, perhaps bc they feared they would be proved wrong or didn't know enough
- patient is often uninformed, sees the situation as a crisis, is emotional, has little medical knowledge, and may be partially nude, highly medicated, or in pain. patients are party to blame for the parent child relationship that may exist in the interview b dutifully taking on a subordinate role and remaining compliant.
- while majority of patients, particularly younger ones, want to be invovled some prefer a paternalistic model of health care in which the provider maintains control. they may fail to ask qs at critical times during interviews
- a patient may seem to be compliant while employing subtle control strategies such as changing topics, asking questions, giving short unrevealing answers to open questions, withholding info, or talking incessantly
- patient may demonstrate relational power through silence rather than conversational dominance or agree with a provider during an interview and then ignore prescriptions, regimens and advice afterwards.
- while there is considerable agreement on what constitutes competent physician communication, there is little evidence of what constitutes competent patient communication.
- one study showed that from the physicians perspective, the communicatively competent patient is well prepared, gives prior thought to medical concerns, educates himself about the illness, comes with an agenda, provides detailed info, and seeks info by asking questions
- the patient's perspective mirrored the physicians
- this study discovered that there was not a significant correlation between perceptions of competence and patients actual discourse, that perceptions of communication in a medical interview do not necessarily match what is actually said. what physician and patients think they see and hear often does not match reality


Patient-Centered Care (PPC):

Sharing Control

- both parties must negotiate and share control as partners striving for a common goals. as a provider. develop positive relational climates by showing interest in the patients lifestyle, non-medical concerns, and over all well being. supportive talk that includes statements of reassurance, support and empathy demonstrates interpersonal sensitivity and sincere interest in the patient as a person
- empathy is an essential element of the relationship and showing empathy increases patient satisfaction and reduces time and expense.
- empathy is not just something that is given from physician to patient. instead, a transactional communication perspective informs us that the phys and pat. mutually influence each other during the interaction
- while some patients give repeated chances for empathetic responses, others provide little or none.
- when pats. did so, phys had a clear tendency of acknowledging, pursuing and confirming patients empathic opportunities. this is a positive trend in a physician-patient relationship.
- as a provider, encourage patients to express ideas, expectations, fears, and feelings about a medical problem and value their expertise. goal is to treat others as equals
- as a patient, come to each interview well informed about the problem, give details and be honest and accurate as possible, give concerns, respond to questions effectively and state opinions, suggestions and preferences.
- takes two to tango/form a relationship


Patient-Centered Care (PPC):

Appreciating Diversity

1. Gender
2. Age
3. Culture
4. Stereotypes

- diversity among pats and providers is a reality both parties must acknowledge and address. we understand intuitively that patients, particularly ones that are from other cultures, experience and react different to heath care interviews but few of us are aware that providers also experience stress and anxiety when dealing with different types of patients and those from other cultures.
- there may be a significant association between physician's ethnicity and their perceptions of patients.



- women are more concerned about health than men and more verbal during interactions
- this may be a learned difference bc more health care info in the media is aimed at women than men. women spend more com. time with prov. and are more active coms during these visits, but their providers take their concerns less seriously.
- on the other hand, male patients tend to be more domineering than females regardless of the gender of their provider. a by-produce of more females entering the fields of obstetrics and gynecology is the significant percentage of women patients choosing female physicians.
- this has led male physicians to work on improving their interpersonal com skills
- age and sex influence communication and treatment.



- age is a growing factor as life expectancy increases and the baby boomer gen. reaches retirement age.
- older patients are more reluctant to challenge the doctors authority than younger patients, often with good reason. providers who are mostly under 55 are significantly less egalitarian, less patient and less respectful with older patients, perhaps reflecting society's changing attitudes toward aging and the wisdom of our elders.
- providers less likely to raise psychological issues with older patients. younger patients are more comfortable with bothering health care ppl and less awed by authority and credentials.
- if a patient is incapacitated, often bc of age, it may be wise to involve a surrogate or heath care proxy who may have important info to share with the doctor and be able to collaborate about the patients care.



- 47 million ppl in the US who speak a different language than english in home and this does not include the millions of international travelers who come to US each year.
- globalization and cultural differences affect com. in many ways. black and hispanic patients said their race, ethnicity and lower economic status influence negatively their info seeking and health care.
- patients of lower social class may be openly reluctant to challenge physicians so they attempt to control the relationship.
- Arab cultures practice close proximity and kissing among men, both actions seen as offensive in american or european HCI
- native americans and asians prize nonverbal communication while american and german prize verbal com. Latinas are a good fit with patient centered health care bc they value interactions with physicians more than Europeans and blacks
- medical differences and philosophies in dif. countries might pose challenges for nonnative health care providers and patients.
- French phys tend to discount stats and emphasize logic
- German phys tend to be authoritarian romantics
- English phys tend to be paternalistic
- American phys tend to be aggressive and want to do something
- these dif. affect communicative roles and control sharing in medical interviews
- providers must be culturally sensitive to dif. in reporting pain, understanding informed consent, using appropriate language and disclosing info that may rely on cultural knowledge, modesty and comfort.



- affect ways providers see and treat patients. perception of patient as childlike is revealed in condescending attitudes and baby talk with adults.
- study showed baby talk used in nursing homes - 20% of staff used baby talk
- health care providers use elder-speak when addressing older adults such as hi sweeties, its time for our exercise, good girl you at all of your dinner, good morning big guy are we ready for our bath. the results of such inappropriate intimate and childish baby talk and elder-speak are decreased self esteem, depression, withdrawal and assumption of dependent behaviors congruent with stereotypes of frail elders.
- stereotypical good patient is cooperative, quiet, obedient, grateful, unaggressive, considerate, dispassionate. good patients tend to get better treatment than bad patients. patients sen as lower class get more pessimistic diagnoses and prognoses.
- overweight patients are deemed less likable, seductive, well education, in need of help or likely to benefit from help and more emotional, defensive warm and likely to have continuing issues.


Patient-Centered Care (PPC):

Creating and Maintaining Trust

- trust is essential bc HCI deal with intimate and sensitive personal info and must maximize self disclosure. trust comes when both parties see one another as legitimate agents of knowledge and perception. beaches of confidentiality may lead to discrimination, economic devastation, or social stigma. trust is destroyed and with it any hope of building and maintaining a productive relationship. breaches of confidentiality may be intentional or unintentional and occur in many places such as elevator, hallway, cafe, office, rooms, parties, phone, etc.
- confidentiality and trust go hand in hand
- talk and answer qs in soft tones, only exchange info with providers who have need to know, and conduct interactions in private secure locations
- trust is established in early mins. of interview, when each party is determining if the other can be trusted.
- it is further negotiated as both parties enact behaviors that construct shared expectations of a trusting relationship.
- humor can facilitate positive patient-provider interactions and create a patient-centered environment that affects their positive attitude and happiness. results in positive perceptions of care givers that enhance trustworthiness and lead to better health outcomes increase compliance with providers advice and fewer malpractice suits. spontaneous humor is most effective
- also enhance through supportive talk that increases patient participation in interviews and by eliciting full disclosure of info, clarifying info, and assessing social and psychological factors invovled in illness.
- communication is clearly central to patient-centered care and to establishing a productive relationship. observable communication skills may not be sufficient to achieve either.
- the differences in interviewing skills may not be associated with patient responses. phys may learn to go through the motions of a patient-centered interviewing without understanding what it means to be truly attentive and a responsive listener.
- the education about communication should go beyond skills training to a deeper understanding of what it means to be a responsive partner for the patient and to create a meaningful and insightful common ground between parties
- four specific aspects of ongoing relationships that were significantly associated with satisfaction, namely, the relationship between the parent and the physician, the relationship between child and phys, the parent's comfort asking the phys questions and the parents trust in the phys


Opening the Interview

Enhancing the Climate:

- opening the HCI, when and where it takes place and who initiates it have significant impact on the remainder of the interview
- provider should create an atmosphere where the patient feels free to express opinions feelings and attitudes. both parties rely heavily on interviews to get and give info, but the process if often take for granted.
- parties fail to realize that cooperation is essential for sharing info and attitudes toward courses of action.
- select comfortable, attractive, quiet, nonthreatening and private locations free of interruptions in which interactions will remain confidential.
- ex. pediatrics areas are designed with pictures, games, toys, plants, books for young kids and parents to minimize fear and anxiety and maximize cooperation and communication
- waiting rooms for adults tend to be stark with a tv and a few magazines. the adult patients is then called to the treatment room, given a few tests asked to put on gown and then left along for several minutes, this setting is not likely to decrease anxiety or tension
- location and setting promote collaborative interactions


Opening the Interview

Establishing Rapport

- individualize your opening, open physician-patient communicative style is not the universal solution to patient needs. there is a need for tailoring the health care providers communicative styles depending on the needs of the patient.
- begin with a pleasant greeting and introduction of yourself and position if you're unacquainted with this person or family. if you address the patient by first name while you address yourself by title, you may create a superior-to-subordinate relationship from the start. if you are acquainted with this person, open with a personal greeting that takes note of your relationship. the patient must return the greeting and take an active part in the opening.
- employ small talk, humor and self disclosure to relax the patient increase trust and enrich the relationship
- this patient-centered approach enhances patient satisfaction
- reduce apprehension by carefully explaining procedures, being attentive and relaxed, treating patients as equals, and talking to them in their street clothes rather than hospital gowns.
- rapport building and orientation are strengthened if the phys reviews patient file before entering the exam room so the interview can begin on a personal and knowledgable level
- neither rush nor prolong the opening unless trust is low bc both parties prefer to get to the point after establishing a personal connection.
- apologize if patient has been waiting for a while and explain reason for it. simple politeness and courtesy can defuse an angry or impatient interviewee and show you value their time and are sensitive to their perceptions and needs.
- relevance of politeness theory and how it can improve communication in HCIs
- politeness is used primarily to ease social interaction by providing a ritualistic form of verbal interaction that cushions the stark nature of many interactions such as requests, commands or questioning. politeness provides a means for covering embarrassment, anger, or fear in situations in which it would not be to one's advantage to show these emotions either as a reflection of one's self or because of the reaction of the other. politeness breeds politeness.
- politeness may help health care receivers safe face in a threatening situation over which they have little control.
- perception of time pressures and medical terminology influence patient participation and the development of rapport in medical encounters. when medical prof. spent more time in consultations and used little terminology, patients reported being more willing to ask for additional info as they felt a good relationship had been established.
- opening questions asked and how quickly they ask them after an interview begins are important to establishing a relationship, maintaining rapport, and getting adequate and insightful info
- some health care providers use electronic interviews with patients prior to in person visits.
- if patient has mentioned reason when making appointment or told the assistance or nurse ab the problem, the doctors opening question is likely to be a confirmatory q confirming the issue bringing the patient in
- another confirmatory q focuses on specific symptoms
- general inquiry qs elicit longer problem presentations including more current symptoms. more restrictive close qs constitutes a method for initiating problem presentation and distinctively communicates physicians readiness to initiate, enforce the initiation of the net phase which is info gathering. physician takes control and dictates where the interview is heading
- if provider initiates interview, the opening q may be open ended like how has your health been in the past year, etc.
- what takes place after the opening q depends on the purpose for the visit. if its a checkup the provider may orient the patient as to what will take place and then launch into the body of the interview, if it is a follow up session the doctor may move on with a series of qs directive toward a specific problem or results from previous treatments.


Barriers to Getting Information

- physical and emotional factors can make it hard for patients to recall and or articulate info accurately and completely.
- their concern is why they are ill rather than what they can do about it.
- scared and anxious patients leave out big parts of their medical histories and may camouflage the real problem by making allegorical statements such as you know how teens are.
- pats. say they don't want to be judged about smoking, weight, drugs, so they tell harmless white lies and aren't particularly concerned about the potential consequences.
- some overestimate the risk of a problem. many women overestimate their percentage of risk of breast cancer, even after they are received careful estimates
- they resist the info they received.
- one way to reduce this issue appears to be a social comparison strategy in which patients are asked to compare their risk to others. however, even after using this strategy, women continued to see their risk as 50% when the actual risk was closer to 14%. mothers recall only about half of their children's major illnesses.
- SD is critical to the info gathering process. imperative that interactions reach level 3 rather than an incomplete and superficial level 1 and 2.
- all too common for pats to withhold info or to give less than honest info to avoid embarrassment, feeling uncomfortable, getting bad news and receiving a lecture
- five physician characteristics significantly improved SD and honesty: gender, lack of hurriedness, use of first name introduction, use of open ended questions, and friendliness.
- open ended qs might demonstrate to the patient that they are com. partners who prioritize their relationship and this co-ownership. they facilitate trust and comfort with patients bc they encourage patient qs and demonstrate phys listening skills
- pats have a hard time giving others depressing news such as when a disease is progressing and believe that sharing such news may have more negative impact on their received support
- uncertainty plays a big role in ppl's disclosure decisions
- they asses what reaction they are likely to receive prior to sharing the info and if unsure about potential responses or outcomes, weight this factor into decision
- one solution is for the pat to share a small piece of info to assess the receivers responses, sort of testing the waters before willing to share fully
- history taking portion of interviews is often longer than discussions of diagnostic and prognostic issues. the manner tends to be impersonal, with many questions having little or nothing to do with patients current problems or concerns.
- he spent so long on things not wrong with me and it made me feel the interviewer had nothing to do with my illness. patients may become angry or numbed by endless, closed qs "negative weakening"


Barriers to Getting Information

- a series of rapid fired close questions sometimes referred to as the Spanish inquisition approach clearly sets the tone for the relationship: the provider is in charge, wants short answers, is in a rush, and not interested in explanations. providers control interactions through closed questions, content selection, and changing of topics. do you have regular bowel movements, do you feel tired, etc. what does regular mean, who doesn't feel tired, and what does a yes or no answer to any of these tell the health care provider?
- many health care providers assume familiarity with medical jargon or acronyms that are useful only for interactions with other health care providers.
- most do't know the meaning of these things, and ppl over 65 are less knowledgable about this than ones between 45 and 64 and more educated respondents are more familiar with such medical terms. patients seldom ask for clarification or repetition of questions or terms they feel it's the providers responsibility as the expert and one in charge.
- research beg. to focus on health literacy and its potential adverse effects on info giving and processing. lower health literacy predicted lower self-efficacy which predicted feeling less well informed and less prepared being more confused about the procedure and its hazards and wanting more information about risks
- patients impressions about medical terms aligned with guidelines that promotes use of lay language and more detailed explanations
- physicians try to clarify terms by adopting topic controlling techniques such as using controlled closed questions or taking extended histories. these limit patients chance to speak and therefore can have affects on partnership building and on the relationship


- health care professionals have long recognized that communication breakdowns are the most common root cause of health errors that harm patients. this is heightened by the fact that an estimated 95 million ppl do not have the fundamental literacy skills in English to understand the most basic health care info such as how and when to take meds

- also, giving info is a deceptively difficult process. one study shows that within 10-80 mins, less than 25% of patients remember everything that they were told and patients who did remember most had received only two items of info. another study sowed that within a short time, 10 patients showed significant distortions of info and 4 showed minimum distortions
- good communication and interactions is critical in health care situations. the responsibility is on both the health care provider and the patient.