More Praise for Facilitating with Ease!

If you’re only going to buy one book on facilitation, this is the one to buy!

That’s what we tell the managers, consultants, and facilitators who attend our

facilitation training programs. It’s a gold mine of ideas, resources, and practical

tools.

—Ronnie McEwan, Director, Kinharvie Institute, Glasgow, Scotland

I have rarely run into a better collection of pragmatic tips, tools, and

techniques. If you work with people to accomplish something important,

save yourself a lifetime of trial and error: read this book, put its message to

use, and start seeing where real collaboration can lead your organization.

—Adriano Pianesi, ParticipAction Consulting, Inc., Washington, D.C.

Ingrid Bens’s masterful book Facilitation with Ease! is a must-have for any

facilitator regardless of experience. I use it extensively to review processes,

tools, and techniques before any engagement.

—George F. Smith, CPF, Summit Consultants, Atlanta, Georgia

Facilitating With Ease! provides clear and effective guidelines for group facilita-

tion. In China we are using this book to help organizations develop facilitative

leaders who can successfully invoke the spirit of cooperation and team synergy.

—Ren Wei, Professional Facilitator, X’ian, China

Facilitating With Ease! helps beginners as well as experienced facilitators to

fi nd their way along different aspects of facilitation. Easy to understand, this

book provides insight into the principles of facilitation and shows examples of

practical applications for concrete situations.

—Sieglinde Hinger, Siemens Corporation, Austria

Facilitating with Ease! is by far the easiest-to-use, most comprehensive, and

most well-structured resource guide I have ever seen! No wonder both new

and seasoned facilitators fi nd it invaluable. A must-have if facilitation is a skill

you need in your toolbox.

— Larry L. Looker, Manager, Global Leadership Development,

Amway Corporation, USA

Facilitating with Ease! is the fundamental read if you want to be an effective

facilitator. We refer to it all the time and consider it a core competency for

our consultants.

— Ian Madell, Managing Director, LEVEL5 Branded Business Advisors,

Toronto, Canada

I have been using Ingrid’s materials for many years and fi nd her books to be

far above everything else out there. This latest revision builds on what was

already great and will surely increase the effectiveness of any practitioner.

—Mark Vilbert, Program Leader Boeing leadership Center

This book is just excellent! The comprehensive set of practical tools is for

everyone engaged in improving how groups work. Helps you to just do it!

—Ewa Malia, CPF, Polish Insitutute of Facilitation, Warsaw

FACILITATING WITH EASE!

FACILITATING WITH EASE!Core Skills for Facilitators, Team Leaders and Members, Managers, Consultants and Trainers

Ingrid Bens

4 TH EDITION

Cover image: © poba/iStockphotoCover design: Wiley

Copyright © 2018 by Ingrid Bens. All rights reserved.Published by John Wiley & Sons, Inc., Hoboken, New Jersey.Published simultaneously in Canada.

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Library of Congress Cataloging-in-Publication Data:

Names: Bens, Ingrid, author.Title: Facilitating with ease! / by Ingrid Bens.Description: 4th edition. | Hoboken, New Jersey : John Wiley & Sons, Inc., [2018] | Includes bibliographical references and index. | Identifi ers: LCCN 2017029436 (print) | LCCN 2017040993 (ebook) | ISBN 9781119434283 (pdf) | ISBN 9781119434276 (epub) | ISBN 9781119434252 (pbk) : alk. paper)Subjects: LCSH: Teams in the workplace. | Group facilitation.Classifi cation: LCC HD66 (ebook) | LCC HD66 .B445 2018 (print) | DDC 658.4/56--dc23LC record available at https://lccn.loc.gov/2017029436

Printed in the United States of America.

10 9 8 7 6 5 4 3 2 1

vii

Contents

Introduction ........................................................................................ xiii

Chapter One—Understanding Facilitation .................................... 1

What Is Facilitation? ................................................................................................... 1

What Does a Facilitator Do? ................................................................................... 2

What Do Facilitators Believe? ................................................................................. 2

What Are Typical Facilitator Assignments? .......................................................... 3

Differentiating Between Process and Content .................................................... 4

Facilitation Tools ......................................................................................................... 5

Core Practices Overview ......................................................................................... 5

What Does Neutral Mean? ...................................................................................... 7

Learn to Say “Okay” ................................................................................................... 9

When to Say “We” ..................................................................................................... 9

How Assertive Can a Facilitator Be? ..................................................................... 10

The Language of Facilitation ..................................................................................... 11

Conversation Structures ........................................................................................... 12

Starting a Facilitation .................................................................................................. 13

During a Facilitation ................................................................................................... 15

Ending a Facilitation .................................................................................................... 16

Effective Note Taking ................................................................................................. 18

The Rules of Wording ................................................................................................ 19

Managing the Flip Chart ............................................................................................ 20

Facilitator Behaviors and Strategies ....................................................................... 23

Core Practices Observation Sheet ......................................................................... 26

Process Flow Observation Sheet ............................................................................ 27

Facilitation Skill Levels ............................................................................................... 28

Facilitation Skills Self-Assessment ........................................................................... 29

Chapter Two—Effective Questioning .............................................. 33

The Principles of Effective Questioning ................................................................. 33

Question Types ........................................................................................................... 34

Questioning Formats ................................................................................................. 34

The Importance of Follow-On Questions ............................................................ 36

Asking Sensitive Questions ...................................................................................... 36

The Question Bank .................................................................................................... 37

Contents

viii

Chapter Three—Facilitation Stages ................................................ 45

1. Assessment and Design ......................................................................................... 45

2. Feedback and Refi nement .................................................................................... 46

3. Final Preparation ..................................................................................................... 47

4. Starting a Facilitation ............................................................................................. 50

5. During a Facilitation ............................................................................................... 51

6. Ending a Facilitation ............................................................................................... 52

7. Following Up on a Facilitation ............................................................................. 53

Seeking Feedback on Your Facilitation .................................................................. 53

Chapter Four—Who Can Facilitate ................................................ 55

When to Use an Internal Facilitator ...................................................................... 55

When to Use an External Facilitator ..................................................................... 56

When Leaders Facilitate ............................................................................................ 57

Facilitation Strategies for Leaders ........................................................................... 57

Best and Worst Facilitation Practices for Leaders ............................................. 62

Facilitation As a Leadership Style ............................................................................ 62

Additional Role Challenges ....................................................................................... 64

Chapter Five—Knowing Your Participants ..................................... 69

Conducting an Assessment ...................................................................................... 69

Group Assessment Survey ....................................................................................... 71

Comparing Groups to Teams .................................................................................. 73

Understanding Team Stages ..................................................................................... 76

Forming—The Honeymoon Stage .......................................................................... 76

Storming—The Potential Death of the Team ...................................................... 78

Norming—The Turning Point .................................................................................. 83

Performing—The Ultimate Team Growth Stage ................................................ 84

Adjourning—The Final Stage .................................................................................... 85

Facilitation Strategies Chart ..................................................................................... 86

Team Effectiveness Survey ........................................................................................ 88

Chapter Six—Creating Participation .............................................. 91

Creating the Conditions for Full Participation ..................................................... 92

Removing the Blocks to Participation .................................................................... 92

High-Participation Techniques ................................................................................. 100

Group Participation Survey ...................................................................................... 102

Encouraging Effective Meeting Behaviors .............................................................. 103

Contents

ix

Group Behaviors Handout ....................................................................................... 104

Observing Group Behaviors in Action .................................................................. 105

Peer Review Instructions .......................................................................................... 106

Peer Review Worksheet ........................................................................................... 107

Chapter Seven—Effective Decision Making ................................... 109

Know the Four Types of Conversations ............................................................... 110

The Four Levels of Empowerment ......................................................................... 111

Clarifying the Four Empowerment Levels ............................................................ 112

Shifting Decision-Making Paradigms ....................................................................... 115

The Decision-Making Options ................................................................................. 116

Decision Options Chart ............................................................................................ 120

The Divergence/Convergence Model .................................................................... 121

The Importance of Building Consensus ................................................................. 122

Effective Decision-Making Behaviors ..................................................................... 125

Symptoms, Causes, and Cures of Poor Decisions .............................................. 126

Decision Effectiveness Survey .................................................................................. 128

Chapter Eight—Facilitating Confl ict ............................................... 129

Comparing Arguments and Debates ...................................................................... 129

Steps in Managing Confl ict ........................................................................................ 131

The Five Confl ict Options: Pros and Cons ........................................................... 134

Confl ict Management Norms .................................................................................. 137

Giving and Receiving Feedback ................................................................................ 138

Making Interventions .................................................................................................. 142

Wording an Intervention........................................................................................... 143

Dealing with Resistance ............................................................................................. 148

The Right Approach ................................................................................................... 150

Common Confl ict Dilemmas ................................................................................... 151

The Facilitative Confl ict-Management Process .................................................... 155

Interpersonal Confl ict Worksheet ......................................................................... 156

Group Confl ict Checklist .......................................................................................... 157

Confl ict Observation Sheet ..................................................................................... 158

Confl ict Effectiveness Survey ................................................................................... 159

Chapter Nine—Meeting Management ............................................ 161

Meetings That Work .................................................................................................. 162

Our Meetings Are Terrible! ..................................................................................... 162

The Fundamentals of Meeting Management ......................................................... 164

Contents

x

Sample Agenda with Process Notes ...................................................................... 164

Sample Process Check Survey ................................................................................. 169

Sample Exit Survey ..................................................................................................... 171

Meeting Effectiveness Survey ................................................................................... 172

Facilitating Virtual Meetings ...................................................................................... 175

Chapter Ten—Process Tools for Facilitators ................................. 179

Visioning ........................................................................................................................ 180

Sequential Questioning .............................................................................................. 182

S.W.O.T ......................................................................................................................... 184

S.O.A.R. ........................................................................................................................ 186

Facilitative Listening .................................................................................................... 188

Appreciative Review ................................................................................................... 190

Brainstorming .............................................................................................................. 192

Written Brainstorming .............................................................................................. 194

Affi nity Diagrams ........................................................................................................ 195

Gap Analysis ................................................................................................................. 197

Needs and Offers Dialogue ...................................................................................... 199

Force-Field Analysis ................................................................................................... 200

Root-Cause Analysis .................................................................................................. 201

The Five Whys ............................................................................................................. 204

Gallery Walk ................................................................................................................ 205

Multi-Voting .................................................................................................................. 207

Decision Grids ............................................................................................................. 209

Exit Surveys .................................................................................................................. 212

Survey Feedback.......................................................................................................... 213

Systematic Problem Solving ...................................................................................... 215

Systematic Problem Solving Worksheets .............................................................. 217

Troubleshooting .......................................................................................................... 225

Troubleshooting Worksheet .................................................................................... 226

Chapter Eleven—Structured Conversations .................................. 227

Structured Conversation 1–Discovery .................................................................. 228

Structured Conversation 2–Environmental Scanning ........................................ 231

Structured Conversation 3–Team Launch ............................................................ 234

Structured Conversation 4–Vision and Mission .................................................. 236

Structured Conversation 5–Work Planning, Roles, and Responsibilities ...... 239

Structured Conversation 6–Risk Assessment ..................................................... 241

Structured Conversation 7–Stakeholder Analysis .............................................. 245

Contents

xi

Structured Conversation 8–Communication Planning ...................................... 247

Structured Conversation 9–Status Update Meeting .......................................... 249

Structured Conversation 10–Creative Thinking ................................................. 251

Structured Conversation 11–Midpoint Check ..................................................... 254

Structured Conversation 12–Systematic Problem Solving ................................ 257

Structured Conversation 13–Constructive Controversy ................................. 261

Structured Conversation 14–Survey Feedback ................................................... 264

Structured Conversation 15–Interpersonal Issue Resolution .......................... 266

Structured Conversation 16–Overcoming Resistance ...................................... 269

Structured Conversation 17–Project Retrospective .......................................... 273

Structured Conversation 18–Project Adjournment ........................................... 275

About the Author .............................................................................. 277

Acknowledgments ............................................................................. 279

Bibliography ........................................................................................ 283

xiii

Introduction

I t’s impossible to be part of an organization today and not attend meetings.

Staff meetings, project meetings, task-force meetings, planning and coor-

dinating meetings . . . the list is endless. The worst thing about many of these

meetings is that they’re poorly run and waste valuable time.

Today, there’s a growing recognition that effective meetings happen when

proper attention is paid to the process elements and when proceedings are

skillfully facilitated.

For a long time, facilitation has been a rather vague and poorly understood

practice, mastered only by human-resource types. This is beginning to change.

We’re now spending so much time in meetings and being asked to achieve so

many important goals in teams that there’s a growing need for skilled facilita-

tion throughout our organizations and our communities.

Instead of being relegated to HR, facilitation is fast becoming a core compe-

tency for anyone who leads a team, manages a project, heads up a committee,

or manages a department. All of these people need to be able to create and

manage effective group dynamics that foster true collaboration.

Facilitation is also a central skill for today’s managers, who are riding wave

after wave of change. New demands are being placed on them. At the same

time, the old command and control model of supervision, which worked for

decades, is no longer as effective.

To get the most from people today, leaders have to know how to create

buy-in, generate participation, and empower people.

To keep pace, today’s leaders need to be coaches, mentors, and teachers.

At the core of each of these new roles is the skill of facilitation.

The Goal of This BookThis practical workbook has been created to make core facilitation tools

and techniques readily available to the growing number of people who want to

improve their process skills. It represents materials and ideas that have been

collected, tested, and refi ned over decades of active facilitation in all types of

settings. This fourth edition retains the core tools and instruments that made

the fi rst three editions so popular. In addition, new materials have been added

to every chapter.

Introduction

xiv

As in the previous three editions, Facilitating with Ease! remains a prac-

tical workbook. While it builds on the theories of organization develop-

ment pioneers such as Chris Argyris, Donald Schön, and Edgar Schein,

this resource doesn’t aim to be theoretical. Instead, its focus is on pro-

viding the reader with the most commonly used process tools in a simple

and accessible format. This is not so much a book to be read, as one to

be used!

With its focus on asking instead of telling, listening, and building consensus, facilitation is the essential skill for anyone working

collaboratively with others.

The AudienceThis workbook contains valuable information for anyone facilitating group

interactions. This is a huge constituency, which includes:

• team leaders and team members

• project managers

• any supervisor or manager who holds staff meetings

• community developers

• teachers in traditional classroom settings

• therapists who lead support groups

• marketing consultants who run focus groups

• teachers of adult continuing-education programs

• negotiators and confl ict mediators

• quality consultants leading process improvement initiatives like Six

Sigma

• consultants intervening in confl icts

• anyone teaching others to facilitate

• anyone called on to lead a discussion or run a meeting

Since facilitation was designed as a role for neutral outsiders, the strategies

and techniques in this book are described from the perspective of the exter-

nal facilitator. Since more and more facilitation is being done by those who

have a stake in the outcome of discussions, the third edition includes strat-

egies that help leaders and group members manage the challenges of staying

neutral.

Introduction

xv

Content OverviewThe book is organized into eleven chapters. Checklists and tools have not

been collected in an appendix, but instead are located throughout each chap-

ter, near the related materials.

Chapter One outlines what facilitation is and its main applications. It dif-

ferentiates process from content and outlines the core practices. It also ad-

dresses facilitation issues such as neutrality, how assertive a facilitator can be,

and how to balance the role of the group leader with that of the facilitator.

Chapter One also describes what facilitators do at the beginning, middle,

and end of discussions. It provides information about the language of facilita-

tion, the principles of giving and receiving feedback, plus a thumbnail sketch of

the best and worst practices of facilitators.

At the end of the chapter, there are two observation sheets and a four-level

skills self-assessment, useful to anyone hoping for feedback on current skills.

Chapter Two is a new addition to this book. It features important informa-

tion about the central role of questioning in the practice of facilitation and

how to use questions effectively. Question types and formats are outlined,

along with guidance about the importance of follow-on questions. This new

chapter also provides a bank of questions that are useful for learning more

about the client.

Chapter Three explores the stages of designing and managing a facilitation

assignment. It describes the importance of each step in the facilitation pro-

cess: assessment, design, feedback, refi nement, and fi nal preparation. Helpful

checklists are also provided to guide the start, middle, and end of any facilita-

tion session.

Chapter Four focuses on how facilitation can be managed by leaders. This is

a major new addition and refl ects the growing awareness among leaders of the

importance of process management.

This chapter explores the challenges leaders face when they facilitate and

provides strategies that help leaders effectively manage a group process. This

chapter also discusses the issues encountered when the facilitator feels he or

she lacks authority or is working with people of senior rank.

Chapter Five focuses on knowing your participants and provides information

about the four most commonly used needs-assessment techniques. Sample

assessment questions and surveys are provided. This chapter also discusses

the differences between facilitating groups and facilitating teams and passes

along strategies for getting any group to behave more like an effective team.

Introduction

xvi

The creation of team norms is discussed, along with an overview of the team

growth stages and the corresponding facilitation strategies that work best at

each stage.

Chapter Six begins with a frank discussion of the many reasons people are

often less than enthusiastic to be involved in a meeting or workshop and pro-

vides tested strategies for overcoming these blocks, including ideas on gaining

buy-in. High-participation techniques are also shared, along with a training plan

to encourage effective meeting behaviors in members.

Chapter Seven delves into the complexities of decision making. Facilitators

are introduced to the types of discussions and the importance of clarifying em-

powerment. Various methods for reaching decisions are described and differen-

tiated. The pros, cons, and uses of each approach are explored, along with an

expanded discussion of consensus building. Chapter Seven also offers an over-

view of the behaviors that help decision effectiveness and provides the steps in

the systematic consensus-building process. The chapter ends with a discussion

of poor decisions: their symptoms, causes, and cures. A survey is provided with

which a group can assess its current decision-making effectiveness.

Chapter Eight deals with facilitative strategies for handling both confl ict

and resistance. It begins with an overview of the difference between healthy

debates and dysfunctional arguments. It goes on to share techniques that en-

courage healthy debates and the steps in managing any confl ict. Special atten-

tion is paid to strategies for venting emotions. The fi ve confl ict-management

options are also explored and placed into the context of which are most ap-

propriate for facilitators.

Chapter Eight also provides a three-part format for wording interventions

that tactfully allows a facilitator to redirect inappropriate behavior. Also de-

scribed are the two approaches a facilitator can choose when confronted with

resistance and why one is superior. At the end of the chapter, nine common

facilitator dilemmas and their solutions are presented.

Chapter Nine focuses on meeting management. There’s a useful checklist

and meeting effectiveness diagnostic that lets groups assess whether or not

their meetings are working. There’s also a chart that outlines the symptoms

and cures for common meeting ills. The fundamentals of meeting management

are outlined, with special emphasis on the role of the facilitator as compared

to the traditional chairperson role. Both midpoint checks and exit surveys

are explained, and samples are provided. Since virtual meetings are on the

rise, strategies are offered for using facilitation techniques during distance

meetings.

Introduction

xvii

Chapter Ten contains the process tools that are fundamental to all facili-

tation activities. These include: visioning, sequential questioning, force-fi eld

analysis, brainstorming, gap analysis, root-cause analysis, decision grids, affi nity

diagrams, needs-and-offers dialogue, systematic problem solving, survey feed-

back, multi-voting, and troubleshooting. Each tool is described, and step-by-

step directions are given for using it.

Chapter Eleven pulls it all together by providing seventeen sets of process

design notes, complete with detailed step-by-step instructions. In this fourth

edition, the meeting design notes have been updated to include the virtual

version of each conversation. These notes will be a real asset to facilitators

who conduct meetings with far-fl ung groups.

The seventeen structured conversations in this chapter represent the dis-

cussions facilitators are most often called upon to lead. These examples pro-

vide a graphic illustration of the level of detail a facilitator needs to develop

before stepping in front of any group.

After years of experience as a consultant, project manager, team leader, and

trainer, I’m convinced that it’s impossible to build teams, consistently achieve

consensus, or run effective decision-making meetings without highly devel-

oped facilitation skills. The good news is that these skills can be mastered by

anyone! I hope you fi nd the fourth edition of Facilitating with Ease! to be a valu-

able resource in your quest to gain this important skill.

September 2017 Ingrid Bens, M.Ed., CPF

Questions Answered in This Book What is facilitation? When do I use it?

What’s the role of the facilitator?

What are the main tools and techniques?

What are the values and attitudes of a facilitator?

How neutral do I really need to be?

How assertive am I allowed to be?

How can those who have a stake in the group’s decisions

facilitate?

How can I facilitate when I’m not the offi cial facilitator?

How do I balance the roles of chairperson and facilitator?

How do I get everyone to participate?

Can facilitation techniques be used to manage distance meetings?

Introduction

xviii

How do I overcome people’s reluctance to open up?

What’s the difference between a group and a team?

How can I get a group to act like a team?

What do I do if a group is very cynical?

What do I do if I encounter high resistance?

What if there’s zero buy-in?

What are my options for dealing with confl ict?

What if a meeting falls apart and I lose control?

What decision-making techniques are available?

Why is consensus building most effective for arriving at a group decision?

What can go wrong in making decisions?

How do I make sure that discussions achieve closure?

What facilitation tools are available?

How do I design an effective process?

How do I know whether the meeting is going well?

What are the elements of an effective meeting design?

How can facilitation be used to manage virtual meetings?

Some Defi nitionsFacilitator: One who contributes structure and process to interactions

so groups are able to function effectively and make high-quality decisions.

A helper and enabler whose goal is to support others as they pursue their

objectives.

Content: The topics or subjects under discussion at any meeting. Also

referred to as the task, the decisions made, or the issues explored.

Process: The structure, framework, methods, and tools used in

interactions. Also refers to the climate or spirit established, as well as the

style of the facilitator.

Intervention: An action or set of actions that aims to improve the

functioning of a group.

Plenary: A large group session held to share the ideas developed in

separate subgroups.

Norms: A set of rules created by group members with which they mutually

agree to govern themselves.

Group: A collection of individuals who come together to share information,

coordinate their efforts, or achieve a task, but who mainly pursue their own

individual goals and work independently.

Introduction

xix

Team: A collection of individuals who are committed to achieving a

common goal, who support each other, who fully utilize member resources,

and who have closely linked roles.

Process Agenda: A detailed step-by-step description of the tools and

techniques used to bring structure to conversations.

Project: A collaborative enterprise, frequently involving research or design,

that is carefully planned to achieve a particular aim.

Process Improvement: A series of actions taken by a process owner

to identify, analyze, and improve existing processes within an organization to

meet new goals and objectives.

Lean: A production practice that considers the expenditure of resources

for any goal other than the creation of value for the end customer to be

wasteful, and thus a target for elimination. Basically, lean is centered on

preserving value with less work.

Six Sigma: A business management strategy that seeks to improve the

quality of process outputs by identifying and removing the causes of defects or

errors and minimizing variability. A Six Sigma process is one in which 99.99966

percent of the products manufactured are statistically expected to be free of

defects (3.4 defects per million).

FACILITATING WITH EASE!

1

Chapter OneUnderstanding Facilitation

I f you look up the word facilitator in the dictionary, you’ll see it described

as someone who helps a group of people understand their common objec-

tives and assists them to achieve these objectives without taking a particular

position in the discussion.

This role basically did not exist until the middle of the last century, when

theorists in the emerging fi eld of behavioral science identifi ed the need for a

leadership style that contributed structure to complex group interactions in-

stead of direction and answers.

The work of these behavioral pioneers led to the emergence of a new and

important role in which the person who manages the meeting no longer

participates in the discussion or tries to infl uence the outcome. Instead, he

or she stays out of all conversations in order to focus on how the meeting is

being run. Instead of offering opinions, this person provides participants with

structure and tools. Instead of promoting a point of view, he or she manages

participation to ensure that everyone is heard. Instead of making decisions and

giving orders, he or she supports the participants in identifying their own goals

and developing their own action plans.

What Is Facilitation?Facilitation is a leadership role in which the decision-making power resides

in the members. This frees the facilitator to focus on creating a climate of col-

laboration and provide the group with the structure it needs to be effective.

Instead of offering solutions, facilitators offer group members tools they can

use to develop their own answers. Facilitators attend meetings to guide mem-

bers through their discussions, step-by-step, encouraging them to reach their

own conclusions.

Rather than being a player, facilitators act more like referees. They watch

the action, more than participate in it. They help members defi ne their goals.

They ensure that group members have effective rules to guide interaction.

Facilitating with Ease!

2

They provide an orderly sequence of activities. They keep their fi ngers on the

pulse and know when to move on or wrap things up. They keep discussion

focused and help group members achieve closure. They do all of this while re-

maining neutral about the topics under discussion so as not to interfere with

the decision-making authority of the group.

What Does a Facilitator Do?Facilitators make their contribution by:

• conducting background research to understand the needs of the group

and what they hope to achieve

• helping the group defi ne its overall goal, as well as its specifi c objectives

• preparing a detailed agenda that includes process notes describing how

the interaction will unfold

• helping the group create rules of conduct that create an effective climate

• making sure that assumptions are surfaced and tested

• questioning and probing to encourage deeper exploration

• offering the right tools and techniques at the right moment

• encouraging participation by everyone

• guiding group discussion to keep it on track

• making accurate notes that refl ect the ideas of members

• helping members constructively manage differences of opinion

• redirecting ineffective behaviors

• providing feedback to the group, so that they can assess their progress

and make adjustments

• helping the group to achieve closure and identify next steps

• helping the group access resources from inside and outside the group

• providing a means for evaluation of the meeting and seeking improvements

Facilitators bring structure to interactions to make them productive. They

plan carefully and then adapt as things unfold. For more on how facilitators

organize and manage their work, refer to Chapter Three on the stages of the

facilitation process.

What Do Facilitators Believe?Facilitators operate by a core set of principles. At the heart of these is the

belief that two heads are better than one and that, to do a good job, people

need to be fully engaged and empowered.

Chapter One - Understanding Facilitation

3

All facilitators fi rmly believe that:

• people are intelligent, capable, and want to do the right thing

• groups can make better decisions than any one person can make alone

• everyone’s opinion is of equal value, regardless of rank or position

• people are more committed to the ideas and plans that they have helped

to create

• participants can be trusted to assume accountability for their decisions

• groups can manage their own confl icts, behaviors, and relationships if they

are given the right tools and training

• the process, if well designed and honestly applied, can be trusted to

• achieve results

In contrast to the traditional model of leadership, in which the leader is

viewed as the most important person in the room, the facilitator puts the

members fi rst. Members decide the goals, make the decisions, implement ac-

tion plans, and hold themselves accountable for achieving results. The facilita-

tor’s contribution is to provide structure and offer the right tools at the right

time.

Facilitating is ultimately about shifting responsibility from the leader to the

members, from management to employees. By playing the process role, facili-

tators encourage group members to take charge.

What Are Typical Facilitator Assignments?Neutral, third-party facilitators are asked to design and lead a wide variety

of meetings:

• strategic planning retreats

• team-building events

• sessions to clarify objectives and

create detailed results indicators

• priority-setting meetings

• regular staff meetings

• program review/evaluation

sessions

• communications/liaison meetings

• meetings to negotiate team roles

and responsibilities

• problem-solving/process improve-

ment sessions

• meetings to share feedback and

recommend improvements

• focus groups for gathering input

on a new program or product

Facilitating with Ease!

4

Differentiating Between Process and ContentThe two words you’ll hear over and over again in facilitation are process and

content. These are the two dimensions of any interaction between people.

The content of any meeting is what is being discussed: the task at hand, the

subjects being dealt with, and the problems being solved. The content is ex-

pressed in the agenda and the words that are spoken. Because it’s the verbal

portion of the meeting, the content is obvious and typically consumes the at-

tention of the members.

Process deals with how things are being discussed: the methods, procedures,

format, and tools used. The process also includes the style of the interaction,

the group dynamics, and the climate that’s established. Because the process is

silent, it’s harder to pinpoint. It’s the aspect of most meetings that’s largely un-

seen and often ignored, while people are focused on the content.When the person leading the meeting offers an opinion with the intent of

infl uencing the outcome of discussions, he or she is acting as the “content

leader.” When a facilitator offers tools and focuses on managing member in-

teraction, he or she is acting as the “process leader.”

CONTENT PROCESS

What How

The task

The subjects for discussion

The problems being solved

The decisions made

The agenda items

The goals

The methods

How relations are maintained

The tools being used

The rules or norms set

The group dynamics

The climate

It is important to note that, while facilitators are totally unassertive about

the content under discussion, they are very assertive in the way they manage

the process elements. This assertiveness is needed to deal with confl ict, make

interventions, and help the group when it gets stuck.

At fi rst glance, facilitation may seem like a rather vague set of “warm and

fuzzy,” people-oriented stuff. But as you’ll learn, it’s actually a highly structured

and assertive set of practices with a rich set of tools and techniques. Once

you understand these techniques and learn how to apply them, you’ll immedi-

ately see substantial improvement in the overall performance of any group.

Chapter One - Understanding Facilitation

5

Facilitation ToolsAs a facilitator you’ll have an extensive set of tools at your disposal. These

tools fall into two categories: the core practices and the process tools.The core practices, which are rooted in the manner, style, and behavior of

the facilitator, include:

• staying neutral

• listening actively

• asking questions

• paraphrasing continuously

• summarizing discussions

• recording ideas

• synthesizing ideas

• keeping on track

• testing assumptions

• managing the climate

The process tools, which are structured activities that provide a clear

sequence of steps, include:

• visioning

• force-fi eld analysis

• brainstorming

• priority setting

• surveys

• root-cause analysis

• gap analysis

• decision grids

• systematic problem

solving

Understanding each of these tools and how to use them is a vital part of any

facilitator’s job.

Core Practices OverviewRegardless of the type of meeting they’re managing or the specifi c process

tool being used, facilitators make constant use of the following core practices.

Of these, the fi rst fi ve are foundational. These are in constant use during facili-

tation, regardless of what other tools are also deployed.

1. Facilitators stay neutral on the content. Staying neutral on the con-

tent of discussions is the hallmark of the facilitator role. Facilitators are

neutral outsiders who have no stake in the outcome of discussions. They

are there only to provide structure and create a climate of collaboration.

When facilitators ask questions or make helpful suggestions, they never

do this to impose their views or impact decisions.

2. They listen actively. This is listening to understand more than to judge.

It also means using attentive body language and looking participants in the

eye while they’re speaking. Eye contact can also be used to acknowledge

points and prompt quiet people to take part.

Facilitating with Ease!

6

3. They ask questions. Questioning is the most fundamental facilitator

tool. Questions can be used to test assumptions, probe for hidden infor-

mation, challenge assumptions, and ratify for consensus. Effective ques-

tioning encourages people to look past symptoms to get at root causes.

4. They paraphrase continuously. Facilitators paraphrase continuously

during discussions. Paraphrasing involves repeating what group members

say. This lets people know they are heard and acknowledges their input.

Paraphrasing also lets others hear points for a second time and provides

an opportunity to clarify ideas.

5. They summarize discussions. Facilitators summarize ideas shared by

members at the end of every discussion. They do this to ensure that ev-

eryone heard all of the ideas that were put forth, to check for accuracy,

and to bring closure. Facilitators also summarize in the midst of discus-

sions to catch everyone up on the conversation and refresh the topic

during conversation lulls. Summarizing is also useful to restart a stalled

discussion, since it reminds group members of the points already made

and often sparks new thinking. In many decision-making discussions, con-

sensus is created when the facilitator gives the group a clear and concise

summarization of key points.

In addition to the fi ve techniques described above, there are several addi-

tional facilitator techniques that make up the core practices.

Facilitators record ideas. Groups need to leave meet-

ings with complete and accurate notes that summarize dis-

cussions. Facilitators quickly and accurately record what’s

being said. Whether they are using a fl ip chart or electronic

whiteboard, they are careful to use the key words that peo-

ple suggest and organize the notes into related groupings.

There is more on recording group ideas later in this chapter.

They synthesize ideas. Facilitators ping-pong ideas

around the group to ensure that people build on each

other’s ideas. In non-decision-making conversations they do this to build con-

versation and create synergy. In decision-making conversations they ping-pong

ideas to allow each person to add his or her comments to the points made by

others until they have synthesized a statement everyone can live with.

They keep discussions on track. When discussions veer off track or

when people lose focus, facilitators notice this and tactfully point it out. They