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 collaboration 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 members 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 define their goals. They ensure that group members have effective rules to guide interaction.

They provide an orderly sequence of activities. They keep their fingers 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 remaining 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 define its overall goal, as well as its specific 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 reflect 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.

All facilitators firmly 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 conflicts, 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 first. Members decide the goals, make the decisions, implement action plans, and hold themselves accountable for achieving results. The facilitator'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, facilitators 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 improvement sessions
• meetings to share feedback and recommend improvements
• focus groups for gathering input on a new program or product

Differentiating Between Process and Content

The 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 expressed 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 attention 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 unseen and often ignored, while people are focused on the content.

When the person leading the meeting offers an opinion with the intent of influencing the outcome of discussions, he or she is acting as the “content leader.” When a facilitator offers tools and focuses on managing member interaction, he or she is acting as the “process leader.”

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 conflict, make interventions, and help the group when it gets stuck.

At first 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 immediately see substantial improvement in the overall performance of any group.

Facilitation Tools

As 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-field 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 Overview

Regardless of the type of meeting they're managing or the specific process tool being used, facilitators make constant use of the following core practices. Of these, the first five are foundational. These are in constant use during facilitation, regardless of what other tools are also deployed.

1. Facilitators stay neutral on the content. Staying neutral on the content 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.
3. They ask questions. Questioning is the most fundamental facilitator tool. Questions can be used to test assumptions, probe for hidden information, challenge assumptions, and ratify for consensus. Effective questioning 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 everyone heard all of the ideas that were put forth, to check for accuracy, and to bring closure. Facilitators also summarize in the midst of discussions 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, consensus is created when the facilitator gives the group a clear and concise summarization of key points.

In addition to the five techniques described above, there are several additional facilitator techniques that make up the core practices.

Facilitators record ideas. Groups need to leave meetings with complete and accurate notes that summarize discussions. Facilitators quickly and accurately record what's being said. Whether they are using a flip chart or electronic whiteboard, they are careful to use the key words that people 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 conversation 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 place a “parking lot” sheet on a wall and offer participants the option of placing extraneous topics on it for later discussion.

They test assumptions. Facilitators outline the parameters, empowerment levels, and other constraints that apply so that they are understood by all. They are always on the lookout for situations in which misunderstandings are rooted in differing assumptions and probe carefully to uncover these.

They manage the group climate. Facilitators help members set behavioral norms or group guidelines. Then they intervene tactfully when they notice that members are not adhering to their own rules. (See later chapters for more on both norms and making interventions.)

They make periodic process checks. This involves tactfully stopping the action whenever group effectiveness declines. Facilitators can intervene to check whether the purpose is still clear to everyone, the process is working, and the pace is effective or to find out how people are feeling.

They give and receive feedback. Facilitators always have their fingers on the pulse of the group and offer their perspective to help the group make adjustments. They are also receptive to input and invite members to point out anything that needs adjustment. At the end of each meeting, facilitators create mechanisms such as written evaluations or exit surveys to capture feedback for ongoing improvement.

What Does Neutral Mean?

Facilitation was created to be a neutral role played by an unbiased outsider. The role of this neutral third party is solely to support group decision making without exerting influence over the outcome. Facilitators, therefore, always focus on process and stay out of the content.

One of the most difficult things about learning to facilitate is staying within the neutrality boundary because facilitators often have insight into the subject under discussion. The issue of neutrality is further complicated by the fact that a lot of facilitation isn't done by disinterested outsiders, but by someone from within the group who has a real stake in the outcome.

This question of whether or not leaders can facilitate their own teams is so significant that an entire chapter of this book has been devoted to exploring this issue. For now, the discussion of neutrality will focus on the assumption that the facilitator is indeed a third-party outsider.

It's important to note that staying neutral is a challenge, even for neutral outsiders! Sometimes group members say things that are obviously incorrect or they miss important facts. In these instances it's very difficult for the facilitator to hold back and maintain body language that hides a bias.

Regardless of the situation, it's important to understand that neutrality can still be maintained by applying specific techniques.

Learn to Say x201C;Okay”

When a group member says something that seems like an excellent point, facilitators can be tempted to congratulate that person by saying “Good point” or “Great idea.” Unfortunately, this is a sure way to lose your neutrality, since it makes it appear that you're straying into the content and trying to influence the group's opinion. To avoid this common pitfall, substitute the word “Okay” for “Good point.” “Okay” allows you to acknowledge that you heard the point, but does not indicate any approval on your part.

Whenever you're tempted to say “I like that idea,” substitute “Do the rest of you like that idea?” After all, you're not there to judge member suggestions, but to help them do that.

When to Say “We”

Another of the dilemmas related to neutrality concerns whether or not to say “We” and include oneself in the conversation. Here is the simple rule:

Include yourself and say “We” when referring to the process:

1. “How are we doing on time?”
2. “Does this approach we're taking seem to be working?”
3. “Do we need a break?”

Use “You” when referring to the content:

1. “Let me read back what you've said so far.”
2. “Here are the issues in the order you ranked them.”
3. “Are you satisfied that this has been discussed enough?”

How Assertive Can a Facilitator Be?

There is a common misconception that taking a neutral stance on the content of meetings means being passive. This is far from the case. In fact, if you operate on the belief that your role is basically unassertive, you'll be in danger of ending up as nothing more than a note taker or scribe, while conflicts rage around you.

While it's true that facilitators should be non-directive on the topic being discussed, they have to be assertive on the process aspects of any meeting. It's within the parameters of the facilitator role to decide all aspects of the meeting process, including informing members how agenda items will be handled, which discussion tools will be used, who will speak in which order, and so on.

This doesn't mean that you shouldn't collaborate with members on the session design. Gaining member input is always a good idea since it enhances buy-in. It does mean that process is the special expertise of the facilitator. In matters of process, it's appropriate for you to have the final say.

Just how appropriate and necessary a high level of assertiveness is can be best understood when a group becomes dysfunctional. In these situations, facilitators need to be firm and act like referees, stepping into the fray to restore order to the proceedings.

A high level of assertiveness on process is especially critical whenever there are personal attacks or other rude behavior. All facilitators are empowered to interrupt and redirect individuals so that their interactions become more appropriate. In the section on facilitating conflict, you'll find more on techniques and language you can use for making interventions and managing stormy meetings. By following these practices, you'll be behaving in a way that's anything but passive.

Some assertive actions facilitators take, when the situation warrants it, include:

• insisting on meeting norms
• calling on quiet people
• stopping to check on the process
• calling time-outs and breaks
• intervening to stop rude behavior
• asking probing questions
• challenging assumptions
• adjusting the meeting design
• summarizing discussions
• insisting on closure
• insisting on action plans
• implementing evaluation activities

The Language of Facilitation

A specific style of language has evolved as a part of facilitation. These techniques are especially important when it comes to commenting on people's behavior without sounding critical or judgmental. The main language techniques are:

• paraphrasing
• reporting behavior
• describing feelings
• perception checking

Paraphrasing involves describing, in your own words, what another person's remarks convey.

1. “Do I understand you correctly that . . . ?”
2. “Are you saying . . . ?”
3. “What I'm hearing you say is . . . .”

Facilitators paraphrase continuously, especially if the discussion starts to spin in circles or if the conversation becomes heated. This repetition assures participants that their ideas are being heard.

Reporting behavior consists of stating the specific, observable actions of others without making accusations or generalizations about them as people, or attributing motives to them.

1. “I'm noticing that we've only heard from three people throughout most of this discussion.”
2. “I'm noticing that several people are looking through their journals and writing.”

By describing specific behaviors, facilitators give participants information about how their actions are being perceived. Feeding this information back in a non-threatening manner opens the door to improve the existing situation.

Descriptions of feelings consist of specifying or identifying feelings by naming the feeling with a metaphor or a figure of speech.

1. “I feel we've run out of energy.” (Naming)
2. “I feel as if we're facing a brick wall.” (Metaphor)
3. “I feel like a fly on the wall.” (Figure of speech)

Facilitators always need to be honest with group members by saying things like: “I feel exhausted right now” or “I feel frustrated.” This lets other people know that it's okay for them to express feelings.

Perception checking is describing another person's inner state in order to check whether that perception is correct.

1. “You appear upset by the last comment that was made. Are you?”
2. “You seem impatient. Are you anxious to move on to the next topic?”

Perception checking is a very important tool. It lets the facilitator take the pulse of participants who might be experiencing emotions that get in the way of their participation.

Conversation Structures

One of the most important mental models in facilitation is that conversations fall into two distinct categories: they are either decision making in nature or not. Each type of conversation has distinct features that dictate the techniques used to manage it. Facilitators who understand these two distinct conversation structures can use them to structure and manage discussions.

Starting a Facilitation

Anyone who attends meetings knows that things can easily go off track or be stalled if there's the slightest confusion about the goal, how the discussion will be managed, or the empowerment level of the group. That's why facilitators always ensure that there's clarity regarding the scope of the conversation before they allow people to start discussing agenda items. They create this clarity by using a Start Sequence.

Start sequences have three components:

1. Purpose—a statement that clearly describes the goal of the facilitated discussion. This is what will be discussed. This can take the form of a simple goal statement or it can be more detailed and include a description of the desired outcomes.
2. Process—a statement of how the session will be conducted. This helps the participants understand how decisions will be made, the speaking order, and any structuring tools that will be used. The process description should also clarify whether members are making the final decision or are simply being asked for input about a decision to be made elsewhere.
3. Time—a statement of how long the entire discussion will take. In more complex conversations, time frames should also be provided for segments within the overall discussion.

During a Facilitation

Once a discussion is underway, it can easily get sidetracked or stuck, even when there's a clear start sequence in place. This can happen for any number of reasons, including that:

• the topic may be more complex than anticipated
• the conversation may have drifted onto another topic
• the process tool being used may not be the right one for the discussion
• the original time frames may not have been realistic
• individuals may be feeling tired or lose focus

Sometimes there are obvious signs that these things have happened, but there are also lots of times when there are no outward signs that meeting effectiveness is declining. That's why it's vitally important that facilitators periodically stop the action and conduct what is known as a process check.

Process checking is a type of intervention designed to test effectiveness even when there are no outward signs of problems. As with all interventions, the sole purpose of process checking is to restore the effectiveness of the group.

A useful metaphor for process checking is a stop sign. That's because conducting a process check involves stopping the action to shift member focus to the process or how things are going.

Ending a Facilitation

One of the biggest meeting pitfalls is ending without real closure or detailed next steps. When members leave a meeting without action plans, the entire meeting can feel like a waste of time.

Whether ending a short discussion or an extended meeting, facilitators always provide a summary of key points to ensure that there's a shared view of the outcome.

Even if the session was a non-decision-making session, facilitators should provide a concise summary of what was discussed.

Effective Note Taking

Facilitation has always been very closely linked with those awkward three-legged easels that are the trademark of the profession. Flip charts were invented by the first facilitators, who were looking for a way to enable group members to see what was being said during discussions.

Today, flip charts are quickly being eclipsed by all manner of electronic boards and sticky wall coverings. While this trend is likely to continue, don't be surprised if those gawky, flip-chart stands stick around as well.

Writing on a flip chart or electronic board requires slightly larger handwriting than normal so people can see the words from across the room. Writing while also asking questions, listening to new comments, and monitoring group body language can be quite a challenge. Don't be surprised if your handwriting suddenly looks like kindergarten scrawl and even familiar spelling is impossible to recall.

Since very few people are able to create flawless flip charts, it's best to relax about spelling and penmanship as long as the main ideas are captured so that they are clear. This relaxed attitude is especially important when encouraging group members to try their hand at facilitating. Just point out that every piece of flip-chart paper has an imaginary spell-check button that automatically corrects all mistakes.

Install an imaginary spell check button on each piece of flip-chart paper. Ask people to accept that hitting the button corrects all mistakes!

The Rules of Wording

Since facilitators always strive to be neutral to ensure that group members control outcomes, it's important to accurately record what people say without editing too much. If the facilitator changes too many words or adds words that he or she personally prefers, group members will feel that the facilitator has taken control of the proceedings. The first rule of recording ideas is, therefore, to faithfully record what people are saying.

Since people say much more than we can record in a few crisp statements, facilitators are always challenged to create a short, concise summary of the dialogue. This is tricky because it necessitates editing, which can lead to inadvertently changing the meaning of what is said.

Skillful facilitators are good at editing so that the shortened statement still manages to be faithful to the original idea. They do this by following these rules:

Rule 1—Use their words—Listen carefully for the key words that participants use and ensure that these words are included in what is written on the flip chart. Reinforce this by saying things like:

1. “I'm writing the word ‘disaster’ because you emphasized it.”
2. “Let me read back what you said to check whether I accurately captured your point.”

Rule 2—Ask permission to change words—If participants struggle to articulate a point or are at a loss to find the right words, offer wording, but get member approval to ensure that what's recorded reflects what people intended to say. Say something like:

1. “I've shortened what you said to this . . . Is this okay?”
2. “Can I use the word . . .?”
3. “Is it okay to record that this way?”

Managing the Flip Chart

A flip chart may look innocent enough, but remember that these three-legged beasts can trip you, make your handwriting look like kindergarten scrawl, and make even familiar spelling impossible to recall. See the following chart for definite do's and don'ts about the flip chart.

The most important tip is to write down exactly what people say. While you may need to edit their comments somewhat, be sure to use their key words. If you start to substitute words that you think are better, you will no longer be neutral.

By changing what people are saying you will also be losing their trust. This will make it very difficult to continue to serve the needs of the group.

When you record ideas, remember to use complete phrases. You don't need to write whole sentences, but should avoid cryptic one word notes. If you do this it is very likely that no one will understand what you have written by the next day.

Do learn to talk and write at the same time or the pace will really start to drag. One good technique is to turn to the group and pose a question for them to mull over, while you turn and write.

Making notes on a flip chart can tend to make you stand in one spot with your back to the group. Avoid this if you can by stepping away from the flip chart anytime you are not actively making notes. You should also consider walking around and even moving closer to the person who is speaking. This will make things far more dynamic.

Once you have completed a flip chart sheet, you should always post these around the room. That's one of the great benefits of using old fashioned paper. Then people can see the ideas that have already been discussed and agreed upon by members. This helps the group make progress on their goals. It also lets you look back to past discussions and make sure that those ideas are still in play.

Finally, remember to empower others to go up to the flip chart whenever that's possible. This builds commitment and reinforces the idea that this isn't your meeting.

Facilitator Behaviors and Strategies

Regardless of whether you're a facilitator from within the group or from outside, the team's leader or a member, the following parameters apply:

1. Be Informed—Successful facilitators always gather extensive data about their prospective participants in order to fully understand both their business and their needs. They survey and interview participants, read background reports, and use prepared questions to build a complete picture of the group's situation.
2. Be Optimistic—Facilitators don't let disinterest, antagonism, shyness, cynicism, or other negative reactions throw them off. Instead, they focus on what can be achieved and strategies to draw the best from each participant.
3. Be Consensual—Facilitation is fundamentally a consensus-building process. Facilitators always strive to create outcomes that reflect the ideas of all participants equally.
4. Be Flexible—Successful facilitators always have a process plan for all meetings, yet at the same time are always ready to toss it aside and change direction if that's what is needed. Experienced facilitators come prepared with alternative strategies.
5. Be Understanding—Facilitators need to understand that there are great pressures on employees in today's workplace and that antagonistic or cynical behaviors may be a result of high stress levels.
6. Be Alert—They pay careful attention to group dynamics and notice what's going on at all times. They are attuned to noticing both how people interact and how well they're achieving the task.
7. Be Firm—Good facilitation is not a passive activity, but one that calls for substantial assertiveness. Facilitators should always be ready to step in and redirect an ineffective process.
8. Be Unobtrusive—The participants should be doing all of the talking. The facilitator says only enough to give instructions, stop arguments, keep things on track, and sum up. Trying to be the center of attention or make yourself look important is a misuse of your position.

   Facilitating should be an egoless activity. The purpose is to make the group succeed, not to make you look really important and clever. An effective facilitator will leave a group convinced that “We did it ourselves!”

Facilitation Cue Card

Core Practices Observation Sheet

Facilitator:

Process Flow Observation Sheet

Facilitator:

1. Clarifies the purpose
2. Creates buy-in if needed
3. Checks assumptions
4. Makes sure there are norms
5. Establishes the process
6. Sets time frames
7. Stays neutral and objective
8. Paraphrases continuously
9. Acts lively and positively
10. Makes clear notes
11. Asks good probing questions
12. Makes helpful suggestions
13. Encourages participation
14. Addresses conflict
15. Sets a good pace
16. Checks the process
17. Moves smoothly to new topics
18. Makes clear and timely summaries
19. Knows when to stop

Facilitation Skill Levels

Mastering the art of neutrality, keeping notes, and asking questions at meetings is not all there is to facilitating. Being a true facilitator means developing your competency at four distinct levels.

Review the skills needed at each of the four levels described below. Then complete the facilitation skills and needs assessment instrument that follows to identify your current strengths and future training needs.

Facilitation Skills Self-Assessment

Assess your current skill levels by rating yourself according to the basic skill areas outlined below.

Rank your current skill level using the five-point scale below.

Level 1	Rating
1. Understand the concepts, values, and beliefs of facilitation
2. Skilled at active listening, paraphrasing, questioning, and summarizing key points
3. Able to manage time and maintain a good pace
4. Armed with techniques for getting active participation and generating ideas
5. Keep clear and accurate notes that reflect what participants have said
6. Familiar with the basic tools of systematic problem solving, brainstorming, and force-field analysis

Level 2	Rating
1. Knowledge of a wide range of procedural tools essential for structuring group discussions
2. Able to design meetings using a broad set of process tools
3. Knowledge of the six main decision-making approaches
4. Skilled at achieving consensus and gaining closure
5. Skilled at using feedback processes. Able to hear and accept personal feedback
6. Able to set goals and objectives that are measurable
7. Able to ask good probing questions that challenge own and others' assumptions in a non-threatening way
8. Able to stop the action and check on how things are going
9. Able to use exit surveys to improve performance
10. Able to manage meetings in an orderly and effective manner

Level 3	Rating
1. Able to manage conflict between participants and remain composed
2. Able to make quick and effective interventions
3. Able to deal with resistance non-defensively
4. Skilled at dealing with personal attacks
5. Able to redesign meeting processes on the spot
6. Able to size up a group and use the right strategies for their developmental stage
7. Able to implement survey feedback exercises
8. Able to design and conduct interviews and focus groups
9. Knowledgeable about survey design and questionnaire development
10. Able to integrate and consolidate ideas from a mass of information and create coherent summaries

Level 4	Rating
1. Able to design and implement process interventions in response to complex organizational issues
2. Able to facilitate process improvement, customer intimacy, and other organization development activities
3. Able to support teams in their forming, storming, and performing stages