Chapter Three
Facilitation Stages
One of the biggest mistakes a facilitator can make is to come to a meeting without assessing the needs of the group or preparing design notes for the session. Before facilitating any meeting, be aware of the specific stages involved to ensure proper planning and implementation.
While the following steps were originally designed to be followed by external facilitators, they are equally relevant for internal facilitators.
- Assessment and design
- Feedback and refinement
- Final preparation
- Starting a facilitation
- During a facilitation
- Ending a facilitation
- Following up on a facilitation
While thorough preparation is absolutely essential, experienced facilitators will tell you that most agendas rarely run exactly as planned. Some discussions will inevitably take longer than planned or it may become evident that agenda items need to be addressed in a different order. Any number of things can result in the need to adjust the design midstream. In fact, making adjustments on the fly is an art that all facilitators need to master.
1. Assessment and Design
The first step in ensuring success in any facilitation is to make sure the meeting design is based on sufficient and adequate information. If you're coming from outside, ask the group's leader to send a letter to all members, informing them that an external facilitator has been hired and that you will be contacting them to gather background information for the agenda.
It's common practice to start by interviewing the person who asked you to facilitate the meeting. It's important, however, not to stop there and assume that that person is necessarily aware of all the needs and interests of the rest of the group. If you also gather information from a cross-section of group members, you will be able to build a more complete picture of the situation, as well as check out the key assumptions.
Any experienced facilitator will tell you that there's nothing worse than basing the design of a meeting on what one person has told you, only to find that no one else in the group agrees with that assessment!
To assess the needs and status of the group, you can use one or more of the following techniques:
- one-on-one interviews
- group interviews
- surveys
- direct observation
Details about each technique are shown on pages 69 and 70 in Chapter Five.
Any time you gather data about a group, a summary of that information must always be fed back to the members. This can be done by providing the members with a written summary of the assessment notes or by writing key points on a flip chart and reviewing them briefly at the start of the session.
Facilitators also review any data they collected at the start of the facilitation to help everyone understand how the final agenda was created. If you've done a good job of interpreting the input of group members, the design of the meeting should sound as if it flows directly from the information gathered.
Once all relevant background information has been collected and tabulated, and once you feel confident that you understand the group's needs, you can create a preliminary design. This includes identifying the objectives of the session and writing an agenda with detailed process notes. In Chapter Ten you will find examples of process notes that show the format and level of detail that is needed.
2. Feedback and Refinement
Once you've created a proposed agenda for the session, share the design with group members to gain their approval. Sharing the details about how the process will unfold will help group members understand the structure of the meeting. If your design is intended for a large group or a complex event, such as a planning retreat, this feedback activity will need to be more formal. It's common to meet with a representative subgroup of members so that they can hear the feedback from the data gathering and review the proposed design being presented. If the design is for a smaller, less complex meeting, it may suffice to discuss your agenda ideas with the leader and/or representative member.
There are many situations in which the group's members may not like what you've designed. There's often a gap between what a group wants and what the facilitator thinks they need.
If a disagreement about the design arises, you need to ensure that all viewpoints are heard and that optional designs are considered. On the one hand, if the group has valid reasons for not wanting to do an exercise (that is, the content is too sensitive to discuss, the objectives have changed, etc.), respect that concern.
On the other hand, you should stand firm and assertively promote your design, especially if meeting members are reluctant to use participatory techniques or have a history of dysfunction. In these cases, listen to their objections, then help them understand your recommendations. Sometimes what they want is not what they need.
Once agreement on a final workshop design has been reached, you can write a brief summary of both the feedback and final version of the design and send it to the group's representatives. This written memorandum will help reduce the potential for misunderstanding.
3. Final Preparation
Professional facilitators spend as much time preparing for a facilitation session as they do leading the actual event. The industry standard for session leaders is one day of preparation for each day of facilitation. Some complex sessions even have a ratio of two days of preparation for each day of facilitation.
Here are common time allocations for facilitation assignments:
| Workshop/Meeting Length | Interview Time | Design Time | Total Time |
| 1-day workshop (18 people) | 1/2 day | 1/2 day  |
2 days |
| 2-day workshop (18 people) | 1 day | 1 day |
4 days |
| 2-day retreat (60 people) | 1 day | 3 days |
6 days |
Establishing Behavioral Norms
Meetings run best when there are clear rules or norms to follow. These are sometimes difficult to set at the start of the meeting. People may feel reluctant to speak up and suggest rules or there may be pressure to start discussing the agenda items.
For these reasons, it's a good strategy to ask group members to suggest norms during the assessment phase. This can be done during one-on-one interviews or via emails. The suggested norms can then be shared and ratified at the end of the feedback meeting.
If you do not build norms during the data collection, you can build a set of norms at the meeting to discuss and ratify the agenda. Simply ask members norm-specific questions like: “ What rules will ensure that this meeting runs smoothly?” “What should the rule be about laptops and handhelds?” “What about people coming and going?” “What about side conversations?” “What should the rule be about bringing up topics not on the agenda?”
Combine member responses into a coherent set of meeting guidelines. Bring these forward for at the start of the facilitated session.
For more about setting norms see page 77 in Chapter Five.
Negotiating Personal Power
It is also important during the final preparation phase to negotiate for sufficient power to be able to manage the dynamics of the group. This is especially important for internal facilitators.
Lack of power comes from a number of sources. The most obvious power vacuum is experienced by staff who are asked to facilitate a meeting filled with upper-level managers. To gain the power needed to manage the interactions of powerful groups, facilitators always negotiate for what they need.
In addition to helping the group set norms during the feedback session, ask members pointed questions about what it's okay for you to say and do during the facilitation. Make sure they understand that you may need to come across as assertive to keep things on track. Prompt conversation with questions such as:
- “If people start to side-chat, run in and out, or talk over each other, what is it okay for me to say and do? Is it okay for me to tactfully point these things out and steer people back?”
- “What if there are arguments or someone goes on for too long? Can I point these things out and suggest what would be better?”
In most cases the group members will tell you that they want you to be assertive and will give you the permission you need to intervene whenever necessary. In some cases they may even go further and ask you to stop them if they fall into ineffective patterns.
Strictly speaking, facilitators do not need the approval of group members to intervene. Managing group interaction is, after all, the job of the facilitator. The reason for negotiating the right to assertively intervene is to set group member expectations. Once members have stated that they want you to assertively manage the meeting dynamics, it gives you the green light you need to step in.
In fact, you can start these interventions by saying something like: “I'm going to remind you that you asked me to stop you if this happened.”
Gaining the group's permission to intervene assertively creates a group norm that protects the facilitator from being seen as overstepping traditional boundaries. Negotiating the right to intervene assertively gives facilitators the green light to do their jobs and protects them from having career-limiting moments.
Final Preparations
Here is a checklist of the things that should be part of the final preparation:
- ____ finalize the design and share it with group members
- ____ clarify the things that you are responsible for doing, as well as the things that the group will take care of
- ____ negotiate the power that you need to be able to manage effectively
- ____ check the suitability of the meeting location
- ____ help the meeting organizer prepare a letter detailing meeting logistics and the final agenda for distribution
- ____ identify all needed materials and supplies
- ____ write all workshop materials and handouts
- ____ print all materials and handouts
- ____ prepare important flip-chart sheets ahead of time or program that data into the electronic board you will be using
The members of the group are typically responsible for sending notices, arranging and paying for logistics such as accommodations, ensuring that a suitable meeting room is available, arranging and paying for printing, keeping clear minutes of the proceedings, transcribing all flip-chart notes, monitoring to ensure follow-through on all action plans, and evaluating the results.
4. Starting a Facilitation
As the facilitator, you should always be the first person to arrive for any meeting. This ensures that there's time to make last-minute seating changes in the room, post the agenda and survey data, test the equipment, and so on. Arriving early also allows you to greet participants as they arrive. Chatting informally with members not only helps break the ice, but it gives people an opportunity to get to know you.
Room set-up is critical for facilitated discussions. A large room with modular furniture works best for both large group and subgroup settings. Huge boardroom tables, on the other hand, are detrimental to creating an atmosphere conducive to dialogue. A long table also tends to reinforce hierarchical patterns and discourage eye contact between members. When facilitating large groups, it's best to seat people at round tables spaced evenly around the room. Small table groups of five to eight are ideal.
If using flip charts, make sure there's ample wall space for posting the notes that will be generated throughout the day. If the design calls for breaking into small group discussions, you will need to arrange for an easel for each subgroup in addition to the one you will be using at the front of the room.
Over time you'll develop your own personal approach for beginning a session; here's a checklist to get you started:
- ____ introduce yourself and give a brief personal background
- ____ clarify the role you'll be playing as the facilitator
- ____ clarify the roles to be played by any other members
- ____ go around the room and have members introduce themselves by name and perhaps position, especially if there are people present who don't know each other
- ____ take care of all housekeeping items
- ____ conduct a warm-up activity to relax the group; make sure this fits with the time available and activity focus
- ____ review any data collected from members; have key points posted for all to see and answer questions about the data
- ____ review the agenda: clarify the objectives and desired outcomes of the entire meeting and also of subsections
- ____ review the behavioral norms or meeting guidelines that will be in effect during the session
- ____ remind members of the powers that they have given you to intervene
- ____ if the group already has a set of meeting guidelines, review these and invite members to add any new norms that may be needed. If the group does not have norms, either help them create a new set of norms for the session or ratify the ones that were developed during the design phase. Post the norms on a wall within clear view of all members
- ____ set up a parking lot sheet on a side wall to keep track of digressions
- ____ make a clear statement about the purpose of each agenda item; describe the expected outcome of each agenda item
- ____ describe the process tools and techniques to be used in each discussion
- ____ set out the timeframe for each agenda item; in some settings set a timer or appoint a timekeeper
- ____ start the discussions
Once the preliminaries have been dealt with, start the first discussion. Remember to begin each new agenda item with a clear start sequence.
Refer to page 13 in Chapter One for more on start sequence components.
5. During a Facilitation
The key contribution of the facilitator during any meeting is to provide the necessary structure and guidance so that discussions are consistently effective. Facilitators do not act like passive scribes while members discuss agenda items.
Remember that facilitators are only neutral about the content of discussions. They are not neutral about the process or how things are unfolding. The best facilitators continually monitor group interaction and intervene whenever they see group productivity decline.
On page 142 in Chapter Eight you can find an overview of the way facilitators use language to make interventions when they see ineffective behavior. This is an essential tool for helping maintain group effectiveness.
In addition to making interventions, facilitators also periodically make process checks. Refer to page 16 in Chapter One for a more detailed description of the four elements of every process check. These are either made at the halfway point of any discussion or are conducted whenever there are signs that things are not going well.
During all discussions be sure to:
- ____ ensure that all members participate
- ____ ask probing questions to further the conversation
- ____ paraphrase continually to acknowledge and clarify ideas
- ____ monitor time and maintain an appropriate pace
- ____ keep track of ideas by making concise notes
- ____ make periodic summaries to restart or end conversations
- ____ encourage members to adhere to their ground rules
- ____ make interventions if behaviors become ineffective
- ____ keep the group on track and park off-topic items
- ____ help members objectively discuss differences of opinion
- ____ make periodic process checks to test overall effectiveness
- ____ stop the action if the discussion spins its wheels and ask members why they are stuck and what will move them forward
- ____ adjust the process and offer additional tools when needed
- ____ maintain a high energy level and positive tone
6. Ending a Facilitation
A common problem in many meetings is lack of closure. Lots of things are discussed, but there's no clear path forward. One of the facilitator's key contributions is to ensure that decisions are reached and detailed action steps are in place before moving to the next topic or adjourning the meeting.
Here are some ways you can help bring effective closure to a meeting:
- ____ provide summary statements about what has been decided and record these on a flip chart or electronic board
- ____ ensure that each action item is accompanied by detailed action plans
- ____ round up items not discussed at the meeting, including those placed in the parking lot, and help members create a plan of action for each
- ____ help the group create an agenda for the next meeting
- ____ decide on a means of follow-up: written reports/group session
- ____ clarify your role in any follow-up meetings
- ____ help members decide who will transcribe notes
- ____ make digital snapshots of all flip-chart notes as a back-up
- ____ post an exit survey to get member views about the session
- ____ hand out a written evaluation so that group members can provide more detailed comments about the session and offer you feedback on your work
- ____ thank the participants for the opportunity to facilitate
7. Following Up on a Facilitation
No matter how formal or informal the facilitation process has been, following up with the group is always a good idea. If the facilitation consisted of a brief meeting, you might simply call the group leader to determine the extent to which the session helped the group become more effective. If the session was a major decision-making workshop or retreat, encourage the group leader to send out a written follow-up workshop evaluation to the members.
Unless it was formally agreed that you would conduct the follow-up activity, you can leave any post-session reports to the group's members. This ensures that they, not you, assume accountability for the implementation of the ideas emerging from the session. Your role may be to merely remind the group about the need for follow-up and to provide them with a format for reporting results later. In some cases, you may negotiate with the group to facilitate a follow-up meeting at which post-meeting progress is discussed and evaluated.
Seeking Feedback on Your Facilitation
When an outside facilitator works with a client, it's routine procedure for him or her to seek feedback about his or her personal performance from the person who made the contract. This is done to ensure that the client is satisfied and helps preserve the client relationship.
It's equally important for internal facilitators to seek feedback. They may not be worried about cultivating a client, but should be thinking about whether or not their work contributed to the overall health of the organization.
Gaining detailed and specific feedback is essential to all facilitators seeking to increase their personal effectiveness. The feedback process can be done in person or over the phone. The format is often as simple as asking fundamental questions like:
- “What did I do well?”
- “What was my most valuable contribution?”
- “What did I do during the session that was especially effective?”
- “What did I not do well?”
- “In what instances could I have done something differently?”
- “What specific improvements could I make to my facilitation work to become even more effective?”