ffirs.qxd 2/9/12 2:33 PM Page ii

More Praise for Facilitating with Ease!

“I have rarely run into a better collection of pragmatic tips, tools, and techniques. If you work with peopleto accomplish something important, save yourself a lifetime of trial and error: read this book, put its messageto use, and start seeing where real collaboration can lead your organization.”

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

“Ingrid Bens’ 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! is by far the easiest to use, most comprehensive and well structured resource guide Ihave ever seen! No wonder both new and seasoned facilitators find it invaluable. A must have if facilitation isa skill you need in your toolbox.”

—Larry L. Looker, Manager, Global Leadership Development, Amway Corporation, USA

“This book is just excellent! The comprehensive set of practical tools are for everyone engaged in improv-ing how groups work. Helps you to just do it!”

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

ffirs.qxd 2/9/12 2:33 PM Page i

ffirs.qxd 2/9/12 2:33 PM Page ii

The Jossey-BassBusiness & Management Series

ffirs.qxd 2/9/12 2:33 PM Page iii

FREEPremium ContentP

This book includes premium content that can be accessed from our Web site when you register atwww.josseybass.com/go/ingridbensusing the password professional.

ffirs.qxd 2/9/12 2:33 PM Page iv

Facilitating with Ease!

Core Skills for

Facilitators,

Team Leaders

and Members,

Managers,

Consultants,

and Trainers

NEW AND REVISED

Ingrid Bens, M.Ed.

ffirs.qxd 2/9/12 2:33 PM Page v

Copyright © 2012 by John Wiley and Sons, Inc.

Published by Jossey-Bass

An Imprint of Wiley

One Montgomery Street, Suite 1200, San Francisco, CA 94104-4594

www.josseybass.com

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any

means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107

or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or

authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood

Drive, Danvers, MA 01923, 978-750-8400, fax 978-646-8600, or on the web at www.copyright.com. Requests to the

Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street,

Hoboken, NJ 07030, 201-748-6011, fax 201-748-6008, or online at http://www.wiley.com/go/permissions.

Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this

book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this

book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No

warranty may be created or extended by sales representatives or written sales materials. The advice and strategies

contained herein may not be suitable for your situation. You should consult with a professional where appropriate.

Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but

not limited to special, incidental, consequential, or other damages. Readers should be aware that Internet websites

offered as citations and/or sources for further information may have changed or disappeared between the time this was

written and when it is read.

The materials on the associated website are designed for use in a group setting and may be customized and reproduced

for educational/training purposes. The reproducible pages are designated by the appearance of the following copyright

notice at the foot of each page:

Facilitating with Ease! Core Skills for Facilitators, Team Leaders and Members, Managers, Consultants, and Trainers, 3rd Edition.

Copyright © 2012 by John Wiley and Sons, Inc. Reproduced by permission of Jossey-Bass, an Imprint of Wiley.

www.josseybass.com

This notice may not be changed or deleted and it must appear on all reproductions as printed. This free permission is

restricted to limited customization of the materials for your organization and the paper reproduction of the materials

for educational/training events. It does not allow for systematic or large-scale reproduction, distribution (more than

100 copies per page, per year), transmission, electronic reproduction or inclusion in any publications offered for sale or

used for commercial purposes—none of which may be done without prior written permission of the Publisher.

For additional copies/bulk purchases of this book in the U.S. please contact 800-274-4434.

Jossey-Bass books and products are available through most bookstores. To contact Jossey-Bass directly call our

Customer Care Department within the U.S. at 800-274-4434, outside the U.S. at 317-572-3985, fax 317-572-4002, or visit

www.josseybass.com.

Jossey-Bass publishes in a variety of print and electronic formats and by print-on-demand. Some material included with

standard print versions of this book may not be included in e-books or in print-on-demand. If this book refers to media

such as a CD or DVD that is not included in the version you purchased, you may download this material at

http://booksupport.wiley.com. For more information about Wiley products, visit www.wiley.com.

Library of Congress Cataloging-in-Publication Data

Bens, Ingrid.

Facilitating with ease! : core skills for facilitators, team leaders and members,

managers, consultants, and trainers / Ingrid Bens.—3rd ed.

p. cm. — (The Jossey-Bass Business and management series)

Includes bibliographical references.

ISBN 978-1-118-10774-4 (pbk.); 978-1-118-18114-0 (ebk.); 978-1-118-18115-7 (ebk.); 978-1-118-18116-4 (ebk.)

1. Teams in the workplace. 2. Group facilitation. I. Title.

HD66.B445 2012

658.4’022—dc23

2011042749

Printed in the United States of America

THIRD EDITION

PB Printing 10 9 8 7 6 5 4 3 2 1

ffirs.qxd 2/10/12 12:10 PM Page vi

vii

Table of Contents

Introduction .............................................................................................................

Chapter One—Understanding Facilitation

What Is Facilitation? ..............................................................................................What Does a Facilitator Do? ..................................................................................What Do Facilitators Believe? ................................................................................What Are Typical Facilitator Assignments? ...........................................................Differentiating Between Process and Content ...................................................Facilitation Tools .........................................................................................................Core Practices Overview ........................................................................................What Does Neutral Mean? .....................................................................................How Assertive Can a Facilitator Be? .....................................................................The Language of Facilitation ....................................................................................Conversation Structures ..........................................................................................Starting a Facilitation .................................................................................................During a Facilitation ..................................................................................................Ending a Facilitation ...................................................................................................Effective Note Taking .................................................................................................The Rules of Wording ...............................................................................................Managing the Flip Chart ...........................................................................................Focus on Questioning ...............................................................................................Best and Worst Facilitator Practices ....................................................................Facilitator Behaviors and Strategies ........................................................................Core Practices Observation Sheet .........................................................................Process Flow Observation Sheet ...........................................................................Facilitation Skill Levels ..............................................................................................Facilitation Skills Self-Assessment ..........................................................................

Chapter Two—Who Can Facilitate

When to Use an Internal Facilitator ......................................................................When to Use an External Facilitator .....................................................................When Leaders Facilitate ...........................................................................................Facilitation Strategies for Leaders ...........................................................................Best and Worst Facilitation Practices for Leaders ..............................................Facilitation As a Leadership Style ............................................................................Additional Role Challenges ......................................................................................

Chapter Three—Facilitation Stages

1. Assessment and Design .......................................................................................2. Feedback and Refinement ..................................................................................

1

7

78899

10111215161718192122232425293033343536

39

39404041454547

51

5152

ftoc.qxd 2/13/12 11:08 PM Page vii

3. Final Preparation ..................................................................................................4. Starting a Facilitation ............................................................................................5. During a Facilitation .............................................................................................6. Ending a Facilitation..............................................................................................7. Following Up on a Facilitation ..........................................................................Seeking Feedback on Your Facilitation...................................................................

Chapter Four—Knowing Your Participants

Conducting an Assessment ......................................................................................Group Assessment Survey........................................................................................Comparing Groups to Teams ..................................................................................Understanding Team Stages .....................................................................................Forming—The Honeymoon Stage .........................................................................Storming—The Potential Death of the Team .....................................................Norming—The Turning Point ..................................................................................Performing—The Ultimate Team Growth Stage .................................................Adjourning—The Final Stage ...................................................................................Facilitation Strategies Chart .................................................................................Team Effectiveness Survey .......................................................................................

Chapter Five—Creating Participation

Creating the Conditions for Full Participation ...................................................Removing the Blocks to Participation ...................................................................High-Participation Techniques .................................................................................Group Participation Survey .....................................................................................Encouraging Effective Meeting Behaviors .............................................................Group Behaviors Handout ......................................................................................Observing Group Behaviors in Action .................................................................Peer Review Instructions ..........................................................................................Peer Review Worksheet ...........................................................................................

Chapter Six—Effective Decision Making

Know the Four Types of Conversations................................................................The Four Levels of Empowerment ........................................................................Clarifying the Four Empowerment Levels ...........................................................Shifting Decision-Making Paradigms ......................................................................The Decision-Making Options ................................................................................The Divergence/Convergence Model ..................................................................The Importance of Building Consensus.................................................................Effective Decision-Making Behaviors .....................................................................Symptoms, Causes, and Cures of Poor Decisions .............................................Decision Effectiveness Survey ................................................................................

Facilitating with Ease!

viii

53555657 5858

59

5961636666687272747577

81

828288919293949596

97

9899

100103104108109112113115

ftoc.qxd 2/13/12 11:08 PM Page viii

Chapter Seven—Facilitating Conflict

Comparing Arguments and Debates .....................................................................Steps in Managing Conflict ......................................................................................The Five Conflict Options: Pros and Cons...........................................................Conflict Management Norms .................................................................................Giving and Receiving Feedback ..............................................................................Making Interventions ................................................................................................Wording an Intervention .........................................................................................Dealing with Resistance ...........................................................................................The Right Approach .................................................................................................Common Conflict Dilemmas .................................................................................The Facilitative Conflict Management Process ...................................................Interpersonal Conflict Worksheet .........................................................................Group Conflict Checklist ........................................................................................Conflict Observation Sheet ....................................................................................Conflict Effectiveness Survey ..................................................................................

Chapter Eight—Meeting Management

Meetings That Work .................................................................................................Our Meetings Are Terrible! .....................................................................................The Fundamentals of Meeting Management .......................................................Sample Process Check Survey ...............................................................................Sample Exit Survey ....................................................................................................Meeting Effectiveness Survey ..................................................................................Facilitating Virtual Meetings .....................................................................................

Chapter Nine—Process Tools for Facilitators

Visioning........................................................................................................................Sequential Questioning..............................................................................................S.W.O.T. ........................................................................................................................S.O.A.R. .......................................................................................................................Facilitative Listening ..................................................................................................Appreciative Review...................................................................................................Brainstorming .............................................................................................................Written Brainstorming ............................................................................................Affinity Diagrams .......................................................................................................Gap Analysis ................................................................................................................Needs and Offers Dialogue ....................................................................................Force-Field Analysis ...................................................................................................Root-Cause Analysis .................................................................................................The Five Whys ............................................................................................................Gallery Walk ...............................................................................................................Multi-Voting ...............................................................................................................Decision Grids .............................................................................................................

Table of Contents

ix

117

117118121124125129130134136137140141142143144

147

147148149154155156159

163

163165167168170172174175176178179180181183184186188

ftoc.qxd 2/13/12 11:08 PM Page ix

Constructive Controversy ...................................................................................Exit Surveys .............................................................................................................Survey Feedback .....................................................................................................Systematic Problem Solving .................................................................................Systematic Problem Solving Worksheets ..........................................................Troubleshooting ......................................................................................................Troubleshooting Worksheet ................................................................................

Chapter Ten—Process Designs

Introduction to the Sample Agendas..................................................................Sample Design 1—Creating a Mission Statement and Objectives ......Sample Design 2—Work Planning, Roles, and Responsibilities ............Sample Design 3—Priority Setting/Cutback Planning ............................Sample Design 4—Inter-Group Negotiation ............................................Sample Design 5—Finding and Solving Problems ....................................Sample Design 6—Core Program Development ....................................Sample Design 7—Survey Feedback/Issue Census ..................................Sample Design 8—New Leader Integration .............................................Sample Design 9—Transition Planning .......................................................Sample Design 10—Process Improvement ...............................................Sample Design 11—Project Retrospective ...............................................Sample Design 12—Team Adjournment ....................................................

Session Planning Worksheet ................................................................................

About the Author ..................................................................................................Acknowledgments ..................................................................................................About the Website ............................................................................................Bibliography .............................................................................................................

Facilitating with Ease!

x

190191192193195203204

205

206206208209211213214217218220222223225226

229229231233

ftoc.qxd 2/13/12 11:08 PM Page x

1

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

project meetings, task force meetings, planningand coordinating meetings . . . the list is endless.The worst thing about many of these meetings isthat they’re poorly run and waste valuable time.

Today, there’s been a growing recognition thateffective meetings happen when proper attentionhas been paid to the process elements and whenproceedings are skillfully facilitated.

For a long time, facilitation hasbeen a rather vague and poorlyunderstood practice, masteredonly by human resource types.This is beginning to change. We’renow spending so much time inmeetings and being asked toachieve so many important goals in teams that there’s a growingneed for skilled facilitationthroughout our organizations and our communities.

Instead of being relegated to HR, facilitation isfast becoming a core competency for anyonewho leads a team, manages a project, heads up acommittee, or manages a department. All ofthese 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 ofchange. New demands are being placed onthem. At the same time, the old command andcontrol model of supervision, which worked fordecades, is no longer as effective.

To get the most from people today, leadershave to know how to create buy-in, generateparticipation, and empower people.

To keep pace, today’s leaders need to becoaches, mentors, and teachers. At the core ofeach 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 beencollected, tested, and refined over decades ofactive facilitation in all types of settings.This thirdedition retains the core tools and instrumentsthat made the first two editions so popular.

In addition, new materials havebeen added to every chapter.

As in the first two editions,Facilitating with Ease! remainsa practical workbook. Whileit builds on the theories of organization development pioneers such as Chris Argyris,Donald Schön, and Edgar Schein,

this resource doesn’t aim to be theoretical.Instead, its focus is on providing the reader withthe most commonly used process tools, in a simple and accessible format. This is not so mucha book to be read, as one to be used!

The AudienceThis workbook contains valuable information

for anyone facilitating group interactions. This isa 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 conflict mediators

IIntroduction

With its focus on askinginstead of telling, listening,

and building consensus,facilitation is the essentialskill for anyone working

collaboratively with others.

c01.qxd 2/9/12 2:44 PM Page 1

• quality consultants leading process improvementinitiatives like Six Sigma

• consultants intervening in conflicts• anyone teaching others to facilitate• anyone called on to lead a discussion or run a

meeting.

Since facilitation was designed as a role forneutral outsiders, the strategies and techniquesin this book are described from the perspectiveof the external facilitator. Since more and morefacilitation is being done by those who have astake in the outcome of discussions, the thirdedition includes strategies that help leaders andgroup members manage the challenges of stayingneutral.

Content OverviewThe book is organized into ten chapters.

Checklists and tools have not been collected inan appendix, but are located throughout eachchapter, near the related materials.

Chapter One outlines what facilitation is andits main applications. It differentiates processfrom content and outlines the core practices. Italso addresses facilitation issues such as neutrali-ty, how assertive a facilitator can be, and how tobalance the role of the group leader with that of the facilitator.

Chapter One also describes what facilitatorsdo at the beginning, middle, and end of discus-sions. It provides information about the languageof facilitation, the principles of giving and receiv-ing feedback, plus a thumbnail sketch of the bestand worst practices of facilitators.

At the end of the chapter, there are twoobservation sheets and a four-level skills self-assessment, useful to anyone hoping for feedbackon current skills.

Chapter Two focuses on how facilitation can bemanaged by leaders.This is a major new additionand reflects the growing awareness among

leaders of the importance of process management.

This new chapter explores the challenges leaders face when they facilitate and providesstrategies that help leaders effectively managegroup process.This chapter also discusses theissues encountered when the facilitator feels heor she lacks authority or is working with peopleof senior rank.

Chapter Three explores the stages of designing and managing a facilitation assignment.It describes the importance of each step in thefacilitation process: assessment, design, feedback,refinement, and final preparation. Helpful check-lists are also provided to guide the start, middle,and end of any facilitation session.

Chapter Four focuses on knowing your partici-pants and provides information about the four most commonly used needs-assessmenttechniques. Sample assessment questions andsurveys are provided.This chapter also discussesthe differences between facilitating groups andfacilitating teams and passes along strategies forgetting any group to behave more like an effective team.The creation of team norms isdiscussed, along with an overview of the teamgrowth stages and the corresponding facilitationstrategies that work best at each stage.

Chapter Five begins with a frank discussion ofthe many reasons people are often less thanenthusiastic to be involved in a meeting or work-shop and provides tested strategies for overcom-ing these blocks, including ideas on gaining buy-in. High participation techniques are also shared,along with a training plan to encourage effectivemeeting behaviors in members.

Chapter Six delves into the complexities ofdecision making. Facilitators are introduced tothe types of discussions and the importance ofclarifying empowerment.Various methods forreaching decisions are described and differentiat-ed.The pros, cons, and uses of each approach are

Facilitating with Ease!

2

c01.qxd 2/9/12 2:44 PM Page 2

explored, along with an expanded discussion ofconsensus building. Chapter Six also offers anoverview of the behaviors that help decisioneffectiveness 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 isprovided with which a group can assess its current decision-making effectiveness.

Chapter Seven deals with facilitative strategiesfor handling both conflict and resistance. It beginswith an overview of the difference betweenhealthy debates and dysfunctional arguments.It goes on to share techniques that encouragehealthy debates and the steps in managing anyconflict. Special attention is paid to strategies forventing emotions.The five conflict-managementoptions are also explored and placed into thecontext of which are most appropriate for facilitators.

Chapter Seven also provides a three-part format for wording interventions that tactfullyallows a facilitator to redirect inappropriatebehavior.Also described are the two approachesa facilitator can choose when confronted withresistance and why one is superior.At the end ofthe chapter, nine common facilitator dilemmasand their solutions are presented.

Chapter Eight focuses on meeting management.There’s a useful checklist and meeting effective-ness diagnostic that lets groups assess whetheror not their meetings are working.There’s also a chart that outlines the symptoms and cures for common meeting ills.The fundamentals ofmeeting management are outlined, with specialemphasis on the role of the facilitator as compared to the traditional chairperson role.Both mid-point checks and exit surveys areexplained, and samples are provided. Since virtualmeetings are on the rise, strategies are offeredfor using facilitation techniques during distancemeetings.

Chapter Nine contains some of the processtools that are fundamental to all facilitation activities.These include: visioning, sequentialquestioning, force-field analysis, brainstorming,gap analysis, root cause analysis, decision grids,affinity diagrams, needs and offers dialogue,systematic problem solving, survey feedback,multi-voting, and troubleshooting. Each tool isdescribed, and step-by-step directions are givenfor using it.

Chapter Ten pulls it all together by providingtwelve sample process designs, complete withfacilitator notes.These notes describe eachmeeting design in detail and set an example forhow facilitators should prepare their designnotes.The twelve samples are some of the mostcommonly requested facilitations and provide thereader with graphic illustrations of the level ofdetail a facilitator needs to consider before stepping in front of any group.

After years of experience as a consultant,project manager, team leader, and trainer, I’mconvinced that it’s impossible to build teams,consistently achieve consensus, or run effectivedecision-making meetings without highly devel-oped facilitation skills.The good news is thatthese skills can be mastered by anyone! I hopeyou find the third edition of Facilitating with Ease!to be a valuable resource in your quest to gainthis important skill.

January 2012 Ingrid Bens, M.Ed., CPF

Introduction

3

c01.qxd 2/9/12 2:44 PM Page 3