Facilitation Skills for Trainers, Facilitators, and Group Leaders

Volume II

Another article in TRG’s series of How-To Articles
for Trainers, Facilitators, and Group Leaders

To order copies, please contact Rene Bernier
Director of Business Development, at (703) 875-8909

Contents

Facilitating for Consensus
Three Ways for Managers to Use Small
Groups
Guide for Conducting a Team Start-up Meeting

Facilitating for Consensus

by James A McCaffery

Problem-solving work groups are composed of people who are close to the problem. In general, these groups have two purposes. First, they attempt to analyze problems and create solutions. Second, they try to build understanding on the issues and secure agreement to carry out the solutions that the group develops. Facilitating groups to achieve these two purposes seems like a simple process.

Unfortunately, it’s not simple at all. To facilitate problem-solving work groups well involves some fairly refined skills. In this chapter, we’ll discuss some pre-event issues you should consider, and offer guidelines and specific techniques you can use to help groups reach sound decisions.

Considerations Before the Event

As a facilitator, you should begin by getting a very clear idea about the goals of the problem-solving group. Identify the outcomes that would make the situation better. This does not mean that you must determine the exact solutions or agreements in advance. Rather, you need to be clear about problems the group needs to analyze, and the kinds of solutions that should be developed.

A clear understanding of the issues will help you determine what key decisions must be made. This understanding will enable you to determine during the meeting or event whether the group’s discussion is generally on target, or whether it is focused too much on less important issues. When you see something is important, it’s critical to push the group to make certain they have truly examined all aspects of the issue, or to test rigorously for agreement. When something is less important, you’ll need to help the group move on. You ability to make these facilitation decision rests on how well you understand the issues under consideration.

On the other hand, you can also know “too much” about the issue, and have views that get in the way of group progress or stop it altogether. To be effective, you will need to be honestly aware of your own biases about the issues. Beware of the facilitator who says, “Oh, I’m neutral on this issue” or “I’m an objective party here.” There is no such thing. It is far better to be aware of your own biases about the issues or the people, so that you can adjust for them. As the facilitator, you have a good deal of power during a meeting, because you know both the process and the content. You can affect the outcome in ways that can negate the group’s effectiveness, or ensure that solutions will not work.

Facilitating Decisions During the Meeting

When moving a group towards a decision, the first requirement is to be able to keep the common purpose(s) clearly in front of the group. There are several ways to do this.

Start the meeting by sharing or reaffirming the common purpose(s), making sure everyone understands and agrees.

When you see participants drift off target, bring them back to the central purpose(s). (For example, say “what we are talking about now is [x] and our purpose here today is [y]; let’s make sure [x] is related to [y], or let’s move back to the main topic.”)
Relate key points to the purpose(s). (For example, you could say, “we have explored these two aspects of the problem. If we can agree on an approach to dealing with these aspects, we’ll achieve one of the purposes here today-[x].”)
Restate the purpose to help individuals who disagree during the session. (For example you could say, “Let me interrupt here for a second--we all need to remember that we are here to address [this purpose], which is affecting all of us.”)

The degree to which you call attention to the common purpose will depend on the length of the meeting, how many people are involved, the working styles of the group, and the complexity of the issues.

To be an effective facilitator you need a second key characteristic: the ability to gauge when the group has talked about something “just enough.” Too much discussion causes the group to lose interest. Participants feel that they are not using their time productively. On the other hand, not enough discussion may result in a solution that is inadequate, or the group may lack the necessary commitment to carry out the solution successfully.

Determining when a group has discussed an issue “just enough” is not an exact science. However, there are some behavioral signs that will indicate to you that it’s time to push the group towards a decision.

Participants begin to repeat points or arguments without developing any new knowledge or ideas. You get the sense that people are trying to convince each other by talking louder or being repetitive.
Individuals have all had the opportunity to contribute a “reasonable” amount to the discussion. If you have any doubts that everyone has said their piece, ask someone who has been silent if they have anything to add.
With good participation at the outset, you now notice that only two or three people appear to be still interested in the point under discussion. The best way to find out what’s happening is to ask, “Have we finished examining this issue?” Or, you could ask “It seems like most of us are ready to move on. Does anyone have a concluding point before we do so?”

Any of the actions suggested above will work well, no matter what happens. If participants are ready to move on, they will breathe a sigh of relief and plunge ahead. If they are not ready to move on, they will recognize it, and make a conscious decision to continue deliberating about an issue.

Then there are time constraints to consider. As the facilitator, it is your job to note the amount of time remaining for the session and assess this against progress made towards session goals. Sometimes, even if issues are not fully resolved, even if you could use more time, it may be necessary to move on.

In either case, you have carried out an appropriate part of your role--keeping the group conscious of process and time and continuing to make progress towards achieving session goals.

Achieving Consensus

At certain key times during the meeting, you’ll help the group reach decisions through consensus. These decisions should be directly related to the purpose of the meting, and should come after the group has had a reasonable amount of time to discuss the issue. At that point, you can take the following actions.

Ask the group, “Are we at a point where we can make a decision about this issue (or recommendation, or action item)?” If so, record a clear statement of that decision. If not, ask “keeping aware of our time limits, what do we have to do to arrive at a decision?”
Summarize the decision. “Here is the decision I hear us moving towards. Correct me if I’ve misstated it or left something out.” Ask the group members if they all agree with this decision. Look around to see if every person has nodded or said yes.
When reaching consensus is getting a little tougher, take actions to help people move their position enough to achieve what might be called a “real world” consensus. Here are some examples of what you might way in these instances.

--        “Do you agree that this is a decision or solution that you can support or carry out?” Better yet...

--        “Do you agree that this is the best solution that we can develop collectively?” Or...

--          “Based on this discussion and our need to take action, can you agree to this as a practical solution--perhaps one that is not ideal and not exactly what you want, but nonetheless achievable?” Or...

--         “Remembering that we all have to keep our common purposes in mind, do you agree that this is the best action we can jointly take?

These steps may help the group achieve consensus, however grudgingly. If you get agreement, acknowledge it, summarize key points, identify actions, record the results, and move on. What happens if you do not get consensus? If people simply disagree, what can you do?

Facilitating Disagreement

As a facilitator, you need to manage disagreement openly and positively. Out of disagreement will often emerge creative solutions, and agreements that people will carry out with energy. However, this creativity and energy cannot happen if disagreements are pushed under the table or if they get out of hand and dominate the group proceedings. Here are some things you as a facilitator can do to be as positive force in facilitating disagreements.

Summarize major points of disagreement or key alternatives. Ask if everyone has been able to contribute his or her views and query the group to see if all major points have been discussed.
Go around and ask each person to state what decision they would recommend if it were up to them alone. If five of eight people agree, address the three who did not agree and ask them questions like the following:

“What would it take to change your mind?”

“Now that we have clearly heard each of our positions, what would it take to get consensus on this problem?”

“What are the areas of disagreement and can they be resolved?”

Whatever question you use, you may then need to facilitate a discussion to sort out the answer.
Another approach is to ask people to consider the main reason that prevents them from agreeing. Allow some discussion and then ask these participants what can be done. Then test for consensus again.
At a certain point, you may decide to have the group vote. Ask how many people would vote for something, and how many would vote against it. If it is not a clear-cut vote, you can simply go with the majority, or you can table the issue and agree not to decide.

As a facilitator, when do you decide to push for consensus as apposed to going with a simple (and quick) vote? This is a judgment call, and it is made based on three factors:

the importance of the issue,
the degree to which each person’s or each unit’s support is really needed for success, and
whether a decision has to be made about a particular issue during the meeting.

When making this kind of judgment, you are trying to strike a balance between

1. pushing participants to make a decision by voting, which doesn’t ensure everyone’s commitment to the action, and

2. taking too much time to reach consensus, which risks developing a sense of wasted time, heightened disagreement, and failure to achieve results.

Three Ways for Managers to Use Small Groups
by Thomas Leonhardt

The synergistic power of people working small groups can be a powerful and creative means to achieve results. Successful managers take an active role in organizing groups in ways that take advantage of available resources and achieve outcomes. This chapter will outline three ways that managers can organize small groups, as task groups, modified nominal groups, or focus groups.

Task Groups

Assigning a task to a small group is an effective way to pool expertise and integrate different perspectives--for solving a problem, for developing a strategy, even for evaluating a project. The group members, of course, should be willing to work together in an efficient and productive manner, and it’s best if the group does not have more than about eight members.

As a manager, there are steps you should take to ensure the group’s success:

1. Think carefully about what you want the group to achieve.

2. Define--and write down--the task(s). Be as exact as possible.

3. Establish a deadline for completing the task(s).

4. Provide leadership and resources to the group, as necessary.

5. Make sure the group understands what the result(s) of the task(s) will be (define the parameters and expected use or application of the end product as precisely as possible).

There are some pitfalls that you should be aware of when assigning tasks to small groups.

Unclear Definition of the Task/Lack of Leadership

Most of the problems that small groups encounter result from unclear definitions of the tasks at hand and lack of proper leadership. If the task is complex, with multiple subtasks, make sure that each subtask is clear. If you cannot lead the group yourself, make sure to designate a leader who is competent at managing group tasks.

Inconsistent Monitoring/Lack of Feedback

Inadequate monitoring and feedback could erode the group’s initiative and morale and reduce the quality of its results. Monitor the group as you would an individual and give group members timely feedback.

Modified Nominal Groups

A modified nominal group is one in which the group members work in the presence of one another, but do not interact unless called upon to do so by the group leader. This type of group allows members to first reflect individually on the issue at hand without distractions from others.

The modified nominal group technique in its simplest form is an effective, systematic, and non-confrontational way to identify priorities using a step-by-step process. Group leaders conduct structured discussions of various agenda items and based on these discussions, group members select the best solutions or responses.

Here’s how this group technique works. Suppose your manager asks your division to identify several solutions to a complex problem. You, as group leader, must facilitate a meeting of division staff to arrive at a series of recommended solutions to submit to your manager for review. Here are the steps you would take when calling together a nominal group:

Leading a Nominal Group

Step 1: Assemble the appropriate group members.

Step 2: Define what a “nominal group” is, how the process will work, and give group members the background information they need to begin thinking about the problem or issue.

Step 3: Ask the group members, as individuals, to think about the problem and write down as many solutions as they can.

Step 4: When adequate time has elapsed, take one response from each person and go around the group until all ideas have been recorded on a flipchart. There should be no discussion of the ideas at this time. Record all ideas, even if someone repeats an idea already mentioned (you can simply put a checkmark next to any idea that is repeated). Number the items so you can keep track of how many ideas are generated.

Step 5: Lead a discussion on each item, making sure that all group members understand the solution under discussion. Now is the time to combine similar solutions, acknowledge repeats, and strive for clarity and understanding.

Step 6: Once group members are clear on each proposed solution, ask them to study each proposal and on a sheet of paper write down the numbers of the solutions they feel will best address the problem. In general, you should limit the number of choices the group members can select as their preferred solutions. A good rule of thumb is to limit the number of choices to one third the total number of proposals. For example, if there are twelve items on the master list, group members would be able to select up to four preferred solutions.

Step 7: Each member then informs the group of his/her choices and the leader ticks them off on the master flipchart. You will be able to see group preferences as this process continues.

Step 8: If choices are wide ranging and further evaluation is required, the leader can help the group narrow down the choices. For example, you can select the top four choices and ask each group member to select one of the four.

There are some points you should be aware of when using the nominal group technique to arrive at solutions.>

Although the initial steps of this technique resemble brainstorming, that’s where the similarity ends. It is important in this technique for group members to hold off on discussing ideas until Step 5 in the process. The group leader should manage all discussions, and items on the master list become the property of the group.
Be careful not to allow too many preferred choices. You want the group to recommend a manageable number of solutions. Limit the choices using the “one-third rule of thumb,” outlined above.

Focus Groups

A focus group is one in which group members explore an idea or issue, under the guidance of a skilled group leader. Members of a focus group may express and explore ideas in a non-threatening environment.

As an example, suppose that you, the manager, want to understand how some of your subordinates feel about an organizational issue, in this case, a reorganization. Establishing a focus group to discuss the issue is an efficient and non-threatening way to obtain employee input.

Conducting a Focus Group Session

Step 1: Prepare a list of questions on the topic or issue.

Step 2: Assemble the group. Your focus group should contain a representative cross sample of appropriate employees and, ideally, should not be larger than 12-15 members.

Step 3: Present the topic or issue to the group, explain how the focus group will work, and establish time limits for the group to complete discussions.

Step 4: Open the discussion, using involvement and facilitation skills to keep the members focused on the topic, ensure that all angles are explored, and give everyone a chance to express their opinion. If possible, have an observer record reactions and remarks, either on a flipchart, tape, or video for later analysis. Make sure to get the group’s agreement before tape or video recording the event--you won’t want to make anyone uncomfortable and unwilling to speak because they can be identified later on.

Step 5: As the leader, be careful to remain neutral. The idea is to explore the group members’ feelings about the subject, not to impose your own ideas on the group.

Step 6: After an appropriate amount of time (usually not longer than 30-45 minutes) thank the members for their time and reach closure by summarizing views and feelings and checking for clarity and understanding.

There are some things to consider when facilitating focus groups:

It is very difficult for most managers to remain neutral or for subordinates to feel free enough to express their feelings about some controversial topic in front of their bosses. You might want to offer to facilitate another division’s focus group and have someone else facilitate your division’s group.
Leading a focus group requires constant attention to facilitation skills: question asking, paraphrasing, and summarizing.[2][2] Group leadership may be difficult for people who feel uncomfortable about their abilities in these areas. Refer to The Role of the Group Leader, following. If you are not sure you have the requisite skills to lead a focus group effectively, you may want to have an internal or external facilitator/trainer lead your group for you.
If the topic or issue on which the group will work is controversial, be careful not to let the group’s emotions get out of hand.

Using small groups to solve problems, make decisions, or develop strategies is an effective management technique, since people who have participated in the process are more likely to be committed to the results. Furthermore, in most situations, a well-chosen group whose members pool their resources is more likely to explore possibilities and be creative than one person working alone. A third benefit of working in small groups is that people who are reluctant to speak out in large groups are often much more comfortable doing so in small working groups.

The Role of the Group Leader

When you bring people together in small groups to work on a task, you should keep the following in mind.

Task Functions

Task functions are aimed at helping the group complete tasks or discover solutions. For example, a group leader might ask the group to recommend and draw up a list of possible charities to which your organization might contribute.

Maintenance Functions

Maintenance functions are actions that help the group remain a cohesive working unit. When the group leader solicits everyone’s opinion about a project, he or she is performing maintenance function (ensuring total involvement to maintain group identity and performance).

Support Functions

Each member of the group also has individual needs. Group leaders can watch for opportunities to address these needs. For example, by allowing a member with a high need for recognition to perform a visible task such as recording the group’s ideas on a flipchart, the group leader meets that person’s needs and contributes to overall group performance as well.

If you are leading the group, your role is to ensure that all three functions are balanced. A group leader that spends all his/her time working with the group on the task and ignoring the maintenance and support functions is likely to watch the group fall apart. If individual member needs are not met, they will eventually hinder group performance. Being able to maintain the equilibrium among these functions and get the most out of your small working groups is not easy. However, there are some specific things you can do to enhance your skills and performance as a group leader:

1. Develop clear tasks for your working groups. Make sure everyone
understand what they must do.

2. Practice effective feedback, group monitoring, and facilitation skills.
help the group keep on track and accomplish its goals.

3. Familiarize yourself with the role of an effective group leader and
practice the functions outlined above.

4. Continue to practice and refine these skills with each successive
group you lead.

Effective teams have a number of characteristics that contribute to their ability to work productively. These teams are concerned with both the tasks they must accomplish and how they will work together to achieve the tasks. There is a clear sense of group direction and individual roles, and the group has tough about its goal(s) as well as individual roles and responsibilities. Successful teams have a concern for both team and individual accomplishments; members support one another. They are able to solve problems creatively. They have decided how they will make decisions, and there is a lot of participation in this process. Often, when performance is less than it should be the team lacks one or more of these characteristics. Frequently when teams begin, they neglect to plan adequately for how they will work together, succumbing to the pressure to get on with the work.
The facilitator can help teams recognize the importance of a careful beginning. An effective team can begin to take shape during the initial meeting. Following are guidelines for conducting a start-up meeting.

1. Share the Meeting Purpose and Agenda

Share the purpose of the start-up meeting and the desire outcomes with the team members. You might also share with them the characteristics of effective teams (see page 17). Help them understand and agree that spending time deciding how they want to work together can be an important factor in their success. Go over the agenda together.

2. Have Team Members Introduce Themselves

In some cases team members may be well acquainted with one another and in other cases not. It’s a good idea to have each team member say a few words about him/herself. This introduction should be brief, but members could include information such as how long they have worked with the company, what their current job is, a personal anecdote, etc.

3. Clarify the Purpose of the Team--Our Mandate Is...

Clarifying the group’s mandate is important. This can be done in a number of ways. The leader or a key manager who has assigned the work to the team can speak about the mandate, then solicit questions and discussion. Or, the facilitator can ask each member to take a few minutes and write down what they think the group mandate is and then go around the room asking each member to share his or her response. Look for common elements in the responses, and write them on a flipchart. Seek agreement among team members regarding the team’s purpose.

4. Facilitate the Sharing of Skills and Knowledge

It is important for group members to know the special skills and expertise their colleagues possess. The facilitator could ask each person to share with the total group the skills and experiences s/he has that will be especially useful in accomplishing the team’s mandate.

5. Help the Team Clarify Roles and Responsibilities

It is important that the team members understand and agree on roles. You might want to start with the role of the facilitator. You should present your role/responsibilities on a flipchart. Explain how you see yourself carrying out your job Ask for their reactions. Negotiate differences.

You then might let the leader and each team member take a few minutes and put their roles/responsibilities on a piece of flipchart paper. Then take turns sharing. Pay particular attention to the role of the team leader. Be sure the leadership style of the leader is discussed as well as the specific responsibilities. Make sure everyone is clear about the role differences between the facilitator and the leader. Work for agreement on the role of the leader. Chart these agreements.

6. Assist the Team in Identifying Operating Norms

Operating norms include items like the following:

when and how often the team will have meetings,
how long the meetings will be,
how the team will make decisions,
the role of the leader in decision making,
how the team will resolve differences, and
how team members will handle performance feedback.

The facilitator should lead the group in a discussion of each of those items, work for agreement, and chart agreements for future reference.

7. Facilitate the Development of a Work Plan

Either at this meeting or at the next one, the group should begin to deal with its work plan. This work plan may be a part of the organization’s problem solving or planning model or it may need to be developed from scratch.

Important questions the team should answer when developing its work plan include the following:

1. Are we all clear, and do we all agree with our mandate?

2. What are the underlying issues around this mandate that could cause us problems?

3. What will our final product look like...a report, a process, a solution?

By discussing and agreeing on these issues, the team can proceed with the detailed planning required for each step of its work plan.

8. Help the Team Review Commitments and Decide Next Steps

At meeting’s end the facilitator should review the agreements and commitments team members have made and make arrangements to get the flipcharts types or reproduced so the group can refer to them when necessary. The team should decide when to review these agreements, whether during the first quarter of activities or halfway through the project. Reviewing and recommitting can help teams avoid problems.

Characteristics of Effective Teams

The term “team” is used here to describe a group of people who work cooperatively together to reach a common goal. Teams--whether temporary task forces, special committees or ongoing teams such as an entire office staff--that work most effectively have certain characteristics.

1. Clear Sense of Group Direction and Individual Roles

2. Concern for Both Individual and Team Accomplishment

Effective teams keep the whole in view, and work to support each other. Team success is valued in theory and in practice.

3. Emphasis on Openness and Creative Problem Solving

The team strives to maintain a sense of openness and solve problems creatively.

4. Group Participation in Decision Making

Effective teams allow an appropriate level of group participation in decision making--not too much so decisions are agonizingly slow, and not too little to result in insufficient team input and commitment to agreements.

5. Concern for Both Tasks and Team
Progress/Development

Team members are skilled at raising both specific task issues and issues that explore how the team itself is functioning. These distinct perspectives are usually raised at different times by different team members--not everybody pays attention to both functions at all times, but both functions are always present.

6. Effective Feedback

Team members give and receive feedback effectively.

How-to Articles for Trainers,

Facilitators, and Group Leaders

Training Resources Group, Inc.

TRG’s how-to articles were produced as a result of our extensive experience conducting management workshops and facilitated events over the years. The articles reflect the quick and “to the point” style we use in our own workshops. You’ll find each one packed with helpful suggestions to make your presentations, workshops, and facilitated events more effective.

Facilitation Skills for Trainers, Facilitators, and Groups Leaders.

Contains useful checklists and guidelines on planning facilitated events, using the flipchart as an effective facilitation tool, and facilitation skills for leading effective meetings.

Facilitation Skills for Trainers, Facilitators, and Groups Leaders. Volume II.

Contains useful checklists and guidelines on facilitating for consensus, using small groups, and conducting a team start-up meeting.

How to Use Feedback to Improve Performance and Enhance Motivation.

Provides clear guidelines on how group leaders and facilitators can give and receive feedback effectively.

A Guide to Co-training. Defines co-training and outlines its advantages and disadvantages. Includes clear guidelines that co-trainers can use to make their work together more enjoyable and productive.

How to Deal with Participant Resistance. Discusses what trainers and facilitators can do to manage participant resistance and minimize its effect on group sessions.

Planning and Implementing Retreats - A Management Guide. Guides managers and facilitators through the steps necessary to plan, manage, and conduct successful organizational retreats.

For more information, please contact Rene Bernier, 4401 Wilson Boulevard, Suite 200, Arlington, VA 22203, (703) 875-8909 or fax to (703) 875-9409.

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