© Resource

Core Principles and Essential Tools of Effective

Facilitation

withTony Mann

of Resource

Strategic Change Facilitators

www.resourcestrategicchange.com

Spectrum of Facilitation

Person Centred Business Focused

Spectrum of Facilitation

All – Each person works on their own (quietly) doing the activity, using the technique

Group

All to One

– A group works together doing the activity, using the technique

– Everyone does the activity out loud), directed to one person or one place (e.g. flip chart)

Application in the Use of Techniques

Home

One to All – One person does the activity, on behalf of everyone

Format Rationale

All This approach is used when:- there are dominant people in the group and you want

people to work independently, free of others influence- you want everyone own thoughts/ideas/input

All to One This approach is used when:- you want cross fertilisation of ideas - there is no danger of domination by individuals

Group This is used when:- there are different constituencies’ in the room and you want

to reflect their different perspectives.

One to All This is used when:- there is an expert in the room who can steer the group by

giving their expert input (first)

Format in the Use of Techniques

Format Advantages Disadvantages

All Everyone gets an opportunity to input their ideas/thoughts/perceptions

It takes more time to collate the input from everyone and ‘cluster’/analyse it

All to One

There is an opportunity to ‘bounce’ of others thoughts and it takes less time to elicit the thoughts/ideas

The opinion of individuals can be lost and the opinion of one or two people can hold sway

Group The opinion of different or ‘constituencies’ can be developed or cross-cutting groups can provide a mix of opinions/perceptions/views

The group format still needs another format to make it effective (e.g. All)

One to All

There is the opportunity to save time and effort by getting expert input

If the expert isn’t well directed it can turn into a ‘solo’ self-centred presentation

Format in the Use of Techniques

Understanding Task and Process

TASK = What we do

PROCESS (FORMAT)= How we do it

Therefore there are “Task issues”and

“Process/Format methods”

Task Leader’s Contract with the Individual/Group

Relationship/Process/Need for Engagement

Low

High

Task Involvement/Knowledge

High Low

Tell

ParticipateSell

Delegate

High TaskHigh Relationship

Low Task High Relationship

Low Task Low Relationship

High TaskLow Relationship

OBJECTIVE

Tasks

Activities

PROCESS

Format

Technique(s)

Link Between Task And Process

Distinguishing the Roles

TASK = TASK LEADER

PROCESS = FACILITATOR

Their respective roles are therefore:

“Task issues”and

“Process methods”

Key Factors in Effective Creativity in Groups

The Degree of Uncertainty of the task

The Level of Process Awareness in the Group

Degree of Uncertainty

Certainty the Question is clear & the answer is easily obtained from the people in the group

Complexity the Question/Problem is relativelyclear but the solution has to be developed

Uncertainty Even the nature of the Question/Problem/Issue is unclear and has to be defined and clarified.Only then can a solution be explored

T = T

T = T x 2½

T = T x 4½

Process Awareness of a Group

Stage 1 – Dys-Functional There is strong leadership and the agenda is set. The Group canonly manage if there is a rigidprocedure which everyone follows.

Stage 2 - Transitional The Group begins to utilise differentformats, procedures become more flexible, inter-actions improve and thegroup begins to take an active interestin process

Stage 3 - Process Aware The Group will recognise uncertainty and adapt the process appropriately. Individuals will take responsibility for the process.

Process Awareness of a Group

Stage 1 – Dys-Functional

Stage 2 - Transitional

Stage 3 - Process Aware

Level Characteristics How they get to the next Level

- Personal responsibility for interactions - Variety of different formats- Use of a wide range of toolsand techniques- Unafraid of Uncertainty

- Beginning to use tools and techniques- Willingness to try new ways of working- Take ‘physical’ control of space- Willingness to give ‘3s’, if prompted

- Leader exercises completer control- group work in a hierarchical way- Few, if any, visual aids used- Absence of flip chart, white board etc

- Leader relinquishes control- Willingness to try different techniques- Begin to recognise ‘time’ and how much is needed

- Take much more notice of process -Use appropriate techniques to tackle the task- Willing to work in uncertainty

THE NATURE OF THE FACILITATIVE MANAGER’S ROLET

HE

NE

ED

FO

R G

RO

UP

TO

TA

KE

CO

NT

RO

L

Con

sulta

ntLe

dIn

put

Tra

iner

Led

Inpu

t

Fac

ilita

tion

Led

Inpu

t

TechnicalCompetence

ExploringChange

Operational

Transformatio

n

Unshared

Directio

n

Learning

Participatio

n

INCREASING UNCERTAIN SITUATIONS

Modes of

Operating

BehaviouralIssues

THE CHARACTERISTICS OF THE (CHANGING) ROLE

Task expertPresentationLives in experienceModels experienceSpecialist centred

Task experiencedParticipativeLives in knownModels certaintySpecialist/Trainer focused

INCREASING UNCERTAIN ANSWERS

TH

E N

EE

D F

OR

LE

AR

NE

RS

TO

TA

KE

CO

NT

RO

L

Exp

ert

Tas

kIn

put

TechnicalIssues

Fac

ilita

tion

Led

Inpu

t

ExploringChangeModes of

Operating

Non-task expertProcess expertLives in uncertaintyModels changeRisk takerCatalystEgo-less

Spe

cia

list/

T

rain

erLe

dT

ask

TaskIssues

Determining the Facilitator’s Role

Over a Period of Time

Functional

Transitional

ProcessAware

Certainty

Complexity

Uncertainty

Process

Support

Nat

ure

of

the

task

Group

Matu

rity

Participate DelegateLead Sell

Feedback Model

4 3 2 1

1 - Misunderstanding or misinterpreting what was said. 2 - Missing out some important points or some details 3 - Feeding back accurately and fully what was said 4 - Getting behind the words to the ‘hidden’ message

Words to Use when Feeding Back

“So what you’re saying is …..”

“If I understand ……”

“My understanding is that ……”

“Can I just check what you’resaying…..”

“ I think that you’re saying that ….”

Summarise ( the background/context)

Propose (Format, technique(s))

Outcome/Output (what will result)

Techniques Situations Key Words

BrainDumping

It is desirable to draw out from the group all theinformation that is known about a particularsituation, action or event.“There are a number of factors/issues which weneed to explore”

Use Post Its™

IssuesFactorsIdentify factorsIdeasThoughts

Brainstorming

Brainstorming is a term often used for any kind ofidea generation. However, it has its own uniquerules and is used for ‘free-wheel’ generation of

‘offthe wall’ ideas.InnovationCreativityNo Boundaries

Use stimulus (e.g. Photos, artefacts)

“We need a freshlook at this”“I think we have

to look at this from a completely different angle”

Learning and

Practicing The

Techniques

Groups

Here two groups have dots.One group goes first -followed by the other group.

They can put Large dotson the green Post Its™ and up to 5 smaller dots on the yellow Post Its™

All

Here everyone (‘All’) have dots – each person can put 1 largeDot up to 3 dots on the smallerPost Its™ .

All to One

Here the group’s dots – are placed by one person on behalf of them.

ISSUE ……………………………………………….. CRITERIA ……………………………………………. 1. …………………………………………….. 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 1 10 1 11 1 12 2. …………………………………………….. 2 3 2 4 2 5 2 6 2 7 2 8 2 9 2 10 2 11 2 12 3. ………….…………………………………. 3 4 3 5 3 6 3 7 3 8 3 9 3 10 3 11 3 12 4. ……………………………………………. 4 5 4 6 4 7 4 8 4 9 4 10 4 11 4 12 5. ……………………………………………. 5 6 5 7 5 8 5 9 5 10 5 11 5 12 6. ……………………………………………. 6 7 6 8 6 9 6 10 6 11 6 12 7. ……………………………………………. 7 8 7 9 7 10 7 11 7 12 8. ……………………………………………. 8 9 8 10 8 11 8 12 9. ……………………………………………. 9 10 9 11 9 12 10. ……………………………………………. 10 11 10 12 11. …………………………………………… 11 12 12. …………………………………………… Consider each of the pairs of statements above. Work horizontally - from each pair select the one which is most important to you in terms of the criteria set and put a circle around the appropriate number on the scale alongside each statement. For example: take the first pairing “1 2” , if you think that the most important statement is number ‘1’ then you would put a circle around ‘1’ on the first line of numbers e.g. 1 2. Do this for all pairings until you have completed the scoring grid. Thank you.

RELATIVE IMPORTANCE SCORE SHEET

Name: ………………………………. Position: ……………………………… Department: …………………………… Organisation: …………………………..

For office use: Project Name: File: Entered: ID Code:

Well stocked shelves

Plenty of choice

Cafe

Quick check-outs

1

2

0

3

What makes you choose a Supermarket?Customer’s reasons for selecting a Supermarket

Quick check-outs

Cafe

Plenty of choice

Well stocked shelves

n x (n – 1)2

4 x 32

= 6

Complete the grid

Score the grid

Check the total

Low Level of High

Process Maturity

Str

ateg

ic

Sig

nific

ance

Using the Four Box Model

High

Low

RatingYes/NoPercentageScore‘Traffic Lights’

GradingRanking 3 1 4 5 2 7 6

Words

Using Fishbone Diagrams

Problem/Solution

Heading HeadingHeading

HeadingHeadingHeadingHeading

Heading

Too many faults in PCs

Our phone system not up to the job

We ask for return before providingreplacement

No recognition for good service

Customers unhappy with support service

They get passed from one person to another

Don’t like music on the phone

MethodsEquipment

No feedback on customer satisfaction

No way to measure how long people wait on line

Wrong people doing job

MeasurementPeople

Negative Emotions (Symptoms)Sym

pto

mA

ctio

nC

ause

Negative Emotions (Symptoms)Sym

pto

mA

ctio

nC

ause

Negative Emotions (Symptoms)Sym

pto

mA

ctio

nC

ause

Forces For + Forces Against -

10 9 8 7 6 5 4 3 2 1 0 1 2 3 4 5 6 7 8 9 10

Forces For + Forces Against -10 9 8 7 6 5 4 3 2 1 0 1 2 3 4 5 6 7 8 9 10

10

9

8

7

6

5

4

3

2

1

EASE

OF

CHANGE

1

2

3

4

5

6

7

8

9

10

D

I

F

F

I

CU

LT

Y

Forces For + Forces Against -

10 9 8 7 6 5 4 3 2 1 0 1 2 3 4 5 6 7 8 9 10

10

9

8

7

6

5

4

3

2

1

EASE

OF

CHANGE

24

20

25

28

Total score = 297/8 = 37.1 Total score = 318/8 = 39.7

Action

4949Action

Most difficult/Least effort

Most benefit/Most effort Most difficult/

Most effort

New Force

New Force

Action

90

Most benefit/Least effort

Place the ‘factors’ on the Force Field

‘Snap’ solutions/actionsOn the factors and move them To their ‘new’ force position

Decide which ones are worth working on

Decide which ones are worth working on

The score is Force x Ease

1

2

3

4

5

6

7

8

9

10

D

I

F

F

I

CU

LT

Y

StakeholderA

Stakeholder

BStakeholderI

StakeholderH

StakeholderC

StakeholderD

StakeholderF

StakeholderG

Concession

Key:Strength of relationship

Direction of Information flow

Influence on Concession

Influence without authority

Issues

Actions

Values

Characteristics

Behaviours (people)Features (things)

+ ve - ve

What will I be seeing…?

RProcess IcebergMeeting Model

C Resource Strategic Change Facilitators

Planning a Meeting/Event

Emotions

Team Roles

Inter-Personal Interactions

Format

Objectives& Tasks

R

Emotions

Team Roles

Inter-Personal Interactions

Process/Format

Objectives& Tasks Resolving

Problems

Sym

ptom

Action

Cau

se

Process Iceberg Meeting Model

Symptom (Emotion) (Root)Cause Action – (Internal Thinking)

(External Speaking) - Summarise Propose Output

Process Iceberg Review Model

Emotions

Team Roles

Inter-Personal Interactions

Process/Format

Objectives& Tasks

(What has helped ?)What shall we START doing ?

(What has hindered ?)What shall we STOP doing ?

Make sure that we understood the objective

Use the walls to work on

Agree the format before we startRoom was too small

Go offsite

Name SeekingInfo

11111

Blocking Giving Info

Felicity

Sanjay

Support Building Propose

Gunja

Dick

Helen

Total

11111

11111

11111

11111

11111 1111

111

1111

11

1

11

1111

Total Comments

Inter-Personal Behaviour

Definitely seems to work with the group to achieve objectives

Helped the group to find consensus

Another valuable member of thegroup – if a bit quiet

Caused the group to ‘stumble’ bythe way they challenged

Caused the group to falter as theyChallenged almost everything

5 4

5

2 5

325

1 48

16

16

9

5

10

13

11 111338 7

111

3

The group seems divided – those who are supportive and those who resist53

PREPARING FOR A PROCESS ICEBERG MEETING

Objectives TasksLevel of

Uncertainty Format Preparation

finally there may be a need and a benefit that can be gained byundertaking some preparation. This should be identified and individuals tasked with doing it.

Each sub - task may require a different format. The format chosen will depend on: the number of participants; the level of process awareness of the group; the degree of uncertainty and the time available.

The sub - tasksensure that all aspects of the objective get explored. The degree of uncertainty will determine the degree to which the objective is broken down into sub - tasks.

The objectives -

that is what is

the purpose of

the meeting.

This will in

turn cause

them to

realise the

degree of

uncertainty

raised by the

objective.

The level of uncertainty can then be defined and this will help people to recognise how difficult the task is going to be

Objectives Tasks Degree ofUncertainty

The sub - tasksensure that all aspects of the objective get explored. The degree of uncertainty will determine the degree to which the objective is broken down into sub - tasks

The level of uncertainty can then be defined and this will help people to recognise how difficult the task is going to be

The objectives

- that is what is

the purpose of

the meeting.

This will in

turn cause

them to

realise the

degree of

uncertainty

raised by the

objective

Process/ Format Preparation

Finally there may be a need and a benefit that can be gained byundertaking some preparation. This should be identified and individuals tasked with doing it.

Each sub - task may require a different format. The format chosen will depend on: the number of participants; the level of process awareness of the group; the degree of uncertainty and the time available

Time

The timeneeded foreach Stagein the ProcessSo that there is an accurate picture of the totaltime needed

Objectives Tasks Degree ofUncertainty

The sub - tasksensure that all aspects of the objective get explored. The degree of uncertainty will determine the degree to which the objective is broken down into sub - tasks

The level of uncertainty can then be defined and this will help people to recognise how difficult the task is going to be

The objectives

- that is what is

the purpose of

the meeting.

This will in

turn cause

them to

realise the

degree of

uncertainty

raised by the

objective

0 1 2 3 4 5 6 7 8 9 10Low Value for my time High

Low

E

ffec

tive

nes

s o

f th

e P

roce

ss

Hig

h 0

1

2

3

4

5

6

7

8

9

10

AUSTRALASIA LICENCE

Tregaskis Brown in New Zealand has been licensed to deliver Process Iceberg® Facilitation on behalf of Resource Strategic Change Facilitators.

We are delighted that Tregaskis Brown is offering Process Iceberg® facilitation in Australasia. The approach fits well with their ‘Project Essentials’ training modules and adds a new dimension to stakeholder engagement/consultation, planning and partnership working.

To contact Tregaskis Brown about this opportunity visit their web site at:http://www.tregaskisbrown.com

Qualification in facilitation

In 2003, Resource developed the first Programme run by a British University (Leeds Metropolitan University) that leads to a qualification in Facilitation. This includes a module in ‘Managing Change’. Tony Mann, a Director of Resource is the author of the best selling, Managing Strategic Change, published by Fenman.

Resource has many years experience of running training courses. Frequently, training is an integral part of a cultural change programme where the need to work in new ways needs to be underpinned by new skills and capabilities.

Resource works with teams to build the skills and competences required so that they have the confidence to adopt facilitative techniques and work in uncertainty.

UNIQUE EXPERTISE

“Individual ownership” needs to be a reality – not just a catch phrase

A facilitated approach is essential if managers are to develop their skills and become a leader in the business.

Your expertise in engaging individuals in the design of the way forward ensures that the task is genuinely owned and will be taken forward once by everyone working in unison with autonomy and responsibility.

Successful action is dependant upon genuine effective ownership by every individual as well as the team.

DEVELOPING A SENSE OF OWNERSHIP

A Team working through key issues and identifying the key imperatives and the changes which need to be made

Facilitating strategic change & team development

Resource specialise in supporting organisational and teams. It has facilitated events for Government Ministers, worked with the Houses of Parliament, NHS Leaders and supported a wide range of programmes within government departments and regional government. We routinely work at a strategic level with senior teams in the public and private sectors.

We have facilitated a range of events for Network Rail, ranging from ‘safety’ to the need to pull together as a team.

Each event was specifically designed around the specific client need.

BUILDING DEVELOPMENT/ACTION PLANS – INDIVIDUALLY & AS A TEAM

We encourage participation and innovative thinking – an individual developing ideas for new ways of working

Tackling problems and finding solutionsResource has extensive experience of supporting teams undertaking change and improvement initiatives.

Successful change will have the following characteristics:.

SETTING THE STANDARD – EXPLORING ISSUES AND FINDING SOLUTIONS

• Clear understanding of the context and external factors driving change• Recognition of the implications for change/action • A participative process to ensure individuals and teams identify the application of changes and the opportunities that are available

Our approach ensures team members own the change and are empowered to take it forward.

It is essential that the programme of change uses a process that engages individuals in a meaningful and genuine dialogue. The process of change needs to be facilitated – not externally imposed. Resource has extensive experience of designing an end to end process that is genuinely participative.

A team working through an issue