Watch Lynda video: Different types of facilitation? ?Watch Lynda video: Facilitating Adult Learners? ? Watch Lynda video: Best Practices in Workshop Design? ?Strategic Facilitation App

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More Praise for The Skilled Facilitator Fieldbook

“This book provides the tools, techniques, and actual experience to truly practice shared leadership. Roger Schwarz and his colleagues provide not only the theory but the practical, hands-on experience required to develop high-performance teams.”

—Jay Hennig, vice president, Moog, Inc.

“Although I consider myself already familiar with Roger’s Skilled Facilitator approach, I was amazed at the breadth and depth this Fieldbook provides. It is a compelling resource for anyone interested in building his or her facilitative capabilities.”

—Sandy Schuman, University at Albany, SUNY; editor, The IAF Handbook of Group Facilitation; and moderator, the Electronic Discussion on Group Facilitation

“The Skilled Facilitator Fieldbook is a must-have for anyone serving as a third-party intervener, coach, consultant, or a manager with a desire to develop people and groups.”

—Thomas P. Zgambo, corporate ombudsman, Coca-Cola Enterprises Inc.

“The Skilled Facilitator Fieldbook truly provides the reader with an understandable ‘root cause’ perspective on why people interact the way they do and the means to create change. It goes way beyond the ‘memorize these rules’ approach advocated by many practitioners.” —Sid Terry, director of organization development, NA Manufacturing, Kraft Foods

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Also by Roger Schwarz

The Skilled Facilitator: A Comprehensive Resource for Consultants, Facilitators, Managers, Trainers, and Coaches (New and Revised)

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The Skilled Facilitator Fieldbook

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The Skilled Facilitator Fieldbook

Tips, Tools, and Tested Methods for Consultants,

Peg Carlson, Sue McKinney, and Contributors

Facilitators, Managers, Trainers, and Coaches

Roger Schwarz, Anne Davidson,

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Copyright © 2005 by Roger M. Schwarz, Anne S. Davidson, Margaret S. Carlson, and Susanne C. McKinney. All rights reserved.

Published by Jossey-Bass

A Wiley Imprint

989 Market Street, San Francisco, CA 94103-1741 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 ap- propriate 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.

Jossey-Bass books and products are available through most bookstores. To contact Jossey-Bass di- rectly call our Customer Care Department within the U.S. at 800-956-7739, outside the U.S. at 317-572-3986 or fax 317-572-4002.

Jossey-Bass also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books.

Credit: “Laws of Systems” section in Chapter 7 from The Fifth Discipline by Peter M. Senge, copyright ©1990 by Peter M. Senge. Used by permission of Doubleday, a division of Random House, Inc.

Library of Congress Cataloging-in-Publication Data

The skilled facilitator fieldbook : tips, tools, and tested methods for consultants, facilitators, man- agers, trainers, and coaches / Roger Schwarz … [et al.].—1st ed.

p. cm.- (The Jossey-Bass business & management series)

Includes bibliographical references and index.

ISBN-13 978-0-7879-6494-8 (alk. paper)

ISBN-10 0-7879-6494-8 (alk. paper)

1. Communication in management. 2. Communication in personnel management. 3. Group facilitation. 4. Group relations training. I. Schwarz, Roger M., 1956— II. Series.

HD30.3.S373 2005

658.4’5—dc22

2004025821

Printed in the United States of America

FIRST EDITION

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

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The Jossey-Bass Business & Management Series

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To my parents, Richard and Jeanne Schwarz, for all their love and encouragement

R.S.

To my family, friends, and clients for their love and support, and especially to my nieces and grandnieces, Carson, Alex,

Emily, and Allison—the young women who will create the world I dream about

A.D.

To Andrew, Jacob, and Lena, with love and thanks for their unfailing wisdom, humor, and support

P.C.

To my family, who encouraged me to be curious and open- minded about all things; to Reba, Oz, and Rain, who keep me grounded; and to my new husband, Matthias

Ender, for his unconditional support

S.M.

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Contents Editors, Authors, and Contributors xiii Introduction xix

Part One: Understanding the Skilled Facilitator Approach

1 The Skilled Facilitator Approach 3 Roger Schwarz

2 The Group Effectiveness Model 15 Roger Schwarz

3 Using Facilitative Skills in Different Roles 27 Roger Schwarz

4 Understanding What Guides Your Behavior 33 Roger Schwarz

5 Ground Rules for Effective Groups 61 Roger Schwarz

6 The Diagnosis-Intervention Cycle 69 Peg Carlson

7 Thinking and Acting Systemically 75 Anne Davidson

8 Contracting with Groups 89 Roger Schwarz

Part Two: Starting Out

9 Jointly Designing the Purpose and Process for a Conversation 103 Roger Schwarz, Anne Davidson

10 Process Designs 107 Anne Davidson

11 Basic Facilitation: What Can Be Accomplished? What Cannot? 115 Peg Carlson

12 Do the Math: Creating a Realistic Agenda 119 Peg Carlson

13 Beginning Meetings: Introductions and Guidelines for Working Together 125 Anne Davidson

14 Introducing the Ground Rules and Principles in Your Own Words 131 Sue McKinney

15 Using the Group Effectiveness Model 135 Anne Davidson

ix

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16 Helping Group Members Focus on Interests Rather Than Positions 145 Peg Carlson

17 Developing Shared Vision and Values 149 Anne Davidson

18 Helping Groups Clarify Roles and Expectations 159 Anne Davidson

19 Using the Skilled Facilitator Approach to Strengthen Work Groups and Teams 171 Anne Davidson

20 Using the Ground Rules in E-Mail 181 Roger Schwarz

Part Three: Deepening Your Practice

21 Ways to Practice the Ground Rules 189 Anne Davidson

22 Some Tips for Diagnosing at the Speed of Conversation 195 Peg Carlson

23 Opening Lines 201 Roger Schwarz

24 Reducing the Skilled Facilitator Jargon 207 Roger Schwarz

25 Now What Do I Do? Using Improv to Improve Your Facilitation 211 Roger Schwarz, Greg Hohn

26 Ground Rules Without the Mutual Learning Model Are Like Houses Without Foundations 217

Sue McKinney 27 Writing and Analyzing a Left-Hand Column Case 235

Roger Schwarz

Part Four: Facing Challenges

28 Holding Risky Conversations 249 Anne Davidson

29 Exploring Your Contributions to Problems 255 Roger Schwarz

30 Moving Toward Difficulty 261 Sue McKinney

31 Responding to Silence and Interruptions and Enabling Members to Talk to Each Other 269

Roger Schwarz 32 Raising Issues In or Out of the Group 273

Roger Schwarz

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Part Five: Seeking Your Path

33 Finding Your Voice 279 Anne Davidson

34 Being a Mutual Learner in a Unilaterally Controlling World 287 Sue McKinney

35 Introducing the Skilled Facilitator Approach at Work: Pitfalls and Successes 293 Sue McKinney

36 Bringing It All Back Home, or Open Mouth, Insert Foot 299 Peter Hille and the Staff of the Brushy Fork Institute

37 A Carp in the Land of Koi 305 Susan R. Williams

Part Six: Leading and Changing Organizations

38 Daily Challenges of a Facilitative Leader 309 Tom Moore

39 Learning to Live Our Philosophy 315 Betsy Monier-Williams

40 Helping a Team Understand the System They Created 323 Roger Schwarz

41 “I Can’t Use This Approach Unless My Boss Does” 331 Roger Schwarz

42 How to Stop Contributing to Your Boss’s and Your Own Ineffectiveness 335 Roger Schwarz

43 Developmental Facilitation 339 Anne Davidson, Dick McMahon

44 Guidelines for Theory-in-Use Interventions 349 Anne Davidson, Dick McMahon

45 Introducing the Core Values and Ground Rules 361 Jeff Koeze

46 From Learning to Lead to Leading to Learn 367 Joe Huffman

47 Reflections of a Somewhat Facilitative Leader 377 Jeff Koeze

48 Integrating the Skilled Facilitator Approach with Organizational Policies and Procedures 383

Roger Schwarz, Anne Davidson 49 360-Degree Feedback and the Skilled Facilitator Approach 391

Peg Carlson 50 Implementing a 360-Degree Feedback System 403

Bron D. Skinner

Contents | xi

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51 Do Surveys Provide Valid Information for Organizational Change? 409 Peg Carlson

52 Using the Skilled Facilitator Approach in Different and Multiple Cultures 413 Anne Davidson

Part Seven: Integrating the Skilled Facilitator Approach in Your

Worklife (and Non-Worklife)

53 The Drama Triangle: A Unilateral Control Program for Helping Others 421 Dick McMahon

54 Using Creative and Survival Cycles to See and Shift Mental Models 433 Guillermo Cuéllar

55 The Skilled Facilitator Approach and the Myers-Briggs Type Indicator 437 Anne Davidson

56 Applying the Skilled Facilitator Approach to a Systems Thinking Analysis 447 Chris Soderquist

57 The Facilitative Coach 457 Anne Davidson, Dale Schwarz

58 Becoming a Facilitative Trainer 479 Sue McKinney, Matt Beane

59 Being a Facilitative Consultant 495 Harry Furukawa

60 Using the Skilled Facilitator Approach as a Parent 505 Peg Carlson

61 Running for Office in a Unilaterally Controlling World 511 Steve Kay

62 Using the Facilitative Leader Approach in Public Office 515 Verla Insko

Afterword: Some Important Lessons 521 Roger Schwarz, Anne Davidson

Acknowledgments 527 Index 529 About Roger Schwarz & Associates 545

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Editors, Authors, and Contributors

Roger Schwarz is founder and president of Roger Schwarz & Associates, a consulting firm that is dedicated to helping people change how they think and act so they can improve their business results and relationships—often in ways they didn’t think possible. For more than twenty-five years, he has been helping groups and organizations by facilitating as well as consulting, coaching, and teaching and speaking on the subjects of facilitation, teams, and leadership. His clients include Fortune 500 corporations; federal, state, and local government; educational institutions; and nonprofit organiza- tions. His book The Skilled Facilitator (Jossey-Bass, 2002) is a standard reference in the field. An or- ganizational psychologist, Roger was formerly associate professor of public management and government at The University of North Carolina at Chapel Hill. He earned his Ph.D. and A.M. in organizational psychology from The University of Michigan, his M.Ed. from Harvard University, and his B.S. degree in psychology from Tufts University.

Anne Davidson is a consultant with Roger Schwarz & Associates. She specializes in leadership de- velopment, facilitator training, and long-term organizational and community change projects. She works internationally with management groups, work teams, and nonprofit and local government boards. She increasingly coaches individuals who want to embrace learning and creative develop- ment in their jobs and personal lives. Her journey toward organization development and training started almost thirty years ago when she began teaching eleventh-grade English in South Carolina. Since that time, she has served as a media center director; a marketing and management instructor in the School of Business at Western Carolina University; the training and organization development director for the City of Asheville, North Carolina; and a lecturer in public management and govern- ment at The University of North Carolina at Chapel Hill. Anne learned the Skilled Facilitator approach in 1988 during the early phases of its development when the City of Asheville became a client of Roger Schwarz & Associates. She earned her B.A. in English and secondary education from Presbyterian College. She holds an M.L.S. from The University of North Carolina at Chapel Hill and an M.B.A. from Western Carolina University.

Peg Carlson is an organizational psychologist who earned her Ph.D. from The University of Michigan. She is a consultant with Roger Schwarz & Associates and adjunct associate professor of public man- agement and government at The University of North Carolina at Chapel Hill. She teaches, consults, and writes in the area of organizational change and development. She leads workshops on facilita- tion and facilitative leadership and frequently facilitates meetings for governing boards, management teams, and community groups. She has published articles on developing effective groups, assessing the chief executive’s performance, and multirater feedback. Peg started using the Skilled Facilitator approach with Roger Schwarz and colleagues Dick McMahon and Kurt Jenne when she joined the UNC fac- ulty in 1992. She resigned her tenured position in 2000 to better balance work and family life.

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Sue McKinney is a consultant with Roger Schwarz & Associates and independently. Formerly, she was director of organizational development for an international nongovernmental organization based in Chapel Hill, North Carolina. Sue developed her facilitation skills in the early 1980s while work- ing for an international nonprofit grounded in the consensus decision-making process. She first worked with Roger Schwarz in 1990–1991 while serving as an intern to a county social services management team working with him. In 1997, she attended the two-week Skilled Facilitator class offered by The University of North Carolina Institute of Government and within one year began working with Schwarz to teach classes around the country. McKinney has practical expertise in leadership develop- ment, board development, mediation, facilitation, and training of trainers. She believes in the value of humor and play to stimulate creativity and productivity and is known for her energetic and humorous approach to working with groups. She leads workshops on a variety of topics, including facilitative leadership, and facilitates public and nonprofit board and staff retreats. Sue earned her A.B. in history from Duke University and her M.S.W. from The University of North Carolina at Chapel Hill, with a specialization in human services administration.

Matt Beane is an organization development, coaching, and training professional who helps individu- als, groups, and organizations exceed performance expectations while increasing both the quality of their relationships and their ability to learn from adversity. His specialty and passion lie in helping peo- ple assess gaps between their behavior and their espoused values, allowing them to make more informed choices about their behavior and values in the future. He is an associate with Roger Schwarz & Associates and has worked with a number of Fortune 1000 companies in the financial, professional ser- vices, pharmaceuticals, manufacturing, hi-tech, travel, consumer goods, and hospitality sectors, with a variety of nonprofit and governmental organizations, and in the public workshop format. Before be- coming an independent in 2002, he was independent workforce director at the Forum Corporation, a consultancy specializing in workplace learning solutions. Matt holds a B.A. in philosophy from Bowdoin College and has done graduate work at Harvard’s School of Education in Adult Learning.

Guillermo Cuéllar is an international organization development consultant, facilitator, psycho- therapist, and artist who brings a unique multicultural and multidisciplinary perspective to engage others in the change processes. He is the cofounding president of the Center for Creative Conscious- ness. For over thirty years, he has guided individuals and groups in processes to develop creative in- telligence and discover and use their talents and gifts. He has taught cross-cultural management at the School of International Training in the Program of International Management, in Brattleboro, Vermont, and at NTL Institute in Bethel, Maine. He has worked since 1990 for two consulting firms in the field of managing diversity: Elsie Y. Cross and Associates and Alignment Strategies. He pro- vides professional services in both English and Spanish. Guillermo earned his B.F.A. and M.A. in counseling at the University of South Florida in Tampa Florida. He then earned an Ed.D. from the University of Massachusetts.

Diane Florio is the manager of human resources development for SpectraSite Communications, a wireless infrastructure company based in Cary, North Carolina. She is responsible for leading and implementing development initiatives in a fast-paced organization. She works with individuals, groups,

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and departments to improve services, teamwork, and leadership. Diane has worked in both the private and public sectors and has fifteen years of experience in the work of human behavior and professional de- velopment. She was trained in the Skilled Facilitator approach in 2000. She received a B.S. in health ed- ucation from SUNY, Cortland in New York and her M.S. in human resources education from Fordham University, New York. She holds a business coaching certification from The University of North Carolina.

Harry Furukawa is an organization architect and a consultant with Roger Schwarz & Associates. He helps people design and transform the organizations in which they work in order to achieve better financial, environmental, and social results. He consults in strategic planning, values and culture iden- tification and development, organizational change, and quality and productivity improvement. He has served as the associate director of the University of Maryland Center for Quality and Productiv- ity and as the senior director for strategic planning at the American Red Cross. He also has served as examiner on the board of examiners for the Malcolm Baldrige National Quality Award for five years (four as a senior examiner). He earned a B.A. from the Johns Hopkins University, a master of archi- tecture from Harvard University, and an executive M.B.A. from Loyola College.

Peter Hille has been director of Brushy Fork Institute of Berea College, which since 1988 has car- ried out a unique leadership development program in Kentucky, Tennessee, Virginia, and West Virginia. Peter has worked extensively in Brushy Fork’s leadership development program, recruiting participants, organizing workshops, and working with teams of community leaders as they carry out local projects. He has created custom workshops, designed and led retreats, and facilitated strategic planning processes for regional nonprofits, foundations, government agencies, and development organizations. He has also conducted community development workshops nationally and interna- tionally, in Russia and Slovakia. In recent years, Peter has focused on building collaborative networks of diverse organizations serving the Appalachian region. A graduate of Swarthmore College, his background includes experience in grassroots environmental organizing and small business management.

Greg Hohn is the director of Transactors Improv Co., the South’s oldest improvisational theater, based in Chapel Hill, North Carolina. He joined the company in 1989 and became director in 1996. Since 1998 he has been teaching Applied Improv in a wide variety of venues. He is adjunct lecturer in busi- ness communication at The University of North Carolina’s Kenan-Flagler Business School and a vis- iting faculty member at Baruch College, City University of New York. In addition to work in academia, Greg teaches Applied Improv, improvisational theater, acting, and presentation skills for businesses, organizations, and educational institutions across the country. As an actor, he works in film, television, radio, scripted theater, and industrial media. He has written for stage, radio, and pe- riodicals and has written two books. He received a degree in English from The University of North Carolina at Chapel Hill.

Joe Huffman has served as a local government manager in North Carolina since 1990 in Elkin, Have- lock, and Laurinburg. His exposure to learning organization concepts began with his employment in Laurinburg and has been augmented by his completion of The University of North Carolina Institute of

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Government course of instruction in group facilitation and consultation. Joe has served as a North Car- olina Eastern Municipal Power Agency commissioner since 1999. His current local nonprofit involve- ment includes serving as a member of the board of directors of the Scotland County Chapter of the American Red Cross. He received a B.S. in criminal justice and an M.P.A. from Appalachian State Uni- versity. His professional training includes completion of The University of North Carolina Institute of Government Municipal Administration program in 1991.

Verla Insko was elected to the North Carolina General Assembly in 1997; she represents the Fifty-Sixth House District in Orange County. She serves as chair of the Health Committee. Her other committee assignments are Appropriations (Health and Human Services), Education (Universities), Environment and Natural Resources, and Judiciary I. In 1998, House Speaker Jim Black appointed her as House chair of the Legislative Oversight Committee on Mental Health, Developmental Disabilities and Substance Abuse. In the 2001 session she was the primary sponsor of HB381, Mental Health Reform, which began a five-year process of modernizing the state’s system of services for these three disability groups. She has received numerous awards for her leadership, including in 2003 the Award for Leadership in Mental Health Reform presented jointly by six agencies. She has sponsored the Repeal Involuntary Sterilization Act, the Matthew Shepard Memorial Act, the State Earned Income Tax bill, and the Health Care for All bill.

She earned an M.P.A. from The University of North Carolina at Chapel Hill, did graduate work at Golden Gate Theological Seminary, received a secondary teaching certificate from the University of California at Berkeley, and received an A.B. from California State University at Fresno.

Steve Kay is a founding partner of Roberts & Kay, a firm established in Lexington, Kentucky, in 1983 to provide interrelated services for clients that include facilitation, training, organizational develop- ment, and public policy research. His work at the local, state, and national levels includes serving as facilitator for multiparty groups with divergent perspectives or constituencies; training beginning and intermediate facilitators and coaches to guide sound public and organizational processes; building in- ternal capacity to increase work group and organizational effectiveness; and providing analysis and tech- nical assistance for complex, long-term change efforts within organizations and communities. He holds a B.A. from Bowdoin College, an M.A. from Yale University, and an Ed.D. from the University of Kentucky.

Jeff Koeze is president and chief executive officer of Koeze Company in Grand Rapids, Michigan. He represents the fourth generation of the family to have served as the company’s general manager. Before joining Koeze Company in September 1996, he was associate professor of public law and gov- ernment at The University of North Carolina at Chapel Hill. In that capacity he provided consulting services and professional education on issues of health care law, finance, and policy. His work focused on issues of concern to public hospitals and public health providers in North Carolina. He is the au- thor of several articles and other publications in that field. He has also served as law clerk to the Hon- orable Morey L. Sear, U.S. district judge for the Eastern District of Louisiana in New Orleans. He received a B.A. in English from The University of North Carolina at Chapel Hill and a J.D. from the University of Virginia School of Law.

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Dick McMahon is a retired lecturer in public management from the Institute of Government, The University of North Carolina at Chapel Hill. During his tenure as a lecturer, he had extensive expe- rience working with both state and local gove

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