Part 2: Facilitated Information Gathering Sessions :
An Information Engineering Technique Return to Part 1 Part 2
Potential Risks of Facilitated Session There are many benefits to be obtained from a Facilitated Session, but it is also important to understand that there are some risks in conducting these sessions. Some of the challenges that can be encountered that might undermine the success of your sessions include: An unprepared or untrained Facilitator can destroy the session by not knowing what to do, not knowing how to obtain the designated deliverables, or not knowing how to handle the meeting participants. Always use a trained Facilitator and allow sufficient time for preparation of the Facilitator and the session participants. Remember, "the person who holds the chalk controls the content of the session deliverables!" It is very important to have an impartial Facilitator. Even when a Facilitator is impartial, they can influence the content, direction and outcome of the session. By having an impartial Facilitator you can reduce the risk of intentional influencing of the session results. The same risk applies to the Recorders, they have the last say in the matter of the content of the session deliverables. It is important that they be impartial, and trained to record the essence of the conversations without corrupting the meaning. The Recorder is not expected to be a Court Recorder and capture every word, they want to record the essence of the discussions. In order to control this risk, I recommend that the Project Manager and the Facilitator review all recorded material and then distribute all session deliverables to participants for their review and revision. Do not, during a Facilitated Session, confuse activity with results. I have seen sessions locked in "Paralysis of Analysis." People are very active and everyone is involved, but no progress is being made. I have seen sessions in which "Design Drift" has occurred and everyone is very actively involved in designing the ultimate system, unfortunately, they did not have unlimited time nor budget. They had totally lost sight of their original objectives Do not confuse quantity with quality. I have seen sessions in which volumes of material has been recorded and large numbers of diagrams have been developed. When I reviewed the quality of the content, I found that the session had not succeeded in capturing the business requirements for the scope designated at the beginning of the session. Politics can still undermine the results of the Facilitated Session. If people come into the session with an objective to achieve their personal goals instead of the goals of the team, they can influence, or side track the entire session. If people are operating from hidden agendas, it is very difficult to control them. It is the responsibility of the Facilitator, working with the Project Manager, to identify and attempt to control this situation. The most extreme action I have seen is when a person is asked to leave the session after repeated attempts to get them back to the group's agenda and objectives had failed. Sending the wrong participants will guarantee the wrong results. If people are sent to a session just because they are available and have nothing better to do, you had better be cautious. I like to work with the Project Manager before the sessions to learn who is participating, who they represent within the organization, and what knowledge or expertise they are expected to contribute to the session. My preference is to get "the best and the brightest" people involved in the sessions. In many cases we are defining and documenting the desired business requirements to support the business for the next five to ten years. I believe there is no greater responsibility these people could have than to provide their subject matter expertise for these future requirements. I have had all of the standard arguments about needing these people to keep the business operating. I can understand the desire, but don't these people ever get to go on vacation, or get ill for a day or two? Does the business stop running during these absences? Let us get the most knowledgeable people and define the most functionally complete set of business requirements possible. Scope creep can kill a project. Fred Brooks, in his book, The Mythical Man-Month (Addison-Welsley), warned us not to try to put ten pounds into a five pound bag. Somehow, we forget this very basic principle. We may often fall victim to the traditional "Oh yes, we can add that small enhancement," it will not expand the scope by much! During Facilitated Sessions the Facilitator and Project Manager must both work to maintain the original scope, and only allow changes to scope that are truly business requirements, not just nice to have bells and whistles. There is a strong tendency in humans to confuse what we need with what we want. Know when you are finished. This is a risk that impacts inexperienced Facilitators quite often. How do I now when to declare victory and end the game? Facilitated Sessions must have predetermined agendas that state the session objectives. It is important to keep these objectives in mind and know when they have been achieved. I made a presentation for The tenth International Conference of The Entity Relationship Approach in 1991 (see the Proceedings Manual) in which I discussed, "The Importance of Using the Proper Level of Model". In the presentation I discussed the guidelines that I use to know when I have achieved the desired level of detail at the various stages of the Systems Development Life Cycle. Conducting a Facilitated Information Gathering Session The Facilitated Information Gathering Session consists of at least three separate activities. These are the pre-session setup, conducting the session and the post-session wrap up activities. I would like to provide some insight into the process that I prefer to see in each of these related activities. The pre-session setup activities include meeting with the Project Manager to schedule the sessions, define the scope, objectives, agenda and ground rules for the session. It is important to develop a list of participants which identifies the title and responsibility of all people that will be involved in the session. It is important to understand their role in the session, but it is even more important to understand the background of the people and know what they are expected to contribute, or at least understand what position or objectives they may have during the sessions. I find it valuable to personally meet the Project Sponsor and discuss his or her objectives and expectations. I work with the Project Manager to develop an announcement letter to be distributed to the attendees that includes a letter from the sponsor, the agenda, and an objectives statement. In some sessions there may be some pre-session work that the participants need to perform prior to coming to the session. Be sure to indicate what this may be, and if necessary send copies to each attendee if there is critical material to be read before the session or to be referenced during the sessions. It is valuable to meet with the key participants before the session so that you can discuss the process that will be used, the objectives to be achieved and the actions that will be expected from each of the participants. The logistics of a Facilitated Session can significantly impact the results of the session. I tend to be very detailed oriented when it comes to setting up and executing these sessions. The old proverb, "anything that can go wrong, will go wrong," seems to be quite prevalent when setting up and facilitating these sessions. I have provided this diagram which I use when setting up a session at a hotel meeting facility. 
Recommended Facilitated Session Room Layout Obviously there are many options for setting the physical layout of the room. This arrangement has worked best for me. I like round work tables because they allow more of a team environment instead of using class room style set up with long narrow tables. The eight foot round tables also provide more work room for the participants to spread out if they have reference material for the session. I prefer having the recorders in the back of the room, so that participants are not distracted by their activities. I have the refreshments (i.e., coffee, tea, juice, muffins) table inside the room. I have found that some people think better on their feet and some people think better on their seat, so by placing the refreshments inside the room, there is a convenient reason for people to get up and move around. Facilitated Sessions are mentally very demanding and often people are physically exhausted after a day or more in these sessions. it is important not to crowd too many people into too small a room. Make sure the temperature is reasonable, too hot and everyone falls asleep; too cold and everyone gets distracted trying to keep warm. I find having refreshments served inside the room breaks up the routine of the session without losing control by allowing the participants to roam off out of the room looking for snacks. The refreshment table also acts as a catalyst to encourage discussions among the participants during breaks. I have seen sessions where issues that participants were struggling with were resolved by small groups of affected participants getting together at break and debating or analyzing each other's position. I prefer to provide space for observers in the back of the room, preferably, near the door. So that they can come and go during the session without impacting the discussion. I have tried many variations of audio/visual support and find that for my style the setup that works best is to have two or three flip charts on easels with color marker pens, an overhead projector with plastic transparencies (foils) for the presentation material. I have tried the high-tech approach with projectors hooked up to personal computers and find them to be beneficial for special purpose sessions, but a bit restrictive for regular sessions. I have used white boards and chalk boards, but find the same limitation with each of them. They eventually get full and you must erase the material. When I use flip charts, the material recorded can be posted on the walls of the room or referenced from time to time during the sessions. The use of multiple flip charts is also an aid to the Recorders who need to keep up with the discussions of the participants. By moving from chart to chart, they can see what we just discussed, if they had gotten behind in their recording efforts. The final pre-session activity is to work with the Recorders to make sure that they understand what we will be doing and what I expect them to record during the sessions. The objectives of the sessions dictate the nature and level of detail that we will record during each session. I prefer to have one Recorder using a PC based CASE tool such as KnowledgeWare's Application Development Workstation (ADW) to record the essence of the session in a real-time mode. I have tried recording the sessions manually and then having someone enter the requirements into an ICASE tool after the sessions, but I find that you lose too much of the subtle detail that can be recorded if you are having the session recorded live. I do not expect the Recorders to be Court Recorders and get every word documented. I expect that we can record the essence of the conversation. When possible I prefer to have a second Recorder that acts as a scribe and assists the person that is recording live on the PC. Sometimes hardware failures or simply having too much to record in a short period of time causes the Recorder to get behind for short periods of time. The Scribe can maintain manual notes on the session and supply them to the Recorder during slower periods of the session. The Facilitation Process Conducting the Facilitated Session is primarily the responsibility of the Facilitator. The Facilitator is responsible for the management of the session, the achievement of the predetermined objectives, and the monitoring the quality of the information that is recorded. The participants, while conforming to the agenda , are responsible for the content of the session. The Executive Sponsor should initiate the meeting with some opening comments about the benefits to be obtained from this project, and an indication of the level of support that senior management is willing to make to see this project succeed. The Project Manager should introduce the project objectives and facilitate the introduction of all of the participants. The Facilitator should then begin the session with a discussion of the ground rules for the session and obtain buy in from the group that they will conform to the ground rules, or change them to an acceptable set of ground rules. The Facilitator should also provide an explanation of the facilitation process so that all participants understand the expectations of each participant. The activities of the session depend on the scope and objectives of an individual session. An example of a session might be to define the scope for a major new project that has been authorized. In this situation I use a Context Level Data Flow Diagram to document the view of the participants regarding their requirements for the scope of the project. I prefer to limit sessions to three contiguous days. The participants all have real jobs to do in addition to participating in these sessions. I set Tuesday through Thursday for the sessions and leave Monday and Friday for the participants to keep up with their normal jobs. The academic objective of a Facilitated Session is to assist the participants to reach a point of consensus. I find very few companies truly want to invest the time and staff resources required to reach consensus. I have modified this objective. As I mentioned before, I strive for the attainment of "violent agreement." What I mean by this is, I want to facilitate the group to a point at which each participant will agree that we have incorporated their essential business requirement. We may not have added every bell and whistle, but we have all of the necessary requirements accounted for by this effort. This technique also allows me to defuse confrontations which sometimes occur during emotional moments by asking "Have we reached violent agreement here, yet?" This breaks the tension and allows everyone to assess whether nor not their discussions are adding value beyond what has already been accomplished. Several types of sessions focus on ever increasing levels of data requirements. During these sessions it is important to use the correct question when you are trying to draw information out of people. An example is to ask "What information do you need to perform this business process?" Do not ask how do you get the information you need, this question will get a detailed answer that will not help you define your data requirements. During the session the Facilitator is responsible for getting everyone to participant. I find some people react and respond more quickly than others. The Facilitator must allow time for all people to get their thoughts out for discussion. In order to accomplish this, it is sometimes necessary to control the situation in which one or more people attempt to dominate the session. Issues will sometimes come up during a session that will have some impact on the final deliverables produced by the session, but the issues can not be answered or resolved by the participants within the time and resource constraints of the session. When this happens, I post the issue to an issues list and at the end of the Facilitated Session I work with the Project Manager and the participant to identify a person to take the responsibility for each issue. Taking responsibility does not mean that this person must resolve the issue. It means that the person will take the issue to the proper person outside the session to initiate some action to move toward resolution of the issue. The responsible person will continue to track the progress of the issue and provide feedback the Project Manager so that the team can be informed. A regular Facilitated Session will end with a discussion of the next steps to be carried out. These include the post-session activities and the identification of future scheduling requirements. Post-Session Requirements After the Facilitated Session has been completed, all significant information recorded during the session should be reviewed for quality, content and form. It can then be distributed to the attendees. Remember, the objective of the session is not to have the Recorders act as court Recorders, but rather to have them record the essence of the session. Therefore, it is necessary to publish the results and give everyone an opportunity to determine if the essential requirements were successfully recorded. The issues list and all relevant status information should also be distributed. The participants review and refine the findings published by the Recorder. The Facilitator and the Project Manager work with the Recorder to refine any response and integrate it into the deliverables. There is a very fine line between what changes a participant can make to enhance what was meant and what can be allowed as one person's unilateral opinion that they want to incorporate into the deliverables. The responsibility to manage that fine line falls to the Facilitator and the Project Manager. When all responses have been recorded the Project Manager will decide what additional sessions or tasks need to be performed. The Project Manager will work with the Recorders to schedule the sessions. You are now ready to initiated another Facilitated Information Gathering Session for another project Conclusion You have reviewed a technique for gathering information from a group of knowledgeable people. These people may be a group of Business Partners, a group of Technical Partners or a team made up of both. I have shown you that this technique can be applied at different levels of the business systems development process. Some of these include; Development of the Enterprise Data Model, Logical Data Models, and Physical Data Base Design. These techniques can be equally effective in the identification and recording of requirements for Function, Process and Total Quality Management Projects. This article provided an understanding of how Facilitated Information Gathering Sessions can be used effectively within an Information Engineering Approach to Business Systems Development. This article also indicated how ICASE tools can be more effective through the successful use of Facilitated Information Gathering Sessions. I have also laid the foundation to help you understand that the use of this Facilitation Technique really requires more than buying a new ICASE tool and hiring a Facilitator. To effectively use this technique, you must begin the process of changing the culture of your organization. This includes changing the way in which resources are allocated for the development of new business systems. ______________ Author's Bio:
Walter Moeller specializes in consulting and training for Data Warehouse Strategy, Information Systems Architecture and Business Systems Requirements Definition, Integrated Computer Aided Systems Engineering (ICASE), Information Engineering, Facilitation Leadership (JAD), Business Process Re-engineering, Data Architecture and Management of Organizational Change. Mr. Moeller is Practice Director and Senior Consultant with Principle Partners, Inc., he was previously Regional Director for KPMG Consulting’s Data Warehouse Practice. Mr. Moeller was founder and Senior Consultant for Walter E. Moeller Consulting, Inc., prior to that he was West Region Manager with Axiom Information Consulting, Inc., he has over thirty years' experience in Management Information Systems Development. He has previously had five years' management consulting experience with the "Big Eight" (now "Big Six"), four years of which were with Ernst & Young (formerly Arthur Young) during which he was involved in providing consulting and training support for ICASE, Information Engineering Management, Facilitated Information Gathering Sessions and use of LogicWorkÕs ERwin, as well as Sterling Software's Information Engineering Workstation and Application Development Workstation software development. Mr. Moeller is a trained, certified facilitator with ten years of facilitation experience in a wide variety of industries and organizations. He is also a certified facilitation techniques instructor. Mr. Moeller has assisted in the development of Computer Systems Development Methodologies for Information Engineering. He has developed and delivered executive as well as technical training for both Information Engineering Methodology, and Information Engineering (ICASE) tools, techniques and concepts. He has consulted with organizations using Information Engineering methodologies and Information Engineering tools, and assisted client's management and technicians to understand the culture changes that are needed in order to successfully implement Information Engineering and Data Architecture. Mr. Moeller earned an MBA from the University of Missouri, Kansas City, he graduated with honors in acquiring his Bachelor of Business Administration degree. Mr. Moeller has published articles on Integrated Computer Aided Systems Engineering (ICASE), Information Engineering and developed a textbook chapter on Facilitated Information Gathering Sessions. Mr. Moeller has made presentations to companies and professional associations on the requirements of implementing and using ICASE, Information Engineering, Data Warehousing, Data Management and Data Architecture. He is the founder and Past President of the San Francisco Bay Area CASE Users' Group, founding board member for the International CASE Users' Group, Past President of the San Francisco chapter of the Data Administration Management Association, and co-founder of the San Francisco Entity Relationship Diagrammers Group.
The author would like to acknowledge and thank Mr. Gary Rush, President of M G Rush Systems, for his excellent training in facilitated techniques. He would also like to acknowledge the Partners and previous co-workers of the Arthur Young's Management Consulting Group from whom he learned immeasurable lessons about Information Engineering and Facilitated Techniques. The last and perhaps most significant professional acknowledgment goes to the many people he has met and worked with on various client projects in which he was able to use and refine his facilitation techniques. I would also like to acknowledge and thank my family for their patience and consideration while it was developing the skills to learn these techniques and then for the time to write this article. Thanks, Jeff, Jon and Jennie! You can send your comments to the author: wmoeller@principlepartners.com Return to top |
