COURSE NUMBER: SOWO 790
COURSE TITLE: The Facilitative Leader*
SEMESTER: Spring 2015 (March 16 - April 27)
TIME AND LOCATION: Monday 2:00 – 4:50 pm, TTK Room 500
INSTRUCTOR: Kathleen Rounds, PhD, MPH, MSW
324J School of Social Work
962-6429 karounds@email.unc.edu
CREDIT HOURS: 1.5
OFFICE HOURS: Tuesdays 12:00 – 1:30 pm and by appointment
COURSE DESCRIPTION:
In this highly interactive course, participants will learn how to use facilitative skills in
their roles as leaders and members of groups/teams to help these groups become more
effective.
COURSE OBJECTIVES:
Upon completing this course you will be able to:
1. Demonstrate your understanding of key characteristics of the Mutual Learning
approach such as core values and how these fit with social work values.
2. Identify different facilitative roles and when it is appropriate to serve in each one.
3. Understand the eight behaviors of the Mutual Learning approach by articulating
their purpose, how they are related to the core values and assumptions, when to
use each one, and how to intervene when using a specific behavior.
4. Identify behavior inconsistent with the Mutual Learning approach and how to
redesign behavior to be consistent with the approach.
5. Identify the intervention steps of the Mutual Learning cycle and understand the
factors that affect whether and how to intervene.
6. Intervene on behavior in real time using the core values and assumptions, eight
behaviors, and the Mutual Learning cycle.
7. Develop next steps for using the Mutual Learning mindset and skill set in your
work.
8. Critically reflect on what you have learned in the course and how you would use
this approach in working with diverse populations and in a range of practice
settings.
*
This course is based on The Smart Leaders Smarter Teams workshop designed by Roger Schwarz &
Associates, Inc.
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EXPANDED DESCRIPTION:
The Mutual Learning approach is based on the theoretical contributions of Chris Argyris
and Don Schön as further developed by Roger Schwarz. The underlying premise of the
approach is that our behavior is not random but designed by us and that we are often
unaware of the values and assumptions that lead us to design our behavior. The theory
that we as individuals generate to guide our behavior, and which we are typically
unaware of, is known as our theory-in-use. The research shows that under difficult
conditions (i.e., potential psychological threat, embarrassment, stress, or high stakes),
almost all of us operate from a theory-in-use known as unilateral control. Under unilateral
control, we seek to win conflicts, minimize the expression of negative feelings, and
assume that those whose views differ from ours do not understand the situation, are
wrong, and may have questionable motives. We also assume that we are not contributing
to the problem and that our own behavior is justified. As a result, we produce behaviors
that help create the very outcomes that we are trying to avoid, such as increased
defensiveness, reduced learning, lower quality decisions, and ineffective working
relationships.
Theory-in-use cannot be directly observed. It can only be inferred from observing
behavior and validating these inferences with the person producing the behavior. In
addition to our theory-in-use, each of us has an espoused theory. This is the theory that
we tell others is guiding our behavior. Under difficult conditions, there is typically a gap
between our espoused theory and our theory-in-use of which we are normally unaware.
This has profound implications for learning to increase our effectiveness. Given that our
behavior is a function of our theory-in-use, and given that we are usually unaware of our
theory-in-use, we cannot create fundamentally different results without becoming aware
of and changing our theory-in-use. Under difficult conditions, our efforts to simply
change our behavior will only create different forms of unilateral control, which will
generate the same negative outcomes.
A facilitative leader operates from a Mutual Learning mindset (theory-in-use). Its core
values are transparency, curiosity, informed choice, accountability, and compassion. Its
core assumptions are that: 1) I have some information, so do other people; 2) Each of us
may see things that others don’t; 3) I may be contributing to the problem; 4) Differences
are opportunities for learning; and 5) People may disagree with me and have pure
motives. Facilitative leaders operationalize these core values and assumptions through
eight behaviors including testing their assumptions, explaining their reasoning, asking
genuine questions, and jointly designing next steps. As a result, facilitative leaders create
higher quality decisions, decisions that people are more committed to implementing
effectively, improved working relationships, improved personal satisfaction, and
increased learning.
In this course, you will learn how the unilateral control and mutual learning approaches
operate, including the values, assumptions, behaviors, and results associated with each of
the approaches. You will learn how to identify your own behavior and the behavior of
others in respect to these approaches and will learn how to shift your mindset from
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unilateral control to mutual learning and to produce the behaviors associated with mutual
learning.
This is a highly interactive class that involves role play, skill practice, and reflection
using participants’ real situations. It requires full participation and a willingness to take
risks and be vulnerable to increase significant learning about how you think and how
your thinking leads you to interact with others. This course is especially relevant for
anyone who is a formal or an informal leader, team member, or anyone who works with
or within an organization or community group.
REQUIRED TEXT:
Schwarz, R. (2013). Smart leaders smarter teams: How you and your team get unstuck to
get results. San Francisco, CA: Jossey-Bass.
OTHER REQUIRED AND OPTIONAL READINGS:
Other required readings will be posted on the course Sakai site or through links on the
site. Many of the readings are from various editions of the Mindset. Behavior. Results.
newsletter that is published by Roger Schwarz & Associates. Links to these readings are
included in this syllabus.
Schwarz, R., Davidson, A., Carlson, P., & McKinney, S. (2005). The skilled facilitator
fieldbook: Tips, tools, and tested methods for consultants, facilitators, managers,
trainers, and coaches. San Francisco, CA: Jossey-Bass. (Several chapters from this text
are posted on the Sakai website.)
OVERVIEW OF ASSIGNMENTS:
ASSIGNMENT 1: WRITING A LEFT-HAND COLUMN CASE
(Due: Sunday March 22 by 5:00 pm)
1. In one paragraph or less, describe an important conversation that you had with a
colleague, co-worker, or peer that did not go as well as you wanted. The conversation
should be one that you: 1) wished you had handled more effectively; and 2) are willing to
discuss in your small group in class. In addition, the conversation should involve people
or a person with whom you want to improve your working relationship. If you need to
change the names, positions, or any other information about the people involved in order
to feel comfortable discussing the case, please do so.
2. In a second paragraph, describe the goals and strategy that you used during the
conversation. Include: 1) what outcomes you wanted from the conversation; 2) how you
planned to have the conversation to achieve those outcomes; and 3) specifically what it
was about the conversation that led you to describe it as difficult.
3. Next, divide the page into two columns. In the right-hand column type exactly what
you said to the person(s), how he/she/they responded, and what you said next. In short,
type the verbatim dialogue you had. Do not write a general description or summary of
the dialogue because you will not be able to use it during the class. In the left-hand
column write down all the thoughts or feelings you had, whether or not you
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communicated them to the other people or person. The more thoughts and feelings you
write down, the better. Write this dialogue for at least two typewritten pages. Do not
worry if you cannot remember the exact conversation or your thoughts and feelings—
type it as best as you remember it and fill in the gaps with what you think you would
have said, thought, or felt. You will use your left-hand column throughout the course.
Posted on our Sakai site under assignments is the “TFL LHC Case” that is already set up
in the correct format. Simply write your case using this file. Rename the file “Your First
and Last Name TFL LHC Case” and submit via Sakai by 5:00 pm on Sunday, March
22. For a short example of a LHC Case see p.16 of Smart Leaders, Smarter Teams.
ASSIGNMENT 2: CODING AND ANALYSIS OF BEHAVIOR 1
(Due: By 5:00 pm on Sunday (March 29th) submit via Sakai
Code your left-hand column case identifying occurrences of using and not using Behavior
1. Then, count up the total number of sentences that you spoke (denominator). Of that
number, count how many of them end in a period and how many of them end in a
question mark. What percentage of your sentences are statements and what percentage
are questions? Take the total number of sentences that end in question marks and identify
how many of those are genuine questions and how many of them are false questions.
What percentage of your questions are genuine questions and what percentage are false
questions? What do these percentages tell you about your pattern in respect to asking
genuine questions? Give one example from your case of when you did not ask a genuine
question and one when you did – and the results that you got. What do you think prevents
you from asking questions and more specifically from asking genuine questions? For this
assignment you need to turn in your coded left-hand column case (coded for Behavior 1)
and a brief write-up analyzing your pattern of using/not using Behavior 1 in this case.
ASSIGNMENT 3: COMPLETELY CODED LEFT-HAND COLUMN CASE
(Due: At the beginning of Class Session 6 on April 20)
As we cover the 8 mutual learning behaviors in class, you will code your case each week
applying what you have learned. I encourage you to code on a weekly basis so you will
not have to do all of it at the end. We will be coding a case in class as an example to learn
how to code behaviors. If you have any questions about how you are coding your case,
please ask as we move through the course. On April 20th you will submit via SAKAI
your fully coded case.
ASSIGNMENT 4 (NOT GRADED): DRAFT REDESIGNED AND CODED LEFTHAND COLUMN CASE FOR ROLE PLAY
(Due: At the beginning of Class Session 6 on April 20- BRING A HARD COPY TO
CLASS – you do not need to submit this) This is your opportunity to redo your case
using the mutual learning mindset and behaviors. Specific instructions will be presented
in class. You will use this redo in a role play during Session 6.
ASSIGNMENT 5: FINAL REDESIGNED AND CODED CASE AND
REFLECTION PAPER
(Due: Thursday April 31 by 5 pm)
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For this assignment you will turn in a final version of your redesigned and coded case and
a short reflection paper. You will use the input from your role play for this final redesign.
The reflection paper is 3-5 pages; specific instructions and a grading rubric are posted on
Sakai.
PRACTICE IN BETWEEN CLASS SESSIONS
I will ask you to practice using the mutual learning mindset and behaviors in between
class sessions and come prepared to role play and discuss your experiences. This practice
is critical in order to learn this material.
USE OF ELECTRONIC DEVICES IN THE CLASSROOM:
We are all invested in creating a learning environment of respect and engagement.
Students may use laptops in class for taking notes or completing small group tasks.
However, I ask that you use them only for relevant activities – not for checking email or
surfing the Web. During class, cell phones and other devices should be silenced.
ACCOMMODATIONS FOR STUDENTS WITH DISABILITIES:
Students with disabilities or medical conditions that may impact their participation in the
course and who may need accommodations should contact the Department of
Accessibility Resources and Services (919-962-8300 or T-711 NC RELAY).
Accessibility Resources and Services will notify the instructor regarding recommended
accommodations. Instructors cannot provide accommodations to a student without
communication from the Department of Accessibility Resources and Services,
http://accessibility.unc.edu.
UNC HONOR CODE:
“The University of North Carolina at Chapel Hill has had a student-led honor system for
over 100 years. Academic integrity is at the heart of Carolina and we all are responsible
for upholding the ideals of honor and integrity. The student-led Honor System is
responsible for adjudicating any suspected violations of the Honor Code and all suspected
instances of academic dishonesty will be reported to the honor system. Information,
including your responsibilities as a student is outlined in the Instrument of Student
Judicial Governance.” (From http://studentconduct.unc.edu/faculty/honor-syllabus.) The
Honor Code can be found in the Instrument of Student Judicial Governance
(“Instrument”). Your full participation and observance of the Honor Code is expected.
Academic dishonesty is contrary to the ethics of the social work profession, unfair to
other students, and will not be tolerated in any form. All written assignments should
include the following signed pledge: “I have neither given nor received unauthorized aid
in preparing this written work.” In keeping with the UNC Honor Code, if reason exists
to believe that academic dishonesty has occurred, a referral will be made to the Office of
the Student Attorney General for investigation and further action as required. Please refer
to the APA Style Guide for information on attribution of quotes, plagiarism, and
appropriate citation. The UNC Writing Center provides clear guidelines regarding what
does and does not constitute plagiarism.
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ASSIGNMENT GUIDELINES:
All written assignments must be typed and follow APA format. Several writing resources
are posted on the SSW website. You may also refer to the APA Publication Manual (6th
edition), and to a tutorial on APA style at http://library.unc.edu/citationbuilder/.
LATE ASSIGNMENTS:
Because you will be using your completed assignments in class, not completing an
assignment on time is very problematic. Coming to class with an incomplete
assignment will prevent you from participating in some of the class activity. If due
to unusual circumstances you need to obtain permission to submit an assignment after the
deadline, you must seek approval from the instructor before the day that the product is
due. If permission for late submission is not granted before breaking a deadline, the
grade will automatically be reduced 10%, and another 10% reduction will occur
each day, including weekends. In case of an emergency, a late assignment may be
accepted without penalty at the discretion of the instructor.
ATTENDANCE AND PARTICIPATION:
Attendance at all class sessions is expected and is CRITICAL; it is important to be on
time so as not to disrupt class. Class time will primarily be spent learning and practicing
skills. If you are ill or have an emergency and will not be able to attend a class, let the
instructor know via email or voice mail prior to class. Students with more than one
absence will receive an “L” unless they have made prior arrangements with the instructor.
In order to fully participate in and benefit from each class session, you must complete
required readings and assignments and participate in class.
GRADING SYSTEM:
The School of Social Work uses an evaluation system of Honors (H), Pass (P), Low Pass
(L), and Fail (F). For this class, the numerical value of an H ranges from 94 - 100; a P is
80 - 93; an L is 70 - 79. A grade of P is considered entirely satisfactory. On a traditional
grading scale, a P would range from B- to A-. The grade of Honors signifies that the
work is clearly excellent in all respects. A student receiving nine or more Low Passing
credits is ineligible to continue in graduate school. The final grading breakdown is:
ASSIGNMENT PERCENTAGE:
Class participation
Left-hand column (LHC) case
Coding & Analysis: Behavior 1
Coded original LHC case
Final redesigned & coded LHC case/reflection
Total
15%
15%
15%
15%
40%
100%
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COURSE SCHEDULE AND OUTLINE
Class
Date
1
March 16
2
March 23
3
March 30
4
April 6
5
April 13
Topic Area
Introduction to Course and to one another; mindset
(values and assumptions) and Mutual Learning and
Unilateral Control approaches
Overview of 8 Mutual Learning behaviors; practice
coding LHC case; How to (1) State views and ask
genuine questions
How to: (2) Share all relevant information; (3) Use
specific examples and agree on what important words
mean; (4) Explain reasoning and intent
Assignment Due
Assignment 1: LHC case (due
March 22)
Assignment 2: Coding &
Analysis of Behavior 1 – State
Views and Ask Genuine
Questions (due March 29)
How to: (6) Test assumptions and inferences (Ladder of
Inference); and (7) Jointly design next steps (Purpose
and Process before Content – PPC)
How to: (5) Focus on interests, not positions; and (8)
Discuss undiscussable issues
6
April 20
Role plays of LHC cases
Developing your skills – Looking back and looking
forward
7
April 27
Consultation on Final Assignment
April 31
Assignment 3: Completely
coded LHC Case
Assignment 4 (UNGRADED):
DRAFT Redesigned & Coded
LHC Case for Role Play
(Bring hard copy to class)
Assignment 5: Final
Redesigned and Coded Case
and Reflection
COURSE OUTLINE
Session 1: March 16
Welcome:
 Introductions
 Overview of course and assignments
 Working together
The mutual learning approach:
 Five facilitative roles
 Role play: comparing the unilateral control and mutual learning approaches
 Core values of the mutual learning approach
Mindset:
 How you think is how you lead
 Unilateral control approach
 Mutual learning approach
 Mutual learning and decision making
Debrief class session and discuss assignments for the next week.
Required Reading:
Schwarz, R. (2013). Chapter 1: How well does your team really work (pp. 1-24).
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Session 2: March 23
Check-in and debrief assignments (report on and discuss practice)
Exercise: Small group exercise diagnosing Left-hand Column Case
Eight behaviors for smarter teams (Introduction and using the behaviors)
 Behavior 1: State views and ask genuine questions
o Exercise: Identifying genuine and false questioning
o Exercise: Combining stating views and asking genuine questions
Debrief class session and discuss assignment for next week.
Required Reading:
Schwarz, R. (2013). Chapter 2: How you and your team get stuck: The unilateral
control approach (pp. 25-47). Chapter 3: Getting unstuck to get results: The mutual
learning approach (49-86). Chapter 4: Getting the puzzle pieces on the Table: Mutual
learning behaviors 1-4 (Read about behavior 1 on pp. 87-95).
Schwarz, R. (2013). Eight behaviors for smarter teams. Chapel Hill, NC: Roger
Schwarz & Associates. (posted on Sakai).
Optional Reading: from Roger Schwarz & Associates Mindset. Behavior. Results.
Transparency: A key for your effectiveness.
http://www.schwarzassociates.com/trust/transparency-a-key-for-your-effectiveness/
Being genuinely curious.
http://www.schwarzassociates.com/managing-performance/being-genuinely-curious/
Using curiosity to create accountability with powerful people.
http://www.schwarzassociates.com/quality-decisions/using-curiosity-to-createaccountability-with-powerful-people/
Are your questions counterproductive? Take the “you idiot” test.
http://www.schwarzassociates.com/quality-decisions/are-your-questionscounterproductive-take-the-you-idiot-test/
State views and ask genuine questions.
http://www.schwarzassociates.com/reducing-defensiveness/state-views-and-askgenuine-questions/
Assignment 1 due:
Left-hand Column Case Assignment. (Due Sunday March 22 by 5:00 pm – submit via
Sakai)
Practice: Come prepared to discuss during class: one situation in which you acted
using the unilateral control model and one situation in which you acted using the
mutual learning model. What core values and assumptions do you think created your
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behavior? Looking at the approaches, what results occurred? NO WRITE-UP
REQUIRED.
Session 3: March 30
Check-in and debrief assignments (report on and discuss practice)
Behaviors 2-4 with exercises:
 Behavior 2: Share all relevant information
 Behavior 3: Use specific examples and agree on what important words
mean
 Behavior 4: Explain reasoning and intent
Debrief class session and discuss assignments for next week.
Required Reading:
Schwarz, R. (2013). Chapter 4: Getting the puzzle pieces on the table: Mutual
learning behaviors 1-4 (Read about behaviors 3-4 on pp. 95-108).
Chapter 6: Designing for mutual learning (pp. 143-175).
Optional Reading: from Roger Schwarz & Associates Mindset. Behavior. Results.
Don’t bury the lead.
http://www.schwarzassociates.com/managing-performance/dont-bury-the-lead/
Opening gifts.
http://www.schwarzassociates.com/commitment/opening-gifts/
Assignment 2 due: Coding and Analysis of Behavior 1
Session 4: April 6
Check-in and debrief assignments (report and discuss practice)
Behavior 6: Test assumptions and inferences
 Exercise: Noticing high level inferences and walking down the ladder
 Exercise: Testing your inferences: The Mutual Learning Cycle
Behavior 7: Jointly design next steps
 Exercise: Jointly designing the start of a conversation
Debrief class session and discuss assignments for the week
Required Reading:
Schwarz, R. (2013). Chapter 5: Putting the puzzle together: Mutual learning
behaviors 5-8 (Read about behaviors 6 and 7 on pp. 115-131).
Optional Reading:
Test your assumptions and inferences.
http://www.schwarzassociates.com/quality-decisions/test-your-assumptions-andinferences/
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Changing your outlook on email.
http://www.schwarzassociates.com/quality-decisions/changing-your-outlook-onemail/
Joint accountability: A key for your effectiveness.
http://www.schwarzassociates.com/managing-performance/joint-accountability-akey-for-your-effectiveness/
Taking teamwork seriously.
http://www.schwarzassociates.com/managing-performance/taking-teamworkseriously/
How to talk behind people’s backs.
http://www.schwarzassociates.com/trust/how-to-talk-behind-peoples-backs/
How to influence others while building trust and saving time.
http://www.schwarzassociates.com/quality-decisions/how-to-influence-others-whilebuilding-trust-and-saving-time/
Practice:
Practice using Behaviors 2, 3, and 4. Come to class prepared to provide an example of
how you used each one – be specific. How difficult was this to do? What was the
outcome?
Session 5: April 13
Check-in and debrief assignments (report and discuss practice)
Behavior 5: Focus on interests, not positions
Behavior 8: Discuss undiscussable issues
Debrief and discuss assignments for the week
Required Reading:
Schwarz, R. (2013). Chapter 5: Putting the puzzle together: Mutual learning
behaviors 5-8 (Read about behaviors 5 and 8 on pp. 109-115 &131-141). Chapter 7:
Dealing with common team challenges (pp: 177-197).
Carlson, P. (2005). Helping group members focus on interests rather than positions.
In R. Schwarz, A. Davidson, P. Carlson, & S. McKinney, The skilled facilitator
fieldbook: Tips, tools, and tested methods for consultants, facilitators, managers,
trainers, and coaches (pp.145-149). San Francisco, CA: Jossey-Bass.
Optional Reading:
Reducing risk in risky conversations.
http://www.schwarzassociates.com/trust/reducing-risk-in-risky-conversations/
Schwarz, R. (2005). Using the ground rules in e-mail. In R. Schwarz, A. Davidson, P.
Carlson, & S. McKinney, The skilled facilitator fieldbook: Tips, tools, and tested
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methods for consultants, facilitators, managers, trainers, and coaches (pp.181-185).
San Francisco, CA: Jossey-Bass.
Practice:
Practice Ground Rules 6 and 7. Come to class prepared to provide a specific example
of how you used each one. How difficult was this to do? What was the outcome?
Session 6: April 20
Check-in
Facilitative leader skill practice (role plays in small groups; each person gets 30
minutes for his/her Left-hand Column Case)
De-brief role plays
Continuing to develop your skills—writing a learning plan
Looking back and looking forward—reflecting on your learning and next steps
Course evaluation and closing comments
Required Reading:
Schwarz, R. (2013). Chapter 8: Becoming a smarter leader (pp. 199-214) and Chapter
9: Becoming a smarter team (pp. 215-232).
Assignments due:
Completely Coded Left-hand Column Case using behaviors 1-8. (Submit by the
beginning of class to Sakai site).
Draft Redesign of Your Left-hand Column Case: Rewrite the case using the mutual
learning model. Write in what you imagine the other person might say. Then code
your redesigned case. (Bring in hard copy at the beginning of class - you will use
this for your role play in class. You do not need to turn this in – this is ungraded and
for your use during the role play).
Optional readings that may be helpful in writing your final reflection paper:
McKinney, S. (2005). Introducing the ground rules and principles in your own
words. In R. Schwarz, A. Davidson, P. Carlson, S. McKinney, and contributors, The
skilled facilitator fieldbook: Tips, tools, and tested methods for consultants,
facilitators, managers, trainers, and coaches (pp.131-133). San Francisco, CA:
Jossey-Bass.
Davidson, A. (2005). Ways to practice the ground rules. In R. Schwarz, A. Davidson,
P. Carlson, & S. McKinney, The skilled facilitator fieldbook: Tips, tools, and tested
methods for consultants, facilitators, managers, trainers, and coaches (pp.189-194).
San Francisco, CA: Jossey-Bass.
McKinney, S. (2005). Introducing the skilled facilitator approach at work: Pitfalls and
successes. In R. Schwarz, A. Davidson, P. Carlson, & S. McKinney, The skilled
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facilitator fieldbook: Tips, tools, and tested methods for consultants, facilitators,
managers, trainers, and coaches (pp. 293-297). San Francisco, CA: Jossey-Bass.
Session 7: April 27
Consultation on final assignment. Optional session.
ASSIGNMENT 5: REDESIGNED & CODED LHC CASE & REFLECTION
WRITE-UP
(See Grading Rubric under Assignments in Sakai - Due Thursday April 30 by 5
pm)
Reflection questions for write-up (include references to the readings):
 What did you learn from your role play? What was effective and what was
ineffective? How did you redesign your role play based on your learning?
 Discuss your plan for continuing to develop your skills. Be specific.
 What would you like to change as a result of using this approach, in terms of
your relationships in work or community arenas?
 What do you anticipate will be barriers and facilitators in using this approach,
and how will you address these?
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