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PAGE TITLE GOES HERE

Facilitation

for the LMR Stakeholder Committee 

Meeting and Working Groups for Key 

Commodity Sectors

U.S. Department of Agriculture (USDA), 

Agricultural Marketing Services (AMS)

Hall of States, Washington, DC, 

November 15-16, 2016

Facilitators: Eileen Barkas Hoffman, 

Doug Corwon, and Ramona Buck, 

Commissioners at FMCS
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Overview and Objectives

• Welcome, Review of Agenda, Role of Facilitators

• Proposed Procedural Ground Rules / Substantive 

Ground Rules

• Problem Analysis

– Problem Solving Cycle

– Interest-Based Problem Solving

– Tools / Techniques

• Questions and Summary
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Statutory Mission

• 1947: Created as an Independent agency 

under Taft-Hartley Act 

• FMCS’ neutral role in assisting Labor & 

Management in private, federal, and other 

public sectors

• 1990: Covered by the Administrative Dispute 

Resolution Act (ADRA) to offer mediation, 

facilitation, training to federal agencies and 

part of the 1996 ADRA and Negotiated 

Rulemaking Act. 
Statutory Mission

FMCS Mediators...

• resolve collective 

bargaining disputes 

which threaten the free 

flow of commerce,

• train in conflict resolution 

skills, 

• provide arbitration 

services, and 

• mediate workplace and 

employment issues. 4
Headquarters 

in

Washington DC

FMCS Structure

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10 Sub-Regions

FMCS Structure

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67 Field Offices

FMCS Structure

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FMCS Facilitator Responsibilities

1. Maintain Neutrality

2. Focus on Process, NOT Content

3. Assist the group in developing and utilizing 

processes that make the most efficient use 

of their time in pursuit of their stated 

objectives.

4. Help the group stay on task and remind the 

group of their agreed upon processes where 

necessary.
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Stakeholder Roles and Responsibilities

• Identify and clarify objectives

• Work collaboratively with all 

members

• Be creative, innovative, 

motivated, and resolutionoriented

• Identify your issues, interests, and concerns and 

understand other members

• Work towards the preparation of recommendations to 

USDA, AMS by the deadline to be achieved
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Working Group Roles and 

Responsibilities

• Identify the interests, issues, options, and goals

• Clarify objectives and formulate questions 

• Work collaboratively

• Decide on meeting dates for intensive 3-day 

sessions in early 2017

• Be creative, innovative, motivated, and 

resolution-oriented.

• Be mindful of others’ perspectives
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Tools of Collaboration

An “Interest-Based” Approach

• Developed from conflict research to provide 

the most innovative and durable solutions

• Uses: 

– Tools and Techniques

– Active Listening

– Brainstorming

– Root Cause Analysis

– Relies on Active Participation
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Process Tools

• Ground Rules

• Agenda

• Work Processes and 

Group Dynamics

• Document Creation 

and Sharing (Group 

Memory)
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Meeting Procedural Ground Rules

1. Start and stop on time

2. Cell phones off or silent

3. Recognize and accept that your partners 

may have different views

4. Listen attentively and don’t talk over one 

another

5. Participate! Participate! Participate!

6. Learn from each other
Fist Exercise

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10 Principles of Cooperation

1. Voluntary Engagement

2. Trust

3. Openness

4. Civil Behavior

5. Equality in Influence

6. Inquiry Directed Processes

7. Constructive Communications

8. Use of Cooperative Methods and Tools

9. Merit Based Analysis

10.Mutually Beneficial Outcomes

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Problem Analysis

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Problem Analysis 

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Information 

Gathering

Issue 

Identification

Developing 

Ideas / Solutions Action Plan
We Know What We Know

What Don’t We Know?

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Your house as you see it as the seller

As a buyer sees it

Perceptions

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Perceptions...
Information Gathering

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Develop Your Data 

Needs

• What facts, information, and examples are 

relevant?

• What question(s) do we need to answer?
Information

• Schedule relevant 

presenters and 

presentations

• Gather and prepare 

pertinent data and 

records

• Record and provide 

newly discovered 

data needs

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Issue Identification

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Discuss / Brainstorm

• What is the current state?

• What is working?

• What is not working?

• What are the interests of all parties? 
Issue Identification Tools

• Root Cause Analysis

• SWOT

• Force Field Analysis

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Developing Ideas / Solutions

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Brainstorm Options

• Fully utilize the breadth and diversity of all 

participants’ perspectives

• Explore a full range of creative ideas

• Propose ideas that satisfy common interests

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Option Development Tools

• Brainstorming

• Best Practice

• Expert Panel

• Straw Design

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Action Plan

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Write a Summary of Results

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• Summarize experience with the problem 

solving process

• Report results to the executive sponsors

• Make recommendations for soliciting more 

information in specific areas

• Resubmit problem to problem solving phase if 

solution did not achieve objectives

• Celebrate success
Issues, Interests and Positions

• Issue: Subject of 

discussion; problem 

to be solved

• Interests: Needs, 

concerns, desires, 

goals or fears that 

underlie the issue 

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• Positions: One party’s solution to the problem
The issue/problem; 

what is talked about 

publicly and/or openly 

addressed.

Interests are thought, 

felt, concealed, ignored 

or avoided factors that 

are underlying the issue 

Concerns

Goals

Needs

Fears

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Issues, Interests and Positions

• Interests underlie the 

issues.

• Therefore, parties can 

find common ground.

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Issues, Interests and Positions

• Interests: The “Why?” 

behind the problem 

• Positions: The 

“How?” to solve the 

problem.

• Start with the why, 

then move to the 

how

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Issues, Interests and Positions

• Position statements are inherently 

contentious.

– They “draw a line in the sand” 

– They create a “take it or leave it” 

dynamic.

• Convert position statements to 

interest statements by asking:

– “Why do you feel that way?”

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How to Determine Interests

First step – Discovery

• Examine underlying concerns, needs, fears, 

goals, and expectations.

• Independent or collaborative process

• Chart or record interests

• Limit to 5-10 interests based upon relevance 

and significance 

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How to Determine Interests

Second Step – Presentation

• Explain interests and answer any questions

• Identify Common interests, which are: 

– Identical interests to yours

– Conceptually similar interests

– Interests of others you can support 

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Differentiating Issues, Interests 

and Positions

Group Exercise

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Problem Analysis – Tools and 

Techniques

• Active Listening

• Framing the Issue

• Brainstorming

• Root Cause Analysis

• Art of Inquiry

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Active Listening

• What is it?

– Fully concentrating, understanding, responding 

and remembering what is being communicated 

• How do you do it?

– Acknowledge

– Paraphrase

– Clarify

– Summarize

– Listen carefully

– Reflect and Summarize

– Ask Open Ended Questions

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It’s Not About the Nail...

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Framing the Issue

• Develop a question or task statement with:

– Subject- What the problem is about

– Issue- Identifies the change sought

• Begin with “How might we...” or “Our task is to...” 

• Open-ended question that cannot be answered 

“Yes” or “No”

• Contains no solutions

• Contains no accusations or inflammatory wording

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Framing Group Exercise 

“Since management is not concerned about us, we 

need a fire alarm in every office.”

• Question: Subject & Issue

• Begin with ... “How might we”

• Cannot be answered with yes or no

• Does not suggest a solution

• Contains no accusations
Brainstorming

• Free, uninhibited generation of ideas

– No criticizing or evaluating

– Build on ideas: combine and hitchhike

– Be creative

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Brainstorming 

• Select a Method

– Round – Robin

– Free – Wheeling

– Breaking into 

smaller groups may 

be helpful

• Record All 

Contributions

• Verify and 

Consolidate Ideas
Best Practice

• Conduct research

– Assign participants to collect solutions that 

have been implemented at other locations, 

both internal and external, dealing with the 

same or similar problem before the group. 

• Ask follow-up questions

– Interview the users to determine the 

effectiveness of and satisfaction with their 

practice, and to solicit other instructive 

comments. 

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Expert Panel

• Arrange visits to the organizations or individuals 

who are subject matter experts and conduct an 

interview. 

• Have organizations send representatives to your 

meetings to market or present their proposed 

solution.

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Straw Design

• Tool involving subcommittees 

• Subcommittees develop a comprehensive draft 

solution to an issue 

• Best used in complex scenarios

• Initiated after all interests have been generated 

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Issue Identification

• Root Cause - Fishbone

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Issue Identification

SWOT

• Identifying the 

internal and 

external factors 

that are 

favorable and 

unfavorable to 

achieve an 

objective.

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Issue Identification

• Force Field Analysis

– Brainstorm driving 

and restraining 

forces

– Score each force (1-

5; 1= hardest)

– Identify aggregate 

score

– Apply strategies to 

modify the forces

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Art of Inquiry

• Disempowering 

Questions

– Implicitly 

Judgmental

– Triggers 

Defensiveness

• “Why did you do 

that?” 

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Art of Inquiry

• Empowering Questions

– Focuses on the Positive

– Implies voluntary nature

of responding

– “What would resolution look 

like to you?” 

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The Intent Behind the Question

• Be self-aware, asking yourself, “WHY are YOU

asking that question?”

• Be careful about assumptions you bring to the 

question

• Be curious before being helpful

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Reframing with Questions

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Summary of the Day

• Defined meeting scope and goals

• Reviewed Agenda

• Defined Facilitators’ Roles

• Discussed and developed ground rules

• Shared initial expectations

• Heard from industry experts about the LMR 

Reauthorization process and state of the market

• Heard from facilitators who will show to utilize 

active listening, facilitation, and questioning

• Learned about Interest-Based Problem Solving

• Participated in group problem-solving activity

• Prepare for Day #2 
Thank You!

• Any Questions?

• Contact Information:

– Eileen B. Hoffman: ebhoffman@fmcs.gov

– Doug Corwon: dcorwon@fmcs.gov

– Ramona Buck: rbuck@fmcs.gov

– FMCS web address at: www.fmcs.gov

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