m2d2-3-consulting_phases.pdf

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CODI Intensive Program, Module 2

By Diane Abbey-Livingston, 2010; used by CODI with permissionWebsite: www.odcanada.org; email: [email protected]

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Consulting Phases1

In “Flawless Consulting”, Peter Block outlines phases and posits thatflawlessness comes from attending to two dimensions at all times:

• Being authentic• Understanding and completing the task requirements of each phase.

The following notes join together the work of several authors as well as myown experience.

Scanning PhaseWhat can I find out about this client, the organization, the trends in theindustry, and other information of a general nature that one can glean fromthe Web, news articles and people who know the organization. This formsthe background for the entry and contracting phase. Be aware that the

information may be dated, biased, sanitized and so on. Nonetheless,scanning helps provide some context for a phone call or meeting.

Entry PhaseThis is the initial contact. Culture dictates the formalities and type of informalities. The conversation introduces the consultant and client to eachother and sets the general ballpark for the meat of the meeting. The clientand consultant scout whether there may be a fit between what the clientwants and what the consultant can offer - all in pretty general terms.

One fine consultant, Sherman Grinnell, believes that we have an entry phaseat the beginning of each meeting with the client. The entry in these cases

includes:

• Acknowledging the client (the social exchange of affirmation);

• Checking out whether or not, since the last meeting, anything hashappened that may affect the work and decisions today.

The Entry Phase is the initial contact. Culture dictates the formalities andtype of informalities. The conversation introduces the consultant and client toeach other and sets the general ballpark for the meat of the meeting. Theclient and consultant scout whether there may be a fit between what theclient wants and what the consultant can offer - all in pretty general terms.

1 “Phases” is the word used by Peter Block in Flawless Consulting: A Guide to Getting Your Expertise

Used. “Stages” is used by other authors. According to Rogers’ Thesaurus, both words mean essentiallythe same thing – a sequence of activity which may be iterative.





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Entry Phase in Each MeetingOne fine consultant, Sherman Grinnell, believes that we have an entry phase at the beginning of each meeting with the client. The entry in these cases includes:

• Acknowledging the client (the social exchange of affirmation);

• Checking out whether or not, since the last meeting, anything has happened that mayaffect the work and decisions today.

ContractingThe entry phase may flow almost imperceptibly into a contracting conversation or thecontracting may happen at a totally different time. In either case, contracting is the process of talking about the specifics of the client’s situation: what the client wants (a) as the desired statein the organization and (b) how you can help. The dialogue explores possibilities, and ensuresunderstanding both of the client’s resources and constraints as well as about the pros and consof alternative methods. The end point of contracting is an agreement about the purposes of thework to be done, the desired outcomes, roles and responsibilities of consultant and client,timing, fees, and other areas that will clarify and lead to shared expectations.

Peter Block sets out the following four requirements of the contracting phase:

1. Negotiating Wants:Both consultants and clients have “wants” and minimal requirements for successfulachievement of the project purposes and goals. When consultants or clients lack clarityor confidence in expressing their needs and constraints, projects are poorly defined andimplementation suffers.

2. Coping with Mixed EmotionsMany believe that people do not like to ask for help and yet they need to do so by dint of shortage of staff, new opportunities, or a need to make changes. This ambivalence was

likely stronger when hiring consultants was not the norm. Today, even though the use of consultants is well-accepted, there are still clients who feel ambivalent or evenembarrassed that they need help. Block recommends getting any mixed emotionsexpressed so that they do not impact the project.

3. Surfacing Concerns about Exposure and Loss of Control“Most of the real concerns clients have about pursuing a consulting Project with you are

expressed quite indirectly. They ask about credentials, experience, results elsewhere,cost, timing, and more. Often what they are really concerned about is: (a) are they goingto be made to look or feel foolish or incompetent? and (2) will they lose control of either themselves, their organization or you the consultant?.”2 These concerns can beexplicitly probed with sensitivity.

In discussing surveys or ways to engage staff , it’s my practice to do a “provisionalanalysis”. That is, I propose some questions that may be relevant and controversial,make up answers that are less than positive, and ask clients if such responses came in,how they would feel and act. This conversation sometimes surfaces concerns and

2Peter Block Flawless Consulting: A Guide to Getting your Expertise Used. 2

ndedition. Jossey-

Bass/Pfeiffer, 2000 p.41





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changes what the client wants to do. Other times, the potential to really find out what isreally going on intheir organization (even though it may be less than positive)strengthens their resolve. In both cases, we talk about how the data gathering will bedone, with whom and how it will be shared. The same type of provisional analysis isuseful when clients are thinking about engagement projects.

3. Triangular and Rectangular ContractingSo much of our work is done in organizations where our client has someone to whomthey report. To what extent should that person be explicitly involved in the contracting of the work? What will the roles, responsibilities and relationships be? Who should beinvolved in agreeing to the work, in making decisions regarding the who, what and howof data collection and dissemination? These questions are best addressed before thecontracting phase is completed. And, if the consultant reports to someone, thecontracting could involve delineation of a fourth role making it a rectangular contractingprocess. The length of time it takes and the number of meetings required to finalize atriangular or rectangular contract is clearly greater than when an agreement is beingmade between only two people.

Data Gathering Phase

During this phase, the focus is on gathering information related to the contracted focus. Inaddition to determining the methodology, and the sources for information, it is important toremember two things:

• Once data gathering begins, expectations develop. Data gathering is an interventionand has an impact. People wonder who was asked what, what the results will be andwhat will happen as a result of the data gathering.

• Any contact with people (face-to-face or written) in the organization will requirebuilding rapport, setting a tone, presenting the purposes, and creating positiveatmosphere in preparation for later stages of the consultation.

Peter Block identifies the following four task requirements in this phase:

1. Layers of Analysis

He reminds us of the challenge that the problems identified initially by the client areusually symptoms of other underlying problems. The task for the consultant is toarticulate the different layers in a coherent and simple way. The work of DavidCooperrider and Appreciative Inquiry practitioners, and the work in Solution FocussedConsulting strongly recommends that consultants focus more of their efforts on helpingthe client articulate the desired future than on discovering and naming layers of theproblems.

2. Political Climate

He reminds us not to collude with the client if the client suggests that rationality and bestpractices alone will be required to bring about change. Every organization has politicsand our task as consultants is to understand enough about the relationships to knowwhat will affect the project. Stakeholder mapping or analysis of where people stand onthe issues, options and desired outcomes is an important part of data gathering.





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3. Resistance to Sharing Information

Most people want to know the “why” behind the questions asked. The rational,business-based response does not usually address the following which affect the qualityof the conversation:

• confidentiality

• anonymity

• resentment that time is required to fulfill data gathering needs

• ambivalence or cynicism about anything positive resulting from the data gathering

Clarity about confidentiality and anonymity by the consultant is essential so that staff andemployees have valid information with which to make a choice about what they want toreveal. Respect and empathy can lead to a rich conversation about the pros and cons of different ways of responding to the concerns about the value of the time spent.

4. Interview as Intervention - J oint Learning Event

When Block outlines this requirement, he reminds us that we are not passive, objective,neutral questions-asking and answer-recording machines. I see interviews areopportunities to ask questions worthy of the respondent’s ability to think and feel, todemonstrate respect, to be a listener offering full presence without judgement. To me,when an interviewee leaves an interview and can say that it was interesting or thought-provoking or useful, the project and the organization benefit in both the short and longer term. Some of the questions used in Solution Focussed Consulting provoke thinkingand aha’s. For example:

• How much confidence do you have that these changes can happen?

• What gives you this level of confidence?

• What would you have to see and hear to boost your level of confidence onedegree?

Data Analysis and Preparation for Feedback to Client

It is Block’s position that the purpose of data collection is to solve a problem, to get someaction…In his terms “funneling the data” means that:

(a) the data needs to be reduced to a manageable number of items, and

(b) the items should be ones:

i. over which the client has some control and can take action,

ii. of importance to the organization, and

iii. where there is some commitment, somewhere in the organization, to work onthem.

Block further notes that the consultant will have collected data on both organizational issues andhow they are managed. He calls these “personal data”, the data on how problems andpossibilities are managed. This is often the very data that clients, especially at the senior levels,





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do not hear from their staff and is therefore important to provide. He notes that the informationprovides context for issues involved in the implementation of any change.

This phase is often more time-consuming than we anticipate. People do the analysis in differentways. Many use the same methods as I do in an iterative way:

1. Brainstorm my overall impressions, surprises and puzzles;

2. Sort all the information collected from different sources in relation to each question

a. Find themes;

b. Preserve interesting odd items;

c. Group the themes to tell the story the questions were trying to discover.

3. Ask myself “out of all of this interesting information, what is really important?” At this point, have met research standards in organizing all of the data, I use Block’s criteriaas identified above.

If the contract calls for more than a findings report:

4. Develop/use a diagnostic framework to which the client can easily relate:

- Identify core aspects of organization functioning to which the themes relate;

- Group themes according to a desired model.

If the contract calls for recommendations:

5. Develop recommendations that clearly connect the diagnosis with steps toward the

desired state.

Plan the Feedback Meeting(s)3

More than one feedback meeting is usually required. First, courtesy and caution dictate ameeting to enable the client to understand, digest and discuss the information. The client maywant to include others in the meeting and it’s our role to negotiate this with the client based onour understanding of the data and implications. Often, the first meeting with the client requirestime for the client to think through and be coached on how to convey the information to others.

Because clients typically underestimate the time needed for this type of meeting, it is our task tobe clear and cogent about the purposes and time required to do justice to the work they haverequested. This is best introduced during the contracting stage.

The client is ultimately going to decide on the meaning and value of the data andrecommendations regardless of who is expected to do the task. For the client to understand

recommendations, they must have an opportunity to see the data and do their owninterpretation. The amount of time and the iterations of meetings scoped during contracting for this phase depends on the type of project, and this is one phase that is often underestimated.

In workshops with Peter Block, he makes a strong case for face-to-face feedback meetings withthe consultant present.

3Please see handout – Planning a Feedback Meeting for more details.





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Planning the feedback meeting involves thinking about:

• What you want to say and how you want to say it

• Your proposed agenda including timing for each item.

Block suggests the following three categories of data for the presentation4

:• Analysis of the business/ technical problem

• Analysis of how the problem is being managed

• Recommendations

He offers a second model used by his colleague Harold Goldstein:

• Problem Statement

• Why the Problem Exists

• What will happen if the problem is not fixed (a) in the short term and (b) in the long term

• Recommended Solutions

• Expected Benefits

I typically use the following structure:

• Contract and the reason for it

• Methodology

• Findings and Analysis – Desired Future, Gaps, Resources

• Recommendations

• Risks and Benefits

4Block. P. Op.Cit. Page 229





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Presentation to and Dialogue with the Client

Major 4 task requirements include:

1. Guard time for dialogue about the findings and next steps

Propose an agenda that provides significant time for dialogue. Block suggests 30% of the timefor the client to react to and digest the findings, and 30% to discuss next steps. Seekagreement on the agenda upfront.

2. Manage the Feedback Meeting

The consultant has to play a strong facilitator role to ensure that the purposes of the meeting donot get derailed. The purposes are to understand and believe enough of the data (and/or diagnosis) to consider and decide on next steps. Since the feedback meeting may be theconsultant’s last chance to influence action, it is important to work with sensitivity and skill onderailers such as:

• Resistance or ambivalence indirectly expressed by such means as excessive questioning

of the methodology or the data;• Challenging of the consultant’s credentials;

• Disbelief regarding the findings.

3. Recognize ambivalence or resistance and do not take it personally

It is often difficult to recognize that the client’s reactions to the work the consultant has doneand even to the consultant is often not personal; rather, it is a response to feeling vulnerableand called on to take action that has risks.

4. Pay attention to the “here and now”

According to Block, “usually the feedback process becomes victim to the same managementproblems that created the need for your services in the first place…” You need to be consciousof how the client is handling the feedback and how this may reflect the past issues as well ascreate obstacles to change. “ If you are not meticulously aware of how your own project isbeing handled, (the project) will simply become the latest casualty.”5

Equally important from my point of view is to affirm the way the client’s response to thefeedback will help future implementation.

Future papers will provide information on contracting, re-contracting, evaluation and terminationphases of consulting.

5Block, P. Op. cit. page 44

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