The Convening-in-a-Box Toolkit: A Community Foundation's Resource For Best Practice Community Leadership Strategies

The Convening-in-a-Box Toolkit
A Community Foundation’s Resource for Best Practice Community Leadership Strategies
THE
CONVENING-IN-A-BOX
TOOLKIT
A Community Foundation’s
Resource for Best Practice
Community Leadership
Strategies
Ivanley Noisette
David Watterson
Judy Watts
March 2010
ABOUT THIS TOOLKIT

The Convening-in-a-Box Toolkit is a product of a joint project between the Arkansas Community
Foundation and the University of Arkansas Clinton School of Public Service, both based in Little Rock,
Arkansas. During 2009 and 2010, Master of Public Service candidates Ivanley Noisette, David Watterson,
and Judy Watts served as consultants to the community foundation to make recommendations related
to their goal of undertaking greater community leadership throughout the state. This toolkit is designed
to be a how-to guide that any community foundation can make use of in their own ambitions to
implement community leadership initiatives.
For more information on the Arkansas Community Foundation, please visit http://www.arcf.org.
Additionally, the University of Arkansas Clinton School of Public Service can be found online at
http://www.clintonschool.uasys.edu.
ABOUT THE AUTHORS
Ivanley Noisette is a graduate of Villanova University where he earned a Bachelors of Arts degree in
Political Science. Noisette is a native of Philadelphia, Pennsylvania. He currently attends the University
of Arkansas Clinton School of Public Service.
David Watterson is a graduate of Berklee College of Music, located in Boston, Massachusetts. In addition
to being an independent singer/songwriter and professional pianist he is also interested in civic
engagement, national service, and youth development work.
Judy Watts is a graduate of the University of Texas with a degree in radio and television and a native of
Longview, Texas. Watts recently worked as Development Coordinator for KMFA, a nonprofit public
radio station. She serves as a board member and English as a Second Language instructor for Alacridad,
a nonprofit that provides assistance to Latin American community programs. In her spare time, Judy
instructs hatha yoga.
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CONTENTS
About this Toolkit ........................................................................................................................................... i
Introduction ................................................................................................................................................. iv
Moving from Transactional to Transformational ..................................................................................... iv
Community Leadership as Convening ....................................................................................................... v
Who’s in a Community? ........................................................................................................................... vi
Overview ................................................................................................................................................. vii
Section One: Getting Ready! ......................................................................................................................... 1
Ready Assessment Checklist...................................................................................................................... 1
Section Two: Planning ................................................................................................................................... 3
What Type of Convening? ......................................................................................................................... 3
Some Ideas............................................................................................................................................. 3
A Word of Caution: Don’t Duplicate ...................................................................................................... 4
Who Will You Convene? ............................................................................................................................ 5
Finding Partners and Champions .............................................................................................................. 6
A Facilitator ............................................................................................................................................ 6
Convening Space .................................................................................................................................... 7
Sponsors ................................................................................................................................................ 7
Publicity ................................................................................................................................................. 7
Section Three: Convening ............................................................................................................................. 9
The Invitation ............................................................................................................................................ 9
Constructing the Invitation .................................................................................................................... 9
Delivering the Invitation ...................................................................................................................... 10
The Convening Space .............................................................................................................................. 10
Facilitation Materials ........................................................................................................................... 11
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Facilitation ............................................................................................................................................... 12
Five Conversations ............................................................................................................................... 12
Common Elements of Facilitation ....................................................................................................... 13
The Roles of Facilitator and Recorder ................................................................................................. 15
Best Practices ....................................................................................................................................... 15
Section Four: Evaluating ............................................................................................................................. 17
Participant Evaluation ............................................................................................................................. 17
Survey 1 ............................................................................................................................................... 18
Survey 2 ............................................................................................................................................... 19
Appendix A: Recommended Reading ......................................................................................................... 20
Appendix B: Works Cited ............................................................................................................................ 22
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INTRODUCTION
Welcome to The Convening-in-a-Box Toolkit! If you are reading this, there is a strong chance that you
a) work for or with a community foundation, and b) are looking to develop community leadership
initiatives (or are at least interested in learning more about this ambiguous concept). This toolkit is
designed to give you a clear, easy-to-read, and step-by-step overview of the who, what, when, where,
why, and how of community leadership for community foundations.
The sections are presented chronologically in the order that different tasks are required to be fulfilled
along the path to implementing community leadership. With that said, if at any time you feel that
certain information doesn’t apply to you, you should feel free to skip ahead. Please use the toolkit as
you see fit.
Lastly, as a warning, don’t expect to be an expert on community leadership after reading this. You will
not know all the answers right away, but you will know all the right questions to be asking and thinking
about as you move forward. This toolkit aims to provoke you to thought and action, and to give you the
essential knowledge you need to convene stakeholders in your community.
MOVING FROM TRANSACTIONAL TO TRANSFORMATIONAL
Since 1914, hundreds of community foundations have been established in the U.S. and across the world.
Today there are over 700 community foundations (Ragey, Masaoka, & Peters, 2005) in the U.S. and
more than 1,441 community foundations worldwide (Sacks, 2008). These community foundations,
particularly the ones in the U.S., are currently facing a paradigm shift.
Since the early 20th century, community foundations have adhered to a “transactional culture”, where
they traditionally maintained an institutional focus concerned with building endowments and growing
assets for responsive grantmaking.
The dawn of commercial charity has created new challenges for community foundations in a manner
that is remarkably different from a generation ago (Bernholz, Fulton, & Kasper, 2005). In the emerging
era, community foundations face an unprecedented amount of competition from low-cost/high volume
providers in the commercial sector such as: Fidelity, Vanguard, and Schwab, as well as numerous wealth
managers (Bernholz, Fulton, & Kasper, 2005). On the Brink of New Promise identifies five main forces
that are shaping the emerging era in community philanthropy:
 Economic and market pressures

 Demographic changes
 Changing expectations for regulation and accountability
 The commercial sector as innovator
 Changing relationships between sectors and new expectations for public problem-solving
In order to remain competitive in the new philanthropic environment, community foundations must
demonstrate a willingness to be tied to a larger vision of community leadership (Ballard, 2007). This
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larger vision of community leadership will only take place if community foundations shift their focus
from one solely concerned with the institution (transactional culture) to one vested in long-term
transformational leadership.
Understanding the crossroads where community foundations currently find themselves, leading
researchers and experts believe that the most promising path is one that embraces transformational
leadership. As it applies to community foundations, transformational culture includes five broad
principles:
 Community leadership
 Strategic grantmaking
 Connecting resources
 Improving quality of life
 Growing assets
“Community leadership” is perhaps the most indispensable of the five principles of transformational
leadership and will be the focal point of this toolkit.
COMMUNITY LEADERSHIP AS CONVENING
There can be some confusion as to what exactly is meant by the term “community leadership”. A lot of it
has to do with the stigma attached to the concept of leadership. Popular wisdom often associates
leadership with the quality of being in charge. This fictional social construct views leadership as having
followers that can be told what to do and how to do it.
While that may be one definition of leadership, that’s not the type of leadership that community
foundations should practice. Instead, the role of the community foundation is to engage others in
leadership. This toolkit views community leadership as the act of convening.
This idea has been inspired by Peter Block’s discussion of the “Art of Convening” in his book,
Community: The Structure of Belonging. Block’s work has influenced much of the material presented in
this toolkit, and we strongly recommend it as additional reading. Speaking on the art of convening, Block
writes about the shift that is necessary in thinking about community leadership:
The shift is to believe that the task of leadership is to provide context and produce engagement,
to tend to our social fabric. It is to see the leader as one whose function is to engage groups of
people in a way that creates accountability and commitment …. Convening leaders create and
manage the social space within which citizens get deeply engaged …. Engagement, and the
accountability that grows out of it, occurs when we ask people to be in charge of their own
experience and act on the well-being of the whole.
So while our societal concept of leadership puts the leader in charge, leadership as convening puts the
participant in charge. Therefore, the leader no longer controls the conversation, but instead creates and
manages the space for participants to engage within it. Furthermore, Block identifies three essential
tasks of the convening leader. Leaders must:
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 Create a context that nurtures an alternative future, one based on gifts, generosity,
accountability, and commitment.
 Initiate and convene conversations that shift people’s experience, which occurs through the
way people are brought together and the nature of the questions used to engage them.
 Listen and pay attention.
By following these three tasks, community foundations are able to exercise meaningful, productive
leadership that engages others as collaborators for the good of the community. This is the community
leadership that community foundations need to take on.
WHO’S IN A COMMUNITY?
In order to be successful in exercising community leadership, it is essential to know exactly what a

community consists of, and who is in your community. Dr. Hanmin Liu, President of the Wildflowers
Institute based in San Francisco, CA (www.wildflowers.org) visualizes community as an intersection of
formal and informal leaders operating for both the public good and self-interest. Consider his
community model (Liu, 2009):
Liu’s model presents a map of the separate but complementary roles that individuals and organizations
play within a community. This model is presented here to provide a starting point for community
foundations in conceptualizing their communities and the stakeholders within it. If Peter Block tells us
that community leadership is convening, Liu’s model tells us who to convene. This community model will
be referenced and expanded on throughout this toolkit.
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OVERVIEW
This resource is titled, The Convening-in-a-Box Toolkit because it serves as a “how-to” guide for
community leadership that can be implemented by any community foundation or similar non-profit
entity that wishes to convene their community around a particular issue. In theory, any community
foundation should be able to pick this guide up and follow it through section by section to begin shaping
their own leadership initiatives. The following is an overview of what each section offers:
Section 1: Getting Ready!
When your foundation agrees that it's time to move toward a community leadership model it will be
important to first assess readiness. The checklist contained in this section will provide you with the steps
that you will need to take before you draft an action plan.
Section 2: Planning
Once your foundation is internally prepared to sustain a leadership initiative, this section will help you
create a community leadership action plan that takes into consideration what type of initiative you will
implement, who you will convene, and who you will reach out to as potential partners and champions of
your effort.
Section 3: Convening
This section covers best practices for facilitating convening efforts as part of a community leadership
initiative. You'll find an outline of everything you need to effectively convene community stakeholders
to achieve transformational leadership in your community.
Section 4: Evaluating
After your foundation has convened leaders within your community it is helpful to receive feedback
about the conversation and structure. Two short evaluations are included to guide your community
foundation in assessing and improving future facilitations.
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SECTION ONE: GETTING READY!

Before you begin convening community leaders it is important to assess readiness. What makes the
community foundation unique under the community leadership model is its ability to curiously design
connections between stakeholders across all four quadrants of the community with the aim of
improving the quality of life in a given locality. Through strategic planning, proper evaluation, long-term
thinking, authentic diversity (of thought and personhood) and trust building, productive possibilities
may arise. Before realizing these successes, however, you must investigate your foundation's capacity
and readiness.
In order to plan and plan well, organizations of all varieties use what is known as the Strategic Planning
Process (SPP). We suggest two reliable resources in the Recommended Reading portion of this toolkit
that detail proper use of SPP. Expert facility with strategic planning and evaluation will ensure the
careful execution and the long-term sustainability of your community leadership programs and action
plans.
Prior to the planning process, before any action plans are drafted or adopted, there are several
readiness benchmarks that a community foundation must pass. The following checklist discusses those
benchmarks and provides some guiding questions that reveal their relevance to community leadership
strategies.
READY ASSESSMENT CHECKLIST
 Research community demographics

 Have you left out any potential stakeholders?
 Is your demographic data current?
 Are there any inherent biases in data collection that prevent you from identifying a
particular demographic?
 One of the best resources we’ve encountered for researching demographics is
www.factfinder.census.gov
 Make sure that the Board of Directors are representative of the community's demographics
 Are community leaders from all four quadrants of the community model present on the
Board of Directors?
 Does the current affiliate culture value or resist diversity?
 Adopt long-term commitments to community leadership strategies

 Are board members interested in the sustainability of community leadership initiatives?
 Are board members willing to explore new strategies that help fulfill the stated mission
of the community foundation?
 Is the board active and fully participatory in the community foundation?
 Does the local affiliate director bear the brunt of the work?
 Do board members support and share work?
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 Ensure cohesion between local and headquarter offices

 Do the strategic plans of local and headquarter offices dovetail with one another?
 Do staff members and board members from both the affiliate and the main head
quarters regularly interact with one another?
 Do members from the headquarter office inform affiliates of new trends and notable
developments?
 Schedule regular committee meetings throughout the year

 Do committees meet on a regular basis?
 Are public relations strategies constantly being improved?
 Does the affiliate have a stagnated or active grant application process?
 After awarding grants, follow-up with grantees

 Do community members understand how grants advance the stated mission of the
community foundation?
 Do grantees speak favorably about their experience with the community foundation?
 Actively engage with community member

 Do board members sit on other boards/committees in the community?
 Do board members have recognizable voices in all four quadrants of the community
model?
 Do board members have “buy-in” with a wide-range of community stakeholders?
 Maintain a regularly updated “list of influentials”

 Is the local affiliate aware of the discrete and/or obvious voices that can dramatically
affect the pulse of the community?
 If such a list exists, how old is the current list?
 Assess human, fiscal and technical capacities

 Are endowments sound and growing?
 Does the affiliate have sufficient funds available for the day-to-day operating budget?
 Does the affiliate have the human, fiscal, and technical capacity to undertake new foci?
We suggest carefully considering each of the questions on this checklist before deciding to formulate or
adopt any action plan or community leadership strategy. Failure to properly assess readiness can have
long-term detrimental effects on a community foundation.
Remember that community leadership implies convening. Stakeholders must feel comfortable with your
role as facilitator before actively participating in a shared vision. Being realistic about what you have the
capacity to do and building trust can lead to fruitful outcomes.
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SECTION TWO: PLANNING

Once you have worked with your team and feel that your affiliate is adequately prepared to undertake a
leadership role in the community, the next step is to begin a thorough planning process. Through this
process, you will adopt a Community Leadership Action Plan that takes into consideration all of the
variables and keys to implementing a successful leadership initiative.
WHAT TYPE OF CONVENING?
Before anything else, your team has to decide what type of convening to facilitate. There are a lot of
considerations that go into making this decision, such as:
 What are we capable of doing?

 What are we comfortable doing?
 What are we trying to accomplish?
 What will most directly address the community’s needs?
 What will the community be supportive of?
These questions will require broad-ranged critical thinking from your team. Note that it is important to
consider the balance between what the community’s needs are, and what type of convening your
affiliate will be successful in initiating. It can be tempting to focus solely on the community’s needs in
the ideal of solving as many problems as you can, and this aspiration is natural. However, if your affiliate
isn’t ready to take on a role that can be sustained, there is a risk of diminishing your credibility in future
leadership efforts, not to mention fund development. You don’t want to underestimate yourself, but at
the same time, don’t bite off more than you can chew. Strive to stay in your affiliate’s challenge zone –
the happy medium between the comfort zone (hardly any effort required) and the chaos zone (much
more effort and resources than you have available).
SOME IDEAS
One of the best ways to get the brainstorming process started is to look at what other community
foundations around the country have already done as conveners. A good place to start is with a Chapin
Hall Discussion Paper titled Community Change Makers: The Leadership Roles of Community
Foundations (Hamilton, et al., 2004). Authors Ralph Hamilton, Julia Parzen, and Prue Brown present a
helpful categorization of common community leadership initiatives that community foundations have
been successful in taking on. Consider the following roles they have identified:
 Contributing Ideas and Information

o Community Foundations act as “information brokers”, making information and ideas
more readily available to community members, policy makers, donors, and other
constituencies
o Example: Greater Milwaukee Foundation’s partnership with the Center for Urban
Initiatives and Research at the University of Wisconsin to provide a 30-year trend
analysis on families in low-income neighborhoods
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 Fostering Strategic Connections

o Community Foundations serve to link stakeholders and community resources together
to develop common purposes and solutions
o Example: Baltimore Community Foundation’s leadership in convening groups of public,
private-sector, non-profit, and informal community leaders to create dialogue regarding
important social civic issues
o Example: East Bay Community Foundation’s (Oakland, California) convening of
community stakeholders to develop a strategy to curb youth violence
 Expanding Resources Devoted to Change

o Community Foundations advise government and business leaders, as well as individuals
regarding how to most effectively direct their funds for the public good
o Example: Greater Milwaukee Foundation’s role in using the data it obtained from the
aforementioned study to advocate for a more accessible system for poverty-level
families to utilize tax assistance programs
 Leveraging Systems Change

o Community Foundations working between federal, state, and local government and
community-based organizations in order to create streamlined systems that enable both
entities to serve same populations effectively
o Example: Arizona Community Foundation’s Communities for Kids initiative to develop
coordinated strategies that allow public libraries, schools, childcare services, and health
care institutions work together to better serve young children
 Promoting Performance
o Community Foundations as non-profit leaders and role models to promote better
organizational performance, accountability, and outcomes
o Example: Community Foundation for Greater Atlanta’s efforts to build community
capacity through their “Neighborhood Fund,” which provides financial assistance to
programs that demonstrate strong internal organization
While some of the leadership roles above require more resources and effort than others, each provides
a valuable leadership contribution to the health of a community. Take some time with your team to
determine which is right for your affiliate.
A WORD OF CAUTION: DON’T DUPLICATE
One way to ensure your affiliate’s leadership effort will fail is to duplicate an already existing initiative
within your community. For instance, if your affiliate wants to convene community leaders for a monthly
forum focused on alleviating youth violence in your county, but you find out a couple months later that
there is already an initiative that does exactly that (or something similar), you will probably have some
confused community members looking back at you. Make sure to do your homework to understand
what efforts have already been made by potential community collaborators; the community foundation
should be seen as a trusted expert on what’s going on in the community. If there’s another initiative that
is already tackling a certain issue, see how your affiliate can play a role in helping lead that effort.
There’s no shame in jumping onto a pre-existing effort, as long as your intention in joining it is for the
right reasons.
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WHO WILL YOU CONVENE?
An equally important question, and in truth, one that could just as easily come before what, is who.
Oftentimes, determining who you will engage in your community leadership initiative will play a big role
in shaping what that initiative will look like. Approaching it the other way, if your team has already
determined what type of leadership effort you want to undertake, getting the right people in the room
is the most important first step toward ensuring it is successful.
With Dr. Hanmin Liu’s Community Model (see Introduction), your team has a good starting point to
think about who you will convene. As you consider the model, think about who the influential leaders
that occupy each sector in your community are. Some are obvious – corporate leaders, non-profit
leaders, the mayor, district judge – and others are less apparent, such as a well respected elder who you
might find in a coffee shop, for example. Both types, however, have their own unique perspective and
power of influence to lend to potential leadership initiatives. After you’ve built a broad set of
relationships throughout your community (as is called for in section one, Getting Ready), the names of
these influential leaders in your own context should come to mind rather easily.
Deciding who among those names you need to convene is more complicated, as it depends on what the
purpose of your convening will be. Generally though, a diverse group of leaders with different skill sets,
knowledge, and levels of authority is desired. As a guide for this deliberation, Peter Block cites Marvin
Weisbord and Sandra Janoff’s checklist from their book Don’t Just Do Something, Stand There! They say
that a good group is one that represents a sample of the “whole system”; this includes people with:
 Authority to act — decision makers;

 Resources, such as contacts, time, or money;
 Expertise in the issues to be considered;
 Information about the topic that no others have;
 A need to be involved because they will be affected by the outcome and can speak to the
consequences.
For practice, let’s apply this checklist to a convening effort that seeks to reduce the teen pregnancy rate
in a county. In constructing your invitation list, your mind probably drifts first to the obvious officials,
which is good. Clearly, it’s key to involve those types – education officials, members of local Parent-
Teacher Associations – as they have the authority to act and are also centrally involved with the issue.
Additionally, you’ll probably invite health officials who specialize in teen pregnancy care; these are the
people who have expertise in the issue at hand, and who will provide valuable knowledge to the group’s
discussion.
However, you might not have considered inviting a teen mother or another teen with direct insight into
the issue. It’s common for the people who want to fix a problem to try to fix it themselves, without the
aid of those who are considered part of the “problem”. But a teen mother will have information and
insight into the local context of teen pregnancy that no education official or health expert might have.
A teen mother (or someone else in that peer group) also has a need to be involved because she may be
directly affected by the outcome of the convening.
Think creatively about whom else could contribute meaningfully to the discussion. Is there a young-adult
leader who has visible influence over teens? Is there a private-sector leader (or someone with resources,
especially money) who would be willing to sponsor a new program? Are there certain families that have
been successful in promoting safe-sex or abstinence within their household? What about spiritual
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leaders, non-profits, or local government leaders that can contribute their own skill-sets or power of
influence?
These are but a few of the many questions that will arise as you begin crafting your list of invites.
Each should be carefully considered and adequately addressed.
FINDING PARTNERS AND CHAMPIONS
Once your team has the what and the who figured out, the next step is to set yourself up for success by
identifying partners and champions that will help you sustain your initiative by working with you every
step of the way. They are there to help you brainstorm, promote the effort, and to provide necessary
resources that you don’t have available.
A FACILITATOR
The most important partner you’ll need to find is a good facilitator. The facilitator’s job is not only to be
the face of your leadership initiative, but also to preside over meetings and to efficiently obtain input
and consensus from participants. The ideal facilitator is someone who is:
 Knowledgeable about the community foundation and its mission

 Not formally associated with the community foundation (such as a staff or board member)
 Experienced in leading others and nurturing dialogue
 Enthusiastic about the community leadership initiative and ready to promote it to others
 Organized, professional, well-respected, and forward-thinking
 Committed to his/her role as facilitator for an extended period of time (at least 6-12 months)
While it is possible to have a staff or board member from your affiliate serve as the facilitator, the
recommendation here against that is made for an important reason. As emphasized before, one of the
community foundation’s greatest risks in initiating a community leadership effort is in being perceived
as having disingenuous or self-serving motives for convening. For that reason, an external facilitator who
is generally recognized and well-respected in the community is preferred.
The next question then, is where could you find a good external facilitator if no one immediately comes
to mind? If your team has established enough strong relationships with influential leaders, as is outlined
as a preparation activity in the Getting Ready section, a facilitator should be right under your nose.
Get your board members in on the search; ask them to sift through their personal and professional
networks to identify 2-3 leads. There is a strong chance that one of them knows the perfect person for
the job (or volunteer position, more than likely).
Another intriguing strategy is to delve into your affiliate’s donor list for potential facilitators. It is fair to
argue that most citizen philanthropists who have set up an endowment or a donor-advised fund
probably care a great deal about their community and probably also have a name and reputation in the
community that would be well-received by others. Another benefit to using a donor as facilitator is that
he/she is already familiar with the community foundation on some level, and thus will likely understand
the purpose behind the initiative more easily. You should already have a strong relationship with your
donors, so making the “ask” shouldn’t be too tough.
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CONVENING SPACE
For the same reasoning as partnering with an external facilitator, it is best to host meetings at a neutral
space/venue. Once again, the focus of the leadership effort is not on the community foundation, but on
the community, so finding a space that reflects that is important.
Look for a space that is widely recognized as a community gathering place – town hall, a community
center, local high school, community college, or a restaurant – are all good examples. Ideally, your team
will be able to build a strong relationship with the venue’s management in order to keep the meeting
space as the regular convening spot for your initiative.
As for physical space itself, the type of initiative you are hosting will dictate what amenities you will
require of your venue. Obviously, if you’re inviting the whole town, it would be wise to book a room that
can accommodate a large number of participants. On the other hand, if you’re only shooting for a small
group of 8-10 people, it would probably be better to secure a more intimate setting instead of a large
auditorium. On a general level, here’s a check-list of basic amenities to look for as you consider a
meeting space:
 Audio/Visual capability (microphone if necessary, ability to present PowerPoint)

 Moveable chairs and desks or tables
 A white/black board to take notes
While those are the basics, there are many other characteristics that make for a great meeting space
and that make the facilitation of your meeting stronger. The next section, Convening, will discuss these
additional aesthetic considerations that are often overlooked.
SPONSORS
In addition to partners – people who collaborate and brainstorm with you on the project –champions
are also extremely helpful to have on your side. Champions are those that, while not there to participate
actively in designing the initiative as a partner would be, are enthusiastic supporters of your effort and
happily committed to using their power of influence to promote and lend resources (read: money) as
needed.
While your initiative may not require significant resources to get started or to sustain, securing a
sponsor that will commit to investing in your effort sends a strong signal to the community that there is
broad public and private support for what you’re trying to do. So for this reason, it is useful to think
about potential champions who could sponsor your initiative. With your board, brainstorm local
businesses or private sector corporations that operate in your county. Many larger corporations, such as
energy companies and health care providers, have social responsibility values or causes that they
support. If your team is able to sell the angle that your community leadership effort fits with their
values, you might be able to attract them as a sponsor.
PUBLICITY
Another valuable champion is your local media. At the very least, your team should leverage the local
newspaper, television networks, and radio stations to promote your initiative by publishing upcoming
meeting notices and press releases highlighting your accomplishments. However, as your initiative
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progresses, having a contact at the newspaper or local television affiliate who is a strong champion will
be very useful as you seek press coverage promoting your work.
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SECTION THREE: CONVENING

Now that you’ve set yourself up for success by thoroughly planning the details of your leadership effort,
your community foundation is ready to convene! This section covers recommended steps to help you
successfully facilitate your convening effort. Read on for information on crafting an invitation, making
the best use of your convening space, and efficiently facilitating a gathering.
THE INVITATION
Once your team has laid the foundation for your community leadership initiative, – that is, once you
know what you want to do, when you want to do it, and who you want to join you – it’s time to make
the invitation. Don’t brush this off though; a concise and inspiring invitation versus one thrown together
as an afterthought could make a big difference in whether your initiative is able to get off the ground in
the crucial early stages. It’s worth taking the time to be deliberate in both how you construct and deliver
your invitation.
CONSTRUCTING THE INVITATION
Peter Block writes that there are four elements to a good invitation: 1) Declaring the possibility of the
gathering, 2) Framing the choice, 3) Naming the hurdle, and 4) Reinforcing the request. Here is a review
of each of these elements:
1. Declaring the possibility of the gathering

Block writes, “The possibility is a declaration of the future that the convener is committed to.”
The declaration of the possibility is essentially the statement of the initiative’s purpose, but
should be more than just a bland description of the proposed program. It should lead off the
invitation with an inspiring vision that captivates the potential participant.
2. Framing the choice

Keeping in mind that an invitation is different than a mandate or an order, the potential
participant must feel comfortable in saying, “No.” An invitation that uses passive aggressive
language that suggests to the potential participant that turning down the invitation would
disappoint the convener, or that uses guilt as a tactic to coerce an acceptance, is not only
inappropriate and irresponsible; it’s simply not in the best interest of the convener. The
convener’s interest lies in recruiting a strongly committed and motivated group of participants;
if some participants show up merely to relieve a sense of social pressure, there will clearly be a
contingent of the group whose heart is not fully committed to the vision and mission. The
convener risks having those participants tear down the morale of the more committed members
of the group.
For this same reason, Block advises against the use of incentives such as door prizes, rewards, or
celebrity presence. An authentic invitation makes the choice very clear to the potential
participant: “Contribute your talents toward creating this possible future for our community, or
not. And if you can’t, that’s perfectly okay.”
9
3. Naming the hurdle

Once the potential participant has been pulled in by an intriguing possibility and the initial ask,
the invitation must then state exactly what would be requested of the participant if he/she
decides to accept. For instance, how much time will this require of the participant (how
long/often are the proposed meetings; would there be additional side work required)? What will
the meetings be like (will there be a facilitator, how will issues be deliberated)? What sort of
expectations are there (respectfully listening to others, earnestly contributing to productive
dialogue, alerting the group ahead of time if a participant can’t attend a meeting)? By spelling all
of this out ahead of time, the convener is able to hold participants accountable to the
expectations and format they chose to commit to in accepting the invitation.
4. Reinforcing the request

Block puts it best (and succinctly): “End the invitation by telling people that you want them to
come, and that if they choose not to attend, they will be missed but not forgotten.”
DELIVERING THE INVITATION
Obviously, the most crucial step in the invitation process is actually delivering it, so neither should this
be an afterthought. Block advises simply to make the invitation as personal as possible. And of course,
the most personal communication that exists is face-to-face, so that’s the most ideal way to deliver your
invitation. That’s not to say that sending a letter is a bad idea. In fact, sending a letter and following it up
a few days later with a more personal contact – a knock on the door, a call on the phone – is a very
effective strategy. This way, potential participants have received a formalized written invitation clearly
outlining the possibility and expectations of the initiative, but have also had the opportunity to more
casually discuss the initiative and gauge the enthusiasm of the convener in person.
Lastly, unless you have a good reason to justify using it, you should try to stay away from sending the
invitation via e-mail. It’s so easy for incoming messages to get lost in people’s inboxes during the course
of a day. A physical letter is harder to lose sight of, and it sends a more personal message to the
potential participant, showing that you have taken the time to personally sign the letter and put it in the
mail. And yes, while this is the 21st century, text message invitations are not likely to enter into the
realm of acceptability any time soon.
THE CONVENING SPACE
With so many other seemingly more important things on our to-do lists, we often think any old room
will do when it comes to holding meetings. But the truth is, the physical convening space in which you
choose to engage others within has a significant impact on the quality of the resulting discussion.
Whenever you have the ability to deliberately choose or shape what your convening space looks like,
take advantage of the opportunity to select a room that makes others feel comfortable. For instance, a
welcoming room, in contrast to one that is strictly utilitarian, implies connectedness and community
from the inside out. If your room does not already feel welcoming, here are a few tips to maximize your
space:
10
 It is highly recommended to find a space with windows. Windows not only allow natural light
into the room, but it reminds participants of the outside world they are trying to improve.
 Add plants (real or artificial) in your space to provide a natural ambience.
 Include art on the wall. Art represents progress and an appreciation for the human condition.
 If possible, use chairs that swivel and have wheels. These types of chairs rather than stationary
chairs allow participants to move freely between groups.
 Set the room to a comfortable temperature so that participants are not too cold or warm. Try to
foresee and avoid as many distractions as possible.
Additionally, set the chairs up in the room in shape of a circle. A circle suggests that we are all
connected and prevents singling any one person to be seen as the leader or otherwise being separate
from the group. In a circle, everyone is able to see each other’s faces, which encourages dialogue, and
helps to build trust. If it’s not possible to set up the chairs as a circle due to a large size of attendees,
then try to set up the room in smaller groups of circles.
Finally, as the convener, you have the ability to make the space more welcoming simply through your
demeanor and actions. Greet participants at the door with a smile and warmth as they arrive. Thank
them for attending. Have another staff member or board member of the foundation show them where
food and beverages are, where the bathroom is located, and ask them to write their name on a
nametag. Nametags are helpful when convening people who are unfamiliar with each other, and
facilitates the process of getting to know one another. If convening has begun and there are late arrivals,
welcome them into the circle and introduce them to the people who are already gathered. These are
simple things that make a big difference for participants.
FACILITATION MATERIALS
The following is a checklist of the basic materials that will help you in facilitating gatherings. In many
cases, it won’t be necessary to have all of these materials, but the more you have, the better prepared
you are.
 Food and beverages (optional)

 Nametags
 Chairs (preferably swivel chairs with wheels)
 Stopwatch or clock to keep track of time
 Flipchart
 Whiteboard
 Notepad
 Writing utensils
 Other resources as needed for your participants
11
FACILITATION
It’s important to remember that convening is a two-part process. While simply getting participants in
the room is a great accomplishment in itself, once they are there, the task then becomes engaging them
in a meaningful conversation that captures their imagination. For this reason, the convener’s role is to
facilitate conversations that generate curiosity by asking questions rather than dispensing advice. As
you prepare for your facilitation, it’s imperative to distinguish between questions with little power and
questions with great power. Asking the right questions is essential to engaging participants.
According to Block, questions with little power are:
 How do we get people to show up and be committed?

 How do we get people to come on board and to do the right thing?
 How do we hold those people accountable?
 How do we get those people to change?
 How much will it cost and where do we get the money?
 How do we find and develop better leaders?
Questions with great power engage people in much more intimate ways and open doors to a future with
many possibilities. These questions should be ambiguous, personal and evoke anxiety. Examples are:
 What is the commitment you hold that brought you into this room?
 What is the price you or others pay for being here today?
 What is the crossroads you face at this stage of the game?
 What is the story you keep telling about the problems of this community?
 What is it about you or your team, group, or neighborhood that no one knows?
True community leadership occurs when a wide variety of voices are brought together. By convening
leaders from each quadrant of the community model, the discussion will be able to draw on the
collective knowledge from a broad cross-section of stakeholders. The convener’s job is to facilitate
discussion between participants who don’t normally have the opportunity to interact. In this role, it is
important to acknowledge that any problem can have numerous and wildly different solutions
depending on the cross-section of people who look at it. Do not expect formulaic solutions that will fix
all of your community’s problems over night. Instead, realize that big changes begin by taking small
steps and asking the right questions. The positive discourse your gathering initiates are small but
purposeful steps that can lead to something big.
FIVE CONVERSATIONS
The purpose of convening is to generate conversation where it didn’t exist (or barely existed) before. In
order to produce high quality dialogue though, it’s important to view conversation as multi-dimensional,
not static. There are different types of conversations that people engage in for different reasons. In
convening others, Peter Block says there are five types of conversation that occur during the facilitation
process, each of which builds off the last. He identifies them as the conversations of possibility,
ownership, dissent, commitment, and gifts. The convener should strive to guide the participants through
each one.
12
The possibility conversation is the easiest of the five conversations. In this initial phase of the facilitation
process, the participants involved discuss various new and different futures for the community. The
possibility conversation distinguishes itself from solving the problems of the past, and instead focuses
on alternate possibilities for the future.
The conversation of ownership is linked to accountability, and acknowledges the contributions one has
given to the current state of a community. Block says, “Community will be created the moment we
decide to act as creators of what it can become.” Ownership should not be confused with blame. A
starting point for a conversation about ownership might be to ask participants to share the story they
consistently find themselves telling others about the community.
In any gathering it is essential to leave room for dissent from members. Members of the facilitation
should feel as comfortable saying no as they are saying yes. Remember that dissent is also a sign of
caring for one’s community, and reservations may lead dialogue in new directions.
The commitment conversation occurs later in the facilitation process. This conversation engages
participants in dialogue that focuses on individual behaviors and actions that will produce and have
produced the current results. Commitment encourages the participant to acknowledge he/she has
contributed to the current problems of the community by either their actions or lack of actions. In
addition, the commitment conversation allows participants to alter their behavior and attitudes in order
to affect the community in the future. However, be wary of lip service that creates a false sense of
commitment. As Block puts it, “Nothing kills democracy or transformation faster than lip service.”
Finally, the last level of a positive, effective dialogue deals with gifts. Discussion about gifts avoids telling
people what they ought to do and informs others of what gifts you have received from them. Block
suggests that a helpful guiding question for this conversation might lie in asking participants to share
meaningful insight gained through interactions with each other.
COMMON ELEMENTS OF FACILITATION
The task of engaging participants in powerful questions and a multi-dimensional conversation are
essential, but understanding how to apply it can sometimes be difficult. The advice below aims to give
you some practical insight into constructing a facilitation agenda. Consider the following example of a
typical facilitation agenda:
1. Icebreakers and Introductions

2. Ground Rules
3. Discussion Topic 1
6. Common Themes
7. Gifts
Icebreakers and Introductions

To build some energy into the room at the outset of the gathering, engage participants in a short and
simple icebreaker activity that forces them to acknowledge and interact with each other. For many
people, this is might be their first time meeting other participants. As the convener, you need to help
them feel comfortable in the unfamiliar environment. Ideas can be as simple as going around a circle
13
and each person stating their name and why they are attending. Other creative ideas might include
drawing, collaborating on an art project, or writing a poem.
Ground Rules
It is imperative to lay out clear ground rules before dialogue begins. Ground rules set boundaries and
expectations that both the participants and facilitator are called to uphold. Some examples of desired
expectations that are commonly expressed as ground rules include:
 This is a discussion, not a debate

 All ideas are welcome
 Strive to participate fully
 Respect others’ ideas and right to speak.
Discussion Topics
Have discussion topics in mind before you begin the facilitation but be open to go in a new direction of
conversation if it leads there. The IAF Handbook offers the following techniques for effectively leading
discussion topics:
 Ask open-ended questions that allow a wide range of possible responses

 Use questions that begin with “what” and “how”
 Challenge assumptions and views not yet considered by the group
 Listen before asking questions
 Be spontaneous
 Stay calm and defuse contentious situations
If a topic is not garnering feedback or discussion, go on to the next topic. Do not force participants to
speak on a topic if no interest exists. The discussion topics should engage participants in the possibility,
ownership, dissent, and commitment conversations by being multi-dimensional and open-ended.
Common Themes
To begin wrapping up the conversation, ask participants to share memorable moments or valuable
takeaways produced for them through the discussion. By sharing these moments and takeaways,
participants are then able to identify common themes to move forward on.
Gifts
During the wrap up and final portion of the facilitation, refocus the group back to the idea of a future
with possibilities. Block says, “In community building, rather than focusing on our deficiencies and
weaknesses, which will most likely not go away, we gain more leverage when we focus on the gifts we
bring and seek ways to capitalize on them.” Ask each person to share what they have gained through
their participation, and which of their ideas, if any have changed as a result of the gathering. Community
transformation begins when participants freely acknowledge each other’s gifts and offer their own
unique gifts and talents for the collective good.
14
THE ROLES OF FACILITATOR AND RECORDER
In addition to the participants, the two most important roles in facilitation are that of the facilitator and
the recorder.
Facilitator
The role of the facilitator is to establish and maintain a safe space for dialogue and discussion among the
participants. The facilitator is simply the leader of the gathering, and is charged with inviting participants
to deliberate about on a topic at hand. The facilitator then listens and guides the conversation as
needed to keep it productive. The facilitator keeps track of time, presents the ground rules and ensures
the rules are followed. It is very important that the facilitator does not place judgment on any feedback,
provide his/her own opinion, or encourage debate.
Recorder
The role of the recorder is to capture the ideas, feedback, and actions generated by the group during the
gathering. This involves writing brief, concise statements that faithfully represent the dialogue produced
during the convening. These notes will be useful later in referencing developments and determining
patterns over a course of several meetings. The recorder should note all comments said aloud and not
pick and choose what to write down. The recorder should also be mindful when paraphrasing comments
so as not to alter the mood or tone of what the participant said.
BEST PRACTICES
Consider the following facilitation techniques or methods as you prepare for your convening effort.
These are amongst the most popular and effective proven methods used for convening both small and
large groups.
National Issues Forum (NIF)

The National Issues Forums invites people together to talk about important issues in our lives. Their
model, which can be used for facilitating discussion amongst small or large groups, asks participants to
weigh the pros and cons of different approaches to solving a recognized problem. Their website
(www.nifi.org) is a great resource and is worth investigating for possible discussion topics. NIF generally
convenes forums focused on specific issues such as health care reform, illegal drug enforcement, and
education reform.
World Café
According to their website, The World Café hosts “conversations about questions that matter.”These
conversations link and build on each other as people move between groups, cross-pollinate ideas, and
discover new insights into the questions or issues that are most important in their life, work, or
community. Participants begin at one table and move from table to table interacting with other
participants along the way. As a process, the World Café can evoke and make visible the collective
intelligence of any group, thus increasing people’s capacity for effective action in pursuit of common
aims. For more information, visit www.theworldcafe.org.
Open Source
This method allows the participants to collaboratively choose and decide what they are going to
discuss. At the beginning of the meeting, on either a flipchart or whiteboard, participants are asked to
write what they would like to discuss. Sections may be broken into 10 to 20 segments with participants
15
leading the list of the chosen topics. The Open Source method is great for a highly collaborative
facilitation and discussion.
16
SECTION FOUR: EVALUATING

After you have convened, and especially if your convening effort is intended to be ongoing, it is strongly
recommended that you make the effort to thoroughly evaluate your leadership initiative. Evaluation
should be conducted internally by your team as well as through feedback solicited from participants.
PARTICIPANT EVALUATION
The best way to gauge the impact of your convening effort is to seek feedback from those who it is
intended to engage – the participants. Below, you will find two suggested surveys to hand out to
participants at the conclusion of your facilitation. Pass out the surveys immediately after your
facilitation has ended and ask that participants complete them before leaving. Stress to your
participants that all information is voluntary, anonymous, and that their feedback will improve future
facilitations. The following questions are recommended but may be altered to suit your particular
facilitation topic and discussion. Keep evaluations short and simple.
The purpose of Survey 1 is to discover any behavioral and attitude shifts that may have occurred during
the facilitation for your participants. If the feedback you receive indicates that most of the participants
are not having a shift in behavior and attitudes, then the facilitator should pay close attention to the
types of questions being asked to the group at future gatherings. In such a case, the facilitator should
seek to engage participants in more powerful questions (see Convening section) to better capture their
imagination.
The purpose of Survey 2 is to assess the structure and components of your facilitation. The goal is not to
assess the information discussed, but rather the experience of the participant. If the feedback you
receive indicates that people were not pleased with their experience, then you should try to refocus on
the common elements of convening. Make sure the space in which you host your facilitation is
hospitable, that you state a clear purpose for the convening, and what they should expect to gain from
the discussion.
17
SURVEY 1
1. What changes if any occurred in your attitudes and opinions of your community today?
2. How did your thinking about other people’s views change?
3. What actions are you most willing to take?
4. What actions are you least willing to take?
5. What possibilities are you walking away with today in regards to your community?
18
SURVEY 2
1. The facilitation space and staff involved were hospitable and welcoming to me.
o Agree
o Disagree
o Somewhat Agree
o Somewhat Disagree
2. This facilitation was useful to me.

o Agree
o Disagree
o Somewhat Agree
o Somewhat Disagree
3. I will attend facilitations in the future.

o Yes
o No
o Undecided
4. I felt safe in sharing my thoughts and opinions with others.

o Yes
o No
o Undecided
5. Please include any comments which will be useful to the community foundation in
conducting future facilitations. Specifically address the components of the facilitation
which you liked and/or disliked e.g. space, structure, length of time, etc.
19
APPENDIX A: RECOMMENDED READING
Community Foundations and Community Leadership by Cindy Sesler Ballard

This paper argues that community foundations risk irrelevance if they fail to focus on community
leadership. It suggests that an opportunity exists to elevate community leadership as a moral market
imperative for community foundations. The ideas in this paper are central to the concept of
On the Brink of New Promise by Lucy Bernholz, Katherine Fulton, and Gabriel Kasper
This report outlines the history of community philanthropy in the U.S. and the emergence of a pivotal
new era. The authors argue that community foundations should shift focus to a new model that
promotes community leadership and coordinated community activities. This study's authoritative grasp
of the challenges facing community foundations will be useful when planning pilot programs for
community leadership projects.
Community: The Structure of Belonging by Peter Block

Peter Block’s book Community: The Structure of Belonging discusses how to create a community where
individuals feel a sense of belonging. To do this, Block discusses how transformation can occur with the
small group as the unit of transformation. To create an accountable and hospitable community, Block
introduces six conversations: Invitation, Possibility, Ownership, Dissent, Commitment and Gifts.
Integrating these aspects to the facilitation session will help create a future that is more accountable
and hospitable.
Getting to Outcomes 2004 by Matthew Chinman, Pamela Imm, Abraham Wandersman

Getting to Outcomes 2004 thoroughly details the strategic planning process. Produced by the RAND
Corporation, this resource was produced for drug and alcohol prevention programs, but it can be used
by any program that is in need of stressing accountability, measurability and sustainability.
The IAF Handbook of Group Facilitation: Best Practices from the Leading Organization on Facilitation
by International Association of Facilitators
The IAF Handbook of Group Facilitation outlines the basics of facilitation. Put together by fifty leading
practitioners and scholars, this resource includes successful strategies and methods for any kind of
facilitation. The handbook is useful for aspiring practitioners and more experienced facilitators. Of
particular use to this facilitation is its discussion of creating a collaborative environment, working with
multicultural group and the use of improvisation.
Convergence & Competition: United Ways & Community Foundations by Nancy Ragey, Jan Masaoka,
and Jeanne Bell Peters
This study argues that community foundations and United Ways should not be in competition with one
another. It suggests that the true challenge is in finding ways to re-engage people and act as a catalyst
for community leadership. The study proposes one mutual goal for both community foundations and
United Ways: to improve people's lives and create healthy vibrant communities. When implementing
pilot programs, these ideas will be important to consider, especially in collaborating with United Ways.
20
2008 Community Foundations Global Status Report by Eleanor Sacks

This status report provides an update on many major trends in the global community foundation
movement. Of particular relevance here is the wealth of knowledge this report provides on the history
of community foundations. Understanding how community foundations developed will help one better
comprehend the challenges they currently face and why leading researchers are proponents of
21
APPENDIX B: WORKS CITED

Ballard, C. S. (2007, August). Community Foundations and Community Leadership. Community
Leadership Series, p.7.
Bernholz, L., Fulton, K., & Kasper, G. (2005). On the Brink of New Promise . Blueprint Research & Design,
Inc. and Monitor Institute.
Block, P. (2009). Community: The Structure of Belonging. San Francisco: Berett-Koehler.
Chinman, M., Imm, P., & Wandersman, A. (2004). Getting to Outcomes 2004. Santa Monica: RAND
Corporation.
Hamilton, R., Parzen, J., & Brown, P. (2004). Community Change Makers: The Leadership Roles of
Community Foundations. Chicago: Chapin Hall Center for Children.
International Association of Facilitators . (2005). The IAF Handbook of Group Facilitation: Best Practices
from the Leading Organization on Facilitation. Jossey-Bass, An Imprint of John Wiley & Sons,
Incorporated.
Liu, H. (2009, September 30). Community Model. (University of Arkansas Clinton School of Public Service
Center on Community Philanthropy, Presentation)
Ragey, N., Masaoka, J., & Peters, J. B. (2005). Convergence & Competition: United Ways & Community
Foundations. San Francisco : CompassPoint Nonprofit Services.
Sacks, E. W. (2008). 2008 Community Foundation Global Status Report. Rome: Worldwide Initiatives for
Grantmaker Support.
22

The Convening-in-a-Box Toolkit: A Community Foundation's Resource For Best Practice Community Leadership Strategies

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The Convening-in-a-Box Toolkit

A Community Foundation’s Resource for Best Practice Community Leadership Strategies

ABOUT THIS TOOLKIT

ABOUT THE AUTHORS

Moving from Transactional to Transformational ..................................................................................... iv

Community Leadership as Convening ....................................................................................................... v

Who’s in a Community? ........................................................................................................................... vi

Overview ................................................................................................................................................. vii

Section One: Getting Ready! ......................................................................................................................... 1

Ready Assessment Checklist...................................................................................................................... 1

Section Two: Planning ................................................................................................................................... 3

What Type of Convening? ......................................................................................................................... 3

A Word of Caution: Don’t Duplicate ...................................................................................................... 4

Who Will You Convene? ............................................................................................................................ 5

Finding Partners and Champions .............................................................................................................. 6

Convening Space .................................................................................................................................... 7

Section Three: Convening ............................................................................................................................. 9

The Invitation ............................................................................................................................................ 9

Constructing the Invitation .................................................................................................................... 9

Delivering the Invitation ...................................................................................................................... 10

The Convening Space .............................................................................................................................. 10

Facilitation Materials ........................................................................................................................... 11

Five Conversations ............................................................................................................................... 12

Common Elements of Facilitation ....................................................................................................... 13

The Roles of Facilitator and Recorder ................................................................................................. 15

Best Practices ....................................................................................................................................... 15

Section Four: Evaluating ............................................................................................................................. 17

Participant Evaluation ............................................................................................................................. 17

Appendix A: Recommended Reading ......................................................................................................... 20

Appendix B: Works Cited ............................................................................................................................ 22

MOVING FROM TRANSACTIONAL TO TRANSFORMATIONAL

 Economic and market pressures

COMMUNITY LEADERSHIP AS CONVENING

In order to be successful in exercising community leadership, it is essential to know exactly what a

Section 1: Getting Ready!

SECTION ONE: GETTING READY!

READY ASSESSMENT CHECKLIST

 Research community demographics

 Adopt long-term commitments to community leadership strategies

 Ensure cohesion between local and headquarter offices

 Schedule regular committee meetings throughout the year

 After awarding grants, follow-up with grantees

 Actively engage with community member

 Maintain a regularly updated “list of influentials”

 Assess human, fiscal and technical capacities

SECTION TWO: PLANNING

WHAT TYPE OF CONVENING?

 What are we capable of doing?

 Contributing Ideas and Information

 Fostering Strategic Connections

 Expanding Resources Devoted to Change

 Leveraging Systems Change

A WORD OF CAUTION: DON’T DUPLICATE

WHO WILL YOU CONVENE?

 Authority to act — decision makers;

FINDING PARTNERS AND CHAMPIONS

 Knowledgeable about the community foundation and its mission

 Audio/Visual capability (microphone if necessary, ability to present PowerPoint)

SECTION THREE: CONVENING

CONSTRUCTING THE INVITATION

1. Declaring the possibility of the gathering

2. Framing the choice

3. Naming the hurdle