UNASSISTED CONSENSUS BUILDING

1. UNASSISTED CONSENSUS BUILDING

2. When dealing with angry or, concerned public groups-seek common principles-despite seemingly stark differences Unfortunately, the typical institutional reaction is to ‘steamroller’ the opposition or, to underestimate its potential.

3. If someone recognizes and acknowledges a principle that is important to you, the result generally is you feel that there is something in common and the perceived threat level goes down.Appealing to the shared principles also sometimes allows you to reframe the debate.

4. THE CONCEPT OF FACILITATED DIALOGUE

5. Unassisted consensus building-3 phases • 1. THE PRE-NEGOTIATION PHASE • 2. THE NEGOTIATION PHASE √ • 3. THE IMPLEMENTATION PHASE √

6. Pre-negotiation-getting started • It is hard to start a negotiation with several parties. • Someone has to make the first move

7. Pre-negotiation-getting startedWhy won’t people take the first step? • There is often fear of taking the initiative as it may be seen as a sign of weakness or anxiety. • If you think you hold all the key cards, you will not be inclined to open this possibility.

8. Pre-negotiation-getting started • Often a total outsider is the best person to try to convene a meeting.

9. THE CONVENOR-a help to getting started • Often you could use aconvenor -an experienced or respected professional who can bring the disputants together in a reasonably positive and productive state of mind.

10. Getting Started-some steps • One way to enhance the prospects of getting started is to reduce the risks of attending the first meeting. • What might some perceive to be risks? • Examples?

11. Getting Started-some steps • Agree on confidentiality while a possible meeting is being explored. • Make it clear in the invitation to the first meeting that no commitments are implied by attendance.

12. Getting Started-some steps • Stress that all parties have the right to ‘walk away’.

13. Much of the material on the next few slides is adapted from an excellent paper by Brad Spangler see; • Spangler, Brad. "Convening Processes." Beyond Intractability. Eds. Guy Burgess and Heidi Burgess. Conflict Research Consortium, University of Colorado, Boulder. Posted: October 2003 <http://www.beyondintractability.org/essay/convening_processes/>.

14. Among the issues frequently cited as especially important in the design of conflict resolution processes are: Neutrality of the convenor: It is important that whoever calls the process into action is perceived by all parties as impartial as to the results.

15. Convening is the first stage in conflict intervention. Its role, as the name implies, is to bring disputants to a preliminary meeting where they will discuss the issues in conflict . • Its goal is to pave the way for an actual conflict resolution process such as mediation, negotiation, or consensus building.

16. It is the convener's (organizer's) responsibility to carry out tasks that ensure the chosen resolution process proceeds smoothly, such as: assess the conflict situation, identify key stakeholders and participants, introduce options for a resolution process, distinguish resource needs and funding sources, and choose an appropriate venue.

17. The convener of an initial meeting may or may not be a stakeholder in the problem. The convener's main role is to identify and bring all legitimate stakeholders to the table. Since it is up to the convener to persuade them to participate in the resolution process, he/she must be seen as credible, unbiased, and trustworthy. This is particularly important in seemingly intractable conflicts, where the issues are contentious and the parties distrustful of each other.

18. It also helps if the convener is knowledgeable about the issue at hand. Thus, at the community level, a local leader, an organization or a steering committee made up of different groups may all serve as conveners. At higher government levels, government agencies or officials may serve as conveners. However, stakeholders are often distrustful of government officials so agencies may hire a neutral third party to convene stakeholders.

19. Four Steps of the Convening Process • Conflict assessment. • Stakeholder identification • Locate and obtain the necessary resources • Organize and plan the dispute resolution process. Chris Carlson, "Convening," in The Consensus Building Handbook: A Comprehensive Guide to Reaching Agreement, eds. Lawrence Susskind, Sarah McKearnan, and Jennifer Thomas-Larmer (Thousand Oaks, CA: Sage Publications, 1999), 176.

20. 1. Conflict Assessment The first major step is to assess the situation. This requires carrying out a number of specific tasks, the first of which is to determine precisely what the convener seeks to accomplish. What are his/her goals? Is it to solicit information? To provide information? To de-escalate a situation, consult on an issue, or seek advice? Or is it to suggest and initiate a specific conflict resolution process such as mediation or consensus building? Use Moore here

21. 1. Conflict Assessment, cont’d Assessment also requires that, the convener identifies and clearly defines the issues, taking into consideration the differing views of various stakeholders. S/he then frames the issues in such a way that all parties understand them and are open to working with the convener. If issues are not clarified well, time is wasted due to confusion and frustration. The convener should also carefully examine the context of the dispute. S/he should know the limits of his authority and also who is supposed to formalize and implement any agreement that may be reached. The convener must know whether the decision-making organization or agency will support decisions reached through alternative processes such as mediation or consensus building.

22. 2. Stakeholder Identification • Identifying all interested (key) stakeholders is probably the most important aspect of the assessment process. The convener's top concern in identifying and inviting stakeholders to a meeting is to make sure everyone who should be involved is. S/he must ask questions such as: "Who is effected by the issues?" "Who will implement agreements?" "Who could possibly block an agreement?" "What is the past history between stakeholders?" "What are the power dynamics between them and how can they be effectively managed to ensure a balanced process?"

23. 2. Stakeholder Identification, cont’d • Once key stakeholders and stakeholder groups are identified, the convener must then work with them to decide who will actually participate in the meeting. They must decide on their representatives, but it is up to the convener to make sure that these individuals truly represent the members of their group. The convener is responsible for ensuring that key parties are sufficiently and legitimately represented and have the resources and capacity to participate .

24. PRE-NEGOTIATION-MATTERS OF REPRESENTATION • The identification & selection of appropriate representatives of ALL stakeholders. • Productive negotiation cannot begin until you figure out which groups SHOULD be represented . See Susskind and Field

25. PRE-NEGOTIATION-MATTERS OF REPRESENTATION • THE representatives must be EMPOWERED to speak. (What does this mean operationally?) • Often a good strategy is to have each group caucus in order to choose and empower a representative.

26. PRENEGOTIATION-MATTERS OF REPRESENTATION • The parties must agree that it is necessary to involve all legitimate stakeholder interests. • Clarify what REPRESENTATIVE means in THAT context.

27. PRE-NEGOTIATION-MATTERS OF REPRESENTATION • If in doubt, always go with a larger group than you would like if there is a possibility of leaving some potentially important group out.

28. PRE-NEGOTIATION-REPRESENTATION • If you leave out an important group, even unintentionally, the credibility of ad hoc consensus building may be irretrievably damaged.

29. Susskind and Cruikshank (1987) suggest that each major type of stakeholder should ask several additional questions before negotiating. • The public official needs to ask • Can I participate in a consensus-building process without violating my terms of office? • This may not always be straightforward, given the rules and regulations of public servants and may require the identification of an outside convener and, later, a mediator.

30. The citizen group needs to ask • Do we have the resources to participate effectively? • Can we present a united front? • Will it help our organization to participate? • The private-sector representative needs to ask • Is there someone with relevant negotiating experience to represent the organization? • Do we intend to continue doing business in the same locale?

31. 3. Obtain Resources • The third major step sometimes is to locate the necessary resources to carry out the convening. In other words, the convener is charged with developing a funding strategy. The convener's first move may be to research philanthropic or governmental agencies in order to find sources of funding. If the convener is a government official or agency there may already be funds available to carry out a decision making process.

32. 4. Process Design The final step of the convening process is to organize and plan the dispute resolution process. Ground rules must be established and agreed upon, and agenda set, and a strategic plan developed. A key to this part of the convener's job is to make sure that the agreements reached will be linked or incorporated into official decision-making structures. For example, many consensus-building processes take place outside of such formal decision-making structures. Therefore, the convener must make sure that formal decision making mechanisms are linked to the more informal process.

33. Chris Carlson, "Convening," in The Consensus Building Handbook: A Comprehensive Guide to Reaching Agreement, eds. Lawrence Susskind, Sarah McKearnan, and Jennifer Thomas-Larmer (Thousand Oaks, CA: Sage Publications, 1999),

34. THE CONVENOR-a help to getting started • 1. The convenor; meets with all parties soliciting their views and helps them assess THEIR interests and BATNAs. • 2. He/she tries to persuade all the important players to come to a first meeting- always stressing the right to walk away without prejudice..

35. THE CONVENOR-a help to getting started • 3. At the first meeting, the convenor helps the group begin the transition to negotiations: • A KEY ISSUE IS HOW YOU DEFINE THE PROBLEM (S). AT THIS STAGE STICK TO RELATIVELY HIGH LEVEL GENERAL DEFINITIONS-DON’T TRY TO GET SPECIFIC TOO EARLY • Examples of how this might be done???

36. The Convenor-transition steps • a) reviews procedural options such as; facilitation, mediation, arbitration, stalemate, confrontation

37. The Convenor-transition steps • b) review sources of help such as; mediation services, ADR services, lawyers etc., • c) the group then selects the most appropriate intermediary- IF THEY FEEL AN INTERMEDIARY IS NEEDED. NOTE-THE CONVENOR MUST MAKE THIS STEP EXPLICIT • The convenor need NOT be the mediator.

38. PRE-NEGOTIATION DRAFTING PROTOCOLS AND AGENDA SETTING

39. DRAFTING PROTOCOLS AND AGENDA SETTING • It is IMPERATIVE that the parties agree on WHATthey will discuss andHOW they will operate. • THE ISSUE OF ‘WHAT’ GOES TO THE QUESTION OF HOW DO WE DEFINE AND FRAME THE PROBLEMS

40. DRAFTING PROTOCOLS AND AGENDA SETTING • Agreement must be reached on the ground rules i.e.; seating, location, length, information sharing, role of the media, minute keeping and the place of ‘votes’. QUESTION-DO YOU DO ALL THIS BEFORE OR AFTER DEFINING THE PROBLEM AND FRAMING THE ISSUES??

41. DRAFTING PROTOCOLS AND AGENDA SETTINGthe place of notes • Keeping minutes or ’notes’ is important as it serves as a form of group or ‘institutional memory’. • It is ‘high risk’ to ask a member of the group to volunteer to do this on your behalf-WHY??

42. DRAFTING PROTOCOLS AND AGENDA SETTINGthe place of notes This is often beneficial in 2 ways; • 1) When points are misunderstood by parties, the misunderstanding can focus on the ‘convenor’ and his/her ‘misinterpretation’ and • 2) They provide a record if new members join the group.

43. Pre-negotiation:agenda setting • Once protocols are agreed to, YOU draft an agenda with the group. THIS IS VERY, VERY TOUGH! DON”T EVER UNDERESTIMATE THE CHALLENGE!!!

44. PRE-NEGOTIATION-agenda setting • Don’t make the issues too broad or too narrow. This can result in superficiality or, no room for tradeoffs. • Use brainstorming techniques.

45. PRE-NEGOTIATION-agenda setting • Don’t make the agenda too huge. • You need short term successes to keep the group moving. • In the process, employ the technique of ‘CLUSTERING’

46. PRE-NEGOTIATION JOINT FACT FINDING • Assess through non-evaluative discussion, ’What do we know about the agenda items’ ? • Assess explicitly what we don’t know about the issues, contexts and experiences relevant to the topics at hand.

47. PRE-NEGOTIATION-joint fact finding • Get the stakeholders to describe what kinds of data would cause them, in general terms, to rethink their views. • This is a subtle way of starting to get the matter of standards on the table- what criteria are people using (often IMPLICITLY) when considering options or, proposals. • Agree on mechanisms to gather data jointly wherever there is willingness.

48. PRE-NEGOTIATION-joint fact finding • JOINT FACT FINDING CREATES A POSITIVE NEGOTIATION CLIMATE.

49. THEN MOVE TO PROBLEM SOLVING INCLUDING AN IMPLEMENTATION PLAN