managing competitive tactics in collaborative governance: tips for success

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Institutefor Conflict

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Sam Imperati, JD

Institute for Conflict Management, Inc.

[email protected] ~ www.mediate.com/icm(503) 244-1174 ~ © 1992 – 2012 ICM, Inc. Except Cartoons and Where Noted

Managing Competitive Tactics in Collaborative Governance:

Tips for Success

December 7, 2012 ~ Salem, Oregon

IAP2 USA Cascade Chapter

Management, Inc.


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Introduction

Sam Imperati, JD Former Trial Attorney and

Pro Tem Judge Currently: a Mediator,

Facilitator, and Trainer Willamette MBA, L&C Law Father of Two Mini-Mes! Uncle “Big Al” Capone

Presentation vs. Handout No Legal Advice

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Evolution of “Collaborative Governance”

1970’s– 80’s: Beginnings

• Public Involvement (Tell)

1990’s: Shift toward prevention

• Public Participation (Tell and ask)

2000’s: Collaborative Governance

• Collaborative Problem Solving / Recommendation Making Stakeholder Advisory Committees (SACs)

2010’s: Move Toward Competitive Governance/”Mediation vs. Facilitation” and “Fake Public Participation?”

• Is this real, Imagined, or is Sam getting older and more cynical!

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When Participants Polarize and Entrenchand Civility Goes Out the Window …

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… We Bring Them Together With Everyone Watching …

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… in the Intersection of Logic & Emotion

Logic

Emotion

Handsome Italian Mediator(Excuse the Redundancy!)

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Goal: “Resolution” or “Settlement”

“Resolution” “Settlement”

DefinitionDurable, Satisfying

SolutionWalk Away

Equally Unhappy

Getting the Deal Slower Faster

Acceptance Sooner Later

Result Success Compliance

Maintenance Low High

Approach “Collaborative” “Competitive”

“Build a Relationship and Fix the Problem” or “Build a Case and Fix Blame”

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Anatomy of a Public Policy ConflictPerceived Differences

Scarce ResourcesInaccurate Information

Unfulfilled NeedsPower Struggles

SUCCESS

POSITIONS:What each party says they want –

their preconceived solution

ARGUMENTS:Statements

about facts, laws, policies

INTERESTS:Underlying

motivations, values, needs,

hopes, and contingencies that must be satisfied

to achieve a durable resolution.

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Conflicting Approaches

Distributive/Antagonistic

Independent action preferred

Resource allocation is distributive (individual)

Goal: win as much as you can – especially more than the rest

“Build a Case and Fix Blame”

Interest-Based/Cooperative

Interdependence and common interests valued

Resource allocation is integrative (joint)

Goal: mutually agreeable solution that is durable and fair to all

“Build a Relationship and Fix Problem”

“Competitive” “Collaborative”

“Why can’t we all just get along?” Rodney King

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The Field of Negotiation Dreamsand the Three Impasses

PLAYING FIELD

First “Real”

Proposal

First “Real”

Proposal

A B C D E F G H7 I J H L M N O

PARKING

LOT

PARKING

LOT

BLEACHERS

BLEACHERS

TRUTH & JUSTICE

InitialRange

InitialRange

RESOLUTION ZONECompeting Perceptions

Of Truth & Fairness

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Public Policy Process ProtocolEstablish/Agree on How You Are Going To Decide

(Adapt it for Your Fuss!)

1. Identify the issue, expressing it in neutral terms, using an Umbrella Question

Public Policy Example

How can we achieve economic viability, a net increase in environmental function, and

social equity; while at the same time being good stewards of WHI’s unique assets;

thereby, collaboratively creating a shared vision for our sustainable community ?

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Diagramming The Umbrella Question

How can we address

while at the same time

thereby satisfying our

(interests of Party A)

(interests of Party B)

(common interests)

?

National Coalition Building Institute International

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2. Discuss and acknowledge that the results of this process will be treated as brainstorming, recommendations, or decisions

3. What legal mandates, if any, might impact the process and/or outcome?

“You say it’s a win-win, but what if you’re wrong-wrong and it all goes bad-

bad?”

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4. What other outside influences, if any, might impact the process and/or outcome? How will others be involved in the process?

5. What are the ramifications if we do not make a decision or do not reach consensus?

6. Brainstorm alternatives realistically and creatively.

Mood, Observation, Conversation, Checklists, Analogies, Break (Jonah Lehrer, Imagine: How Creativity Works – 2012)

7. What are the underlying values?

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8. Prioritize and consider weighting them.

9. Explore (don’t debate) the problem.a) List advantages and disadvantages of

competing options.

b) Identify key uncertainties and gather information, if needed, to resolve them.

c) Weigh alternatives against potential impacts on values

d) Eliminate alternatives.

e) Combine alternatives.

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10. Make a proposal and refine it using the “1-2-3” consensus method, where:

a) A “1” = I fully support the proposal.b) A “2” = The proposal is not perfect, but I can

support the proposal.

c) A “3” = I cannot support the proposal.

Ask those who feel the proposal is a “2” what needs to be done to improve it. Edit the proposal and then ask all those who feel it is a 3, what does not meet their needs. Be patient. An “impasse” is simply the place where we get tired of thinking!

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11. Select optimal decision, create matrix to measure success, and agree upon action plan (Who What, When, Where, Why and How).

12. Implement decision, monitor it, and have a plan to re-engage if problems are encountered.

13. Publish results and successes, learning from mistakes.

14. Have some fun!

15. “Hey, let’s do this graphically … with Wise Decider.”

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Wise Decider

It’s Free and “Free” is a Very Good Price!

www.wisedecider.net

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Overview

1.0RankOrder

4

1

1

3

5

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Managing Scientific & Technical Info

I. Nature of Knowledge

A)All information is subject to questions about validity, accuracy, authenticity and reliability

B) Many people think science is conducted wholly in the realm of testable knowledge

C) Subjective knowledge plays a larger role than people know or experts admit

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II. Information and Conflict Resolution

A) Disputes are rarely caused by technical information, per se. Most often, they are about:

(1) competition over interests

(2) different criteria for evaluating ideas

(3) differing goals, values and ways of life

(4) lack of, and differing ways of interpreting data, and/or

(5) unequal power

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B) Technical issues are embedded in a political context where value choices are at play. These underlying, often competing values are the ultimate arbiters.

C) Parties make better decisions when the “black box” is opened for them.

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III. Research and Information Gathering

A) Stakeholders should drive the technical process and determine the questions they need answered and to what level of certainty. Monitoring studies are often used.

B) Overly simplified or excessively summarized information often discounts the potential impacts of the ultimate policy choices.

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IV.Modeling

A) Many conflicts benefit from modeling in order to define problems impacts, or choices.

B) Stakeholders must understand that there is a range of error reflecting the assumptions of the modelers and the complexity of systems.

C) Models do not enumerate the one correct answer and have wide margins of error.

D) Assumptions used in all models must be transparent.

These “Managing” slides are edited excerpts from Peter Adler’s "Managing Scientific and Technical Information in Environmental Cases: Principles and Practices for Mediators and Facilitators," a must read! www.mediate.com/articles/envir_wjc11.pdf

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PDX Airport Futures2035 Operations

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Public Policy Challenges

A. “In the Beginning . . .”

1. What, no case assessment? How can we proceed?

2. Sponsoring Agency at the Table?

3. “Governor’s Task Force” and the Press Release

4. The Missing Interest Groups

5. A Collaboration Memorandum Avoids Process Paralysis (Scope: In and Out)

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6. Decision-Making Protocol: “1-2-3 Consensus” with Majority Voting

7. Quorum and “Seconds” Voting

8. The Thin and Changing Quorum: Do we “re-vote?”

9. The “Umbrella Question” – Building Community Through Interests

10.Public Comment: During the Meeting, Survey Monkey, and Web Sites R’ Us

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B. Obstacles to Resolution

1. Unfamiliarity with Agency’s Rules Surrounding the Negotiation

2. Inter- and Intra-Agency Politics: The mediation within the mediation!

3. Leap of Faith and The Gesture of Good Will

4. Evaluation “Factors” or “Criteria” – Interests equals Fairness

5. Negotiators Saving Face with Constituent Group

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6. The “Pit Bull” and the “Puppy” – Normalizing the “Yuck”

7. New Members: “My predecessor was just kidding when…!”

8. “Oh by the way …”

9. “The Package Deal: Interim or Final Voting

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C. “Impasse-Busting” Techniques

1. Creating the Agenda – Group “Triage”

2. The “Decision Tree” or process Roadmap

3. Work Sheets, “One Text Draft” with InFocus and Meeting Minutes

4. “The Sub-committee”

5. Meeting Evaluations and Transparency

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6. Negotiating in the Shadow of the Courts or Legislative Body

7. The Non-Confidential Caucus – BATNA, WATNA and MLATNA

8. “Reality Therapy” and the “Mediator’s Proposal”

9. One-Year Review or “Sun-setting”

10. “What Happens If” - Deal Contingent on External Approval(s)

11. Humor, Ethics, and the “Energizer Bunny of Resolution”

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D. “In the End . . .”

1. “Settlement” vs. “Resolution” - Rx for “Settlement Remorse”

2. Agree on How to Process Future “Yuck” and Changed Circumstances

3. The “Loyal Opposition’s” Report

4. The “Oral Pitch” to the Decision-Maker

5. “We gonna CEL-E-BRATE and have a good time . . .” with a “T” Shirt!

6. Stakeholders’ Help with Rollout and Review

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Ethics

“Let’s just go with the commandments and work out ethics later.”

Humor

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Suggested Reading

Breaking Robert’s Rules

Problem-Solving 101

The Mind and Heart of the Negotiator Negotiation Genius Deterring Fake Public Participation, Snider, IAP2 2010 www.mediate.com A Practical Guide to Consensus

http://www.policyconsensus.org/publications/practicalguide/collaborative_governance.html

West Hayden Island www.portlandonline.com/bps/index.cfm?&c=49815

Airport Futures: www.pdxairportfutures.com/Documents.aspx

www.pdxairportfutures.com/Documents/PDX_Airport_Ftrs_PAG_FinAl_Rprt.pdf

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Final Thought

Go Forth, Involve the Public, Resolve Disputes, and Promote Collaborative

Governance!

Sam, may I be excused, my brain hurts!

managing competitive tactics in collaborative governance: tips for success

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