3 20-14 collaborative governance, sam imperati

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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 – 2014 ICM, Inc. Except Cartoons and Where Noted

COLLABORATIVE GOVERNANCE:

TURNING CONFLICT INTO RESOLUTION

3-20-14

mailto:[email protected]

http://www.mediate.com/icm

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Introduction

Sam Imperati, JD

Former Trial Attorney and Pro Tem Judge

Taught: Willamette MBA, L&C Law

Currently: a Mediator, Facilitator, and Trainer

Father of Two Mini-Mes!

Uncle “Big Al” Capone

Presentation vs. Handout

Educational Purposes – Not Legal Advice

Sam

Before

IAP2!

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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: Moving Toward “Competitive” Governance,”

“Mediation vs. Facilitation,” and “Pretend Public

Participation?”

• Is this real, imagined, or is Sam just getting older and

more cynical?!

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Public Participation Spectrum

(

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Problem Solving Spectrum

Parties collaborate Parties collaborate with Parties have someone

to make decision help of facilitator decide for them

Cooperative Adversarial

Informal Formal

Unassisted Assisted

Inexpensive Expensive

Low Intensity High Intensity

( )

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They Polarize and Entrench …

Civility Goes Out the Window…

We accept no evidence that doesn’t fit our mindset.

Conflict …When someone insists that they are right and you are wrong.

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“I’m NOT settling. That’s my BOTTOM

Line. It’s a matter of PRINCIPLE!”

… The Process Breaks …

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... During The Typical Process Dance …

PLAYING FIELD

First

“Real”

Proposal

First

“Real”

Proposal

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

P

A

R

K

I

N

G

LO

T

P

A

R

K

I

N

G

LO

T

B

L

E

A

C

H

E

R

S

B

L

E

A

C

H

E

R

S

TRUTH & JUSTICE

Initial

Range

Initial

RangeRESOLUTION ZONE

Competing Perceptions

Of Truth & Fairness

… With Its Three Impasses!

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1 2 3 4 5 6 7

Avoidant Compromising Aggressive

Typical Conflict Approaches

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We Help Them Navigate

the Intersection of Logic & Emotion …

Logic

E

m

o

t

i

o

n

Handsome Italian Mediator

(Excuse the Redundancy!)

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“Our life is what our thoughts make it…” (Marcus Aurelius)

… “We have a choice as we spin in the intersection of logic and emotion.”

(Sam “Aurelius”)

STIMULI

NEGATIVE

THOUGHTS

(Reactive)

NEUTRAL

THOUGHTS

(Exploratory)

POSTIVE

THOUGHTS

(Proactive)

LIFE!CHOICE

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Anatomy of a ConflictPerceived Differences

Scarce Resources

Inaccurate Information

Unfulfilled Needs

Power 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.

Competitive

Hybrid

Collaborative

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Goal: “Resolution” or “Settlement”

“Resolution” “Settlement”

DefinitionDurable, Satisfying

Solution

Walk 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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Guiding Them With a 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) Weigh alternatives against potential impacts

on values

c) Eliminate alternatives.

d) Combine alternatives.

e) Identify key uncertainties and gather

information to resolve them.

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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. Work the process. 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 a decision table.”

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Good Decision Making Brings Together

Logic and Intuition: Help Them!

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Decision Making and Cognitive Conflict

“Cognitive Conflict” = Importance x Uncertainty

Examples:1) High Importance and High Uncertainty

2) High Importance and Low Uncertainty

3) Low Importance and High Uncertainty

4) Low Importance and Low Uncertainty

Too Much Cognitive Conflict Can Create Panic

Too Little Cognitive Conflict Can Create

Apathy/Boredom

Janis, I. L., & Mann, L. Decision Making: A psychological analysis of conflict. NY: Free Press.

Berlyne, D. E. Structure and Direction in Thinking. NY: Wiley.

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Decision Tables Reduce Errors by:

A) Providing external memory

B) Comparing alternatives

C) Focusing on outcomes and facts

D) Analyzing outcomes by attributes/values

E) Arranging attributes/values into groups

Table Examples:

Consumer Reports

www.edmunds.com

http://www.edmunds.com/

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The choice that, at first glance, seems right often isn’t, as

good decisions often require time & thought.

Those who employ good decision processes tend to get

higher grades and salaries. (Larrick, Nisbett, & Morgan, 1993)

When decision makers' judgments are incorporated into

decision models, the models tend to outperform the decision

makers, themselves. (Dawes, 1989)

Good Processes = Good Outcomes

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Wise Decider

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

Unlock it by going to http://wisedecider.net/ and either:

A) Create your own account, or

B) Use the Demo Account (You can delete/transfer

info at the end of class)

1) username = demo

2) password = demo

C. Watch Videos

http://wisedecider.net/

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Need for

Infra-

structure

→←Ecological

enhancement→←

Need

for

Natural

Areas

→← Expense →← Timing →← Complexity

↓

Upgrade

capacity

in existing

easement

Need is Met 1 acre enhanced Need is Met $400,000 1 year 15 steps

↑

↓

Easement -

riverNeed is Met

6 acres

enhanced

2 acres

impacted$300,000 1 year 10 steps

↑

↓

Expand

easement

along road

Need is Met3 acres

enhanced

1 acres


↑

↓

Easement -

wetlandNeed is Met

9 acres

enhanced

3 acres


↑

↓

Easement

across

highway

Need is Met0 areas

enhancedNeed is Met $500,000 3 years 20 steps

↑

No

easement /

No Develop

No growth0 areas

enhancedNeed is Met $0 0 years 1 step

Easement Decision – Example

Alt

ern

ati

ve

s

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1) Transfer Names into Excel (Column A - Alternatives and Row 1 -

Values); then, Convert Shadings form Table into 1-5 Ratings with 5

being Best (Columns B - G/Rows 3-8)

2) Determine Relative Importance of Each Value So the Total

= 1.00 and Place it in Row 2, Columns B-G

3. Enter Formula in Column H for Rows 3-8 to Get Rank Order, and see if it Matches

Your Intuition – Explore Accordingly. 4) Sensitivity (Next Slide)

Decision Table Mathematics in Excel

1.0Rank

Order

4

1

1

3

5

6

Weights

Alt

ern

ati

ve

s

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Do it for the top 2 Alternatives and the 2 highest weights. (E.g. This decision is not

sensitive to “Expenses” (Column E) because even changing its shaded/numeric

rating all the way from 1 to 5 doesn’t change the alternative that’s in first place,

“Road.”) If it were sensitive, check it against your intuition, reevaluate, and

“uncertainty proof it” – Next Slide

Sensitivity Analysis

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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 there is a range of error reflecting the assumptions of the stakeholders and modelers. Develop together.

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

D) Assumptions 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

http://www.mediate.com/articles/envir_wjc11.pdf

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PDX Airport Futures2035 Operations Modeling

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Select Public Policy Challenges

A. “In the Beginning . . .”

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

2. Sponsoring Agency at the Table? (Voting or Ex

Officio)

3. A Collaboration Memorandum Avoids Process

Paralysis (Scope: In and Out)

4. The Missing Interest Groups

5. Decision-Making Protocol: “1-2-3 Consensus” with

Majority Voting

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

7. 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. Negotiators Saving Face with Constituent

Group

4. “Oh by the way …”

5. “The Package Deal: Interim or Final Voting

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C. “Impasse-Busting” Techniques

1. Work Sheets, “One Text Draft” with InFocus and

Meeting Minutes

2. “The Sub-committee”

3. Meeting Evaluations and Transparency

4. The Non-Confidential Caucus:

BATNA/WATNA/MLATNA

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

6. One-Year Review or “Sun-setting”

7. “What Happens If” - Deal Contingent on External

Approval(s)

8. 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. Stakeholders’ Help with Rollout and Review

3. Agree on How to Process Future “Yuck” and

Changed Circumstances

4. The “Loyal Opposition’s” Report

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

6. “We gonna CEL-E-BRATE and have a good time . .

.” with a “T” Shirt!

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Closing Dance Number

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Suggested Reading

Breaking Robert’s Rules

Problem-Solving 101

Negotiation Genius

Deterring Fake Public Participation, Snider, IAP2 2010

A Practical Guide to Consensus

http://www.policyconsensus.org/publications/practicalguide/c

ollaborative_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_P

AG_FinAl_Rprt.pdf

The Three Secrets of Wise Decision Making, Barry

Anderson. http://personaldecisions.net/secrets.pdf

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

http://www.portlandonline.com/bps/index.cfm?&c=49815

http://www.pdxairportfutures.com/Documents.aspx

http://www.pdxairportfutures.com/Documents/PDX_Airport_Ftrs_PAG_FinAl_Rprt.pdf

http://personaldecisions.net/secrets.pdf

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Ethics

“Let’s just go with the commandments

and work out ethics later.”

Humor

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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!