Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution PARTICIPANTS GUIDE Published by: U.S. EPA Region 4 Environmental Justice and Children's Health Section Environmental Justice Academy A f-r^A United States Environmental Protection M * Agency ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Table of Contents Preparation Materials 1 Icon Key 2 Agendas 3 Module 4 Day 1 3 Module 4 Day 2 4 Module 4 Day 1 5 Module 4 Day 1: Welcome Back 6 Module 4 Day 1: Close the Gap Recap: Module 3 6 Module 4 Day 1: Homework Review 6 Module 4 Day 1: Course Introduction 7 Module 4 Day 1: Lesson 1: Introduction to Collaboration 7 Module 4 Day 1: Lesson 2: Collaborative Formats 10 Module 4 Day 1: Lesson 3: Scenario and Role Play Introduction 14 15-Minute Break 15 Module 4 Day 1: Lesson 4: World Cafe Role Play 15 Module 4 Day 1: Closing 16 Module 4 Day 2 17 Module 4 Day 2: Welcome Back 18 Module 4 Day 2: Scenario Recap 18 Module 4 Day 2: Reflections on World Cafe and Further Development of Role Play Activities 18 10-Minute Break 18 Module 4 Day 2: Lesson 5: Open Space Role Play 18 40-Minute Break 19 Module 4 Day 2: Tools and Philosophies (Appreciative Inquiry and Interest- Based Negotiation) 19 Module 4 Day 2: Lesson 6: Interest-Based Negotiation 19 Module 4 Day 2: Summary: Synopsis of Day 1 and 2 20 Appendices 21 Appendix A: Additional Resources 22 Appendix B: Collaborative Characteristics of Meeting Formats 23 Appendix C: Develop Scenario for Role Play Exercise 24 Appendix D: Appreciative Inquiry Workshop in the Proctor Creek Community of Atlanta, Georgia 26 Appendix E: Collaborative Problem-Solving Element 3 29 United States Environmental Protection kl a m Agency ------- Teamwork Makes the Dream Work: Collaboration, Module 4 Consensus, and Dispute Resolution Participants Guide Additional Notes: United States Environmental Protection kl a m Agency ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Preparation Materials Participant Guide Icons and Agendas vvEPA United States Environmental Protection Agency ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Icon Key Icon Title Meaning 0 I Instructions to the facilitator This icon means there are specific instructions for the facilitator. This content should not be read aloud. Background for the facilitator This icon indicates that there is background information the facilitator should be aware of when covering this topic. This information is presented in the facilitator's guide. " Facilitator says This icon means the facilitator should read the content nearly verbatim, interjecting thoughts when appropriate. a Key point This icon indicates an important point that the facilitator should communicate to the audience in their own words. z 1 Questions This icon means the facilitator should allow time for the audience to ask questions or the facilitator should ask the audience questions. D Q Activity This icon indicates an activity that the facilitator should explain. The activity can be either a group or individual activity. Assessment This icon indicates the facilitator will conduct an assessment. - Multimedia This icon indicates the facilitator will have students watch a video. IS Computer This icon indicates the facilitator will have students visit an online resource. n Handouts or resource materials This icon indicates the facilitator will give students a handout or other resource material. H Homework This icon indicates a homework assignment. C Transition This icon indicates the facilitator will provide a transition from one topic to another. United States Environmental Protection kl a m Agency 2 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Aqendas Module 4 Day 1 Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Date: Time: Location: Contact: Time Day 1 Facilitator Getting Started Welcome back Overview of module 3 Introduction Panel introduction Module 4 synopsis/agenda Lesson 1Introduction to Collaboration What it is What it isn't Collaboration as conflict resolution Why is it worth it? Why do conflicts occur? Lesson 2Collaborative Formats World cafe Open space Lesson 3: Scenario and Role Play Introduction Review of world cafe format Role play activity Questions and answers Break Lesson 4World Cafe Role Play Closing Short introduction to day 2 Thanks and closing of session United States Environmental Protection kl a m Agency 3 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Module 4 Day 2 Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Date: Time: Location: Contact: Time Day 2 Facilitator Welcome Back Sign in Housekeeping Scenario Recap Lesson 5Reflections on World Cafe Further development of role play activities Break Tools vs. Philosophies (Appreciative Inquiry and Interest- Based Negotiation) Lesson 6Interest-Based Negotiation Discussion Review of interest-based negotiation Questions and answers Summary Discuss role plays Review of all topics discussed Closing Remarks Question and answer session United States Environmental Protection kl a m Agency 4 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Module 4 Day 1 Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution United States Environmental Protection kl a m Agency 5 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Module 4 Day 1: Welcome Back Objectives: Welcome back to the EJ Academy. Sign the class roster and ensure that the points you have earned are annotated on your participant points matrix. Module 4 Day 1: Close the Gap Recap: Module 3 Objectives: Briefly review the goals of module 3. H Module 3 Overview To develop competitive and sustainable economies, communities must have the capacity to plan for and take advantage of economic opportunities. This involves building the capacity of three interdependent elementsindividual leaders, organizations, and the community. Capacity-building helps people work strategically toward goals and is vital to improving underserved communities. Community capacity-building and leadership development for communities includes helping communities build skills and experience, increasing opportunities for development, and enhancing community involvement in decisions. Professional and organizational development in these areas is essential for an organization or community to run well and grow. Sharing knowledge, building leadership skills, and gaining tools and techniques helps leaders and community members respond effectively to their community's needs. Module 4 Day 1: Homework Review Module 3 Homework You should be able to use the tools from module 3 that helped you define your leadership style and identify opportunities to develop an action plan for yourself and your community. ? Discussion Points What was the most important concept you learned from module 3? What concepts were easy to understand? What concepts were more difficult to understand? What concepts resonated with you? United States Environmental Protection kl a m Agency 6 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide How will you use the information you learned to assist your community? Module 4 Day 1: Course Introduction Objectives: Review the agenda for module 4. Introduction You will meet the panel and then review the agenda and synopsis for module 4. Module 4 Day 1: Lesson 1: Introduction to Collaboration Objectives: The purpose of this lesson is to discuss collaboration and its importance when interacting with others in a team, group, or community. Collaboration is a way to prevent conflict when addressing environmental challenges. Introduction to Collaboration What Is Collaboration? Collaboration can be a formal or informal process of bringing diverse parties together to seek consensus. Collaboration can be anything from a few people working together informally to a formal, large-scale, multi-party process. Collaboration is both an attitude and an approach: Attitude: How we work with others and look for opportunities for cooperation. Approach: The processes and skills we use to collaborate. Collaboration is essential to getting our work done; we should rely on many other parties for input, decisions, and implementation. Engaging stakeholders (module 5) is key to much of our work and collaborating with them effectively is important. Collaborative skills are essential to successfully planning projects, engaging stakeholders, and producing positive outcomes. ^ What Is Not Collaboration? Collaboration is: Not a fad. It has been around quite a while and it's here to staybecause it works. Not a compromise. Not a "buy-in." United States Environmental Protection kl a m Agency 7 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide In a collaboration, we are not merely trying to convince others of a decision that has already been made. jQ Collaboration as Conflict Resolution Although the terms "collaboration" and "conflict resolution" may seem to refer to two different activities, similar skills and tools are used for both. The Office of Management and Budget/Council on Environmental Quality 2012 memorandum on environmental collaboration and conflict resolution explicitly encourages appropriate and effective environmental collaboration and the use of all environmental collaboration and conflict management techniques to minimize or prevent conflict.1 Key Definitions: Collaborative problem-solving is a category of approaches in which parties frame whatever challenge they face as a mutual problem to be solved together, often by consensus. Consensus building is a series of voluntary approaches that generally find participants seeking a mutually agreeable resolution of differences. There are a wide range of tools to achieve this end. Alternative dispute resolution is defined under federal law as "any procedure that is used to resolve issues in controversy, including, but not limited to, conciliation, facilitation, mediation, factfinding, mini-trials, arbitration, and use of ombuds, or any combination thereof."2 A Why It's Worth It Collaboration takes effort and can be time consuming. However, the effort is worth it, as we are seeking long-term decisions that require significant interaction so that we achieve true ownership with stakeholders. Ownership is not the same as agreement; we are not seeking buy-in. Ownership is taking full responsibility and being accountable for your role. Collaborations seek to create joint solutions, and easily implementable, sustainable decisions, not merely convince others of a decision that has already been made. 1 Office of Management and Budget and President's Council on Environmental Quality. (2012). Memorandum on environmental collaboration and conflict resolution. https://www.enerav.gov/sites/default/files/OMB CEQ Env Collab Conflict Resolution 20120907-2012.pdf 2 Definition: "Alternative means of dispute resolution." 5 U.S.C. § 571(3) (1990). htt ps://www. I aw. co rn e 11. ed u/uscod e/text/5/5 71 United States Environmental Protection kl a m Agency 8 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide n j Discussion Points Why is collaboration worth the effort? What are some concerns about collaborating? ^ Why Conflicts Occur In environmental justice scenarios, people and organizations often face challenges in reaching agreements. Some of the factors that contribute to conflicts include: Differences in personality, communication, or culture. Varying agendas. Inflexible postures. Perceived or real imbalance of power. Historic animosity. Confusion over who should be at the table. Disagreements over very complex issues. 4 4 Case Study Review " Review the Proctor Creek case study in Appendix D. Break into small groups, read the case study, and answer the following questions. Each group should select a group facilitator and someone to report the team's responses. What strategies are being used in this story? What could have been done differently? What impact did collaboration have on the outcome? Spectrum in Time: Stages of Conflict Upstream, Midstream, and Downstream Distinctions Upstream models of building consensus focus on forming collaboratives, innovation teams, and problem-solving structures before a dispute or conflict has even arisen. o This is where we can practice conflict prevention and collaboration. You want to start upstream if you can. Midstream models are when disputes or conflicts are in their beginning phases but have not yet progressed to a point where resolution or innovation is less possible. o No litigation, yet far from preventing conflict. Most of the class participants are probably at this point. Challenges may go on a long time. United States Environmental Protection kl a m Agency 9 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Downstream is where the matter has turned to conflict or has worsened to the point that litigation is being contemplated or pursued, o Downstream is where you may need a mediator or neutral third party, o It's not necessary to be able to name where you are, but it's important to know when you may need the help of a trained mediator. Module 4 Day 1: Lesson 2: Collaborative Formats Objectives: Learn about three formats that you can use to promote collaboration among all parties. This information will be used in the role plays later today and on day 2. jq Collaborative Formats World cafe Open space Interest-based negotiation (IBN) cafe).3 Set the context: Pay attention to the reason you are bringing people together and what you want to achieve. Knowing the purpose and parameters of your meeting enables you to consider and choose the most important elements to realize your goals (e.g., who should participate, what themes and questions to consider). Create a hospitable space: The space should feel safe and inviting. When people feel comfortable to be themselves, they do their most creative thinking, speaking, and listening. World Cafe Design Principles The seven world cafe design principles are an integrated set of ideas and practices that form the basis of the pattern embodied in the world cafe process (see the Wiser Together guiding principles for more information about the world All information about world cafe is shared and adapted from http://www.theworldcafe.com with permission under a Creative Commons Attribution 3 license. 3 The World Cafe. (n.d.). Design principles, http://www.theworldcafe.com/kev-concepts-resources/desiqn- principles/ United States Environmental Protection kl a m Agency 10 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Explore questions that matter: Find questions that are relevant to the real-life concerns of the group. Depending on the time frame available and your objectives, your cafe may explore a single question or use a progressively deeper line of inquiry through several conversational rounds. Encourage everyone's contribution: Most people don't only want to participate; they want to actively contribute to making a difference. Encourage everyone in your meeting to contribute their ideas and perspectives, while also allowing anyone who wants to participate by simply listening to do so. Connect diverse perspectives: The opportunity to move between tables, meet new people, actively contribute your thinking, and link the essence of your discoveries to ever-widening circles of thought is one of the distinguishing characteristics of the cafe. Listen together for patterns and insights: The quality of our listening may be the most important factor determining the success of a cafe. Encourage people to listen for what is not being spoken along with what is being shared. Share collective discoveries: Conversations held at one table reflect a pattern that connects with the conversations at the other tables. The last phase of the cafe, often called the "harvest," involves making this pattern visible to everyone in a large group conversation. Call out the patterns, themes, and deeper questions experienced in the small group conversations to share with the larger group. Make sure you have a way to capture the "harvest"working with a graphic recorder is recommended. jq Open Space In open space meetings, events, and organizations, each participant creates and manages their own agenda of parallel working sessions around a central theme of strategic importance. For example, what is the strategy, group, organization, or community that all stakeholders can support and work together to create? According to proponents, open space can only fail for two reasons: if people show up with no passion, or if somebody tries to control the process to achieve a pre-determined outcome. The open space experience is run by the facilitator of the group, who typically explains a series of concepts or ground rules for the event. They will typically describe four principles and one law to the group at the beginning of the event. The following information on the law and four principles of open space are shared from openspaceworld .org.4 4 Stadler, A. (n.d.). Doing an Open Space: A Two Page Primer. Open Space World. https://openspaceworld.org/files/tmnfiles/2paqeos.htm United States Environmental Protection kl a m Agency 11 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide The open space process and concepts are described in the seven steps shown below. In terms of logistics, the setup includes: Chairs set in one large circle (the circle can have several concentric circles), where everyone can see and hear everyone else. Flip chart paper and markers in the middle of the circle, which is otherwise empty. One blank wall with where the agenda will be developed. Time slots and locations will be predetermined. The open space experience is run by a facilitator who will typically explain a series of concepts or ground rules. The facilitator will describe four principles and one law (see "self-organizing" below) at the beginning of the event with no advance notifications. Although all seven steps are presented below, only discuss steps five, six, and seven with the participants. Steps one through four are included to help you prepare for the role play. Explain that you'll discuss open space more during and after the role play activity. 1. Inviting: Before the event, potential participants should receive a simple invitation. The invitation should emphasize creating new possibilities without denying or minimizing existing challenges. 2. Connecting: Once at the event, participants should move around and talk to people they know already and those they don't. 3. Focusing: o After a while, the facilitator should get everyone's attention (for example, by sounding a bell). o The leader of the sponsoring or planning group should introduce themselves, welcome everyone to the meeting and into the circle, and briefly describes why everyone is there. They will then introduce the meeting facilitator and take a chair in the circle with everyone else, o The facilitator should describe the four principles and one law. 4. Self-organizing: Four principles apply to how you navigate an open space: o Whoever comes are the right people. The only people really qualified to do great work on any issue are those who really care and freely choose to be involved. o Whenever it starts is the right time. Spirit and creativity don't run on the clock, so while we're here, we'll all watch for great ideas and new insights, which can happen at any time. United States Environmental Protection kl a m Agency 12 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide o Whatever happens is the only thing that could have. Let go of the "could haves," "would haves," and "should haves." Give your full attention to the reality of what is happening, what is working, and what is possible right now. o When it's over, it's over. You never know just how long it'll take to deal with a given issue. Getting the work done is more important than sticking to an arbitrary schedule. Taken together, these principles say "work hard and pay attention, but be prepared to be surprised!" The one law is the "Law of Two Feet" (or the "Law of Personal Mobility"). You know where you can learn and contribute the most. You use your two feet to go where you need to go and do what you need to do. If at any time today, you find that you are not learning or contributing, you have the right and the responsibility to move. 1. Taking action: After you introduce open space, invite participants to come into the circle and write down their burning question, passionate issue, or great idea. As each person finishes, they will introduce themselves and read their issues aloud. Each person will then tape their sheet to the wall and assign it a place and time from a pre-arranged set of place/time choices. Making the agenda usually takes place during the first hour. Since our role play is only 75 minutes, we'll use the first 10 minutes to develop the agenda. Guide the participants to the wall where they can sign up for sessions they want to attend. People will move to the spaces assigned at the prescribed times without any announcements. In multiday meetings, everyone also assembles in the morning and evening for short "news" sessions, where things like new sessions, major breakthroughs, and dinner plans can be announced easily. 2. Understanding results: In some events, especially longer events, the person who convenes a session make takes notes using a computer. Generally, in one day you get a lot of great discussion, in two days you will have time to capture what happens in a typed document, and a third day (usually a half-day) allows a more formal or specific plan for immediate action. In the end, the group will have: o Identified, explored, and addressed the most important issues, o Gathered new ideas, resources, and people and connected them to these issues. o Documented all of this in somewhere between five and 500 pages of notes, including next steps, o Established strategic themes, clear priorities, immediate action steps, o Distributed the information to an energized and action-ready community of people. o Empowered them to tell that story to the rest of the organization, community, or world. United States Environmental Protection kl a m Agency 13 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide o Seeded cycles of invitation that will help people maximize their own learning and contribution. The role play tomorrow will focus on 1) identifying, exploring, and addressing the most important issues; 2) gathering new ideas, resources, and people and connecting them to these issues; 3) documenting discussions and next steps; and 4) establishing themes, priorities, and immediate action steps. 3. Transforming: When used throughout an organization overtime, open space can transform an organization or movement at all levels to help important projects, relationships, strategies, and measurements move in positive new directions. Compare World Cafe and Open Space Similarities The conversation format is relatively informal and inclusive. The format encourages diversity. Discussions focus on challenges important to participants. The outcome is based on group input. Differences Open space starts with one large group, whereas world cafe starts with small groups. In a world cafe, session questions are developed in advance. In an open space, questions are created by the group. Module 4 Day 1: Lesson 3: Scenario and Role Play Introduction Objectives: The purpose of this lesson is to review a scenario that you will use as the foundation for the role play activities. This activity is based on the Environmental Justice Fundamentals Course, which is a two-day course taught by EPA staff on the basics of environmental justice and the collaborative problem-solving model. There are nine main roles that you can play. The first four roles are "first circle" roles, representing major players in the issue or topic being discussed. They regularly attend meetings and make decisions about community issues. There are five more roles, which represent community groups that are not always called on at typical community meetings about this issuethey are the "second circle." If you do not want a main role, there is the "third circle," which are roles that are just concerned about the topic or issue and how it United States Environmental Protection kl a m Agency 14 ------- Teamwork Makes the Dream Work: Collaboration, Module 4 Consensus, and Dispute Resolution Participants Guide will affect their community or organization. These are the roles from which you will choose: The first circle roles are: o Convener (this role will be chosen by the facilitator), o Director of County Economic Development for City of AnyCity. o Director of Revitalization Development for the City of AnyCity. o AnyCity Housing Authority. The second circle roles are: o Planning Commission/Redevelopment Agency, o State Department of Health and Environment Control, o University of AnyState. o Wheyburg, Inc. o ABC Site. * * Note that the role play cards you will receive include language that represents your point of view and your initial positions on issues. As the role plays evolve, you may find that your point of view shifts or changes. It is fine to deviate from your original point of view and initial positions if you are so inclined. The role play cards are only a starting point, a way for you to get "in character." 15-Minute Break Objectives: Take a 15-minute break. Module 4 Day 1: Lesson 4: World Cafe Role Play Objectives: Participate in a world cafe role play. World Cafe Role Play The world cafe method is intended to create a semi-informal environment that encourages conversation and listening on a specific, pre-determined topic. We will test the method's effectiveness today. Follow the facilitator's instructions. United States Environmental Protection kl a m Agency 15 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Module 4 Day 1: Closing Objectives: Close out day 1 of module 4 and receive a short introduction to day 2. Short Introduction to Day 2 You will use what you learned today about collaboration and conflict resolution in the remaining two role plays: open space and interest-based negotiation. ^ Key Points Strive for consensus, not compromise. Address procedural, emotional, and substantive needs. Be inclusive and encourage different ideas and opinions. United States Environmental Protection kl a m Agency 16 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Module 4 Day 2 Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution United States Environmental Protection kl a m Agency 17 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Day 2: Welcome Back Objectives: Welcome back to day 2 of module 4. Module 4 Day 2: Scenario Recap Objectives: Remember the details of the scenario developed during the previous lesson. Refer to the handout (or to the flip chart paper, for those who developed a unique scenario) and remember what was discussed yesterday and what your role is. Module 4 Day 2: Reflections on World Cafe and Further Development of Role Play Activities Objectives: Discuss yesterday's role play activity and learn more about today's activities. Provide your input or ask questions about the activities on day 1 and day 2. 10-Minute Break Objectives: You will take a 10-minute break before the next lesson. Module 4 Participants Guide Module 4 Day 2: Lesson 5: Open Space Role Play Objectives: Participate in simulations for context assessments. Open Space Role Play I I In open space meetings, events, and organizations, participants create and manage their own agenda of parallel working sessions around a central theme of strategic importance. We will test the method's effectiveness today. Follow the facilitator's instructions. After about 5 minutes of mingling, you will come into the circle and write down your burning question, passionate issue, or great idea. Tape your sheet to the wall and assign it a place and time (from a pre-arranged set of space/time choices). Making the agenda usually takes place in the first United States Environmental Protection kl a m Agency 18 ------- Teamwork Makes the Dream Work: Collaboration, Module 4 Consensus, and Dispute Resolution Participants Guide hour. Since this role play is only 75 minutes long, the first 10 minutes will be used to develop the agenda. Sign up for sessions you want to attend. Move to the spaces assigned at the prescribed times without any announcements. When there are about 15 minutes left, a volunteer will share what was discussed. 40-Minute Break Objectives: Take a 40-minute lunch break before the final role play. Module 4 Day 2: Tools and Philosophies (Appreciative Inquiry and Interest-Based Negotiation) Objectives: Learn about the differences between collaboration philosophies and formats. Provide your input or ask questions about yesterday's activities and ask questions about today's activities. Module 4 Day 2: Lesson 6: Interest-Based Negotiation Objectives: You will learn about the concepts of interest-based negotiation. interest-Based Negotiation Focus on Interests, Not Positions o Why have you taken this position? o What do you hope to achieve? o Why is this important to you? o What are your concerns? Separate the People from the Problem o Remember, there are multiple ways to see an issue, o Look at the situation from the other perspective and discuss each other's perceptions. United States Environmental Protection kl a m Agency 19 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide o Acknowledge that others' perceptions can be legitimate (you can acknowledge without agreeing to anything), o Acknowledge but don't react to emotions. Identify a Range of Possibilities to Solve the Problem o What is the best you can do if you can't work it out? o What is the worst you can do? o What is the best or worst the other side can do? Use Objective Criteria to Select Among Options o Find commonly accepted standards of fairness, scientific merit, or precedent, o Invite new data from all sides. o Frame each problem as a joint search for objective criteria, o Use mutually agreed-upon technical experts. Compare Interest-Based Negotiation to World Cafe and Open Space World cafe and open space are more like tools, processes, or meeting formats that create an environment for effective collaboration. Interest-based negotiation, like appreciative inquiry, is more of a philosophy of person-to-person engagement. It is a way of thinking, not a meeting format. Module 4 Day 2: Summary: Synopsis of Day 1 and 2 Objectives: You will review the topics that have been covered during the module. Listen to a summary of the topics you learned during module 4. This summary will help reinforce your understanding of wide array of consensus building and dispute resolution tools you may apply in a wide variety of community situations. These tools can ensure that partners and communities are treated fairly and can participate fully, develop agreements, and resolve disagreements and impediments to progress. You should learn, creatively identify, and apply the wide array of consensus building and dispute resolution tools at your disposal. You should be able to use these skills to design processes, build trust and promote common visions and goals among all partners. You should be able to identify, nurture, and promote mutual gains within your community. You should be able to use upstream, midstream, and downstream dispute resolution techniques to both create innovations and overcome challenges as people work together. 44 United States Environmental Protection kl a m Agency 20 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Appendices United States Environmental Protection kl a m Agency ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Appendix A: Additional Resources Websites: Open Space: http://openspaceworld.org/wp2/ World Cafe: http://www.theworldcafe.com/ World Cafe Design Principles: http://www.theworldcafe.com/kev-concepts- resources/desiqn-principles/ 5 U.S.C. § 571(3), Alternative Means of Dispute Resolution in the Administrative Process: https://www.law.cornell.edU/uscode/text/5/571 Books: Difficult Conversations: How to Discuss What Matters Most by Douglas Stone, Bruce Patton, Sheila Heen: https://www.penquinrandomhouse.com/books/331191/difficult-conversations-bv- douqlas-stone-bruce-patton-and-sheila-heen-foreword-bv-roqer-fisher/ Getting to YES: Negotiating Agreement Without Giving In by Roger Fisher, William Ury, and Bruce Patton: https://www.pon.harvard.edu/shop/qettinq-to- ves-neqotiatinq-aqreement-without-qivinq-in/ The World Cafe Book: Shaping Our Futures Through Conversations that Matter by Juanita Brown and David Isaacs with the World Cafe Community of Practice: http://www.theworldcafe.com/world-cafe-book/ Contacts: Conflict Prevention and Resolution Center (CPRC) EPA Headquarters https://www.epa.gov/adr United States Environmental Protection kl a m Agency 22 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Appendix B: Collaborative Characteristics of Meeting Formats Collaborative Characteristics of Meeting Formats Format Relationships Cooperation Shared Learning Transformational Thinking Sustainability Collaboration Characteristics Respect. Taking time to learn about each other's values and interests. Trusting each other over time. Shared interests. All key parties are engaged. Everyone understands the problem, process, and rationale. Working together to solve the problem. Everyone understands each other and the problem. All information is transparent. Shared development and analysis of options. Not a compromise. Creative thinking. Unanticipated solutions. Integration of interests. Positive gains for all. -Full ownership by key stakeholders. -Realistic decisions. -Implementation flexibility. -Clear roles and responsibilities. -Range of stakeholder interests. World Cafe3 Through shared listening and paying attention to themes, patterns and insights, participants begin to sense a connection to the larger whole. Relationships, ideas, and meaning naturally "cross- pollinate" as participants move from one conversation to another. Moving between tables and actively contributing enables participants to learn, explore possibilities, and co-create together. As participants carry key ideas or themes to new tables, they exchange perspectives, creating the possibility for surprising new insights. Participant ownership in processes and decision-making helps build sustainable outcomes. Interest-Based Negotiationb Build and preserve relationships to achieve goals by building trust. Identify what you already agree with. Seek to understand the perceptions of others. Frame the problem as a joint search for objective criteria. There are no winners or losers, and all parties' interests can be met. This is the best alternative to a negotiated agreement. The goal is to reach an agreement that is sustainable because of the way it was developed. a The World Cafe. (n.d.). Design principles, http://www.theworldcafe.com/kev-concepts-resources/desian-principles/ b Fisher, R., Ury, W., & Patton, B. (1991). Getting to YES: Negotiating Agreement Without Giving In. Penguin Books. United States Environmental Protection kl a m Agency 23 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Appendix C: Develop Scenario for Role Play Exercise You may use this activity if your facilitator chooses to develop a scenario and roles in class rather than use the prepared scenario, roles, and scripts. encourage open and honest communication. If participants develop the scenario, the role play ends up being about real things that they have encountered. If there is insufficient time or the facilitator is not comfortable allowing the group to develop their own scenario, we have provided an example scenario. Use the prompts on the slides to cover every aspect of the scenario. The facilitator (or a volunteer) may want to capture the scenario on flip chart paper to easily refer to it during the role play. Real Life: Think about situations from your own experience. Be careful not to disclose any specific sensitive aspects or divulge any private facts. If a clear "winner" doesn't emerge, either take a vote or decide on a specific scenario. Move on to the next two aspects to develop the details of the scenario. Map: Now that we've decided on the challenge, let's develop the map. o Is the site urban or rural? o What are the industrial aspects (e.g., manufacturing, retail)? o What are the natural aspects? Are there parks, wetlands, or endangered species? o What are the environmental opportunities and challenges? o What does the community look like? Is it dependent on a single, large industry for jobs? How diverse is the population? o Are there other aspects we haven't included that should be? Roles: We need to determine what role each of you will play in this scenario. Here are some examples of roles to consider including: o One person can represent the impacted residents. Develop Scenario This module should not be taped or recorded to protect confidentiality and « We are now going to develop (or review) a scenario that we will use for '? tomorrow's role play. United States Environmental Protection kl a m Agency ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide o What local government officials should be represented (e.g., city council member, mayor)? o Who from the private sector should be represented? Think about the industries we included, o What about local religious leaders from various religions? o Should there be a real estate representative, such as a developer or agent? o Is the community college involved? o What about local environmental and health officials? o What federal agencies should be represented? o What about representatives from the chamber of commerce, city code enforcement, and the state government? o Are there other roles that should be included? History and Present Interest Try to save at least 15 minutes for this. Ask participants to break up into four small groups, regardless of the number of participants. Encourage them to divide up in groups that may not share similar views. Participants should work together to develop the history (i.e., "backstory") and the present interests of the person or entity they represent. Participants should help each other by asking probing questions based on their own experiences. Participants should write down aspects of their roles or what they might say for the role play on day 2. At the end of the time, tell the participants to continue to think about their role and be ready to do the role play activity in the morning. United States Environmental Protection kl a m Agency 25 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Appendix D: Appreciative Inquiry Workshop in the Proctor Creek Community of Atlanta, Georgia In November 2014, EPA's Region 4 Office of Environmental Justice and Sustainability (OEJS) introduced the Proctor Creek community to appreciative inquiry, a new, facilitated capacity-building approach that focuses on identifying the root causes of success instead of the root causes of failure. Appreciative inquiry helped Proctor Creek watershed stakeholders communicate about cross-agency (e.g., federal, state, local) projects and initiatives in their historically disenfranchised community. The Proctor Creek watershed and surrounding communities in Atlanta, Georgia, was the focus of environmental justice, sustainability, and community revitalization efforts for over 15 years. Proctor Creek, one of the most impaired creeks in the Atlanta metro area, consists of nine miles of contaminated waters that drains an area of approximately 10,198 acres into the Chattahoochee River. Neighborhoods within the watershed experience overlapping environmental and public health issues. These issues include abandoned and derelict properties, blighted sites, illegal tire dumping, brownfields, limited green space, mosquito problems, sewage backups, and pervasive flooding. The watershed also has more than 33 percent impervious cover in places, which makes flooding a significant issue. Other significant issues include flooded housing, mold and mildew in houses, high crime, lack of policing, and limited economic opportunity. What has worked well in this community? Over the past 15 years, the community leaders came together in a very informal way. Today, those same leaders have organized a formal neighborhood group called the Proctor Creek Stewardship Council (PCSC). The PCSC is a community-led, grassroots organization that is driven by the values of stewardship, sustainability, equity, and environmental justice for all. They envision a Proctor Creek that is clean, accessible, swimmable, and fishable. The PCSC's overarching mission is to restore, revitalize, and protect the ecological health of the Proctor Creek watershed basin and the quality of life of all its people. The PCSC has grown and now has a community website (https://aboutproctorcreek.wordpress.com/storv-of-the-creek) with information about its goals, monthly meeting locations, an interactive map, Proctor Creek history, plans, water quality studies, press stories, newsletter information, green infrastructure projects, and ways to engage. What is the community most excited about? In September 2014, EPA's OEJS secured assistance through an EPA Region 7 alternative dispute resolution (ADR) specialist. EPA hosted a one-day workshop structured to help the community participants and leaders create a communications framework for information exchange. The ADR specialist led the stakeholders through United States Environmental Protection kl a m Agency 26 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide the appreciative inquiry approach so they could identify what was working well, analyze why it was working well, and then take steps to do more of it. The basic tenet of appreciative inquiry is that an organization will grow in whichever direction its members focus their attention. If all the attention is focused on problems, then identifying problems and dealing with them is what the organization will do best. If all the attention is focused on strengths, then identifying strengths and building on those strengths is what the organization will do best. It is a complete contrast to the traditional problem- solving methods we are accustomed to. The one-day workshop was a success. Over 54 participantsincluding residents, nonprofits, academics, and government representativesdiscussed how to strengthen coordination and communication in Proctor Creek. The hard-working participants used the event to take the Proctor Creek community to the next level of action. During the meeting, community residents shared stories of positive experiences and their dreams of future successes in the watershed, laying the groundwork for ongoing collaboration. The result was two action items to strengthen communication and collaboration in Proctor Creek: Strengthen the PCSC's capacity to be the platform for residents' engagement in Proctor Creek. Communicate the formalization of the PCSC's structure to help other organizations feel confident that it is truly representative of Proctor Creek's residents. Establish a steering committee or watershed partnership among organizations working to strengthen the environmental quality and quality of life of residents. This partnership should include representatives from nonprofit and grassroots organizations (including leadership from the PCSC), universities, local government, and others. This partnership will strengthen communication about activities and opportunities and foster collaboration towards a shared vision in the watershed. The partnership will also help identify resources for the PCSC and watershed residents to build capacity and conduct community engagement. The workshop ended with a unanimous commitment to continue the dialogue. The group found the process to be positive; unexpectedly productive; and an encouraging sign for a new era of coordination, communication, and collaborative action. The participants appreciated the effort and were eager to follow up with their leaders and constituencies to spur further dialogue and build on the action items. Proctor Creek was later designated as an Urban Waters Federal Partnership location and this leverage was used to continue implementing the action plan. United States Environmental Protection kl a m Agency 27 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Proctor Creek is a display of model interagency collaboration at the local, state, and federal levels. Alongside community engagement and capacity-building, the community leveraged a new problem-solving tool called appreciative inquiry. Proctor Creek, an environmental justice community of concern, was used as a demonstration project in EPA's first Health Impact Assessment (HIA) study. Since publication of the final HIA report in 2015, the project continues to gain national visibility at conferences and in academia as a case study for ensuring health and equity in decision-making. Because of this success, the HIA tool is recognized as a viable new science tool supported by the EPA Office of Research and Development's Sustainable and Healthy Communities Program. United States Environmental Protection kl a m Agency 28 ------- Teamwork Makes the Dream Work: Collaboration, Consensus, and Dispute Resolution Module 4 Participants Guide Appendix E: Collaborative Problem-Solving Element 3 Collaborative Problem-Solving Model Element 3: Consensus Building and Dispute Resolution: Objectives Ensure partnering organizations are treated fairly and can participate. Build trust. Establish a common set of ideas and plans to address concerns. Help organizations develop agreements. Resolve conflicts; use techniques like dispute resolution when necessary. Techniques to build consensus and resolve disputes: Design processes, both formal and informal, to ensure fair treatment and meaningful participation of all stakeholders. Promote the development of a common vision and goals among all partners. Use facilitators or mediators to help with the communication and negotiation processes. Identify, nurture, and promote win-win scenarios and mutual gains. Use alternative dispute resolution techniques to resolve crystallized disputes. United States Environmental Protection kl a m Agency 29 ------- |