Public Involvement Network News
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How Do I Know Whether I Need A Facilitator And Where Would I Find One?
Deborah Dalton, CPRC staff
A facilitator (or mediator) can be useful and sometimes even essential in both the convening (situation assessment) planning stage and in conducting a collaborative problem solving or dispute resolution process. A good facilitator is more than just someone who calls people up and invites them to a meeting and far more than a meeting manager who makes sure the agenda items are discussed on time and people don’t interrupt one another.
Using a facilitator in convening a project or case.
In a separate article we discuss the concept of a Situation Assessment or a convening study. This assessment process helps you identify appropriate, interested and affected stakeholders, discovers and documents the range of issues that all stakeholders perceive as being a part of the decision making and uses this information to design an appropriate, timely and effective process for dialogue and resolution. Your role as a sponsor of the project can also be used to conduct this assessment. Or you can use a facilitator from another part of EPA or from a contractor to conduct the study. There are advantages and disadvantages to either option.
Using a facilitator to manage the collaborative problem solving or dispute resolution process
A good facilitator or mediator can bring many things to the actual process of dialogue or negotiation.
- Assist in identifying all appropriate, affected and interested parties
- Assist in discovering and articulating the range of issues for all stakeholders
- Design the process and monitor its effectiveness
- Develop meeting schedules and agendas by involving all of the parties
- Act impartially, be accountable to all for conducting a fair process
- Develop and “enforce” ground rules for the process
- Chair meetings – freeing agency technical people to present agency needs and positions
- Assist in writing summaries and next steps during the process
- Assist in identifying when to move on in discussion
- Assist in identifying and overcoming impasses
- Consulting with each party either in plenary or separately about problems
- Assist in identifying need for resources
- Assist in obtaining closure
- Assist the parties with documenting an appropriate agreement
- Evaluating the lessons learned and making process improvement suggestions
- Monitoring the implementation of the agreement
- Being available if new issues arise
Pros and Cons of Agency Program Manager as Convener or Facilitator.
You or someone in your office could act as facilitator and conduct the situation assessment and facilitate the dialogue. Or, if you have some contract funding, you could access many expert facilitators and mediators through contracts or other procurement mechanisms.
Here are some pros and cons of doing it your self:
Pros:
Expert knowledge of the issues and options
Close relationship with decision maker
Familiar with the affected parties
Authority to invite the parties and to make the decisions
No cash cost
No delays for contracting process
Cons:
Too much knowledge could interfere with understanding stakeholders’ issues
Supervisory relationship with decision maker may make parties reluctant to be candid
Too much familiarity with affected parties may result in not identifying new parties
Relationships with the existing parties may cause stakeholders to be less candid about their positions
May not have the time necessary to devote or it may take away from preparation of technical and policy preparations
May not have the skills necessary to consider all of the design options
Limited in ability to offer independent collaboration process options
May not be trusted by the stakeholders with confidential information about their positions.
Difficulty being both a neutral process leader and a substantive negotiator
My manager thinks that using a facilitator or mediator for my project will be seen as an admission that we cannot do the work ourselves and may mean delegating EPA’s authority to an outsider or to stakeholders.
Considering the long list of Cons, bringing in a neutral facilitator may be the best thing you can do for your project. Facilitators and mediators are there to assist you and the other parties in a collaborative or dispute resolution process reach an agreement. The needs of the parties dictate the scope of facilitators’ activities. Generally this means that they do NOT make recommendations or decisions about substantive technical, scientific or policy issues. Facilitators will tell you that it is not THEIR process; it is yours (the parties’). They do make recommendations regarding best practices for collaboration or dispute resolution and will advocate for a good dialogue process. Most EPA contractors have provisions in their contracts that forbid them from making decisions about EPA policy or regulations.
As to the fear that the stakeholders will take over and make your decisions; EPA cannot delegate its statutory or regulatory decisions to stakeholders. However, we can share the responsibilities for identifying all of the relevant data, for generating and evaluating all of the options and for testing the options against reality. The final decision is always EPA’s.
Did you know that EPA has a dedicated, nationwide contract to obtain skilled facilitators and mediators?
The EPA Conflict Prevention and Resolution Contract (https://www.epa.gov/adr) is available to all EPA program and regional offices. This contract has access to more than a hundred experts located nationwide who can help you design and conduct public participation, collaboration and dispute resolution processes. You need to bring your own funding and provide a contract task order manager for your project. CPRC staff can help you draft the scope of work and the costs estimates.
So – what are the steps I can take to bring on a neutral facilitator?
The following steps provide a framework for participants to consider when identifying and selecting facilitators.
1. Identify what the neutral will do and the expected outcome of the process
Consider what the participants would like the neutral to do, for instance:
- Conduct an assessment and issue a report
- Facilitate the exchange of information and create a record of input
- Assist with building a consensus recommendation
- Mediate an agreement that will resolve a highly contentious dispute
- Conduct a negotiated rule-making
2. Decide if EPA will choose the facilitator alone or with the involved parties
3. Decide whether to use a facilitator from:
- Inside EPA
- Inside the government
- Outside the government.
4. Identify Selection Criteria:
Consider whether EPA should develop selection criteria alone or jointly with other participants. Further, consider which of the following are necessary, desirable or not desirable in individuals or teams:
- Experience with or ability to handle a situation or process of this type, size, scope and complexity
- Experience with similar types of substantive issues (e.g., superfund, endangered species, etc.)
- Experience, skill or training in similar processes or contexts (e.g., rulemaking, voluntary programs)
- Education or professional experience/background in a particular subject (e.g., certain sciences, law)
- Whether a team is desirable given size of the group, complexity of issues or other factors. (Note that facilitators often form teams for particular work)
- A particular style/approach (evaluative/directive to facilitative) or some personal characteristic (communication, flexibility, etc.) or references/reputation for competency, neutrality
- Location of the practitioner (Is someone with geographic familiarity the best or someone from “outside” better? Someone who has worked in the region before? Someone who will not have to travel?)
- Any conflicts of interest
Other selection criteria considerations:
- “Special” requirements, e.g. language skills and/or interpretation, technical support
- Logistics and costs (fees, travel, other)
- Cultural differences or disabilities that will need to be acknowledged and dealt with (think of cultural differences more broadly than ethnicity, for example: professional cultures—lawyers and scientists; gender; social cultures-rural and urban; generational culture; etc.)
- General availability to take on the project
5. Decide what specific information you can provide to facilitator candidates to describe the project, its goals, the issues and the parties.
6. If you are working through an EPA contract such as the CPRC Conflict Prevention and Resolution Services (CPRS) Contract:
- Contact the Project Officer to discuss procedures under the contract
- Decide whether you will accept a facilitator identified through the contract or whether you want a list of several to choose from
- For more about the CPRS contract, go to: www.epa.gov/adr/cprc_contract.html.
7. If you have chosen to evaluate several candidates, choose candidates to interview and prepare for the interviews.
- Decide whether to make a selection based on written information that is provided or based on interviews.
- Decide who will participate in the selection (e.g., workgroup, supervisors, outside parties)
- Once you have a “list” of possible candidates, identify what information the process participants want from candidates, such as a specific proposal, resume, case descriptions, additional materials, fee information, information regarding the neutral’s availability for the project and references
- Determine how the list will be reduced — a “score/rank” and “strike” list or consensus method can be used to choose interview candidates
In a score/rank process, each interviewer ranks each of the candidates’ qualifications independently. When all candidates’ qualifications have been reviewed and ranked, generally the top two or three candidates with the highest average rankings are selected to be interviewed. When using a strike list, each interviewer is given the opportunity to eliminate a given number of candidates in order to winnow down the list.
A consensus method is often used for internal EPA discussions concerning facilitator selection. When using this method, relevant EPA staff review facilitator qualifications, evaluate them together for best fit based on the selection criteria, and reach agreement on the top candidates.)
Regardless of the process chosen to reduce the pool of candidates, it should be agreed upon before interviews are conducted. Depending on the contract used to obtain facilitation services, you need to be careful about directed subcontracting. For example, when using the CPRS contract, you may (and should) identify selection criteria and even suggest names of facilitators who meet those criteria, but you may not direct the prime contractor to select a particular facilitator;
- Determine how well any particular candidate might meet the selection criteria
- If references were provided, determine who will contact references and what questions will be asked of them
- If you will conduct interviews, determine whether interviews will be conducted in person or by phone
- Determine who will participate in and/or be present at the interview and how questions will be asked. As examples, questions can be asked by one person from a script, or each person can ask questions in “rounds”. Determine what questions should be asked and how much time is needed/allotted.
8. Interview Candidates and Select the Neutral
- Determine how the neutral(s) will be selected. As examples, a designated group or sub-committee can select (through a facilitated process or without facilitation), or a “score/rank” and/or “strike” list can be used to choose interview candidates or assist in choosing the neutral
- Determine how well any particular candidate meets the selection criteria and what the feedback from references indicated
- Did the practitioner seem to have adequate process knowledge/experience, adequate substantive knowledge/experience, a grasp of the essentials of the situation, use impartial language, ask good questions, listen well, give good advice on how to proceed, appear patient and flexible, describe a style/approach likely to succeed in the situation, seem to “resonate” with the group and use the interview opportunity to set a collaborative tone?
Possible Interview Questions for a Neutral Facilitator or Mediator:
- Tell us about yourself and your background
- How would you describe your style, approach, and philosophy of (mediation, collaboration, public engagement)?
- What steps/tasks/approach would you take in this process?
- Please tell us about your experience or familiarity with:
- Applicable substantive issues, e.g., endangered species, water rights
- Similar political, economic, social, and legal issues
- Working with similar parties
- Working with situations similar to this; how long the process took; the outcome; lessons learned
- Resolving disputes involving multiple governmental entities (with constituents), their attorneys and citizens
- Issues in which there is public and press interest and with conducting sessions in an open/public forum
- Resolution of court connected disputes
- Broad public controversies
- Economic/lifestyle/culture issues in disputes
- What has been your experience with teams? What would be the advantages and disadvantages in this case? What staff, if any, will be assisting you?
- How will you handle logistics? Do you have in-house capability?
- How do you handle technical or scientific issues?
- Are there any potential conflicts of interest?
- Confirm or request fee and time availability information
- How much do think this will cost?
- What questions do you have for us?
- What strengths do you have that make you the best choice for this project?