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2006 FACA Emerson Dalton



Presentation by David Emmerson, DOI, and Deborah Dalton, EPA
February 21, 2006


Slide 1

Using Consensus-Building and Collaboration in the Context of FACA

David Emmerson - Department of the Interior, Office of Collaborative Action and Dispute Resolution
Deborah Dalton - Environmental Protection Agency, Conflict Resolution and Resolution Center


Slide 2

Introduction

Seal of the Department of the Interior, Office of Collaborative Action and Dispute Resolution
 

DOI Office of Collaborative Action and Dispute Resolution

  • Upstream/Downstream
     
Seal of the Environmental Protection Agency, Conflict Prevention and Resolution Center
EPA Conflict Prevention and Resolution Center


Slide 3

What is Consensus?

  • Distinguish From Majority Vote
  • A Package of items Everyone can Live with

Slide 4

What is Collaboration?

  • Collaborative Behavior
  • Collaborative Problem-Solving
  • “Shared Decision-Making”
  • “Little d” decisions - Agency still has ultimate authority.

Slide 5

Federal Government is Increasingly Endorsing Collaboration

  • Societal Trend - Watershed Groups/Volunteerism
  • Joint OMB/CEQ Memo - Principles of Agency Engagement
  • Cooperative Conservation Initiative
  • FACA Regulations
  • Establishment of United States Institute for Environmental Conflict Resolution

 

   
Larsen Cartoon of 2 wolves in a cave with 3 cavemen outside in the rain. One wolf says to the other: "Be firm, Arnold. . . Let them in once and they'll expect it every time."


Slide 6

Benefits of Consensus-Building/Collaborative Problem-Solving

  • Build Trust
  • Emphasis Placed on Planning
  • Group buy-In on Decisions
  • Solutions Gain Durability
  • Enhances Legitimacy of Decisions
  • Encourages Creative thinking
  • Builds relationships that may last into other Projects.

Slide 7

FACA Committees - Good Candidates for Consensus Decision-Making

FACA Requirements Overlap With Best Practices:

  • Balanced Membership/Identify All interests
  • Stated Purpose and Need/Assess Conflict
  • Public Meetings/Transparency
  • Advance Notice of Meetings/Planning, Structure, Minutes, Record-Keeping

Slide 8

Use of Neutral

  • Difference Between Facilitator and Mediator
  • Can perform an “Assessment”
  • Have No Stake in Matter
  • Allow Parties to focus on Substance
  • Can Help parties through difficult Negotiations

Slides 9 and 10

Qualifications of Neutral

  • Manage Complex Information and Data
  • Coordinate Communications and Activities
  • Personal Qualities: Credibility, Sensitivity, Presence, and Persistence
  • Ability to write clearly and effectively
  • Neutrals Should be Familiar With Underlying Concepts of FACA
  • Communicate and Listen Effectively
  • Analyze and Assess Conflicts
  • Design Process with Parties
  • Promote Interest-Based Negotiations
  • Organize and Manage Meetings
  • Ensure full participation, help develop structural Integrity of Group

Slide 11

Where to Get a Neutral

  • In House
    • Concerns: Trust of Parties, Experience, Skills, Time
  • Private Practice
    • Costs
    • Contracting issues
  • Other Federal agencies

Slide 12

Concerns When Using Neutral

  • Clearly Define roles of Neutral and DFO and Chairperson
  • Management concerns regarding loss of control or status or delegation of tasks
  • Costs
  • Is Neutral Doing his/her job?
    • (Maintaining Neutrality, trust of parties, etc.)

Slide 13

Challenges of Using FACA as Vehicle for Collaborative Problem Solving

  • Caucuses of interest groups or between interest groups
  • Use of workgroups
  • Between meetings work of members
  • Appointing relevant members in a timely way
  • Timeliness of decision making within vertical hierarchy of agency

Slide 14

FACA Committees That Have Used Consensus-Building

  • NPS Overflights
  • RAC Committees
  • Negotiated Rulemaking Committees

Slide 15

Photograph of small plane flying over the Grand Canyon    

NPS Overflights

  • FAA/NPS/Tribes/Air Tours/Conservation Groups
  • SubCommittee of NP Advisory board
  • Mediated by Phil Harter
  • Group reaches consensus on National Rule for Air Tour Overflights - adopted by Congress in Legislation


Slide 16

BLM Resource Advisory Committees

  • Set Up to bring wide range of perspectives together to advise BLM on Resource Management Issues
  • Many have used Collaborative Problem Solving and Consensus-building to reach agreements on Recommendations ( Steens Mountain, Central Montana, many others)
    Photograph of a canyon


Slide 17

Negotiated Rulemaking

  • Special Kind of FACA Committee
  • Convened under Negotiated Rulemaking Act
  • Aside from standard FACA requirements, also requires: use of convenor, use of facilitator.
  • Becoming more popular at DOI - Cape Cod, Fire Island, Golden Gate, Cape Hatteras (Interplay of NEPA/FACA/REG-NEG)

Slide 18

National Seashore Off-Road Driving Negotiated Rulemaking

  • Cape Cod National Seashore - needed to develop new regulations to control access and routes of off-road and beach driving of tourists, nature lovers, residents and fishermen.
    • protect the fragile dunes
    • provide critical habitat for nesting/fledging endangered Piping Plover.
    • existing regulations evolved over a period of 35 years
    • long-standing and serious controversy between park and stakeholders.
    Photograph of seashore and dune


Slide 19

Sunny Hoest and John Reiner Cartoon of 2 knights attacking a castle with a catapult. A large baseball bat is mounted over the castle walls. One knight says to the other: "I think maybe we should change our attack strategy."    

Need to Collaborate, but No FACA Committee in Sight?

  • Options:
    • Outside Contractor
    • Non-Fed entity
    • Form FACA Committee
    • Form FACA Subcommittee
    • Public Meetings that don’t result in Group Recommendation


Slide 20

Some Tools for Collaborative Problem-solving

  • Basic Principles for Agency Engagement in Environmental Conflict Resolution and Collaborative Problem-Solving
  • Ground Rules

Slide 21

Basic Principles

  • Informed Commitment
  • Balanced, Voluntary Representation
  • Group Autonomy
  • Informed Process
  • Accountability
  • Openness
  • Timeliness
  • Implementation

Slide 22

Importance of Ground Rules

  • Replacement for Roberts Rules of Order
  • Describe Scope and Limit of Negotiation
  • Define Operating Procedures
  • Define Roles and Responsibilities
  • Try Out Parties Negotiation Style
  • Set a Productive Tone Demonstrating Parties’ ability to Agree

Slide 23

Ground Rules Should Address:

  • Purpose and Scope
  • Decision-Making and Ratification Process
  • Representation, Roles, and Responsibilities
  • Alternate representatives
  • Procedural Requirements, Sunshine Laws, Confidentiality
  • Behavioral Guidelines
  • Organization and Conduct of Process

 

    Larsen Cartoon of a Western sheriff talking with his deputy. A large pile of horses, men, and equipment is on the ground behind the deputy. The sheriff says: "And so you just threw everything together? . . . Mathews, a posse is something you have to organize."


Slide 25

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