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Consensus Building and Negotiation: An Introduction Ateneo de Manila University | 31 August 2016
ADR for environmental mass

actions:
A consensus building
approach
Tony La Via and Ginny Villa-Real

Ateneo de Manila University
Discuss the following with a partner:
TRUE OR FALSE.
All negotiations have win-win solutions.
Outline
1. Negotiations
2. Mutual gains
approach
3. Emotions
4. Public Participation
Types of Conflicts
Data Conflicts
Relationship Conflicts
Interest Conflicts
Value Conflicts
Structural Conflicts
Conditions for Negotiation
Topic or Issue to Negotiate
Negotiating parties
Will to Come to Agreement
Urgency
No Major Barriers
Types of Negotiators
Competitors
Collaborators
Accomodators
Avoiders
Compromisers
Principled Negotiation
Compared to Positional Bargaining
When to use Interest-based bargaining
Attitudes of Interest-Based Bargainers

Principled Negotiation:
Four Basic Points
People: Separate the people from the problem
Interests: Focus on interests, not positions
Options: Invent options for mutual gain
Criteria: Insist on using objective standards

Stages of Negotiation
Climate setting
Presentation
Bargaining/problem solving
Closure
Things to Consider:
Process Substance
Emotion
Process
Purpose
Product
Process
Substance
7 Elements of Negotiation
1. Relationship
2. Communication
3. Interests
4. Options
5. Criteria of Fairness
6. BATNA (Best Alternative to a Negotiated
Agreement)
7. Commitments
Things to Consider:
Process Substance
Emotion
Barriers to Consensus
MUTUAL GAINS APPROACH

ELEMENTS
Prepare
Create Value
Distribute Value
Follow through
Prepare
Clarify your mandate and define your team;
Estimate your Best Alternative to Negotiated

Agreement (BATNA) and theirs;
Improve your BATNA (if possible);
Know your interests;
Think about their interests; and
Prepare to suggest mutually beneficial options.

Create Value
Explore interests on both sides;
Suspend criticism;
Invent without committing;
Generate options and packages that make the

pie larger; and
Use neutrals to improve communication.

Distribute Value
Behave in ways that build trust;
Discuss standards or criteria for dividing the

pie;
Use neutrals to suggest possible distributions;

and
Design nearly self-enforcing agreements.

A BALANCED
AGREEMENT
Follow Through
Agree on monitoring arrangements;
Make it easy to live up to commitments;
Align organizational incentives and controls;
Keep working to improve relationships; and
Agree to use neutrals to resolve

disagreements.
MUTUAL GAINS APPROACH

ESSENTIAL STEPS
Convene
Clarify responsibilities
Deliberate
Decide
Implement agreements
Convene
Initiate discussion;
Prepare an issue assessment;
Use the assessment to identify appropriate stakeholder

representatives;
Finalize commitments to consult or involve appropriate stakeholder

representatives;
Decide whether to commit to a consensus building process; and
Make sure those in positions of authority agree to the process.

Clarify
Responsibilities
Specify roles and responsibilities of the
convenor, facilitator, representatives (including
alternates) and expert advisors;
Set rules for the involvement of observers;
Set agenda and ground rules; and
Assess options for communicating with the

groups represented as well as the community-
at large.
Deliberate
Strive for transparency;
Seek expert input into joint fact finding;
Seek to maximize joint gains through collaborative

problem solving;
Use the help of a professional neutral;
Separate inventing from committing; and
Use a single text procedure.

Decide
Seek unanimity on a package of gains;
Specify contingent commitments, if

appropriate;
Adhere to agreed upon decision-making

procedures; and
Keep a written record of the commitments

made by the participants.
Implement Agreement
Seek ratification by constituencies;
Present approved proposal to those with the

formal authority and responsibility to act;
Provide for ongoing monitoring of

implementation; and
Provide for adaptation to changing

circumstances.
Why use emotions in negotiations?

Five Core Concerns
Appreciation
Affiliation
Autonomy
Status
Role
Express
Appreciation:
Find Merit in What Others
Think, Feel, or Do - and
Show It
Build
Affiliation:
Turn an Adversary into a
Colleague
Respect
Autonomy:
Expand Yours (And Dont
Impinge Upon Theirs)
Acknowledge
Status:
Recognize High Standing
Wherever Deserved
Choose a Fulfilling
Role:
And Select Activities Within It
Core Concerns:
As Lens and As Lever
THE ACCESS PRINCIPLES

and
Importance of Public
Participation for
Development
Public can contribute unique experience, resources,
and expertise, which enhance the quality and
implementation of decisions;
Minimizes controversy arising from decisions;
Necessary for community support and trust;
Encourages sustainable business practices, and

strengthens civil society.
THE ACCESS PRINCIPLES

ACCESS TO INFORMATION
Information is the cornerstone of decision-making,
providing the public with knowledge and evidence to make
choices and monitor the state of the environment.
ACCESS TO PARTICIPATION
Participation allows citizens to express opinions,
challenge decisions, and shape policies that could affect
their communities and environment.
ACCESS TO JUSTICE
Mechanisms for justice enable citizens to seek remedy if
they do not have full access to information and
participation or if government decisions do not take the
Advantages of Public
Participation
Cost and time for public participation can be
estimated and planned for whereas not
involving the public in decisions can lead to
costs that are neither known nor can be
estimated.
Lack of information has raised public concerns,

resulting in financial disasters for the exporters,
manufacturers, and ordinary citizens
Defining the Term

Public
Any individual or group who may be affected by, or is
likely to be affected by, or who has an interest in the
policy decision-making.
This term includes, but is not limited to, citizens,

interest groups, local governments, business, and
industry associations.
International Processes
Principle 10 of the Rio Declaration
Sets the foundation for public participation
Agenda 21
Aarhus Convention
Rio Declaration of 1992

Principle 10 of Rio
Declaration
Environmental issues are best handled with the
participation of all concerned citizens, at the
relevant level. At the national level, each
individual shall have appropriate access to
information concerning the environment that is
held by public authorities, including information
on hazardous materials and activities in their
communities, and the opportunity to participate
in decision-making processes. States shall
facilitate and encourage public awareness and
participation by making information widely
available. Effective access to judicial and
administrative proceedings, including redress
and remedy, shall be provided.
Agenda 21
"Blueprint for Sustainable Development,"

elaborates its three main principles for public
participation
Agenda 21
Public access to information;
Opportunity for citizen participation in decision-

making;
Citizen access to judicial and administrative

proceedings;
Appear throughout Agenda 21,

particularly in Chapters 12, 19, 27,
36, 37, and 40.
Aarhus Convention
Signed by 40 European and Central Asian

Countries
The Aarhus Convention
Recognizes that all people of present and future

generation have the right to a healthy environment;
Gives clear form, direction to participation norms

discussed in prior international fora;
Recognizes publics concern regarding release of

GMOs and need for increased transparency and
public participation and decision-making in this field.
Access to Information
Timely release
Affordable
Complete and comprehensive, subject to

confidential information limitations
Access to Decision-
Making
Notice that a decision will be made;
Notice in sufficient time to inform the public and for

the public to prepare and participate in the decision-
making process;
Notice in an effective manner (calculated to reach

the concerned public);
Access to Decision-
Making
Notice describing the opportunities and procedures
for public participation;
Sufficient timeframe for decision-makers to use

public input;
Written decisions stating the reason behind them;
Consideration of public input in the final decision.

Access to Justice
Access to independent and impartial review body;
Review body decision binding on public authority;
Final decisions in writing & publicly accessible;
Process is timely and inexpensive;
Procedures are established in law;
Adequate remedies, including injunctive relief, are

available.
Access to Justice
Elements of Public
Participation
Notice
Public Consultations
Public Hearing
Decision Criteria: Social Acceptability
Adequate Consideration of Public

Concerns
Public Consultations
Notice
Language
Facilitation
Follow Up
Barriers to Public
Participation
The arguments against public participation are that it
is expensive, it delays the decision making process
and it checks a decisive policy.
Limited funds can pose a hurdle to free and broad

public participation.
Constraints to Public
Participation
Lack of political will;
Unavailability of information;
Lack of transparency;
Public may not be aware of the organization

overseeing the process and its mandate;
Lack of knowledge on how to get involved;
Lack of time for participation.

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Consensus Building and Negotiation: An Introduction Ateneo de Manila University | 31 August 2016

ADR for environmental mass

Tony La Via and Ginny Villa-Real

Discuss the following with a partner:

Conditions for Negotiation

Topic or Issue to Negotiate

Will to Come to Agreement

Compared to Positional Bargaining

When to use Interest-based bargaining

Attitudes of Interest-Based Bargainers

People: Separate the people from the problem

Interests: Focus on interests, not positions

Options: Invent options for mutual gain

Criteria: Insist on using objective standards

MUTUAL GAINS APPROACH

Estimate your Best Alternative to Negotiated

Improve your BATNA (if possible);

Know your interests;

Think about their interests; and

Prepare to suggest mutually beneficial options.

Invent without committing;

Generate options and packages that make the

Use neutrals to improve communication.

Discuss standards or criteria for dividing the

Use neutrals to suggest possible distributions;

Design nearly self-enforcing agreements.

Make it easy to live up to commitments;

Align organizational incentives and controls;

Keep working to improve relationships; and

Agree to use neutrals to resolve

MUTUAL GAINS APPROACH

Prepare an issue assessment;

Use the assessment to identify appropriate stakeholder

Finalize commitments to consult or involve appropriate stakeholder

Decide whether to commit to a consensus building process; and

Make sure those in positions of authority agree to the process.

Set rules for the involvement of observers;

Set agenda and ground rules; and

Assess options for communicating with the

Seek expert input into joint fact finding;

Seek to maximize joint gains through collaborative

Use the help of a professional neutral;

Separate inventing from committing; and

Use a single text procedure.

Specify contingent commitments, if

Adhere to agreed upon decision-making

Keep a written record of the commitments

Present approved proposal to those with the

Provide for ongoing monitoring of

Provide for adaptation to changing

Why use emotions in negotiations?

Five Core Concerns

THE ACCESS PRINCIPLES

Minimizes controversy arising from decisions;

Necessary for community support and trust;

Encourages sustainable business practices, and

THE ACCESS PRINCIPLES

Lack of information has raised public concerns,

Defining the Term

This term includes, but is not limited to, citizens,

Sets the foundation for public participation

Rio Declaration of 1992

"Blueprint for Sustainable Development,"