CHAPTER 2 CHAPTER MULTI-STAKEHOLDER PROCESSES

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1 Notes CHAPTER 1 1 The Environment Counci, UK: Stakehoder in the wider sense of the word stakehoder refers to peope who have an interest in a particuar decision, either as individuas or representatives of a group. The United Nations on companies stakehoders: Stakehoders [of the private sector] can be identified as those individuas of groups that have an interest, or take an interest, in the behaviour of a company both within and without the norma mode of operation. They therefore estabish what the socia responsibiity of the company entais, or, at east, how they perceive it to be (UN Secretary Genera, 2000). The Word Business Counci on Sustainabe Deveopment: The broadest definition of stakehoder brings in anyone who affects or is affected by a company s operations. The key new perception is that companies need to expand the range of interests considered in any new deveopment from customers, sharehoders, management and empoyees to such peope as suppiers, oca communities and pressure groups ( aboutdfn.htm). 2 Agenda 21/Section III. Strengthening the Roe of Major Groups/Chapter 23, Preambe: Critica to the effective impementation of the objectives, poicies and mechanisms agreed to by Governments in a programme areas of Agenda 21 wi be the commitment and genuine invovement of a socia groups One of the fundamenta prerequisites for the achievement of sustainabe deveopment is broad pubic participation in decision-making. Furthermore, in the more specific context of environment and deveopment, the need for new forms of participation has emerged. This incudes the need of individuas, groups and organizations to participate in environmenta impact assessment procedures and to know about and participate in decisions, particuary those which potentiay affect the communities in which they ive and work. Individuas, groups and organizations shoud have access to information reevant to environment and deveopment hed by nationa authorities, incuding information on products and activities that have or are ikey to have a significant impact on the environment, and information on environmenta protection measures. 3 A second wordwide survey is under way as a joint project of ICLEI, Capacity 21/UNDP and the UN Department of Socia and Economic Affairs. The resuts shoud be avaiabe by December 2001.

2 298 MULTI-STAKEHOLDER PROCESSES 4 Concuding her observations, she says: It is sometimes difficut to te whether these trends are the start of something genuiney new or the ast gasps of something very od. Are they, as the engineering professor and peace activist Ursua Frankin asked me, simpy wind bocks, creating temporary sheter from the corporate storm, or are they the foundation stones of some as yet unimagined, free-standing edifice? When I started this book, I honesty didn t know whether I was covering margina atomized scenes of resistance or the birth of a potentiay broad-based movement. But as time went on, what I ceary saw was a movement forming before my eyes (p443). Kein describes the movement s agenda as one that embraces gobaization but seeks to wrest it from the grasp of the mutinationas (p445), demanding a citizen-centred aternative to the internationa rue of the brands (p446). 5 See Tannen (1998), Chapters 7 (pp ) and 9 (pp ). 6 Bahá í Internationa Community (2001). Sustainabe Deveopment the Spiritua Dimension, a statement by the Bahá í Internationa Community to the first session of the Preparatory Committee of the Word Summit on Sustainabe Deveopment, 30 Apri 2 May New York. 7 Weber (1995, p38) distinguishes between ethica-normative and functionaanaytic approaches. We ca the first vaue-based and the atter pragmatic. 8 Reinicke et a exempify this when they say: Effectiveness and efficiency cannot be the ony yardsticks in designing new governance mechanisms; egitimacy and incusion are equay important, not ony in terms of a Wetanschauung, but aso from a strategic and poitica perspective (Reinicke et a, 2000, p23). CHAPTER 2 1 Note that the definition refers to perceived incompatibiity. One outcome of an MSP can be discovering that peope s perceptions of one another and of each other s interests are inaccurate. Dietz (2001) outines the foowing factors that make environmenta probems especiay contentious: a mudding of facts and vaues; facts that are uncertain; vaues that are unformed; changes that are concrete and permanent; harm to innocents and inequities; confusion of boundaries between the pubic and the private; a confusion of competences For a critica discussion of the trisectora approach, see Chapter 3. CHAPTER 3 1 Non-governmenta organizations here mean a stakehoder groups that the United Nations recognizes as NGOs: trade unions, oca authorities, notfor-profit organizations, women, youth, academics and other stakehoders. 2 This point was made ceary in a recent artice by a eading French officia, Laurence Tubiana (2001).

3 Notes Civi society can be defined as the ream of socia activity and organisations faing outside the spheres of government and business; (o)r defined as a sectors and activities faing outside the pubic sector, and thus embracing the work of business, vountary and community organisations, trade unions, faiths, professiona bodies and consumer organisations (Word Humanity Action Trust, 2000, p35). CHAPTER 4 1 Such structuring is simpistic; we use it primariy for the purposes of presentation. Different structuring has been suggested, for exampe, by Weber (1995, p38) who asserts that normative-ethica and functionaanaytic arguments fa under the meta-criteria of fairness and competence. 2 Governance is the strategic guidance of a particuar organisation, set of organisationa reationships or network of governmenta and other institutions; governance is thus distant from the work of governments; it is a process of strategic oversight of organisations and of the impementation of their goas; governance of resource management systems refers to the ega and other institutiona arrangements for setting the broad poicies which reguate the use of resources (Word Humanity Action Trust, 2000, p36). There is a shift taking pace in our understanding and practice of governance. Governance used to be principay about what governments do. Today, the concept is increasingy about baancing the roes, responsibiities, accountabiities and capabiities of: different eves of governments oca, nationa, regiona and goba; and different actors or sectors in society pubic, private and civi society organisations and individua citizens. Governance can be defined as the framework through which poitica, economic, socia and administrative authority is exercised at oca, nationa and internationa eves. In today s word this framework consists of a wide variety of mechanisms, processes, institutions and reationships (incuding partnerships) through which individua citizens, groups and organisations can express their interests, exercise their rights and responsibiities, and mediate their difference (The Prince of Waes Business Leaders Forum, 1996). 3 We need to understand that there is much more to democracy than simpy which candidate or party has majority support.... Yes, democracy impies majority rue. But that does not mean that minorities shoud be excuded from any say in decisions. Minority views shoud never be sienced. The minority must aways be free to state its case, so that peope can hear both sides before deciding who is right (Annan, 2000). In a democracy, a power fows from the peope who are the sovereign. Democracy can therefore be truy defined as how the common peope woud ike to be governed, not how some peope, incuding eected representatives, think they shoud be governed (Peope First, Earth Charter Initiative, 2001). 4 Peope First go on to say that muti-stakehoder councis shoud become part of the mainstream governance as the constitutiona upper house at a

4 300 MULTI-STAKEHOLDER PROCESSES eves, oca, state and nationa. They can pay a major roe in promoting sustainabiity (Peope First, via 5 The authors then say that it is certainy true that peope have some interests and vaues in common, thus they organise themseves into abour unions, interest groups, corporations, and communities. At the same time, there is a great dea of confict among peope as they compete for scarce resources and power. Both of these eements are present in society and pubic participation is one of the reams where they occur (ibid, p7). For a comprehensive introduction on participation in theory and practice (on environmenta matters), see Weber and Renn (1995). Aso see the principes of good practice in participation as worked out by the NGOs in the Aarhus process (see Chapter 7). 6 In other words, aiming at muti-subjectivity rather than objectivity. Cognitive psychoogy firmy asserts that a absorbing, processing and memorizing of information of the human cognitive system is essentiay subjective. The physicist Heinz von Foerster has expressed this beautifuy: Objectivity is a subject s deusion that observing can be done without him. Subjectivity is due to perception being infuenced by a mutitude of factors which are specific to individuas and socia groups, such as: memory (previous perception and earning), motivation (objectives, interests), attitudes, vaues and emotions. 7 In its governmenta reations, justice is the giving to every person exacty what he deserves, not necessariy invoving any consideration of what any other may deserve; equity (the quaity of being equa) is giving every one as much advantage, priviege, or consideration as is given to any other; it is that which is equay right or just to a concerned; equity is a cose synonym for fairness and impartiaity, but it has a ega precision that those words have not. In ega proceedings, the system of equity, devised to suppy the insufficiencies of aw, deas with cases to which the aw by reason of its universaity cannot appy. Integrity, rectitude, right, righteousness, and virtue denote conformity of persona conduct to the mora aw, and thus necessariy incude justice, which is giving others that which is their due. Lawfuness is an ambiguous word, meaning in its narrower sense mere egaity, which may be far from justice, but in its higher sense signifying accordance with the supreme aw or right, and thus incuding perfect justice. Justness refers rather to ogica reations than to practica matters; as, we speak of the justness of a statement or of a criticism (Webster s Dictionary, 1992, p532). 8 The preparedness of peope to deveop such a new aspect of their identity (eg as a member of a certain MSP ) wi vary depending on the strength of their previous set of socia identities the stronger the commitments to the groups they represent, the ess ikey they wi deveop an additiona common identity with the new group. The strength of previous socia identities argey depends on the degree by which the respective groups differs from the majority and on its size. Members of reativey sma socia groups which are very different from the majority tend to have a stronger socia identity as a member of that group, meaning they wi not be as prepared as majority members to deveop a new identity. This is one reason why minority members are sometimes seen as keeping apart from the group.

5 Notes See, for exampe: Environics Internationa, 1997, 1998, 1999; Environics Internationa and The Prince of Waes Business Leaders Forum, 1999; Edeman News, We are arguing within the present economic framework; discussions about aternatives to the currenty dominant ibera market system are certainy necessary but not part of our considerations here. Rather, more spaces shoud be created for deiberations of such fundamenta questions as the ways in which we want our societies and the goba society to deveop, incuding their economic systems preferaby in a participatory, mutistakehoder fashion. In view of the extreme controversies that abound around this question, carefuy starting to buid such spaces and the necessary basis for diaogue seems a very timey task. 11 See aso McGee and Norton, 2000; and Eden and Ackermann, Learning aso incudes overcoming stereotypes and prejudice; this is heped by contact and coaboration a desirabe effect of MSPs. 13 See Neuberger (1996) for a (very entertaining!) account of Human Resource Management consutants as jesters and comedians at the court of corporate executive boards. 14 These are among the conditions of promoting trust isted by Renn et a, 1996, pp Aowing for participation in individua capacities can be appropriate in onine discussions with arge numbers of participants, for exampe for the purpose of scoping those aspects which peope fee are reevant to a particuar issue (eg Word Bank Deveopment Report Onine Discussion; Beijing+5 Goba Forum). It can aso be appropriate where issues are extremey contentious and the objective is not to reach an agreement between stakehoder groups but, for exampe, an independent report (eg The Word Commission on Dams). 16 Ethnic minorities: Socia groups with a socia and cutura identity distinct from dominant society. They have been historicay disadvantaged; come from non-dominant sectors of society; have ow socia, economic and poitica status; and are determined to preserve, deveop and transmit to future generations their ethnic identity as the basis of their continued existence as peope (WCD, 2000, p345; Gossary). 17 We use the term minorities to refer to minorities in power and/or number. A singe person can represent the most powerfu stakehoder or be the best prepared participant and thus dominate a group; and a arge number of representatives of a poweress stakehoder group can have no infuence on a process. 18 For exampe: The WCD chose the format of a sma and excusive Commission, accompanied by a arge and incusive Forum which served as a sounding board. At the Bergen Ministeria Diaogues, women contributed to the preparatory papers of the NGO group as the number of groups aowed to prepare papers was imited. 19 Edwards goes on to say: but there are different ways to vaidate these things: through representation (which usuay confers to the right to participate in decision-making), and through effectiveness (which ony confers to the right to be heard). Legitimacy in membership bodies is caimed through the norma democratic processes of eections and forma

6 302 MULTI-STAKEHOLDER PROCESSES sanctions that ensure that an agency is representative of, and accountabe to, its constituents... By contrast, non-membership NGOs define their egitimacy according to ega compiance, effective oversight by their trustees, and recognition by other egitimate bodies that they have vauabe knowedge and skis to bring to the tabe (Edwards, 2000, p20). 20 This woud incude the group answering satisfactoriy such questions as: Who contros the resources? Who determines the criteria? Whose institutiona capacities are deveoped? Who wi own the history of the experience? (Pate, 2000) 21 Important psychoogica aspects have been brought into the discussion, for exampe, by Watzawick et a (1967) who put forward a number of axioms of communication (excerpt): You cannot not communicate: meaning that even when we do not want to communicate, the mere fact that we are not communicating does transmit a message. Every communication has a content and a reationship aspect ie one referring to the content of the message and one referring to the reationship between the persons communicating. In a way, the atter determines the former and thus constitutes some kind of meta-communication. More importanty, the two are not aways in accordance for exampe, peope can convey an unfriendy message in a friendy tone. To carify these eves and estabish accordance, expicit meta-communication communication about communication is an important too. 22 For exampe, the CSD in 1999 brought together stakehoders from a wide range of backgrounds to discuss sustainabe tourism for the first time at a goba eve. This posed a chaenge to a invoved and was successfu at east in the sense that it created a diaogue where peope started to isten to each other s viewpoints. 23 The term minorities can refer to smaer groups ( minority in numbers ) or groups of ess status and power ( power minorities ). 24 This has been pointed out in many pubications and by many interviewees whom we consuted. For exampe, the UK Coaition Against Poverty (UKCAP) taks about how genuine participation demands a huge change in attitudes and behaviour by poicy makers and professionas. 25 Renn et a (1995) have based their evauation of modes of environmenta discourse on Habermas work. They provide one of the very few practica approaches to anaysing pubic participation mechanisms firmy rooted in state-of-the-art theory of communication and diaogue. The book is an exceent source for the purposes of deveoping design concepts for MSPs. Other authors have aso empoyed the Habermas approach of the idea speech situation to deveop criteria that measure the performance of pubic participation discourse (see Renn et a, 1995). Note, however, that the approach has aso been anaysed as cuturay specific. 26 Habermas refers to communicating as communicative action to stress that he is concerned with what peope do in discourse. 27 Habermas asserts that every speech act makes a vaidity caim, saying that as part of the underying normative agreement that makes speech possibe, a speaker who makes an assertion impicity presupposes that

7 Notes 303 the vaidity caim can be verified to the satisfaction of a participants (see Weber, 1995, pp43 44). 28 Dietz adds a fifth criterion: making the most efficient possibe use of resources, a standard criteria of wefare economics and utiitarian ethics. 29 We have chosen to use the term consensus-buiding instead of consutation. 30 Note that this deas with investigating the truth, not finding it, hoding it or naming it. The Bahá í concept recognizes the subjectivity of interpretation (eg of hoy texts) and hence no one is permitted to caim having found the true interpretation of a hoy text. Ony the text itsef has truth (to the beiever); upon reading it, a peope necessariy deveop a subjective refection of the text. 31 Bahá ís aso strongy support consutative mechanisms of participation around governments and intergovernmenta bodies: Institutions and those in positions of authority woud do we to create conditions amenabe to the meaningfu investigation of truth, whie fostering the understanding that human happiness and the estabishment of peace, justice and unity are the utimate goas of this investigation (Bahá í Internationa Community: Consutation). CHAPTER 5 1 Thanks and acknowedgments go to Dr Dieter Beck, Forschungsinstitut fuer oeffentiche Verwatung, Speyer, Germany; Prof Dr Kaus Jonas, Technica University Chemnitz, Germany; Prof Dr Oswad Neuberger, University of Augsburg, Germany; Dr. Kai Sassenberg, Friedrich Schier University Jena, Germany; Prof Dr Erich Witte, University of Hamburg, Germany. I aso thank Minu Hemmati, Chris Church and Nader Farahwaschy for their critica comments on a draft version of this chapter. 2 Socia psychoogy: The scientific study of the effects of socia and cognitive processes on the way individuas perceive, infuence, and reate to others (Smith and Mackie, 2000, Gossary). Organizationa psychoogy can be defined as a speciaized and appied fied of socia psychoogy, focusing on the specific socia context of organizations such as private sector companies, pubic administration bodies and vountary sector organizations. 3 Based on the review of research undertaken since Sherif and Sherif s (1953) summer camp experiments, Smith and Mackie (2000) summarize the conditions for successfu cooperation between groups: a vaued common goa, which eiminates competition for materia and socia resources; repeated opportunities to expose and disconfirm out-group stereotypes; successfu resuts; equa partners, at east for the task at hand; and shared socia norms. 4 Socia Identity Theory (Turner et a, 1987; Tajfe and Turner 1979): Socia Identity Theory (SIT) is one of the few socia psychoogica theories deaing

8 304 MULTI-STAKEHOLDER PROCESSES with individua (psychoogica) reactions to socia/societa reaities. SIT describes society as composed of socia groups or socia categories rather than as individuas. SIT asserts that individuas party perceive themseves as members of socia groups or categories and are perceived as members of socia groups by others. Different socia groups differ with regard to their resources or status. Individuas are aware of their group membership and its socia consequences. Low socia status can ead to a threat of a positive socia identity which individuas desire. Therefore, ow status groups (minorities in power or number) strive for increased socia identity. SIT describes various ways for individuas and for groups to achieve positive socia identity for exampe, through discriminating against groups of higher status. In other words, group membership wi dominate the individua perception of onesef and others and be the main source of identity. Attention wi be focused on the conditions that sustain or modify the boundaries between groups (the status and power of different groups, the egitimacy of these variabes, the boundaries between groups). Socia context is of the utmost importance (groups are in dynamic states of aiance or confict). The context determines whether, at a given moment, peope consider themseves as members of a specific group. For exampe, a certain socia categorization such as ethnicity can be more or ess saient (ie obvious) and therefore more or ess important for perception and behaviour in different socia situations (Hemmati et a, 1999). 5 A bias can be defined as a predisposition, an incination or prepossession towards an object or view. 6 This recommendation is rooted in symboic interactionism (Bumer, 1969; Charon, 1998) and socia constructionist approaches (Gergen and Gergen, 1988) which assume that perspectives on reaity are being negotiated, thus representing a resut of socia interaction. 7 Group dynamics as an area of research was born in the ate 1930s it endorsed beiefs in the coective strength of peope and the vaue of cooperative interaction (Phiips and Wood, 1984). CHAPTER 6 1 A the peope who have contributed to obtaining that information are isted in Appendix VII, aong with other peope who commented on drafts, gave guidance on various chapters, etc. CHAPTER 7 1 Aso see Reinicke, 2000, who identifies four key chaenges raised by nonstate actor invovement in pubic poicy networks: the seection chaenge ; the incusion chaenge ; the asymmetric power chaenge ; and the egitimacy chaenge. 2 Aso see the AA1000 Standard deveoped by the Institute of Socia and Ethica Accountabiity which requires that a management system documents the ways in which stakehoders were identified (see Bende, 2000b, p2).

9 Notes Such poitica decisions aso reate to institutiona changes for participation, on which there is yet itte research. Some is under way, eg at the Institute for Deveopment Studies in Sussex, UK (The Participation Group, eg Estrea, 2000), and shoud be considered. It wi be important to know more about what has the institutionaization of participatory practice. There is aso a need for open spaces for refection and anaysis within organizations seeking to set up participatory mechanisms (such as the United Nations and its agencies, government departments, etc). 4 This is, in fact, very much in tune with the recommendations coming out of famiy and marriage therapy the most important phase is the first one, when peope are asked to deveop their definition(s) of a probem. It forces peope to isten carefuy and to roe-take. Experiences have shown that investing time and effort in this phase is a crucia success factor. 5 Standard socia high impact categories are gender, ethnic group membership, age. For MSPs in the area of sustainabe deveopment, high impact categories are a Major Groups as of Agenda 21. However, depending on the issue, some Major Groups need to be differentiated into severa high impact categories such as deveopment and environment NGOs, or deveoping versus deveoped country NGOs, and others. 6 Reinicke et a (2000) discuss the operationa and participatory gaps in governance that Goba Pubic Poicy Networks (in many ways simiar to MSPs) can fi. 7 UNED Forum is an exampe, operating domesticay within the UK (as the UNED-UK Committee) and internationay. It has a UK-based mutistakehoder Executive Committee, with members being eected or appointed within their sector and term imits, and an Internationa Advisory Board with representatives of the key organizations from a sectors, aiming at regiona and sectora baance, and with newy introduced gender baance requirements. 8 Eden and Ackermann (1998), for exampe, have been deveoping the technique and suitabe software for mapping procedures and work on the basis of 20 years of research and practica experiences. The authors use mapping procedures for organizationa strategy deveopment. For exampe, they conduct interviews with a executive members before a strategic board meeting. These are then transated into individua maps (and checked back) and meta-maps. Both become the basis of the strategy discussions among the board. It is interesting to see how many differences in board members views of the overa purpose of a company and suitabe strategies to pursue them can be uncovered through this technique for the benefit of we-informed discussions in the group. 9 See Markowitz (2000) for a detaied description and exampes of creating community visions in Loca Environmenta Action Programmes in Centra and Eastern Europe; see Reinicke et a (2000, pp65) for exampes at the goba eve (WCD; Goba Water Partnership). 10 See, for exampe, Knowedge Transform (2001), Whiffen (2000). 11 Powerfu peope tend to speak more and more assertivey, criticize more, interrupt others more often and generay exert more infuence (see Chapter 6). Often, powerfu participants wi aso seek to marginaize the message of the minority if it threatens their sef-interest. They may aso

10 306 MULTI-STAKEHOLDER PROCESSES attempt to marginaize the messenger and undermine the status and credibiity of minority representatives. In such cases, diaogue is not what it shoud be but becomes a temporary anti-depressant or sedative, buying time for the powerfu to act with impunity (Frankin, 1999). 12 See Markowitz (2000, p155) for a brief and practica anaysis of various decision-making rues and their impications for high- and ow-stake decisions. 13 If marketing and PR speciaists are abe to se consumers (us!) the second car or refrigerator and many other items we don t actuay need, they shoud aso be abe to se issues of sustainabiity and governance. 14 See Markowitz (2000) guide to pubic outreach campaigns as part of his Guide to Impementing Loca Environmenta Action Programs in Centra and Eastern Europe, a detaied and practica resource for stakehoder participation processes at the oca eve. A training manua for faciitators wi be avaiabe in ate 2001.