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Democratic Dialogue - A Handbook for Practitioners

InternatIonal IDea

S-103 34 Stockholm

Sweden

Website: http://www.idea.int

?is Handbook, sponsored jointly by International IDEA, the United Nations Development Programme (UNDP), the Organization of American States (OAS) and the Canadian International Development Agency (CIDA), offers a comprehensive overview of the use of dialogue processes to address societal challenges in an inclusive, democratic way that engages a broad range of actors in bringing about positive change. It is addressed to people actively or potentially engaged in doing dialogue work - organizing, sponsoring, promoting, or facilitating dialogue processes within their institutions and societies. Most importantly, it is thoroughly grounded in the experience of dialogue practitioners from around the world. ?e Handbook provides a conceptual framework that speaks to critical questions: 'Why dialogue?', 'What is dialogue?' and 'How does dialogue contribute to positive change?'. It offers a detailed guide to putting these concepts into practice, off ering practical guidance and concrete examples from the field for each step: exploring whether a dialogue process is appropriate in the context; designing and then implementing a dialogue process; and conducting a meaningful process of monitoring and evaluation throughout. A third major part of the book anchors all of this information in the reality of three fully developed case studies showing different approaches in different regions - Latin America, Africa and Asia. In two appendices, the Handbook also provides a comparative overview of more than 30 cases and a guide to the rich array of dialogue processes and process tools that practitioners can consider for use, or just for inspira tion. '?e authors of this Handbook on Democratic Dialogue have undertaken the difficult but necessary task of gathering the vast comparative knowledge accumulated in the field of dialogue and translating it into clear concepts and practical options for dialogue facilitators. Sponsored by and drawing upon the experience of three international organizations (IDEA, UNDP and the OAS) and one development cooperation agency (the Canadian CIDA), the Handbook offers helpful insights into contemporary conceptual approaches to dialogue and provides practitioners with concrete sets of options on how to design, start, convene, conduct, monitor and evaluate a dialogue process. ?e multiple options offered stem from practice, and the case studies presented . . . illustrate how these options may be applied in real life.' - from the Foreword by Lakhdar Brahimi, former Adviser to the United Nations Secretary-General ISBN 978-91-85391-94-3

9789185391943

Democratic

Dialogue -

A Handbook

for Practitioners oaS

17th St. & Constitution Ave., N.W.

Washington, DC 20006

USA

Website: http://www.oas.org UnDP

One United Nations Plaza

New York, NY 10017

USA

Website: http://www.undp.org CIDa

200 Promenade du Portage Gatineau

Quebec K1A 0G4

Canada

Website: http://www.acdi-cida.gc.caISBN: 978-91-85391-94-3

Democratic

Dialogue -

A Handbook

for Practitioners

Democratic

Dialogue -

A Handbook

for Practitioners CIDa, IDea, oaS, UnDP Democratic Dialogue - A Handbook for Practitioners

Democratic

Dialogue -

A Handbook

for Practitioners

Bettye

Pruitt

and

Philip

omas Democratic Dialogue - A Handbook for Practitioners the content of this Handbook does not necessarily reect the views of the Canadian International

Development agency (CIDa) and the Government of Canada, International IDea, the organization of american

States (oaS), the General Secretariat of the oaS (GS/oaS), and the United nations Development Programme

(UnDP), their respective executive boards, governing bodies, and/or member states. the Handbook is an

independent publication commissioned by CIDa, International IDea, the GS/oaS and UnDP. It is the fruit of a

collaborative effort by these institutions and the work of eminent experts in the eld of democratic dialogue.

© General Secretariat of the organization of american States 2007 © International Institute for Democracy and electoral assistance 2007

© United nations Development Programme 2007

applications for permission to reproduce or translate all or any part of this publication should be made to:

GS/oaS

17th St. & Constitutional ave., n. W.

Washington, D.C. 20006

USa

International IDea

Se - 103 34 Stockholm

Sweden

UnDP one United nations Plaza new York, nY 10017 USa

Graphic design by: trydells Form

Photo upper right: © Interpeace/ryan anson

Photo on the left: © arabella Cecil/Panos Pictures

Printed by: trydells tryckeri aB, Sweden

ISBn: 978-91-85391-94-3

Contents

Democratic Dialogue - a Handbook for Practitioners fi

Acknowledgements

...................................................................... xii

Foreword

................ xiii

Preface

................... xvi

Acronyms and Abbreviations

.................................................... xvii Introduction ........................................................................ ................................................................................. 1

Purpose of the Handbook

........................................................ 1

Focus on Practitioners

...................................................... 1

How to Use the Handbook

....................................................... 2

Part 1: The Conceptual Framework ........................................................................

................................ 6

Chapter 1.1: Introduction

................................................................ 7

Chapter 1.2: The Need for Dialogue

........................................... 10 the need for a Culture of Democracy ................................ 10 the need for effective Governance .................................... 14

Participatory Processes That Can Produce Results........................................................................

.. 15

Chapter 1.3: De?ning Dialogue

................................................... 19

Denitions

................................................................................ 19

Dening Dialogue as a Distinctive Kind of Process........................................................................

... 20

Dening Dialogue in a Global Context........................................................................

.......................... 24 Governing Principles: the Dening Characteristics of Dialogue Process es ....................................... 26 the Dialogic approach .......................................................... 32

The Dialogic Approach as a Code of Conduct

............ 33 Taking the Dialogic Approach beyond Dialogue Processes ............................................................ 33

Chapter 1.4: How Dialogue Contributes to Change

................. 35 levels of Change ..................................................................... 35

How Does It Work?

................................................................. 39

The Dialogic Moment

...................................................... 40

From Personal Change to Societal Change

........................ 41

Conclusion

....... 43

Part 2: Putting Concepts into Practice ........................................................................

....................... 46

Chapter 2.1: Introduction

.............................................................. 47

Dialogue Practitioners and the roles they Play

............... 47 the Dialogic approach .......................................................... 49

How to Use this Section

....................................................... 51

Chapter 2.2: Exploring the Possibility for Dialogue ........................................................................

................ 54

Understanding assessment as Intervention

...................... 54 two levels of assessment .................................................... 55 Full assessment: Understanding the Issue, the actors and the Context .............................................. 58

Parameters of the Exploration

....................................... 58

The Issue

... 59

The Actors

. 61

The Context

....................................................................... 62 engaging the actors in Conversation .................................. 64 tools for assessment ............................................................. 66

Finding the Most appropriate Path Forward

...................... 69

Indicators Suggesting Ripeness for Dialogue

............ 70

Basic Conditions for Dialogue

....................................... 71 Checklist: A Dialogue Process May Not Be Advisable If ... ............................................................ 71

If Not Dialogue, Then What?

.......................................... 72

Making the Case for Dialogue

.............................................. 73

Chapter 2.3: Designing the Dialogue Process

.......................... 74

Basic Design Criteria

............................................................. 74

How to Proceed: assembling a Project team

................... 75

Pro?le of a Project Management Team

....................... 76 the Principle of Co-design .................................................... 78 elements: Decisions to be Made .......................................... 79

De?ning Objectives

......................................................... 80

Developing Strategy

........................................................ 84

Selecting the Participants

.............................................. 88

De?ning 'Third-Party' Roles

........................................... 93

Managing Information/Communication

....................... 95

Establishing the Time Line/Schedule

............................ 96

Mobilizing Resources

...................................................... 97 the Convening Process ......................................................... 99

Essential Characteristics of the Convener

.................. 99

Practitioner Tips on Enrolling Participants

................ 100

Six Convening Experiences

.......................................... 100 the Dialogue Process Design ............................................ 103 fi ? CIDa, IDea, oaS, UnDP Chapter 2.4: Implementation ........................................................................ ...................................................... 104 Monitoring, learning and adapting: Keys to Success ... 104

Dialogue events: Creating a Safe Space

.......................... 105

Logistics

.......................................................................... 105 Venue ............................................................................... 106

Ground Rules

.................................................................. 107

Facilitation

...... 110

Key Roles and Qualities of the Facilitator

.................. 111

Roles within a Facilitation Team

.................................. 112

Impartiality and Neutrality

............................................ 112

Dialogue events: an overview of Process options

........ 113

Why Consider Process Options?

................................. 114

Processes and Process Tools

..................................... 115

Process Tools for Large Groups

.................................. 116 the Dialogue Journey .......................................................... 116

Getting Started

............................................................... 118

Eliciting Perspectives

.................................................... 121

Enriching Perspectives and Achieving Understanding................................................................... 124

Framing Choices and Deliberating........................................................................

.............................. 128

Deciding

.......................................................................... 131

Implementing and Taking Action

................................. 134

In Between Dialogue events

............................................... 136

Communication and Information Management

........ 136

Ongoing Assessment

.................................................... 137

Chapter 2.5: Monitoring and Evaluation

.................................. 140 the Purpose of M&e ............................................................ 140

Five aspects of Good M&e Practice

................................. 141

De?ning Clearly What is to be Evaluated

.................. 141

Building M&E into the Dialogue Process

.................. 142

Involving Stakeholders

................................................. 143 Developing Quantitative and Qualitative Indicators 145

Balancing a Learning Orientation with an Outcome Orientation................................................... 145

essential elements of an M&e Process ............................ 146

Basic Steps of Monitoring

................................................... 147

M&e tools

.............................................................................. 148 Democratic Dialogue - a Handbook for Practitioners fi??

Structuring Periodic Reviews ........................................................................

...................................... 149

Evaluating and Systematizing Key Learnings

........... 150

Chapter 2.6: Dilemmas and Challenges

................................... 152

Dilemmas

........ 152

Tangible vs Intangible Outcomes

................................ 153

Short-Term vs Longer-Term Vision........................................................................

.............................. 153 Working with Representatives vs Being More Broadly Inclusive ................................................. 154 a Challenge ............................................................................ 154

Moving beyond Dialogues of the Elite........................................................................

........................ 154 Part 3: Applications ........................................................................ ............................................................. 160

Chapter 3.1: Introduction

............................................................ 161 Chapter 3.2: Dialogue on Peaceful Coexistence, Guatemala ..................................................................... 162

Context

............ 162

Purpose

.................................................................................. 164 the Dialogue Process .......................................................... 164 outcomes and Impact .......................................................... 167 lessons learned ................................................................... 169 Chapter 3.3: Dialogue on the Millennium Development Goals, Mauritania ............................................. 172

Context

............ 172

Purpose

.................................................................................. 173 the Dialogue Process .......................................................... 174 outcomes and Impact .......................................................... 177 Chapter 3.4: Dialogue on a Constitutional Process, Nepal .. 179

Context

............ 179

Purpose

.................................................................................. 179 the Dialogue Process .......................................................... 180 outcomes and Impact .......................................................... 185

Appendix 1: Overview of Dialogue Initiatives

....................... 188 Appendix 2: Process Options and Process Tools - An Overview .............................................................. 214 exploration and awareness-raising: Sharing Knowledge and Ideas ................................................. 215

World Café

...................................................................... 215

Conversation Café

......................................................... 215

Open Space Technology

............................................... 215

Circle Process

................................................................ 215 fi ??? CIDa, IDea, oaS, UnDP Lekgotla Process ........................................................................ ........................................................... 216

Theatre of the Oppressed

............................................. 216 relationship-building - Working through Conict .......... 216

Sustained Dialogue

....................................................... 216

Public Conversations Project

...................................... 217

Deep Democracy

........................................................... 217

Intergroup Dialogue

...................................................... 217

Israeli-Palestinian School for Peace

......................... 218

Participatory Action Research

.................................... 218

Deliberation - Working through tough Decisions

.......... 219

Citizen Deliberative Councils

....................................... 219

National Issues Forums

................................................ 219

Citizen Choicework

........................................................ 219

Study Circles

................................................................... 220

AmericaSpeaks 21st Century Town Meeting

............ 220

Deliberative Polling

Collective action - Multistakeholder, Whole-System Change ............................................................. 221

Future Search

................................................................. 221

Appreciative Inquiry

...................................................... 221quotesdbs_dbs33.pdfusesText_39

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