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1. The Water Forum Way
P L A N N I N G W I T H C O M P L E X I T Y | C H . 3 P T. 1 Judith E. Innes, David E. Booher | CMP 6240
2. Case Studies in Collaborative Rationality
Indepth, interpretive inquiry (I&B, p. 41)
Like Flyvbjerg’s phronesis without the narratology
Black box metaphor: how collaborative processes operate
Verification of authenticity during and after the process
R E V I E W O F D I A D I N P R A C T I C E
Verifying DIAD as a model
1. Context
2. How they started
3. Structure and process
4. First order results
5. Implementation strategy
6. Second and third order
effects (adaptations)
3. O B J E C T I V E S O F T H E S W F
Seven Elements
Divert more surface water
Reduce diversion impacts in drier years
Improve the pattern of fishery flow releases
Habitat management
Water conservation
Groundwater management
Successor Effort
4. Sacramento Water Forum
C O N T E X T
Flooding / Erosion
Increased water demand
Historic dam conflict
Sacramento County parks
5. C O N T E X T
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
6. C O N T E X T
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
7. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
Elected Expertise from:
Water interests
Development/business
Environment
Public
Indirect involvement:
EBMUD
Bureau of Reclamation
8. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Caucuses:
Surface water
Ground water
Demand conservation
Habitat management
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
9. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Awareness of biases
Disclosure
Transparency
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
10. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Leadership:
Susan Sherry, California
Center for Public
Dispute Resolution
Ongoing
negotiation training
Scenarios
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
11. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Helps
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
12. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Lawsuit
20 years in the making
Ruling in favor of
ecological management
Time is right for
opening the discussion
on water management
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
13. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Succession
Feedback-looping
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
14. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Sacramento County
Environmental groups
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
15. A C O L L A B O R AT I V E P R O C E S S I N S P I R I N G A D O P T E R S
The Water Forum Way
DIAD
Diversity
Interdependent interests
Authentic
Dialogue
Unverifiable
DIAD+ (SWF)
Diversity
Interdependent interests
Authentic
Dialogue
$
Catalyst
Flexibility
Political Power
Patience
16. E X PA N D E D S P H E R E S O F I N F L U E N C E F O R PA RT I C I PA N T S
BATNA Change
17. I M P L E M E N TAT I O N A N D R E S U LT S
Concurrent Adaptation
Implementation
MOU / EIR
Concurrent by agreement
Successor Effort
Results I
Flexible agreement
Innovative feedback
Spin-off river agreements
Results II
System adaptation
Successor Effort
Spin-off Transportation and
Air Quality agreements
18. Q U E S T I O N S
Discussion
What role does a political climate like California’s play in this process?
Were there any ‘losers’ in this process?
Which of the mentioned advantages worked most in favor of the process?
Notas del editor
The case studies in chapter 3 illustrate different levels of success based on the criteria of Diversity, Interconnectedness, and Authentic Dialogue. The purpose of the case studies is to observe elements of DIAD in practice with indepth, interpretive inquiry. The authors use the Black Box metaphor to describe undocumented processes and to strengthen the argument in favor of process inquiry. Process documentation helps theorists and commentators verify its authenticity. *CLICK*
We begin with the Sacramento Water Forum case study.
According to the Sacramento Water Forum website, SWF has seven key objectives:
The Sacramento Water Forum was formed following a ruling in a 20-year lawsuit brought by Sacramento County against Sacramento City in its attempt to expand water treatment operations on the Lower American River. The river has a history of erosive response to damming and leveeing, and the economic and ecological value of Sacramento County’s park system compelled the County to join forces with environmentalists to manage the river as a sustainable ecological service.
Innes and Booher’s DIAD framework consists of Diversity, Interdependent interests, and Authentic Dialogue.
The Sacramento Water Forum’s framework has the advantage of five other assets: Good budgets, a catalyst, flexibility, political power, and patience.
The participants came from diverse groups in Water, Development, Business, and Environmental organizations, as well as the public. There was indirect involvement with the East Bay Municipal Utilities District and the Bureau of Reclamation.
The inherent interdependency of interests on the team helped the group self-organize into caucuses by categories: Surface water, Ground water, Demand conservation, and Habitat management.
The team had the advantage of open-minded participants: it is reported that each member had an awareness of his or her biases. Additionally, participants agreed to disclose affiliations that had any potential to pose a conflict of interest.
The key advantage held by the Sacramento Water Forum is, in my opinion, the leadership by an expert in Dispute Resolution. With her background, Susan Sherry was able to guide the group through training, practice, and scenario-building.
The working group had good budgets, which helps.
It also helps to have a catalyst. Buoyed by the court ruling in favor of environmental protection of Lower American River ecosystems, more participants were compelled to play a part. Environmentalists, frequently up against adversarial conditions within policy exercises, hesitated minimally.
The group established what was known as a ‘Successor Effort’, intended to maintain plan continuity over time as conditions and associated workgroups change. An example of feedback looping was the innovation of water temperature regulation that helped with the decision for Sacramento City to draw water from the Sacramento River, after its confluence with the American River fork.
The political powers identified by Innes and Booher are Sacramento County and County environmental groups.
I think patience was the only thing the reader of Planning with Complexity is unable to identify without a narratological approach a la Flybjerg. It is, however, listed by Innes and Booher as one of Sacramento Water Forum’s key strengths.
The BATNA change referred to in this chapter concerns the Best Alternative to a Negotiated Agreement. Each organization’s pre-SWF BATNA is illustrated on the left. With engagement in DIAD collaboration, each stakeholder’s BATNA changes: to expand alternatives available to each organization through relationship-building.
The first and subsequent components of the SWF planning process were implemented as soon as they became agreed-to, throughout the process. This maintained the goals of the Successor Effort. This manner of component implementation produced a few first- and second-order effects:
The Memorandum of Understanding was a flexible contract enabling the concurrent implementation of initiatives and perpetual adaptability
Members agreed to a vesting arrangement that ensured agreement-specific rights would ‘run with the land’, or the water in this case.
The concurrent agreement arrangement allowed for implementations to feed-back results into the planning process for consideration in subsequent agreements.
It also left the plan open to future feedback in the form of a successor effort
The successor effort spun off additional American River agreements and inspired Sacramento Transportation and Air Quality planning processes.