Democratic Dialogue: a Handbook for Practitioners

1. Democratic Dialogue:a Handbook for Practitioners OVERVIEW 2007

2. Background Development of the Handbook was based on the collaborative effort of its four institutional sponsors: • Canadian International Development Agency (CIDA) • International Institute for Democracy and Electoral Assistance (IDEA) • Organization of American States (OAS) • United Nations Development Programme (UNDP)

3. Based on common sense of important role dialogue processes can play in advancement of peace, human development, and democratic governance • 2003: institutional Community of Practice agreed to work together to gather lessons learned in their collective experience of promoting and organizing dialogue processes • The team worked for producing a user-friendly methodological tool that would help the institutions and other dialogue practitioners carry out their work in a more systematized way

4. Use of Handbook The Handbook provides: • Resource for thinking about how to use dialogue to address particular problems or bring about a desired change • An overview of the subject of democratic dialogue and essential elements, tools, methods, best practices and examples • Criteria for judging when dialogue is an appropriate approach • Advice and practical wisdom gained in the field by people using dialogue in countries all over the world • A reference work, to which practitioners can return to find inspiration, guidance, and direction to additional resources on specific topics

5. Purpose • To promote and support the wider use of dialogue to address societal challenges • To provide sufficient understanding of dialogue to enable people to determine when it is the appropriate choice – alone or combined with other tools such as negotiation or mediation – and to develop an approach responsive to the particular context • Demonstrate concretely how dialogue works and how it can make a difference in the pursuit of peace, development and democratic governance

6. Audience • Handbook is intended for dialogue practitioners: People actively or potentially engaged in doing dialogue work – organizing it, facilitating it, and promoting it within their institutions and societies • Practitioners can be organized into three broad categories: Decision makers Dialogue promoters Process experts

7. Value and Importance “(The Handbook) serves as an advocacy tool to demonstrate that dialogue can work and can be an effective enabler of social change … its main purpose is to inspire the practice of dialogue; to guide it and offer a full set of options rooted in real life experiences.” Remarks by Rebeca Grynspan, Regional Director and Assistant Administrator Launch of “Democratic Dialogue – A Handbook for Practitioners” New York, March 26 2007

8. “Throughout the world, but reflecting especially on Latin America and the Caribbean there are at least five reasons which explain the rising need for dialogue: 1. Because of democracy itself…our belief in democracy sustains the need for dialogue 2. Because of the increasing disenchantment with democracy 3. Because of increasingly weak political parties 4. The increasing social polarization which has lead in some countries to serious crises of governance and even bouts of violence and unrest 5. The winner-take-all political culture which governs many of our political systems.”

9. “For UNDP, dialogue is not merely an interesting field of work but a central piece of our way of doing our work in democratic governance, poverty reduction and crisis prevention. In this sense, dialogue is not an area of work in itself but rather a platform to enable and reinforce our work across the board.”

10. It is our sincere hope that you use this handbook as an invitation to engage in realizing the vision for dialogue spelled out by Kofi Annan when he said “the United Nations itself was founded on the belief that dialogue can triumph over discord, that diversity is a gift to be celebrated, and that the world’s peoples are united by their common humanity far more than they are divided by their separate identities. Dialogue can prevail over violence, understanding over indifference, knowledge over ignorance and prejudice.” - Rebeca Grynspan, Regional Director, UNHQ

11. CONTENTS Part 1: The Conceptual Framework Chapter 1.1 Introduction Chapter 1.2 The Need for Dialogue • The Need for a Culture of Democracy • The Need for Effective Governance Participatory Processes that Can Produce Results

12. Chapter 1.3 Defining Dialogue • Definitions Defining Dialogue as a Distinctive Kind of Process Defining Dialogue in a Global Context • Governing Principles: the Defining Characteristics of Dialogue Processes • The Dialogic Approach The Dialogic Approach as a Code of Conduct Taking the Dialogic Approach beyond Dialogue Processes

13. Chapter 1.4 How Dialogue Contributes to Change • Levels of Change • How Does it Work? The Dialogic Moment • From Personal Change to Societal Change • Conclusion

14. Part 2: Putting Concepts into Practice Chapter 2.1 Introduction • Dialogue Practitioners and the Roles They Play • The Dialogic Approach Chapter 2.2 Exploring the Possibility for Dialogue • Understanding Assessment as Intervention • Two Levels of Assessment • Full Assessment: Understanding the Issue, the Actors and the Context Parameters of the Exploration The Issue The Actors The Context

15. Engaging the Actors in Conversation • Tools for Assessment • Finding the Most Appropriate Path Forward Indicators Suggesting Ripeness for Dialogue Basic Conditions for Dialogue Checklist: A Dialogue Process May Not be Advisable if … If Not Dialogue, Then What? • Making the Case for Dialogue

16. Chapter 2.3 Designing the Dialogue Process • Basic Design Criteria • How to Proceed: Assembling a Project Team Profile of a Project Management Team • The Principle of Co-design • Elements: Decisions to be Made Defining Objectives Developing Strategy Selecting the Participants Defining ‘Third Party Roles’ Managing Information/Communication Establishing the Time Line/Schedule Mobilizing Resources

17. The Convening Process Essential Characteristics of the Convener Practitioner Tips on Enrolling Participants Six Convening Experiences • The Dialogue Process Design

18. Chapter 2.4 Implementation • Monitoring, Learning and Adapting: Keys to Success • Dialogue Events: Creating a Safe Space Logistics Venue Ground Rules • Facilitation Key Roles and Qualities of the Facilitator Roles within a Facilitation Team Impartiality and Neutrality

19. Dialogue Events: An Overview of Process Options Why Consider Process Options? Processes and Process Tools Process Tools for Large Groups • The Dialogue Journey Getting Started Eliciting Perspectives Enriching Perspectives and Achieving Understanding Framing Choices and Deliberating Deciding Implementing and Taking Action • In Between Dialogue Events Communication and Information Management Ongoing Assessment

20. Chapter 2.5 Monitoring and Evaluation • The Purpose of M&E • Five Aspects of Good M&E Practice Defining Clearly What is to be Evaluated Building M&E into the Dialogue Process Involving Stakeholders Developing Quantitative and Qualitative Indicators Balancing a Learning Orientation with an Outcome Orientation • Essential Elements of an M&E Process • Basic Steps of Monitoring • M&E Tools Structuring Periodic Reviews Evaluating and Systematizing Key Learnings

21. Chapter 2.6 Dilemmas and Challenges • Dilemmas Tangible vs. Intangible Outcomes Short-Term vs. Longer-Term Vision Working with Representatives vs. Being More Broadly Inclusive • A Challenge Moving beyond Dialogues of the Elite

22. Part 3: Applications Chapter 3.1 Introduction Chapter 3.2 Dialogue on Peaceful Coexistence, Guatemala Context Purpose The Dialogue Process Outcomes and Impact Lessons Learned Chapter 3.3 Dialogue on the Millennium Development Goals, Mauritania Context Purpose The Dialogue Process Outcomes and Impact Lessons Learned

23. Chapter 3.4 Dialogue on a Constitutional Process, Nepal Context Purpose The Dialogue Process Outcomes and Impact Appendix 1: Overview of Dialogue Initiatives Appendix 2: Process Options and Process Tools - An Overview

24. Contacts Guatemala: Democratic Dialogue Regional Project (UNDP) Sonia González, coordinator sonia.gonzalez@undp.org democratic.dialogue@undp.org www.democraticdialoguenetwork.org New York: Regional Bureau for Latin America and the Caribbean Marc-André Franche, Programme Advisor marc-andre.franche@undp.org