Chapter 6: Process Model

Introduction

Introduction & Overview

The Process Model detailed in this chapter provides practitioners and researchers alike with a strategic and consistent approach to community-led engagement in natural resources settings.

Many of the stages, strategies, and action steps at the heart of the Process Model are built around a modified action-planning approach that will be familiar to those who have studied or undertaken action planning efforts in the past. Taken together, this model provides a snapshot to the ‘What’ and ‘When’ of your engagement strategy. Each phase, while described as a somewhat distinct step is purposefully designed to be iterative in the context of the overall process – where each subsequent phase or step builds upon, and is reflective of, the information, discussions, agreements, and priorities that came before it.

Approaching engagement strategies from this vantage point provides the best opportunity for building the learning and knowledge co-production environment necessary to ensure the priorities that emerge from your discussions are effectively grounded in the group’s collective understanding and capacity for long-term implementation.

It is important to keep in mind, however, that this Process Model should be considered as an ‘adaptive engagement’ approach to implementation. As we discussed in Chapter 5, adaptive engagement refers to the expectation that engagement initiatives adhere to evidence-based process goals while remaining as adaptive and responsive to local priorities, needs, conditions and circumstances as possible. Our process model provides the primary strategy steps you need for developing a deliberation– and evidence-based engagement process that is flexible enough to be adapted in ways that best suit your community’s specific needs and capacities.

As we’ve detailed in Chapter 2, the model is premised on working with a relatively consistent and committed group of diverse community participants – as we’ve called them, ‘leadership groups’. In this way, participants and conveners alike can collaboratively build the relationships and capacity necessary for effective action and long-term success.

Goals of the Process Model

The overarching goal of the Water for Agriculture project’s Process Model was to develop a replicable, iterative, proactive, adaptable, and action-oriented process that provided an effective structure for others seeking to develop engagement strategies in natural resource settings. It also was designed to allow us to study a consistent engagement framework and processes across multiple water and agricultural contexts and conditions.

This, of course, may not be the case for all stakeholder engagement projects. While our findings clearly highlight the value of a process built around deliberations, strong relationships, and trust – as well as a comprehensive understanding of the issues – there may be a number of structures and arrangements to achieve these same ends. Task forces, advisory groups, sub-committees, and study circles, to name but a few, all provide the potential opportunities that may be better suited to your specific issues, stakeholders, resources, limitations, and capacities.

The key, as we discuss throughout the Guidebook, is to incorporate as many of these fundamental building blocks as possible. In short, our process model – and each of the phases that comprise it – can be effectively deployed even if your initiative does not rely on a consistent leadership or coordinating group. The concepts, phases, topics, and strategies that the model is built around will provide any group with the strategy framework you will need to explore, understand, prioritize, and implement the steps necessary to effectively address the issues your group or community is most interested in.

In essence, the process model presented in this chapter, when taken together with the principles and process attributes outlined in Chapter 4 and 5 respectively, is designed to catalyze the development of purposeful approach to achieving both the social goals (relationships, trust, capacity, knowledge and trust) as well as action goals (tasks, actions steps, timelines and responsibilities) found throughout the scholarly and practice literature of engagement. As such it is designed to create the conditions necessary for long-term and sustainable success.

Process Model Variability

The variability of approaches our five sites took is illustrative of the differing ways we implemented Process Model. While each site worked within the context of a diverse and representative leadership group, in 4 out of our 5 sites, this process was a regular schedule of usually monthly meetings. A fifth site used a modified Delphi approach – essentially building out a series of iterative surveys and discussed results exploring some process model concepts.

The graphic above captures the ‘big picture’ overview of our process model and how it fits within the larger context of effective stakeholder engagement. The sections that follow address key aspects of each ‘section’ or phase of this framework – initiation, situational assessment, issue identification and action prioritization, implementation, and assessment, adaptation, and sustainability.

Flexible Facilitation

The iterative nature and goals of a process like this requires facilitators and conveners to be purposeful and flexible in their engagement design and the facilitation tools they employ. In our experience, some groups or perhaps some members within a group may not all be equally receptive to the comprehensive and deliberative nature of this in-depth process. Some, for instance, may prefer to move quickly through the situational assessment phase and move as directly as possible to ‘action’ steps. As always, facilitators need to be both adaptive and reflective enough to respond to group preferences – all while managing relationships and tasks as well as maintaining, to the maximum extent possible, the learning and capacity building aspects of the process.

A brief overview of the key goals and considerations within each phase is discussed throughout this section with worksheets and checklists to use with your group as you undertake (or adapt) each phase is also included.

It is worth emphasizing, however, that engagement projects and topics vary. Your project may require adapting this approach – perhaps adding objectives or considerations along the way, or even pausing to allow your group additional time to explore specific issues, gather additional information, foster stronger relationships, or increase your resources or capacity. We have developed this process model in such a way as to provide you with that flexibility and an evidence-based framework and foundation upon which to build your efforts.

The following sections outline the basic elements, suggestions, practice tips, and selected W4Ag examples of each stage of this process.

You will find a wide range of worksheets, checklists, and additional resources in the tabs above and the last section of this chapter.

Tools & worksheets

Preliminary Information Gathering: Key Informants and Community Perspectives

“The purpose of this worksheet is to help you think through a few of the concepts and approaches you’ll want to consider as you develop this stage of your overall engagement strategy.”

Solutions and Actions Identification Worksheet

Once you have reached a consensus with respect to your priority issue(s) you can use this worksheet as the basis for thinking through the potential solutions your group may want to develop to address them.

Stakeholder Identification Worksheet

This worksheet is designed to help you identify and match the five engagement goals to the stakeholders you hope to participate in your efforts. This worksheet focuses on helping you identify your broadly defined stakeholders and groups.

Situational Assessment Worksheet

The purpose of this worksheet is to help you consider the range of topics, issues, programs, and people you will want to explore with your participants or leadership group.

Initial Meeting Planning Worksheet

The purpose of this worksheet is to help you prepare for the initial meeting(s) with your stakeholder or leadership group.

Background Research and Information Worksheet

The purpose of this worksheet is to help you explore some of the types of data you may want to collect as you begin your engagement project. This might include technical, legal, regulatory, programmatic, or environmental data.

Implementation Plan Template

This template provides a suggested guide that can be used to collaboratively develop an implementation plan for an engagement process.

Engagement Planning Worksheet

This worksheet is intended to serve as a starting point in the development of your overall engagement plan. It is designed to provide a framework for you to increase your ability to:
• Inform citizens and stakeholders about your project and/or goals
• Gather input from citizens and stakeholders regarding their opinions and support for, and assessment of, various actions, goals, and priorities
• Help you better understand and consider citizens and stakeholders concerns, aspirations, and ideas for addressing your specific need
• Assist you in identifying alternatives, consequences, and preferred solutions
• Help you identify stakeholders groups, leaders and citizens that can guide decision-making and contribute to implementation or contributing to solutions.

Developing Effective Surveys

“This outline provides you with a range of concepts and issues you will need to explore as you consider developing a survey.”

Communications Plan Worksheet

This worksheet offers a number of prompts designed to support you in thinking through issues you will need to consider as you develop a Communication Plan for your organization or engagement initiative.