Process Monitoring (Prom) Work Document for Project Staff

This guide was developed with substantial support from PICOTEAM member Dr. Thomas Schwedersky who was the responsible GTZ- Manager of the NARMS project.

Process Monitoring (ProM) Work Document for Project Staff

Correct Citation: Zimmermann, A. and M. Engler (authors), T. Schwedersky and O. Kakoschka (eds.) (1996) “Process Monitoring (ProM): Work Document for project staff”, Supraregional Pilot Project Natural Resource Management by Self-Help Promotion (NARMS), Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ), Germany, Bonn: 125 pp. http://www2.gtz.de/dokumente/bib/96-1351.pdf 402/96 22e NARMS Department 402 Environmental Protection, Conservation of Natural Resources, Dissemination of Appropriate Technologies (GATE)

Process Monitoring (ProM)

Work Document for project staff

Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH 402/96 22e NARMS Department 402 Environmental Protection, Conservation of Natural Resources, Dissemination of Appropriate Technologies (GATE)

Process Monitoring (ProM)

Work Document for project staff

Pilot Project Natural Resource Management by Self-help Promotion (RMSH) Published by: Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH Postfach 51 80 D-65726 Eschborn Federal Republic of Germany Tel.: (+49) 6196 79-0 Fax: (+49) 6196 79-11 15

Department 402, Environmental Protection, Conservation of Natural Resources, Dissemination of Appropriate Technologies (GATE)

Pilot Project: Natural Resource Management by Self-help Promotion (NARMS) Wachsbleiche 1 D-53111 Bonn Federal Republic of Germany Tel.: (+49) 228-98 57 00 Fax: (+49) 228-98 57 018

Compiled by: Arthur Zimmermann and Markus Engler – KEK/CDC Consultants Edited by: Thomas Schwedersky, Oliver Karkoschka Translated by: J. Tazir Contents

Foreword 1

1 How to read and use the Document 3

2 Introduction: process steering 5

21 What is process monitoring (ProM)? 5

22 Which processes do we mean? 7

23 What are the benefits of participation? 8

24 The four basic activities of ProM 9

25 The levels of action of ProM 10

3 Key messages and questions 13

31 The project stage 13

32 Changing perspectives 14

33 Tools 15

34 Information 16

35 Project logic and ProM 18

4 Where to start and how to approach the problem 19

41 Landmarks 19

42 On selecting processes 21

43 The right point in time 22

44 Results-oriented monitoring and ProM 23

5 Six fields of observation and tools 24

51 Tasks and roles 25

52 Learning 27

53 Performance of organisations and groups 29

54 Cooperation between groups and organisations 31

55 Conflicts over scarce resources 33

56 Strategies for action 35

6 List of tools 37 Foreword

The Process Monitoring/ProM Work Document is a product of the supraregional NARMS pilot project of the GTZ. The project is designed to strengthen and enhance participatory and self-help approaches in natural resource management projects, thus helping promote their sustainability.

What is ProM? The Document is aimed primarily at the staff of organisations Process Monitoring is a term directly involved in projects of international cooperation. used in professional jargon Secondly, it is designed to assist those who facilitate, advise to denote the careful and systematic observation of on and help steer these projects from a distance. In these the activities of a deliberate two roles we are both actors in and observers of the selection of processes, processes of technical and social change initiated and enabling us to consult with supported by projects. others on those processes, and learn how to steer them. The involved actors perceive and judge these processes differently. Process Monitoring therefore rests on a fundamental attitude based on mutual respect and goodwill, across all divides of authority and power. Moreover, we have to accept that we often miss a great deal, that intentions and interests are often negotiated backstage of the arena, to which we have no access. Bearing that in mind, if we still wish to understand actors’ motives when they appear surprising, and create fresh scope, then we will need to adopt a circumspect and sensitive approach.

The ProM Document makes two assumptions of the reader: we assume that you will search in six fields of observation for possible ways to systematically observe processes in which you are involved. And we assume that you will set-up a process monitoring system in the context of your own work which is in tune with the situation in which you find yourself.

Action and reflection form an With regard to the first assumption: we have defined the six iterative loop: fields of observation on the basis of an evaluation of our We know that what we want to achieve is brought about in experiences. We know there are others. the first place by our actions. Reflection alone is not With regard to the second assumption: in view of the different enough. But we also know circumstances under which you work, and the aims of natural that reflection on our actions resource management projects, it seemed to us more and achievements is a appropriate to offer you a number of different routes - as necessary precondition for circumspect action in a highly opposed to a prescribed formula. What we mean by that is: complex and dynamic con- you ultimately have to decide with whom and on what you text. wish to reflect on a selective and regular basis. ProM is about this selection of iterative loops.

The elaboration of this work document was and is designed as a learning process. Benchmarks of this learning process were:

1 · Need assessment with GTZ-desk officers and project staff and evaluation of experiences (2-5/95) · Elaboration of a discussion paper (6+7/95) · Expert consultation with GTZ-desk officers, -project staff, a German Development Service-desk officer and external resource persons (7/95) · Elaboration of a concept for the work document (8/95) · Discussion on the concept in the NARMS project advisory council and in the informal working group (9/95) · Elaboration of the draft of the work document (10+11/95) · Discussion of this draft in the informal working group (12/95)

For precious contributions to the work document we thank the participants of the expert consultation and the members of the informal working group: Dietrich Burger, Reiner Forster, Anne Hahn, Ulrich Hösle, Alois Kohler, Harald Lang, Rudolf Rogg, Christina Scherlre, Ann Waters-Bayer and Marion Winkelmann.

This learning process will continue. The focus will now shift to the level of those projects who are interest to gain practical experiences with the work document "in process". The respective experiences should be jointly evaluated and conceptualized. According to the needs of the project staff, an improved version of this work document might be elaborated.

Thomas Schwedersky Oliver Karkoschka

Bonn, Mai 1996

2 1 How to read and use the Document

The term steering can mean different things, especially where development processes are involved. It implies that we have something "under control“. This is certainly not the case with TC. Which includes projects pursuing the NARMS approach.

In our work we deal with changing problems and interests. As a rule, we find it difficult to admit that we understand only little, that we are mistaken, that we are taking decisions based on inadequate data, and that we barely understand the complex, The first time we interact with dynamic processes in which we are involved. The ProM a new environment, knowing Document is designed to encourage us to make these barely anything of our part- admissions. We ourselves have to develop the confidence ners’ intentions and wishes, needed for that. we make the mistake of applying our own "standards" to interpret and explain situ- The basic understanding of development and steering on ations. This is a trap. which the ProM Document is based invites you to do three things: We invite you to get into the habit of stepping back and taking a detached view of your own role; we invite you to think in terms of processes; and we invite you to inquire as to the fundamental values of development. Let us cast light on that with a few questions:

(1) We need to ask questions of ourselves. What am I doing here in the first place? What is the point or purpose of my actions? Who understands that? Who is interested? What is going on around me? What processes am a part of? Which processes am I promoting or slowing down? How interested am I in other interpretations of the situation? How do others see me? What is expected of me, and by whom? Which roles do I find difficult/easy? How do I make myself superfluous? r The Document will be of (2) We question the relationship between the head, the no use if we heart and the hand. · try to copy solutions in- What significance is attached to my actions and the actions of stead of working them others? On what desires and visions are those actions based? out, How do others interpret the causal relationships I believe I · apply tools mechanically, i.e. without understanding see? What impacts do the explanations we construct have on how they work, our willingness to act, and on interests and intentions? How do · look for tricks, explain complex processes of social and technical change? · are unwilling to take risks What can I learn from my partners? and learn. (3) We need to ask what development means. What have we taken on? Are our plans in harmony with the ambitions, aims and visions of our partners? What are we contributing to? Which decisions brought us to where we are now? How far have we got? What do we conclude from that? What else needs to be done? What are we going to do?

3 Projects and programmes of TC are planned and implemented by numerous organisations within a decentral system of cooperation. Consequently, they cannot be steered by one organisations from one point in time and space. Steering r Projects emerge from a therefore means negotiating which route we want to take. We process of reform. We can involve our partners in this steering process, and we can participate in our partners' participate in their steering processes. This will involve processes of change. And changing locations and perspectives, a point we touch on we involve our partners in steering support of those repeatedly in this Document. processes. The ProM Work Document is not a set of technical directions for use; it can only supplement existing experiences. It is the reader who fleshes it out with content and direction. For instance when you ask yourself which processes in your life you have experienced, helped shape or suffered. Or by drawing your own learning tree. Where am I coming from? When did I learn something crucial? Which way did I go at the various cross-roads? Which landmarks did I leave behind?

The ProM Work Document contains tools, which can also lead to blind activism. This is not our intention; we wish to invite you to act cautiously and with circumspection: you yourself have to decide what is appropriate, beneficial and reasonable in your particular situation. - We hope that you will apply one or other of the tools. Please don't expect things to work at the first attempt. Don't put all your eggs in one basket. Adapt the tool to your needs, and give it a number of tries! - Start with what you know:

· Which tools have you seen before? · Which have you already used? · What other instruments are you familiar with? · Which tools do your partners in cooperation know and use? · What do you feel capable of? r The Work Document is The ProM Work Document is not a "golden path" from the first not a substitute for · putting thought into find- to the last page. If you browse through it forwards and ing your own solutions, backwards, picking out what appears useful to you, then · other literature. you will be using it as we intended. It all depends on the situation in hand: When the time seems right, you can pick up on a selected process field.

4 2 Introduction: process steering

21 What is Process Monitoring / ProM?

As you read this first introductory sentence, you can decide whether you want to carry on reading or not. If you were to stop reading here, and flick through the Document until you found something you wanted to continue reading, this would Thousands of years ago, be one way of steering the reading process. labyrinths were being scribbled on rocks in Whether you continue reading or not, what you have done can Sumatra, India, Scandinavia, be called "process monitoring". Reading is a fairly complex by the Hopi Indians in North process of information intake and information processing. On America, and in Crete. The idea of a building in which the basis of your own criteria and assumptions, you have one loses one's way, or a observed, assessed, discontinued or continued the process. path ending in the darkest Later, you might perhaps find that you made a mistake. depths of madness or the saving grace of enlighten- By this we mean that you yourself define "process monitoring". ment, is a metaphor of life You decide which way to go as you move around in the itself. labyrinth. You walk into an unknown world, are confused, and make discoveries. Labyrinths are images representing complexes processes of searching, which we rephrase as "learning". We learn when our curiosity is aroused by fresh "We go wrong and are wiser stimuli as we move on through our experiential world, but often after the event!" the shortest route takes us no closer to the target. As This truism sums up process everyone knows, to get to know a place really well it is monitoring in a nutshell: we necessary to have taken a good number of wrong turnings. gain experiences, and reflect on them. What questions did we ask ourselves when drawing up this Work Document? This is best explained by way of an example:

In a village forest management project, user groups form r Which processes are which negotiate with the government forestry service the involved here? arrangements for management of a large area of forest owned · division of tasks by the local government. On paper, everything appears · learning of new tech- straightforward at the first glance: competences for logging niques and afforestation, extensive management of the forest margin · adoption of new forms of zones, consensus-based monitoring of sustainable manage- cooperation ment. Shortly thereafter, two systems of forest management · coordination between emerge which operate in parallel: on the one hand, a small institutions powerful group of families continue to use the forest as before. · power conflicts Their family connections are far-reaching: they extend as far · action strategies as the government forestry service, political parties, and even reach as far as haulage and construction companies. Their preferred forms of forest use also include slash-and-burn, and commercial logging.

5 On the other hand, the organised members of the community are using the forest for firewood and construction timber, operating a large tree nursery, and are taking on afforestation and forest tending work. They accept periodic monitoring by the government forestry service, and maintain a delicate balance in their activities towards the more powerful user group which, on the basis of a old unwritten law, allocates them marginal zones for grazing purposes. Major logging activities do not come to their attention until the wood has already left the valley.

In everyday practise, process The processes mentioned in the example are spasmodic, and monitoring activities are a open-ended: the project plans make no mention of two forms matter of course. We ob- of management operating in parallel, and we do not know how serve ourselves and others, we continuously steer our the forestry service, the local authorities and the village behaviour on the basis of population will behave in future. In other words: we often have these observations, we to deal with unexpected events, and find a path to take us reflect on our lives and are through the confusion of experiences and norms, which we constantly reconstructing also at the same time have somehow to comply with. our own life histories. We can observe, reflect on and influence the processes outlined above, but they cannot be reversed: we will never be able to jump into the river of time twice at the same place. r Processes are sequences The example outlined above show two basic characteristic of states in time. They features of processes which - in contrast to the controlled are initiated, influenced, kind of production processes encountered in a factory - are suffered, observed, dealt with here: measured and described by people. People construct explanations of · We cannot observe and talk about the totality of interwoven those processes, which events taking place at the same time. guide their actions. · The particular geographical perspective and interests of each observer make his or her perceptions partial, representing only one section of reality.

In a natural resource management project it is therefore appropriate for us to select specific processes (e.g. the dialogue between the forest administration, beneficiary groups and local authorities), to observe their development and impacts, and to learn from those observations. r Process monitoring is a The term process monitoring is used in professional jargon to management instrument denote the activities of consciously selecting processes, such as planning or results-oriented controlling. selectively and systematically observing them so as to It is there to help steer compare them with others, and communicating on that in those processes in which order to learn how to steer and shape the processes. we participate to achieve common goals.

6 22 Which processes do we mean?

Natural resources (water, soil, forest, biodiversity etc.) form the base on which all life forms depend. When people use these resources, they simultaneously change the ecosystem, their social relationships and themselves. Such processes of change are initiated, speeded up, slowed down or prevented by projects pursuing the NARMS approach.

Moving away from the actors and towards the tasks of ProM, we see that we are dealing with processes which take place initially irrespective of whether a project exists or not:

r The actors construct within their own life space concepts of human ecology to describe or explain the relationship between humans and their natural environment, and the degree to which the natural resource base on which their These processes are initi- life depends is finite or renewable. ated, influenced, suffered, observed, described and r The actors decide to pursue certain forms of management measured by people. Those based on their traditions, their knowledge, their experience people construct explana- and the anticipated benefit. tions of these processes, r The actors use techniques of natural resource manage- which in turn steer their ac- ment, and learn to apply new techniques. tions. People's capacity to r The actors declare (irreconcilable) claims and interests vis- act is determined both by these constructs, and by the à-vis the forms of use, elaborate rules and pass laws to respective social and insti- govern rights of use. tutional environment. r The actors define roles and delimit the freedom of action. r The actors keep or break the rules, and negotiate sanctions. r The actors learn to deal with the conflicts associated with the access to or use of scarce resources, either by solving them through agreement, or discontinuing the cooperation. r The actors adapt their organisations in line with the calcu- lated benefits, the environmental trends, the available technologies, and the forms of cooperation.

Projects pursuing the NARMS approach intervene in these endogenous processes. Ideally, they do so - in line with the guiding principle of minimum intervention - by focusing on the elimination of limiting factors, and by enabling their partner organisations to solve their own problems self-reliantly.

The processes involved in natural resource management have one characteristic feature in common: they are socio-technical processes. In other words, real economic output and the application of technologies are linked to individual, social and organisational relationships and learning processes.

7 23 What are the benefits of participation?

Experiences gained in projects pursuing the NARMS approach indicate that the systematic observation of processes of change, reflection on those observations and the corresponding steering of those processes are key tasks to identify sustainable, ecologically-sound and locally-appropriate natural resource management forms. ProM gets people on board. There is no other way to ac- Through projects we initiate processes of technological, social cess the experiences and and organisational change, and we ourselves are actors in action strategies of the those processes which we influence and steer more or less actors. And there is no other way of achieving more self- consciously. Whatever we move, we at the same time reliant steering and greater intervene in technical, human and organisational structures. assumption of responsibility. We therefore use the term socio-technical systems when the By definition, participation is focus is on technical innovations. This always involves people. an integral component of They decide what is to be changed, when, and how. ProM. It is therefore essential that we approach process monitoring together with the actors, that we seek their participation. This might not be easy, but it does have many advantages: rNon-specific participation by everybody in everything · We gain access to the perceptual world and experiences of prevents clarity and transparency. Differences the actors. in interpretations, inter- · We identify the various interests and action strategies of ests and positions of groups and organisations. power do not become · We become familiar with the passive and active resistance apparent unless we ad- to processes of change. dress them and do not · We promote the willingness of the various actors to respect gloss over them. This different viewpoints. often means we are · We elaborate practical solutions based on the experiences forced to work first of all and action strategies of the actors. with groups which have the same interests. · We promote the assumption of responsibility. · We simplify complex and dynamic processes, which facilitates communication with the actors. r ProM promotes the Process monitoring is participation-oriented. Participation in quality of cooperation when it succeeds in the systematic monitoring of processes is designed to promote defining the division of the autonomy and self-responsibility of the actors. tasks and roles among the actors with the least The very mention of the word participation raises the issue of possible input. In extreme power: Who decides who may or should participate? Which cases, such clear definition leads to the co- decisions will the actors be involved in? What influence will we operation being discon- have over their selection? Is it appropriate, and are we willing, tinued; as a rule, it pro- to declare openly our interests in exercising that influence? motes and consolidates both the cooperation and the performance capability of the participating groups and organisations.

8 24 The four basic activities of ProM

Process selection, observation, reflection and process steering are the four basic activities of process monitoring. In relation to this sequence, the following questions might for instance arise: We need to question our eyes, so that we can start to see more clearly.

Process selection r Where do we direct our attention? r With whom do we wish to select important processes? r How does that relate to our objectives?

Action r What do we want to r ProM comprises four do differently than basic activities: before? r What do we hope to · process selection achieve by that? · observation Observation r Who can support us? r What are we able and · reflection inclined to observe? r Who should do the · action observing? r How can we measure and represent what we wish to observe? r How can we present the information accessibly?

Reflection r What turned out differently than we thought? r Which aspects of our approach proved their worth? r With whom do we wish to exchange our observations?

9 The sequence process selection - observation - reflection - action requires coordination: we need to know when we have r ProM is driven by syste- to get together with whom and why. A core task of process matic observation and monitoring is therefore to organise and - again on the basis reflection: of observations - steer this meta-process. The quality of ProM is dependent on this being done regularly and syste- · What (which processes) do we wish to observe? matically. · Who is observing whom? · What can we conclude To ensure that the Work Document retains its practical from that? orientation towards introducing ProM, a line needs to be · What will we change on drawn at this point: the fourth step, i.e. action, will not be a the basis of our obser- major topic of the Document. The window on issues of vations? process steering will be opened if at all by way of examples, and in the presentation of the tools.

The observation of selected processes requires at least a minimum systematic approach: · The processes must be observed at different points in time, so that changes become evident. · The observations made by different actors at different locations must be comparable. · The observations must be based on the assumption that they will be beneficial for decision-making.

25 The levels of action of ProM

Process monitoring can be set-up at various levels, and can address the interplay between these levels:

· an individual activity within a project, e.g. tree nursery · relations of cooperation within an organisation, e.g. between extension team and management of the forestry service · cooperation between various actors, e.g. local government, r Projects aim to achieve forestry service, user groups, project team certain goals, and in- · institutional and socio-economic environment, e.g. effects evitably narrow down the of import restrictions or trends of national programmes field of vision. To overcome this "tunnel vision", ProM also needs to take In practice, ProM operates on all levels: usually we observe into account the wider both processes closely related to projects, and processes context. related to the wider context. ProM which is narrowly focused on project objectives turns into a trap: we dig a tunnel and lose sight of the mountain, we ignore the tremendous tectonic forces in play all around us.

10 The levels move at different speeds, and are interconnected like spiral staircases. The basic features of ProM are the same r ProM links the micro- and at all levels. In practice, however, different terms are used: macro-levels. project ProM; strategic ProM (for context monitoring).

Context: socio-economic, political and institutional changes and trends

Relations of cooperation between the project actors and other institutions

Cooperation among the actors within the project

Individual activity

r As a rule, context moni- We can observe processes taking place within the wider toring is designed to pick context. The difficult thing is to define what we mean by the up the signals for early term wider context: each project defines its own context. recognition of trends, so as to steer entire programmes. Using a small The levels are linked by two interlocking processes: number of key indicators derived from the assump- · bottom-up: the evaluation of experience, and translation tions of a project, for in- thereof into policies, norms and rules. stance, we are able to · top-down: formulation of policies, elaboration of norms and observe such trends and rules, and the monitoring thereof. ask ourselves which processes these developments are promoting, As a rule, we observe processes within an operational project building up, speeding up cycle, from planning via implementation through to evaluation or slowing down again. (including results-oriented M&E). To take into account the perspectives and interests of the various actors, we need to look beyond this cycle. What this means is: various groups of actors observe, reflect on and steer what we can term their projects. The standard construct project then breaks down into a number of projects or sub-projects of individual actors. Seen from this angle, the project then resembles a platform on which we need to negotiate joint projects with the actors.

11 Actor B

Actor D Actor A

Actor C

ProM can embrace one or two of these sub-projects; there is no such thing as all-embracing ProM. That would be neither appropriate nor economical, and is quite simply impossible. As this observation is per se of little help, we have dealt with the issues of where to start and possible ways to approach the problem in Section 4.

When selecting the processes, it is a good idea to first ask where we are at present: · at which level do we wish to focus ProM? · with which actors are we going to begin ProM? To achieve sustainable change, we must also devote some thought to the interplay of levels.

12 3 Key messages and questions

31 The project stage: where are we?

Projects create a framework for communication - as on a stage: we negotiate objectives, take decisions, define responsibilities and scope for action, try out new forms of cooperation, make pledges and enter into agreements.

We often deceive ourselves about the viability and binding character of agreements concluded in spite of large power As everyone knows, every gaps. Agreements are useful, but trust is essential. The stage has a backstage area. barriers to communication which exist everywhere can only There, alliances are forged be overcome in face-to-face situations, however. These also and roles negotiated. Friend- express various aspects of a relationship: predictability, liking, ships, rivalries and intrigues common interests and a sense of humour. emerge. A TC project places only a thin, brittle veneer of rules and agreements over the live scene of cooperation. The characteristic feature of the production is that the actors create an artificial reality: they invent an outside word which is favourably disposed or hostile, they invent their own r Power gaps create organisational theory on which they base their behaviour, and stigmas. They pervade they admire or disparage events within the organisation. all social relationships. Organisations are a dance floor for social intercourse, for the Not even participatory assertion of claims, for power games and conflicts. The methods can obscure dancers do battle for status and symbolic power, and grapple this fact. for power to define. r When we are denied ac- Whilst we shine the limelight on the actors at the front of the cess to the backstage stage, the most crucial goings-on remain in the shadows area, we use our imagi- backstage. Often we simply don't have a clue. This is difficult nations and projections to to bear when we have grown accustomed to always having an supply the information we lack: we invent someone answer straight away. pulling the strings, and come up with conspiracy Key questions theories, or put things ê What is the issue at stake here? (... the selection of down to "cultural traits". villages, award of concessions, roles in cooperation, old We overestimate our conflicts, etc.?) ability to influence things, and forget that we are ê Who is asking which questions? guests, and often only ê To whom are the questions addressed? spectators. ê How will this agenda of questions change in the course of time?

13 32 Changing perspectives: the view from inside and outside the system

If we were to walk along the Möbius strip, we would move along the inside for a while, and then along the outside again. The two perspectives are complementary: we come to ProM is a piece of music understand the shape of the strip by moving, by going inside we compose and play. The the system, by "becoming part of that unfamiliar system". The actors play in the same band - but their styles are process of understanding unfamiliar action strategies is based different. Local interpreta- essentially on this principle of changing perspectives. tions are as diverse as the music that would be played Entering the system: Projects are co-productions of at a dance in Chulumani: temporary institutional arrangements The participating groups samba, salsa, cueca, and organisations agree to change a situation perceived to be merengue, mazurca. unsatisfactory, over a limited transitional period. The actors, together with their various interests, are involved in these processes. We have to enter and become part of these processes, and do so at a point where something is already r Are we also willing to under way. We therefore have to select the processes we accept processes which wish to observe together with the actors. conflict with our interests? The view from inside: Organisations and groups function r What do we have to offer according to their members' understanding of what those to enable the actors to organisations are. We can only identify and understand the put forward their ideas intentions, interests and motives of the involved groups and and interests? organisations if we help enable the actors to express them

The view from inside and outside: The tasks associated with ProM (process selection, observation, reflection) need to be performed from the seemingly opposed standpoints of r All too often we do only detachment from and involvement in the process. We must the things we know how make a calm and sober attempt to understand what is to do, the things we are objectively going on, whilst at the same time being a part of good at, that we under- the process. Both attitudes are necessary. And we need to be stand straight away and believe we have "got a able to reflect on both. This gives us the detachment grip on". necessary to reflect on our own conceptual framework r If consultancy inputs are The view from outside: It may be appropriate to provide to be effective it is essen- external facilitation and consultancy inputs to help set-up and tial that the TORs, modus promote ProM, for instance where the actors are unable to operandi and consultant profile can be jointly begin ProM, or where the application of ProM methods proves agreed on with the difficult. actors, and if necessary renegotiated. Process Key questions consultancy without a ê What do our partners consider important? periodic review of the ê Which processes do they wish to observe? inputs is blind. ê What must I do to ensure that different interests and power positions can be accessed? ê Where are our blind spots which need to be looked at from outside? ê What external support would be appropriate?

14 33 Tools: What have we got to work with?

Tools are like spectacles: we put them on so that we can see better. Under water we put on goggles, and on sunny days we put on sunglasses. We use optical instruments to enhance our limited powers of visual perception. By doing so, we also restrict our field of vision. Consequently, we need to bear in mind not only the capabilities of tools, but also their A pair of binoculars, even if limitations. This calls for a keen eye, or in other words: a we turned them round, would strategy: not do the job of a micro- scope. · Why are we using this tool? · What form of cooperation does it imply? · What would I like to try out?

We cannot simplify a complex situation, but we can simplify the way we deal with it. Methods and tools are designed to facilitate communication on dynamic, complex processes.

With respect to the four basic activities of ProM, the instruments are designed to

· facilitate the selection of processes, · support the observation and comprehension of the emergence, development and impacts of processes, · stimulate self-reflection: in which processes am I, are others involved? What has proved successful? What do we wish to approach differently than before?

Repertoire: There is no single instrument on which we can play every tune. We therefore need a range of methods to create a clear framework of communication, inviting r The increasing process- interpretation and stimulating creativity. The tools presented orientation of TC projects has led to a number of here are simple, user-friendly, adaptable and largely methods taking the same independent of expert support. In other words, their direction as ProM: malleability is self-evident. methods of self-evaluation for instance, or the PRA Adapting to the situation and ongoing development: We tools. ProM utilises these first need to find out what people are already doing and similar methods. Where methods overlap, themselves. On the basis of these observations, we can adapt this is a good thing. We a tool. Where proven instruments are not available or will not expect very little of more work, we need to develop new methods together with the orthodox methods. But we actors. do have high expectations of locally-appropriate in- Courage to try things out: Anything we are not familiar with struments, ideally emerging from the situation in and are trying for the first time involves the risk of failure or which they are to be collapse. It is therefore worthwhile to make several attempts, applied. as this will give us greater confidence.

15 Communicative equipment: The tools have been designed on the assumption that we possess the relevant consultancy expertise: we need to be able to submit proposals, we must be able to set-up and facilitate a working group, we need to be able to organise a workshop and steer it using visualisation r ProM is the business of techniques. If we do not feel up to these tasks, either because the actors themselves. of our experience or the role allocated to us, then we need The purpose of external external support. It is far better to focus our energy on the support is therefore to demonstrate to the actors orientation of this support, rather than tinker around in a ways and means for them dilettantish fashion. to set-up ProM. Key questions ê Which tool is simple and can easily be adapted to my situation? ê Which tool can be linked up to the data available? ê Which tool will counterbalance the power of interpretation held by certain actors, by providing comparisons? ê Which tool will facilitate the qualitative analysis of selected processes using the simplest possible quantifiable indicators? ê Which tool will promote cooperation by pointing to ideals and common goals?

34 Information: What information interests us?

What may be important information to some people may be gibberish to others. In everyday terms, what we don't understand we call "Double Dutch". Or some say "It's all Greek to me". In ProM, the only information that interests us is what we can use in an exchange of experiences. This applies both to factual information, and to interpretations thereof.

It is less a question of how Cold and warm information: Human behaviour is determined many individuals know, and less by statistics, and more by interests, moods and more a question of how associative interpretations. The acquired and deep-rooted many know a certain thing, patterns of perception, and the social framework of behaviour, so that we can communicate are the foundation on which constructions of reality rest. We about it. therefore need a skilfully-mixed blend of "cold" information and "warm" interpretations: we need clearly-presented figures, studies and analyses, as they stimulate communication on r Heaps of dead data and processes of change; but we also need interest-driven concentrations of in- interpretations and passionate debate on those data with the formation are a dead end. actors. The consequences of ignoring data are just as serious as having total faith in them. People telling their own life histories, or explaining pictures, can be just as informative as the presentation of figures, graphs and reports.

16 Engineer the information and communication process: Each item of information which is relevant to people's actions has an addressee. For ProM, this means selecting and packaging the information such that it can be used. r "Critical events" and Make use of open-ended information transfer processes: "interference", which we We have a highly-developed need to systematically organise react to by improvising, information transfer processes. Within socio-technical can yield profound in- systems, however, interlocking processes of information sights into group pro- transfer unfold in an unstructured and disordered fashion. cesses. Conversations Information is selected, amplified, ignored, distorted and with individuals of inter- circulated. In organisations the term "communicative noise" is cultural background or therefore used, which is just as important for performance as experiences reveal to us the well-ordered flow of information. The formal structures and how removed our processes are as it were the parasitic beneficiaries of informal thoughts and actions are relationships, which cut across the barriers set up by the rules from the reality of the of authority and power. Irregular and casual exchanges other actors. It is there- therefore often convey more authentic information on fore both appropriate and experiences, intentions and shifts in power than do the written efficient for us to take the report, the specifications or the organisation chart. time to exchange life histories, go on a field trip with decision-makers, Key questions visit farmers, take ê What am I unable to see from the "cold" data? transect walks through ê How should data and reports be presented so that ideas on institutions or attend them can be exchanged? social functions. ê Whom do I need to approach to get hold of "warm" information? ê How much time do I invest in face-to-face encounters with the actors? ê How much time do I invest in encounters outside of or peripheral to my contract?

17 35 Project logic and ProM

Projects begin with a process of communication and agreement between people who want to change something together. The joint, limited-term undertaking aims to build-up the participating actors' capability to act, and support them in solving the tasks and problems self-reliantly. Conceived of in these terms, the notion of a project as a mechanistic operation designed to reach a preconceived end is transformed into a concept of cooperation as a process. Together we cover a If you want to build a ship, certain amount of ground, and at the next cross-roads we then don't gather people round to distribute tools and think about which way we might go next. Discussing what our chop wood. Inspire them visions are is just as important here as realistically assessing with a vision of sailing the what resources are available. open seas. We see the planning and implementation of projects as processes which are initiated, observed, steered and assessed by the various actors. This involves three interlinked input processes:

· The input processes of the target groups, designed to achieve a concrete development goal, e.g. the ecologically-sound and sustainable management of community forests by the community itself. · The input processes designed to achieve a project goal performed by the supporting partner organisations, e.g. the private consultancy organisations, local authorities, government forestry service, a commercial bank, private sawmill, local building contractors. · The input processes designed to achieve a promotion goal provided through consultancy and training services of TC, e.g. consultancy and training inputs to decision-makers of the supporting partner organisations. r The complexity of the Actors interpret a project differently, depending on their project process weakens perspective and interests. ProM aims to help the actors the prognostic force of describe and communicate on their various projects within a planning activities, re- process of dialogue. In our view, we need to ask ourselves the vealing the need for an iterative, flexible and following questions on this: cyclical approach: we need to periodically re- Key questions negotiate the objectives ê What do the various actors expect of the project? and roles of the involved ê To which of the partners' projects do we subscribe? organisations. ê How can we promote dialogue among the partners? ê How can we support individual and organisational learning processes?

18 4 Where to start and how to approach the problem

41 Landmarks

There is no prescribed way to begin ProM: the actors themselves must decide when to start and which processes they wish to select. Consequently, ProM is different in each individual TC project. r ProM is custom-made. We basically have to accept that - as long-term advisors or external consultants - we will always be working in a project as outsiders. We therefore need to become members of the other system (self-help organisation, local government, agencies of central government, enterprises, consultancy organisations etc.).

People usually respond to suggestions that might affect their behaviour or identity with reserve or scepticism. This also applies to organisations: they have an immune system to protect themselves against the outside world. Consequently, the suggestion to adopt ProM as a rule does not only meet with approval; disinterest, scepticism or open resistance can be expected just as often. r Shaping the context: the The first thing ProM needs is a conducive environment, first task of any ProM which we need to help create. What can we do? How should consultancy involves us we deal with resistance to ProM? helping create a context conducive to our work. When helping shape the context for consultancy, we need to bear in mind primarily the following: In the first place, each consultant is on his/her own with his/her own views and ideas. This entails risks: others might treat us as a foreign body and isolate us, or brand us a fool. Moreover, ProM then remains the domain and "property" of the consultant. A number of conclusions can be drawn from this regarding the definition of our role and the launch of ProM: r Viable working relation- · We need to invest a great deal of time and energy in ships based on trust. establishing working relationships based on trust, so that any resistance to the unfamiliar or unwanted ProM can be discussed. We work towards being personally and professionally accepted, and inspiring confidence. How often are we addressed, and by whom, at meetings? What about my personal communication chart? Whom do I deal with regularly? Whom do I avoid? How will this agenda change in the course of time?

19 · We arrange face-to-face encounters with other actors to r Learn from other people's focus minds on practical ProM. The aim of these experience. encounters is to arouse the interest of involved groups and organisations in ProM, and that our partners themselves come up with suggestions as to what would be appropriate and useful for them. What kind of encounters would serve this purpose?

· We begin where a process is already under way. We utilise the existing structures and sites of communication to raise ProM issues. We utilise face-to-face cooperation with the r Practise self-reflection. actors to practise self-reflective thinking: What have we just done? Did that meet our original expectations? Are we satisfied with the result? Where and when do our partners normally reflect on their work? At what point and in which working context is it appropriate to raise issues of ProM?

· We choose to begin simply, so that we can more easily become familiar with the resistance we expect. In other r Have the courage to be words: the number of fields of observation and questions simple. should at first be kept small, and practical procedures simple. Emphasis should be placed on a process of dialogue on experiences and views. Step by step, the simple structures which emerge can then be elaborated into something more complex. Which simple and immediately appealing instruments do we wish to use?

· We define the boundaries and time frame for ProM. In so doing, we create for our partners a clear picture of what r Create a clear picture. initially to them seems new and strange. They begin to see themselves as actors in ProM, and acquire a grasp of first, simple tools. What do we want to try out first for a limited period? How much time do we need for people to get used to things and try them out? Who should evaluate the experiences?

· We attach importance to efficiency and transparency of the results. Otherwise, ProM will always be vulnerable to r ProM must help promote the suspicion of having done nothing except expel hot air. efficiency. How much time and resources will ProM cost? What do we expect ProM to achieve? How will that help us achieve our objectives?

20 · We support a flexible approach to planning r Any plan is a simplifi- specifications, and look for ways to apply results-oriented cation, and needs to be monitoring (cf. Section 44 below). adjusted.

42 On selecting processes

As a rule, fields of observation and processes are selected when problems arise. We observe that something is not going as we expected it to, and therefore we want to find out why. r Starting with process selection: together with Process selection puts to the test the actors' willingness to the actors, we establish question themselves and their forms of cooperation. These what we wish to observe. discussions are conducted along three polar axes:

Perception of the environment

Opportunities: that will Risks: nobody will accept open up new horizons - that - it's against the rules. just what we need.

Social stability Flexibility: we can do Rigidity: that will rock the things differently and set boat and upset the normal new goals. run of things.

Individual attitudes Self-confidence: we'll Insecurity: I don't feel up make it - we can do it. to that - I feel unsure of myself.

21 43 The right point in time: When should ProM begin?

ProM can begin at any time. The actors themselves decide why and when they want to step outside of a process of which they are a part in order to reflect on it.

ProM begins where actors start to reflect on processes which are already under way. Things start when we ask questions about our own work. Here is an example: r There is no prescribed formula for ProM. It starts In a land-use project, agreements are being drawn-up at the point where actors between various user groups. It is clear that the targeted begin to ask questions. ecologically-sound but profitable land-use arrangements are dependent on the success of these agreements. There is no prescribed formula for launching and stabilising this cooperation. A number of practical questions arise:

· Who should negotiate the agreements? · How much energy should we invest in producing the formal written agreements? · How are the agreements being negotiated? · Under what circumstances are the agreements kept or broken? · For how long are they kept? · What fresh conflicts arise in the course of the cooperation? · How do the expectations of the parties to the agreements change? · How does a functional cooperation differ from a conflictive one?

On the basis of these questions we develop a simple procedural guide for observation, on the basis of which the experiences of cooperation can be compared. We confine ourselves initially to four simple reference values: fluctuation of members among the user groups, frequency of joint meetings, definition and review of roles, number of explicitly addressed problems and conflicts. We present the observations systematically and discuss them with the user groups at a meeting held every two months. At these mirroring meetings, we initiate a process of reflection among the groups. The problems explicitly addressed are entered in a simple matrix, together with the possible causes. Within the user groups, different conclusions are drawn from the observations. So we add another component to ProM: meetings are held at each of which three user groups are brought together to exchange their experiences horizontally. This ProM step promotes learning in the user groups, and leads to marked improvements in practical solutions.

22 44 Results-oriented monitoring and ProM

Results-oriented monitoring may be the simplest place to start, but it is not the only one.

Results-oriented monitoring tells us for instance to what % value an objective has been reached, but does not tell us how that came about, nor what we need to be aware of next time.

If we observe only what we produce through TC projects, then we are placing excessively tight constraints on ProM. ProM r ProM complements complements results-oriented monitoring, and broadens it results-oriented moni- beyond the more narrow scope of project activity. The wider toring by broadening the context comes into view, and the groups and organisations field of vision. We leave involved in a project are able to contribute experiences they the project tunnel. have gained outside the project.

Results-oriented monitoring and ProM can be linked to good effect. At the monitoring sessions held periodically we can, for instance, ask ourselves the following questions: r Results-oriented moni- · Why does the same activity take a different course in toring sessions are an different cases? ideal platform for deciding · Why does the cooperation work wonderfully in one case where to start ProM. but not another? · Why do we never reach the agreed goals, contrary to all expectations? Are we too ambitious? · Why do we/they do everything our-/themselves? · Why do we always keep making the same mistake? · Why do we never have any new ideas on that? · Why do people never invite us/them to their functions? · Why are the economic incentives not having any effect? · What do the others really expect of us? · Why have our expectations changed?

ProM begins where the actors select on the basis of such questions a number of the cooperation processes, in order to systematically observe and evaluate them.

23 5 Six fields of observation and tools

As explained in the introduction in Section 2, the processes involved here have two basic characteristic features:

· We cannot observe and talk about the totality of interwoven events taking place at the same time. · The particular perspective and interests of each observer make his or her perceptions partial, representing only one section of reality. r ProM focuses on the We therefore propose confining ourselves to six fields of following fields of ob- observation which project actors mention with noticeable servation: frequency.

The actors allocate tasks · We learn and take on roles among in groups themselves. and · The members of groups organisation and organisations acquire s new expertise and capa- We We bilities which they apply in develop deliver their daily work. action inputs · Groups and organisations strategies We deliver inputs on an take on agreed scale. tasks and · Groups and organisations roles cooperate and coordinate. · Conflicts of interest and power arise between the actors vis-à-vis access to We argue We scarce resources and in- out cooperate fluence. conflicts · Actors' action strategies are adapted both to world pictures and visions, and to risk assessments and anticipated economic benefits. The key messages and questions presented in Section 3 form the circular backgrounds of the six fields of observation.

By this we mean that in all six fields, primary processes are under way which are crucial for the success of projects pursuing the NARMS approach.

The central question is that of the distribution and allocation of tasks and roles among the involved groups and orga- On the following pages we nisations. The process can begin in any of the six fields. The have illustrated each of the six fields of observation by relative significance of these arenas varies, depending on the way of example with a pic- natural resource management project in question. It is the ture, text and an introduction actors themselves who decide which of the arenas they wish for the tools. to illuminate.

24 51 Tasks and roles: Who does what? What do we expect of each other?

Example

In a project to promote sustainable management of pastureland, the important actor groups are visited individually in their own working environments, and invited to hold discussions Can we afford to repay this month's credit instalment on the tree nursery? (separation of perspectives). We are liable with our land titles for timely repayment. The representative of Some of those involved know the bank takes the floor, flanked by his assistant and the village chief. We each other from the planning debtors are sitting on the floor, men at the front, women at the back workshop held two years previously. On that occasion, all actors agreed to the project. Since then however, their dif- Projects are laboratories for reallocations of tasks. The ferent intentions and interests concentration of public services on core tasks, complementary have brought the cooperation cooperation between public- and private-sector partners and to a standstill. The groups and the involvement of people's organisations are on the agenda organisations visited include the responsible agency for in many natural resource management projects. However, land titles at the Ministry of tasks cannot be reallocated by force from the top down, nor Agriculture; representatives can a prescribed formula be transferred from one context to of the powerful national cattle another. We need to ascertain who can best do what in each breeders' association in the particular instance. capital; selected small farming Goal: determine the ideal mix of institutions and groups to families who jointly farm and deliver inputs (public sector, private sector and civil society) on manage community land in their villages; representatives the basis of concrete experiences. $ T-01 of the expanding export- oriented agro-industry. During the cooperation, the roles of groups and involved institutions change. Who can and wishes to cooperate with whom, and who is willing to assume responsibility, often do The discussions are steered not become apparent until cooperation is under way. The by a moderator, whilst a small partners get to know each other during cooperation. Interests, group of three individuals claims and dependencies change. Periodic role reviews are minuting the proceedings raise an appropriate tool to steer the process of cooperation. An questions when they simply interface analysis can be an appropriate way of taking the require further explanation. review of roles a step further, and steering it in the direction of possible practical improvements: the availability of contact persons, their contactability, the frequency of encounters, the

25 The discussions are based on regularity of information exchange, the use of technical means the Analysis of Tasks: What to facilitate information exchange. constitutes the common task? Goal: negotiate mutual expectations at a "round table". Which sub-tasks do we $ T-02 perform? Which tasks need to be performed by other organisations? Organisations and groups involved in projects provide services and goods to others, who in turn are often also providers of services or producers of goods. The afforestation of a piece of land, for instance, is dependent on a chain of supporting organisations performing different tasks. Problems that do arise are often due less to individual organisations' unwillingness to perform their tasks, and more to coordination: in other words, those activities which aim to A group minuting the meeting establish and maintain communication between the compiles the results, and organisations. To address these issues, we need to focus our draws up working hypotheses attention on the process of exchange between organisations. on role and land-use conflicts. Goal: improve the coordination of inputs. $ T-03 The results are presented for discussion at an internal workshop, to ascertain which questions need to be fed back ê Tools to the actors. Looking back at T-01 Analysing the Tasks the ground already covered, T-02 Negotiating Roles the project officers ascertain T-03 Analysing Interactions that all activities initiated by the project need to be accompanied by discussion of roles among the actors. They decide to hold role reviews at regular intervals.

26 52 Learning: We make mistakes and are wiser after the event.

Example

In a project to conserve and manage natural forests in the Amazon basin, relations between the villages and the government district forestry service are strikingly one- sided: the long distances make it impossible for the villages, or their chiefs, to raise matters of concern to Should we participate in the tree nursery? Do we want to take that step into them; the forestry service the unknown and tread new ground? How would we acquire the knowledge intervenes from above with that we would need? no regard for the precarious natural resource base on which the life of the local Natural resource management projects have one overriding population depends. learning goal. This can be summed up as a single key qualification: growing competence to act in sustainable To date, the experiences of natural resource management. We aim to develop this the village chiefs when dealing competence to act on three levels: with governmental agencies · as an individual learning process, have all been negative: shifting as a process of learning in groups, cultivation was banned, the · population was displaced, or · as an organisational learning process. they were exploited as cheap labour. The three learning processes promote or retard each other on a reciprocal basis. This becomes clear where individuals have Close personal ties exist be- acquired expertise or capabilities, but are unable to apply tween the district forestry ser- them within their organisations. The task is to close this vice and commercial timber merchants. Logging licenses transfer gap between the individual and organisational are granted regardless of the learning processes. interests of the local population. Learning processes are too often designed to achieve a fixed state: "the municipality is able to draw up a budget". To design The national forestry policy an effective learning process for adults, we need to base provides for organisation of the population into trans- things on key qualifications that promote learning in the work community forestry cooper- situation. This generates a culture of learning with the atives. This would put them in necessary scope for action: people must be allowed to make a stronger position when deal- mistakes, people must feel sure that others are also able to ing with the district forestry admit their mistakes and willing to make corrections. service. Goal: achieve optimum development of key capabilities with scarce resources. $ T-04

27 Learning in groups has objective advantages over individual Three elected representatives learning: there is greater potential for discovery, experiences from each village are briefed are broader, the incentives to learn are more numerous and on their tasks within the co- diverse. The limiting factor in this situation is the quality of operative. interaction within the group, i.e. whether or not the members are willing to communicate openly with one another and learn The district forestry service is from experience. obliged to conduct this training. The measures provided Goal: open up routes to open communication and self- are designed primarily to evaluation. $ T-05 promote the development of structures and procedures In organisational learning, individual, social and structural within the cooperatives: con- processes are closely interwoven. An organisation's capability stitution, selection of manage- to learn is crucially dependent on how it deals with voiced ment, performance of simple administrative tasks, organisa- criticism. This friction results from the members of the tion of work with the members. organisation deviating from or having problems with standard procedures. Friction between the outside world (e.g. The district forestry service, demands of the market, legal system, offers of cooperation) with its staff of 60, also has and the world within the organisation can only trigger something to learn: as an learning processes if people are permitted to voice it. organisation, it has to learn Consequently, organisational learning is crucially dependent how to cooperate with the on whether the organisational culture prevailing within the cooperatives. The key to this is a willingness to create organisation will allow discussion of such phenomena. An greater transparency. organisation which neither admits to nor deals with voiced criticism, or even an organisation which responds to it on a The organisation must learn to casuistic basis, but does not make any structural reflect on its own behaviour. adjustments, is suffering from a learning block. $ T-06 Monthly M&E sessions are Goal: create frameworks and opportunities for criticism to be introduced in which repre- expressed. sentatives of the cooperatives also participate. As a result the organisation gradually moves In purely quantitative terms, experiential learning outweighs away from a normative, ver- all other forms of learning. It is therefore appropriate to tical concept of management systematically observe and reflect on learning processes of and becomes more strongly this type too. This promotes consolidation of what has been oriented toward the user co- learned within the group, and focuses attention on the joint operatives and their needs. progress achieved. The act of reflecting on past processes also has the advantage in the present of focusing our minds more sharply on those situations that are really important for decision-making. $ T-07 Goal: strengthen participants' confidence in their own experience by reconstructing process histories.

ê Tools T-04 Management of Learning T-05 Learning in Groups T-06 Organisational Learning T-07 Process History

28 53 Performance by organisations and groups: What are our strengths and weaknesses?

Example

A project is helping rehabilitate smallholder irrigation schemes by providing extension inputs and credits. The cohesion and capabilities of the beneficiary groups vary widely. It becomes apparent that two very different How many more hands should we employ? Can we pay back the credit? Will types of group have a strong the merchant buy the saplings from us at the agreed price? With whom commitment to the project: on might it be a good idea to cooperate? the one hand, groups with a rigidly hierarchical structure, led by landowners, and on the Development takes place inside organisations: in the other hand strikingly homo- household, in self-help groups, in small enterprises, in non- geneous groups of landless profit organisations, inside local government, in pressure small tenants. groups and trade associations, in governmental agencies and The organisations providing in corporations. It is the people working inside those extension support (one govern- organisations who deliver the inputs and seek to bring about mental agency and two NGOs) change. have to learn to take into account these differences when We often think in terms of group performance. In other networking the two beneficiary words, we ask ourselves why a certain group or single agency groups. They also have to re- design the extension inputs has not delivered the desired inputs, or not all of them. We and the credit terms in line with might ask ourselves how the group differs from others, and the needs of the groups, who what conditions might be conducive to enhancing its are their clients. performance. $ T-08 Goal: observe the characteristic features of group formation One of the NGOs is small, and and group performance. sees an opportunity to grow larger through the project. At this point, it begins an intensive Organisations set themselves apart from their environment process of self-diagnosis. through their internal rules and conventions, which establish a given order. These structures represent clots, or coagulated experience: they simplify the performance process within the organisation by firmly ascribing responsibility, routine and standardisation. Structures promote or hamper the performance process. Where there is free scope for action, structures are continuously interpreted and modified. It is a characteristic feature of organisations and their sub-

29 organisations to divide themselves up into structural and process components. Having said that: there are a very wide variety of structure and process mixes, which can nevertheless be entirely appropriate. Observation of the task- related division into structure and process provides pointers to The dynamic generation of development trends within the organisation. $ T-09 founders begin to realise in- Goal: select and observe indicators of division into structure creasingly that and process. · administrative controls were constraining initiative in Self-help groups and bottom-up social movements differ extension work, and that significantly from other organisations in terms of their origins · flexible adjustment to the needs of beneficiary groups and dynamics. $ T-10 could not be achieved Goal: observe characteristic features and development trends through the usual working of grass-roots organisations. methods. When assessing organisations, we are guided by our own Self-diagnosis is facilitated and standards, which we apply to them. However, organisational supported through external inputs. Although the power of change is based on the principle of minimum external interpretation of the founding intervention, leaving as much as possible to the initiative of generation is curtailed by the the organisation’s members, or in other words to self- separation of perspectives, organisation. The organisation must change itself, hence that that generation does at the is where the insight needs to grow. $ T-11 same time gain an opportunity Goal: initiate self-diagnosis within organisations. to identify its new management tasks. Organisations cut themselves off from the outside world. They At the brief, externally- have an immune system to ward off extraneous influences, supported diagnostic work- and attempt to prevent any unsolicited glances backstage. At shops, to which individual the same time, an organisation clearly cannot function only in members of beneficiary groups the way it is portrayed to outsiders. Organisational reality can are also invited on a case-by- only be captured from a variety of perspectives, angles and case basis, a model emerges which might work: small, rela- interpretations. $ T-12 tively autonomous and self- Goal: gain an understanding of the dynamics of an responsible extension teams organisation from different perspectives. are formed. They are given quantitative targets to meet, If we take the principle of minimum intervention seriously, we and receive inductive training need to feel our way into organisations from the outside in. In and coaching support. other words, we must help enable organisations to perceive their environment and their clients there with greater depth and clarity of focus. Organisational adjustment is then the task of the organisation’s members. $ T-13 Goal: sharpen focus on orientation towards client needs.

ê Tools T-08 Group Performance T-09 Structure and Process T-10 Characteristics of Grass-roots Organisations T-11 Systemic Diagnosis T-12 Subjective Organisation Charts T-13 Client-orientation

30 54 Cooperation between groups and organisations: Who gets on with whom?

Example

In a regional irrigation scheme built decades ago, yields are very low due to heavy water losses, salinisation and the rise in the groundwater level. The responsible ministry, supported by projects, is carrying out comprehensive technical measures to rehabilitate the main and feeder channels, and is building a network of drilled wells to lower the water table. The construction works are Whose is that truck? Who’s in charge here? What benefit will we get from being planned by engineering this cooperation? firms, and executed by major building contractors As a rule a variety of private and public, local, national and international organisations are involved in natural resource These projects need to be complemented by maintenance management projects - depending on their comparative of the irrigation and drainage advantages in the case in hand. Focusing on one organisation channels in the fields. This which plans, implements and completes a project is an would be inconceivable without oudated approach. Tasks of natural resource management coordination between the are complex: they include both economic, technical, social and farmers and landowners: large organisational components, as well as training tasks, which landowners, who have good are performed by different organisations. connections inside the public authorities, small tenants and landless families, who to date As a result - in organisational terms - projects become have gone largely unnoticed by dynamic co-productions, which function as contractually- the authorities, and part-time bound arrangements, or are coordinated via the market farmers, for whom the channel mechanism. They are dynamic because the relationships is not a major concern, need to between the partners also change in the course of the be brought to the table and tied into an organisation. cooperation. This presents the participating organisations with a fresh challenge: the capability to cooperate becomes a The actors rate differently the key competence. benefit they derive from cooperating in the construction and Co-productions and associations are - in contrast to individual maintenance of the channels. organisations - constructions of horizontal cooperation across a plane. As a rule, pronounced hierarchies lead to one or other partner withdrawing from the cooperation. The key factor in a group or organisation remaining is the advantages it derives from the cooperation. $ T-14 Goal: observe how the partners rate the benefits they derive.

31 The tasks of water distribution The more diverse the participating organisations are, the and management dictate that a more important it is to observe changes in the individual committee be formed for each relationships of cooperation. Weak points only come to light section of channel, on the one on in-depth analysis, carried out repeatedly. $ T-15 / $ hand to handle arrangements T -16 for water management, and on the other hand to interface with Goal: periodic qualitative and quantitative self-evaluation of the agency operating the major cooperative relationships. feeder channels. The dynamics of cooperation entail shifts in power in two As a result of traditional directions: a concentration of power, and a redistribution of barriers, tenants and landless power (empowerment). The two processes need not are barred from membership of local organisations on the necessarily run in opposite directions. The case might arise grounds of their low social where a concentration of power occurring at the expense of a status. The vitally-important middle level would be desirable, in order to create space for issue of water management action at a lower level, for instance for self-help organisations. arrangements therefore re- Natural resource management projects often involve delicate quires all participants to re- social processes in the struggle for distribution of scarce think. resources, which take time to unfold and allow shifts in power Tangible economic incentives to come into play. Consequently, it is often clumsy to ultimately lead to first success- approach these issues with a view to addressing them directly ful cooperations: and formally. If we rely on self-interpretation by the actors, then we achieve the aim of the actors’ determining their own Prompted by the agricultural way forward. $ T-17 extension service, the committee decides to rehabilitate Goal: promote self-reflection among the actors on the the watercourse at channel distribution of power. 32500-LJ with prefabricated concrete elements. The com- Efforts to decentralise overtaxed central government mittee purchases the elements structures, currently a common phenomenon, create new from a local manufacturer, and potentials for cooperation at the local level: local municipal commissions a mason to supervise the work. administrations need to bring local organisations together, in order to harmonise the development of urban core zones and Improved yields and marketing the development of the periurban rural population. There is prospects generate a demand often a lack of simple tools with which to observe the for extension inputs: farmers potentials for cooperation. $ T-18 want to familiarise themselves Goal: compare self-assessment and outside assessment of with new crops and farming methods. To obtain seed more local organisations. easily and boost marketing, the farmers begin to organise in a ê Tools purchasing and credit cooper- T-14 Benefits of Cooperation ative. T-15 Qualitative Analysis of Cooperation T-16 Quantitative Analysis of Cooperation T-17 Power and Shifts in Power T-18 Cooperation at Local Level

32 55 Conflicts over scarce resources

Example

In line with the new forest management law - codesigned by a government advisory services project - a village community is allocated rights of use over forest plots. The terms of en- What advantage is he gaining from this? Who is entitled to that share? Who forcement are unclear and is in the right? Who will gain the upper hand? What is really going on? contradictory

The state supervisory body Natural resource management projects hinge on the insists that the local adminis- conflicting interests behind economic, ecological and political tration take care of land-use ideas and actions. In many cases, relations of control, rights. The local forestry disadvantages and privileges, direct coercion and phenomena agency and the central en- of social disintegration are directly linked to the struggle for vironmental agency, already access to scarce resources. at odds due to the shortage of funds, agree to act in a schematic vertical fashion. Project actors often overestimate their legitimacy, and erroneously believe they have the scope for action needed to The local administration is deal with conflicts. At the same time, they tend to closely intermeshed with the underestimate the social forces underlying those conflicts. agencies through political party Hence their assessment of both their role, and the capabilities membership. It does not have required to manage conflicts, is inappropriate to their situation. any professional technical services. It is therefore advisable to put up a number of warning signs in this area. $ T-19 In various municipalities within Goal: areas of conflict need to be discretely illuminated and a region, local user coopera- observed over a long period. Legitimation for the conflict tives have been formed which management role must be worked out with the parties to the are firmly rooted within the conflict. population. The cooperatives measure themselves by the Conflicts are based on issues of the distribution of goods, economic success of their members. They maintain a resources and power. Yet they only become conflicts because reserved stance towards the of the different interpretations of these issues. Conse- municipal administrations. quently, we can best gain an understanding of them by looking at their history, which is made up of a number of histories constructed from different perspectives Types of conflict can then be identified from this (What does the actor want?). $ T-20

33 The new law puts the old user Goal: deconstruct the history of the conflict from the cooperatives in the wrong. perspectives of the participating and non-participating actors. They would now have to come under the supervision of the Parties to a conflict load it with affects, which are attached to municipal administration, which participating individuals. As a result, the conflict itself they see as the long arm of central government. None of becomes displaced, submerged and nebulous. Interpersonal the active cooperative mem- judgements and disputes become the affect-laden centres of bers want this. conflict. The closer the parties know each other, the more this is the case. This makes it both easier and more difficult to For several reasons, the manage the conflict: it becomes easier and more logical to various interests at stake are also deal with the conflict on the personal level; and it not easy to expose: becomes more difficult to remain detached and define the The arguments put forward by representatives of the central actual point or points at issue. If the credibility of the opposing government agency are based party is undermined, and the conflict is accompanied by entirely on legal interpretation wounding, moralistic disparagements, the parties find it of the new regulations; they increasingly difficult to gain a clear picture of the points at turn a deaf ear to technical and issue. This creates unrealistic expectations of the conflict social arguments. management process. Consequently, we often have to be The representatives of the municipal administrations avoid satisfied with a modus vivendi, since many conflicts cannot be making any unequivocal state- solved, and recur time and time again. $ T-21 ments; they look the other way Goal: observe conflict strategies and create a clear picture. and adopt a wait-and-see approach. The cooperatives As a rule, projects to initiate change trigger conflicts. Initially, make no headway with their they are perceived as a threat to individuals’ psychological social and technical arguments; as the conflict status quo. Should I decide to accept the changes or not? smoulders, their representa- Feelings of insecurity, doubt and unease are normal reactions tives are turned into defend- to impending change. Within groups and organisations, these ants in the dock: they are ac- reactions split the community into progressive and cused of self-interest, pervert- reactionary forces. Within this field of forces, new coalitions ing the course of justice, arbi- and alliances are formed. To find our bearings within these trary appropriation of public conflicts, we have to try and understand the different forms in property and subversive gangsterism. which resistance is expressed: resistance can be silent or manifest, objectively well-founded or evidently irrational. Once Personal relationships are a we learn to work with the resistance, it becomes an important major factor in the conflict: source of learning and of steering change. several of the user coopera- $ T-22 tives have their origin in the Goal: observe and understand the forms in which resistance is failed government land reform project of the 60s. Descend- expressed. ants of the former big landowners, who control party politics, see in the new land- ê Tools use law an opportunity to T-19 Warning Signs regain through political T-20 Phases and History channels the land-based advantages formerly enjoyed by T-21 Conflicts between Groups their families. T-22 Resistance to Changes

34 56 Strategies for action - Where do we want to go?

Example

Within the scope of a research project, soil-conserving cropping methods are being developed. The research group invites small farmers, who are considered in the region to possess a particularly high degree of initiative, to a one- day workshop. The aim is to What’s in store for us? What will give us security and strength? What do we gain their consent to carry out self-responsible field trials. The feel capable of? Whom can I rely on? simple cooperation agreements have already been prepared. Thoughts and actions are not only determined by rewards and The researchers explain their incentives. The motivation to act with ecological results and proposals using sustainability in mind is crucially dependent on deeply-rooted clear examples. The farmers listen closely to what is being strategies for action, for instance whether or not the action in said, without comment. At first question is consistent with the cosmic world picture, or they do not ask any questions, whether it might alter social bonds that provide security. and at lunch they tuck in. Superimposed on this underlying current of motivation are economic considerations, for instance whether or not there is Shortly before the end of the a prospect of achieving tangible results, and what risks that workshop the researchers pose the question directly: involves. Who is willing to carry out the trials on his/her own land? Whilst it has to be conceded that economic incentives do play a major role in motivating people to act, their impact is often After some initial hesitation, the overestimated. The well-established equilibrium between the farmers begin to ask questions sexes, between the generations, towards those in positions of which the researches thought power, or between cattle farmers and crop farmers, play just had long since been answered. Who will pay for the seed, the as much a part in determining people’s action strategies. fertiliser, the draught animals? People with charisma, and the sense of security conferred by What is the expected yield? the social institutions governing people’s lives, are equally Who will help us to fill in the important. We can only gain an understanding of the complex protocols? Why should it be logic of action strategies of the actors through a process of only us who carry out the observation and self-reflection thereon: Why do people act in trials? etc. one way and not another? Do they see themselves as active subjects? How do they themselves explain their behaviour? What motivates them to act in that way? What do they expect to achieve by that? $ T-23

35 Goal: gain an understanding of how motivation and a sense of The research station personnel active locus of control emerge, and disseminate as group are growing impatient. The farmers are keeping them action strategies. waiting. Where human behaviour is driven by some economic Their questions refer to both consideration, a pragmatic calculation of the benefits is the economic and the social made: We ask ourselves the question of what future benefits risks. If the trials go wrong, the a defined input, the taking of a risk or the making of a sacrifice farmer will be laughed at, or even made responsible for will have. These calculations are also made on the basis of other problems. experiences, and projected risk assessments. The positive balance of a calculation of benefit then becomes the driving To date, agricultural innova- force of action, provided that it can be harmonised with a life tions have consisted of ready- plan. Life plans are socially-acquired concepts of what made "packages“ prescribed constitutes a good life worth living. $ T-24 and implemented first by missionaries, then by the Goal: gain an understanding of economic expectations and government extension service. their integration into life plans. The farmers have no faith in their own powers of innovation; Strategies for action have a biographical origin and a they place their expectations in history, which runs in parallel to the history of the individual, external agents, but do not who gradually leaves the more narrow confines of the family. want to take any risks at all These histories can be seen in the life world systems of the themselves. They have already seen too many things go wrong family households. Such systems embody the social for that. organisational forms and behaviour patterns found in the wider institutions of society: status, roles, obligations of solidarity, Nevertheless, a first phase of power gaps, and interpretations of the spatiotemporal horizon field trials is commenced on are nurtured there. The boundaries between households are individual farms. On visiting blurred. Whilst certain tasks are performed only within the those farms, the research personnel discover that nuclear family, other functions are distributed along the axes work in the fields is performed of family ties, which extend far beyond the household mainly by women and children. residence per se: welfare obligations, production and They realise that they had accumulation, consumption, insurance against risks. A basic invited the farmers, whilst socio-economic pattern is formed by three structural leaving out other household characteristics: members actively engaged in productive activity. · access to and control of resources. · division of labour between men and women, adults and children. · obligations to contribute to the household. $ T-25 Goal: gain an understanding of behaviour patterns by observing everyday activities.

ê Tools T-23 Motivation and Visions T-24 Calculations of Benefit and Life Plans T-25 Household Forms

36 6 List of tools

51 Tasks and roles

T-01 Analysing the Tasks T-02 Negotiating Roles T-03 Analysing Interactions

52 Learning

T-04 Management of Learning T-05 Learning in Groups T-06 Organisational Learning T-07 Process History

53 Performance of organisations and groups

T-08 Group Performance T-09 Structure and Process T-10 Characteristics of Grass-roots Organisations T-11 Systemic Diagnosis T-12 Subjective Organisation Charts T-13 Client-orientation

54 Cooperation between groups and organisations

T-14 Benefits of Cooperation T-15 Qualitative Analysis of Cooperation T-16 Quantitative Analysis of Cooperation T-17 Power and Shifts in Power T-18 Cooperation at Local Level

55 Conflicts over scarce resources

T-19 Warning Signs T-20 Phases and History T-21 Conflicts between Groups T-22 Resistance to Changes

56 Strategies for action

T-23 Motivation and Visions T-24 Calculations of Benefit and Life Plans T-25 Household Forms

T-01: Analysing the Tasks

A Method

In many projects, new forms of cooperation clearly essential features, which even at represent the crucial pivot around which the task analysis stage may already point tangible results emerge: village beneficiary to future difficulties in the cooperation. groups cooperate with the government supervisory body, and private construction Task analysis will obviously form part of companies cooperate with both. any planning process. However, since the cooperation changes in practise, it will need Projects are co-productions staged by a to be repeated periodically. It thus number of partners; they form a becomes an instrument of process cooperation system based on a bottom-line steering. common denominator: the partners must be able to say to themselves and each The tasks in hand can be analysed either other that they are helping achieve a joint jointly with the participating partners, or on goal. a contrastive basis. In the latter case, the partners first need to be interviewed There is no universally-valid answer to the separately. question: Who should do what? Private- sector, non-profit and governmental The results should be presented and dis- organisations can share in performing an cussed at a workshop. overall task in a wide variety of ways. Clearly, a contrastive approach also The tasks taken on by an organisation by requires that a further condition be met: the virtue of its function and role within a various partners must be capable of cooperation system need to be analysed in negotiating and reaching a consensus. In relation to the overall task. This is many cases, this cannot be expected at the particularly advisable in case of division of outset of the cooperation. tasks between very different organisations. It then becomes evident which new public- private partnerships the project is inclined and able to bring about. B Application

We know from experience that similar Step 1: Describing and representing the organisations "understand each other overall task well", or in other words: they tend to transfer their own practises to other · What is the overall task or objective organisations. The vertical management which the participating partners are logic of a governmental agency, the profit working towards? interest of a private enterprise, the ideological orientation of a non-profit · Which sub-tasks can the overall task be organisation, or the measures taken by an broken down into? association to gain political leverage, are

T-01/1 responsibility for tasks to benefit the public interest.

government private sector ê civil society ê constitution legislation standardisation Step 2: Critique of the tasks monitoring guarantees How have the sub-tasks been performed performance · guarantees to date? performance · What was the result in terms of quality and internal efficiency? (management of time and scarce resources) · What were the critical, limiting factors? · Which minimum requirements need to C Result be met for each of the sub-tasks? (human, economic, technical) Analysing the tasks serves a dual purpose for the cooperative co-production: it Step 3: Distributing the tasks orientates the partners towards a joint · Which organisations are capable of overall task and goal, and heightens taking on sub-tasks, given the human, awareness for solutions which are feasible economic and technical requirements? in the given situation. · What expertise do they possess? This approach has the advantage over an (strengths and development potentials) analysis of problems and deficits in that · Do these organisations want to take on attention is focused on potentials and sub-tasks? visions. · What experience do these organisations have with cooperation? Furthermore, the analysis of tasks forms the starting point for the issue of the When applying this tool, we usually come performance capabilities of the individual up against the cardinal question of what, in partners: the given context, are the core tasks of government. Here too, there is no · Are the partners selected for the sub- universally-valid answer. Yet we will have tasks actually willing and able to perform no difficulty in identifying a trend towards a the assigned sub-tasks? differentiation between the roles of · What are they willing to do to ensure government and society as a whole: that the cooperation runs smoothly and undisputed core tasks of government successfully? include for instance guaranteeing legal security, and social and regional adjustment (integration). For all other tasks, we need to ask the question of how far the public services advance along the continuum of tasks of standardisation, monitoring of those standards, provision of guarantees, and performance, or where the interfaces are located with those private organisations which could assume

T-01/2 T-02: Negotiating Roles

A Method organisation Wherever possible, we normally define the è A B C D roles of the organisations participating in a expects of project at the beginning of the cooperation. organisation We consult, identify the intentions and ê expectations of the various actors, and A enter into contractual agreements stipu- lating rights and obligations. B

Having said that, we observe that these C roles undergo constant change during D cooperation. This dynamic process is the The matrix is based on the assumption that roles are result of new expectations, modified being defined between the four organisations A to D. demands, asymmetrical relationships, dis- tortions of communication and shifts in the balance of power. Step 2: What others expect of us (horizontal) and self-images (diagonal) In most cases, we cannot simply define the roles once and for all and then forget about · Do we understand the expectations of them. As cooperation progresses, it is the other partners in cooperation? necessary to constantly renegotiate those · Which expectations do we agree with? roles, as the partners themselves undergo What do we disagree with? change during cooperation. · Is the sub-task allocated to us consistent Since roles are negotiable, the definition with our own self-image (= boxes in the and redefinition of roles form one basic diagonal)? element of process monitoring. The three · What is absolutely essential and key questions here are: necessary in order for us to perform our role? · What do the others expect of us? · What do we expect of the others? · What do we expect of ourselves? Step 3: Our expectations of others (vertical)

· Do we expect too much/too little of B Application others? · Does the self-image of others Step 1: Describing expectations correspond to the expectations we have of them? The following matrix is designed to enable · Do the partners have the means and the actors to describe both their expec- methods at their disposal to meet our tations of the other actors, and their own expectations? conception of themselves

T-02/1 · What are our minimum requirements for · sockets: communicative design of the the task to be performed? interfaces between A and B; availability of contact persons and their obtain- ability, regularity of information ex- Step 4: Interfaces change, use of technology for exchange Addressing and attempting to answer the of information. above questions usually brings to light conflicts, the underlying motives of which When different experiences and per- remain concealed. The latter include the ceptions are compared, a process of fear of losing power or image, rivalries and negotiation develops which leads to prac- mistrust, the removal of professional tical improvements responsibilities, and the working methods used by others.

(Re-)negotiating roles can help alleviate or C Result resolve these conflicts, if we succeed in focusing attention on practical issues. Role negotiations are an appropriate way Where are the key interfaces? What can to facilitate dealing with the slightly we do to make these interfaces "work" like nebulous issue of coordination: we plugs and sockets? Here are a few key discuss mutual expectations, and the issues to be considered in this more in- practical demands we place on a co- depth process of negotiating roles: ordinated approach.

We confine ourselves here to one If we negotiate roles with the key partners relationship which we consider it important regularly during cooperation, we focus to analyse more closely. The two their attention on the observation and organisations A and B first ask design of those processes which shape themselves, separately, the following four any cooperation: changing mutual expec- interface-related questions: tations.

After a certain period, the partners will interface A/B become so experienced in and accustomed · relevance of relationship to this approach that they will continue to · staff commitment pursue it without external support. · binding character · sockets

· index of the relative relevance of the relationship: number and frequency of the exchange of goods and services in relation to overall production of A/B.

· index of staff commitment: number of staff in direct/indirect contact with other organisations.

· index of the qualitatively binding character of the relationship: verbal and written agreements, contracts, com- pensations, terms of withdrawal, sanctions.

T-02/2 T-03: Analysing Interactions

A Method through close interaction between the Many projects aim to create an operational provider and the recipient. production and exchange system between various actors: services and goods are produced and exchanged, for instance between municipalities, user groups, a B Application cooperative, the district administration and an NGO. Step 1: Matrix of relationships

The more actors are involved, the sooner At a workshop attended by the major the following questions for the observer actors, we enter the participating arise: organisations in a matrix. (Instead of a matrix, another means of visual · What kind of relationships exist among representation can of course also be the actors? selected, for instance a Venn diagram or · Who is providing which services and/or an organisational landscape). goods to whom? · How satisfied are the clients with the organisation services/goods provided? è A B C D · At which level (local, regional, national) interacts are which services/goods to be with provided? organisation · Where do we observe overlaps? ê · Where are unnecessary services/goods A §h* ê ó being provided which we could do without? B ê ó *+ * C §*h ê* * An analysis of interactions attempts to answer these questions. It makes the D ê+ * ê ó complex interactions within a network of organisations, working for instance in the Various types of relationship are then field of natural resource management, entered in the boxes using simple symbols: more easy to grasp. And it identifies concrete steps which can help boost the ê Service relationship: organisation A efficiency of these processes. provides a service to organisation B. In the case of services, this therefore Legal relationship: between organisa- becomes very important, as their charac- § teristic feature is that the recipient of the tions A and C there exist contractually- service is involved in its production (= client stipulated rules and standards governing involvement). Services are produced the exchange of goods and services.

T-03/1 ó Market relationship: the relations of organisation exchange between organisations A and B è A B C D are determined by supply and demand. provides goods/ * Information exchange relationship: services information is regularly exchanged between to organisation organisations A and C. ê h Interpersonal relationship: close A personal relationships exist between B organisations A and C. C + Power relationship: between orga- D nisations A and D there exists a power gap which consists in the fact that organisation In practise, it has proved beneficial to D cannot of its own accord escape the distinguish three types of good/service: influence of organisation A. · material inputs: goods, money, trans- The matrix of relationships is a first port approximation, and creates a clearer · know-how: information, consultancy, picture. Consequently, it is not necessary training, planning, R&D to shed full light on all relationships. As a · regulation and coordination: legislation, rule, it is sufficient to use the tool to standardisation, monitoring, coordina- address discrepancies in assessments tion of the division of labour made by the actors themselves.

Step 2: Production/exchange and market interactions C Result In the second step we focus on Cooperation networks are often based on production/exchange and market plans which are too complex; after a short relationships. We list the various time they collapse as the excessive number providers and recipients of goods/services. of interfaces overstretches them. With membership organisations - e.g. cooperatives and associations - we have Regular observation of interactions to take into account the fact that their supports the gradual simplification of the members are both producers and recipi- division of labour in networks and within co- ents of the goods/services in question. productions. It promotes client-orientation, Here too, the relationships can be and an exclusive focus on core tasks. represented in the form of a matrix.

T-03/2 T-04: Management of Learning

A Method

Learning takes place automatically always more effective by taking learning experi- and everywhere as a communicative ences seriously and creating conducive process. We are familiar with it in the form environments. of everyday problem-solving behaviour. · Adults find learning easier when it is Learning is more than just the intake and linked to their experiences, interests storage of information. Learning is a pro- and desires. Subjective plausibility is cess driven by incentives, new ambient often more important than scientific ob- conditions, and models or ideals: we see jectivity and a systematic approach. new differences (differentiation), and new commonalities (integration) - and act on · Adults expect a balance to be created them, in order to learn from that experi- between instrumental/rational, and ex- ence. periential/creative activities. Their well- being and sympathies (affective states) In all projects designed to promote change, determine their willingness to learn. the actors learn: during the work, or through coaching or training. The effective- · Adults have already developed learning ness of these learning processes is styles which differ from individual to determined to a large extent by three individual. Activities to promote learning management functions with which we therefore need to combine different shape learning processes: social forms of learning, and involve several channels of communication: · we define learning goals according to the necessary competences, - didactic social forms: individual · we facilitate and support the learning work, group work, project work, prob- process through moderation, methods lem conferences, coaching, learning and didactic aids, and project groups. · we prepare the ground for and support - communication through several transfer into practise. channels: listening, reading, watch- ing, discussing, observing, feeling, With adults, these management tasks experiencing. need to take into account the following: · When learning, adults feel a need for · Learning is an individual act, deter- organisation and co-determination. mined by the personal learning Learning should therefore take place in biography of the learner, and the recognisable blocks (sequences), and physical and social environment (e.g. be evaluated periodically together with the working group and the availability of the learners. conference rooms). Both support and promote, or hamper and block, learning. · Adults expect the learning process to be We can help make learning processes both goal-directed and flexible. To

T-04/1 meet these conflicting needs, learning · What kind of leadership/management activities must do the subordinate staff expect? · be planned less in terms of their · What experiences of learning and content and more in terms of the change have the learner group gained learning goals, to date? · be designed less with a view to the acquisition of factual knowledge, and more with a view to the capability to Step 2: Core tasks solve problems self-reliantly. · Which tasks will the learner group be performing in future? · Which activities do they comprise? B Application · Which activities are recurrent, which are of a one-off problem-solving nature? B-1: Key qualifications · Which of the recurrent activities cannot be learned through practise at the work- Learning goals must be derived from the place? anticipated work to be performed at the · Which of the problem-solving tasks are workplace. especially important for performance and quality? We can assume that learning always takes · Which quantitative and qualitative ex- place at the workplace itself, and that pectations vis-à-vis performance are adults always already possess skills which attached to these tasks? we can build on. Learning (whether in training or coaching courses, or in working groups at the workplace) should extend Step 3: Promoting learning at the these skills and support the process of workplace learning by doing. · How do the learner group learn at the It is therefore appropriate that we focus on workplace? those key qualifications which affect the · Which forms of work promote learning, learning process in the working environ- and which impede it? ment. In other words: the learning goals · Which social skills promote the learning are geared to the capability to learn. process?

Step 1: The workplace environment Step 4: Prerequisites for learning

We cannot define any learning goals · Which professional and social unless and until we are familiar with the competences are particularly highly workplace of the target groups and their developed within the learner group? environment. We have to ask ourselves · Which experiences and interests of the the following questions: learner group will motivate them to develop these competences further? · With which other individuals do the · Which learning experiences and styles learner group perform their tasks (e.g. do the learner group have at their staff, clients)? disposal? · To whom do those individuals report? · What support do the learner group Step 5: Four-dimensional goals receive from their superiors and those on the same level? The questions for steps 1 to 4 should · How many individuals report to the provide the basic information required to learner group? define learning goals. Having said that, we

T-04/2 cannot be certain we are marching in the own performance capability, and measure right direction until we have tested things it in relation to the key qualifications. out under practical conditions and evaluated the results. B-2: Coaching By learning, the individual develops various competences simultaneously: Coaching in the sense of facilitation of both social and communicative, and learning is consultancy for learning, and manual and theoretical. Learning goals aims to enable learners to learn and solve can be correspondingly distinguished ac- problems self-reliantly. It is based on the cording to the contained proportions of assumption that potentials can be tapped knowledge for orientation, knowledge within the learner group if and when we for action, skills and supportive be- adhere to the principle of minimum haviour. intervention. In other words, coaching - as opposed to instruction - is the approach of We can break down the learning goals choice wherever the aim is to increase the focused on key qualifications into four autonomy of and empower learner groups. dimensions: Coaching is problem-oriented: Facilitation starts with the problems encountered by Orientation the learner group, and the methods employed are adjusted to the problems at hand: within the scope of problem conferences, case studies or expert meetings. Behaviour Learning Skills goals Coaching is a process of assuming responsibility. Responsibility for learning and for the outcome rests with the learner group. Coaching promotes the assumption Action of responsibility through non-directive, circular enquiry; it unfolds in four phases: G-R-O-W - Orientation: What do I need to know about my environment in order for my · Goal setting: What are our aims? What actions to be successful? do we consider important? What is our - Action: How much do I need to know to task? Which problems do we find be able to perform the task efficiently difficult to deal with? and as specified? · Reality checking: What is happening to - Skills: What skills do I need to be able us? Where are we? Which factors are to perform the task? influencing our actions? - Behaviour: Which behaviour will · Options: What options do we have? support my performance of the task? Which are the best? What risks will we then be taking? For these key qualifications to become · Will: What needs to be done when and activated in the subsequent learning by whom? Which decisions do we need process within the working environment, to take? Whom shall we involve? In we need to equip the target group with an what form? additional tool: They must learn to monitor their own learning progress and learning Coaching presupposes a basic supportive blocks. Achieving this will mean involving attitude, based on faith in the development the learner group in the evaluation of potential of the learner group. This is learning processes. In other words: We expressed most clearly through withdrawal give them an opportunity to assess their from decision-making situations:

T-04/3 · We develop training courses and the learner group ... and coaching decides asks coaching for operational teams working together. Or we offer courses for function-based groups which overlap, so nothing whether something ☯ ought to be done that the various groups experience within the learning process how crucial that something ☯ what might be done the interfaces between the learner should be done groups are. on which assump- what should be done ☯ tions and motives that is based · We ensure that training is held at a location far from the workplace, in short, when, how, where whether the actors intensive blocks, and that it includes the and by whom some- ☯ can perform the development of social skills. thing should be done tasks nothing ☯ what the anticipated · We develop learning activities to match consequences are the given situation, in response to the problems experienced by the learner group: Training and coaching involve a B-3: Bridges across the transfer gap high proportion of practical skills development through exercises, The third core task of learning manage- problem-solving activities and case ment involves bridging the gap between the studies. learning process and practical application of what has been learned. · We consolidate individual learning through regular group work. The following suggestions make no claim to completeness: · We avoid blanket training and coaching, and focus on selected organisational · We promote all forms of practise- units which serve as a model. oriented learning: coaching, mentor- ships, work experience, horizontal exchange of experience. C Result · We rely on the observation of problems and critical events, in order to Management of learning is at the core of harmonise the learning process with the any consultancy. Learning processes practical problems and task-related become effective when we take the time to competences involved. identify the key qualifications, when we combine training away from the workplace · We work on genuine issues and with coaching, and when we do the problems: through problem analyses, groundwork for transfer of the skills and search conferences, mirroring sessions capabilities learned into practise. and research groups.

T-04/4 T-05: Learning in Groups

A Method

Learning in groups has advantages over The model initiates a sequence of commu- individual learning: the potential for dis- nication acts, involving two pro-active be- covery is larger, experiences are broader, haviours: and the incentives to learn are more numerous and diverse. · letting others know more about oneself through targeted self-presentation: The The quality of interaction within the "hidden window" becomes smaller, the group can stimulate or block the process of "conscious window" becomes larger. learning in groups. If the members are not · seeking feedback from others through willing to speak openly with one another active enquiry: The "unconscious and exchange experiences, then learning is window" becomes smaller, the "con- confined to interaction within the group. In scious window" becomes larger. other words: Under these circumstances, the group becomes occupied primarily with Deadlocked personal relationships block itself. The performance capability of a learning within groups. To turn groups into group is adversely affected as the group active learner groups, we need to counter- becomes cut off from the outside world, as act two tendencies which inhibit many well as by the opposite, i.e. dissolution. group processes:

The Johari window model demonstrates · Horizontal relationships: People tend the two ways in which we can improve the to seek reassurance and conform to the interaction within groups: through self- norms of a group. People must be presentation, and by stimulating feedback. enabled to express divergent opinions or attitudes, and criticise and contradict. · Vertical relationships: People tend to self- seek feedback presen- behave in a reciprocal fashion to avoid tation known to me unknown to power conflicts. They react to dominant me behaviour by being submissive. - Power conscious unconscious gaps and pronounced dependencies known to window window others structure communication such that it is often necessary to first of all form hidden window unknown groups with similar interests. unknown window to others

As a rule, the concealed and blind windows are filled with assumptions, imagined ideas and projections.

T-05/1 B Application

Groups can modify their learning behaviour Decision-making within a short period, and increase it to an 10 The management decide everything by them- astonishing degree, if and when a common selves. 11 We are given a hearing prior to each important orientation is found, and scope created for decision. self-appraisal and feedback. To this end, it 12 We know which decisions we can influence. is beneficial to regularly apply mirroring tools. Atmosphere 13 The cooperation is slow and sluggish. 14 The discussion is marked by personal conflicts. Example 1: Appraisal of self and others 15 Problems can be addressed immediately, directly and personally.

How do I react to X? Example 3: Criticism of roles

dominant If a group wishes to establish how its members deal with one another and how criticising consulting their roles change in the course of cooperation, it can insert a pause for thought at regular intervals. The following disliking liking questions are based on the assumption that the group has already developed an interest in the transparency of roles. This compliant ordering is designed to make the role descriptions tangible, i.e. modifiable. submissive 01 Which two members of the group do I acknowl- Example 2: Learning climate edge most on the basis of their professional competence? The following 15 statements are rated both 02 Which two members of the group can the others least influence to change their opinion? by the individuals and within the group on a 03 Which two members of the group can the others scale of 1 (completely false) to 5 (com- most easily influence to change their opinion? pletely true). By repeating and comparing 04 Which two members of the group have, in the the ratings through time, a picture of the course of our work, been most at odds with each other? group process is obtained. 05 Which two members of the group are most willing to protect and defend members who are being Information attacked? 01 We possess the necessary information to 06 Which two members of the group keep reminding complete our task. the group of its objectives? 02 All group members are aware of the purpose and 07 Which two members of the group tend to with- objective of our task. draw from discussion when differences of opinion 03 We know how and where to obtain further arise? information. 08 Which two members of the group tend to succeed in pushing through their personal objectives and Leadership interests? 09 Which two members of the group often discuss 04 We consider the management competent. issues which have nothing to do with our task? 05 The management is engaged chiefly in organising 10 Which two members of the group show the the work. greatest need to accomplish something? 06 We are supported by the management in the 11 Which two members of the group make a special performance of our tasks. effort to settle disputes? 12 Which two members of the group make the Disagreement greatest effort to keep the cooperation under 07 The individual contributions are barely criticised. way? 08 New ideas and proposals meet with keen interest. 13 With which two members of the group do I 09 Critical contributions modify our approach. normally talk the least? 14 With which two members of the group do I normally talk the most?

T-05/2 Example 4: Self-evaluation SWOP window is drawn. The intervals for the projected and retrospective observations are Learning processes in groups are steered defined. and promoted primarily by the group observing its own work. The S-W-O-P Step 2: Collecting experiences and assess- model (Strengths, Weaknesses, Obstacles, ments Potentials) is a simple method of periodic The group members write their responses on self-evaluation. The basic element com- cards, and stick them in the appropriate boxes. prises a window with four boxes: looking back looking forward Step 3: Evaluation into the past into the future The members comment on each others' cards. strengths potentials In each of the four boxes, a summary of observations is produced. The summary of experiences (= left-hand side) in compared with the future prospects (= right-hand side) of the last SWOP window weaknesses obstacles produced: Have we utilised the potentials? Did we underestimate the obstacles? The members adjust their work schedules in line with the The two boxes on the left relate to the evaluation. past, whilst those on the right contain an assessment of the potentials and risks for the future. Possible further steps The tool can be adapted to the particular This tool has proven valuable for an ap- situation, for instance by making the following proach involving the separation of per- further distinctions when filling in the cards: spectives: groups with homogeneous interests present their different experi- · consensus/dissent: What do we agree on? Where do out opinions differ? ences, perspectives, group interests and · internal/external influences: What can we positions of power, in order to be able to influences using our own resources? What are compare them at a later date. The tool the external influences over which we have no unfolds its full potential when applied control? regularly, such that comparisons can be · empirical/non-empirical influences: What can made through time. we measure precisely and address directly? Which statements constitute assessments and time observations which cannot be addressed directly? S P S P S P S O S S P O S P S O S S P O S P S O S S P O C Result W O W O Learning processes within groups can be actor A actor B observed and reinforced by simple means.

The impacts of self-reflective loops, as Step 1: Preparation suggested for instance using the SWOP The group agrees on a task which it wishes to method, include not only an enhancement observe using the SWOP tool described above, of group performance, but also greater for instance the marketing of saplings, coordi- group inclusivity (we-feeling), and a nation meetings with the forestry service, nego- stronger will on the part of the group to tiations with the land-use authority, mainte- perform tasks under difficult conditions. nance works on the irrigation channels. A large

T-05/3

T-06: Organisational Learning

A Method when an organisation draws up a strategy in response to trends and scenarios for the We are all familiar with the concept of development of its environment. learning as applied to individuals. We have all had the experience of overcoming and We have thus identified three features of a extending the limits of our knowledge and learning organisation: An organisation expertise. learns when its members actively draw up medium-term plans (a model or strategy), With organisations too, we can observe designed to guarantee the continued that they become able to achieve things existence of the organisation by making it which they previously did not achieve. This best fit with the environment. is not only due to an increase in individual capabilities. Organisational learning in- This can be summarised in the following volves a network of interlinked individual, diagram: social and structural processes. Organi- sational learning is based on the assumption that individual learning is incorporated into the organisational memory, or in environ. dynamics other words that it leads to a change in procedures and structures. goals

information tasks It is widely acknowledged that organisations are vital and open systems which ldshp. constantly adapt to their environment, for instance the market or new tasks, in order technology incentives to maintain themselves. There must be a demand for the product or service which they generate from their own resources and feed back into the environment. The need for organisational learning is therefore a consequence of continuous Organisational learning is a process of change in the environment. Organisations transforming the internal structures and must learn to realistically assess the legal, processes of an organisation, with the aim political, economic, social and market of adapting to the changed environment. environment in which they exist, and to This requires both knowledge and expertise identify the potentials generated when they on the part of individual persons and help shape that environment. groups, and changes in routine procedures and fixed rules within the organisation. Organisations can wait passively until change is thrust upon them, or they can Two key questions can be asked in the attempt actively to harmonise their own context of organisational learning pro- development in line with new potentials and cesses, which can serve as the starting challenges. This forward learning occurs point for all observations:

T-06/1 · How does the organisation deal with B-2: Voice and exit information from the environment? · How does the organisation deal with The quality of organisational learning can voiced differences of opinion? be measured by the dynamics of voice behaviour. The way an organisation deals The first question is based on the with criticism has a crucial effect on assumption that each organisation needs learning processes, and thus on organisa- to absorb information important to it from tional change. Let us first define the basic the complex environment in the simplest concepts: way possible. The second question presupposes that Voice denotes those behaviours which call individual and structural learning processes into question the status and prevailing in organisations are interlinked, and that it routines of an organisation. Voice means is therefore important for the organisation that standard procedures are not being fully to respond to differences of opinion and complied with, or are creating problems. "local theories". Voice becomes manifest when people express direct and open criticism and value B Application judgements; in other words, they draw attention to shortcomings, mistakes and B-1: Information management faults, as well as good experiences and unharnessed potentials. In so doing, they What can organisations do when having to call into question the prevailing under- deal with a high level of environmental standing of how the organisation functions: complexity undergoing constant change? The "local theory" is born.

The following checklist contains positively The term exit denotes the phenomenon of worded qualitative indicators of a dynamic an individual withdrawing from a relation- organisation which is willing to learn. ship (to individuals or organisations), and terminating it in order to seek an alternative 01 Information sources: Does the organisation relationship. Frequent exit is a signal: make use of a wide range of mutually inde- Something is wrong when staff hand in pendent information sources? How does the organisation define its environment? Which their notice and clients disappear. trends does it monitor? Exit is the most determined form of voice, 02 Information flow: What incentives to pass on and presupposes that the individual making information does the organisation create? What technical aids and methods does it make avail- the exit has other alternatives to choose able? How does it promote informal exchange of from. Although exit is entirely consistent information? with market principles (...we will select the best product, the best organisation), it in- 03 Information processing: Does the organisation make use of both encoded (figures, statistics) hibits organisational learning: Organisa- and narrative forms (stories, group discussions)? tions may lose their best and most creative Does it have a medium-term strategy? people as a result. Organisations whose only scope for dissent is exit (... those who 04 Interest in interpretations: What opportunities does the organisation offer for different inter- don't like it here can go elsewhere!) have a pretations to be expressed and compared? massive learning block.

05 Evaluation of experience: How does the orga- Willingness to assume responsibility and nisation evaluate its experiences? Does it adapt the evaluation to the environmental dynamics? the possibility of voicing differences of opinion are closely related. Those who are In order to identify and put forward for discussion the able to express different opinions without trends in the development of an organisation over a risk will identify with a problem, and be prolonged period, it is appropriate to quantify specific indicators. willing to assume responsibility for it.

T-06/2 It goes without saying that any voice be- Step 3: Voice culture haviour is strongly influenced by socio-cul- The behaviour of organisations vis-à-vis tural factors, and the status of the in- voice varies from case to case, as it is involved persons and groups. In other words, fluenced by a number of situational charac- in each organisation the strength of loyalty teristics, e.g. to "local theories" is differentially distributed among persons and groups. · by the degree to which the arguments voiced are convincing and objectifiable · by the status and influence of the individual The repertoire of responses to voice and voicing the opinion ("messenger profile") exit is wide: · by the degree to which the status quo is threatened · Express criticism which is voiced and calls into question existing notions can Nevertheless, we can distinguish four either be accepted and taken into patterns of how organisations deal with account, or rejected and ignored, or cases of voiced criticism: merely ostensibly accepted. · Latent criticism (dissatisfaction, pass- 1 Denial The organisation closes its eyes and ears to any ivity, exit in spirit or in fact) can also need for change which might have been identified, or either be ignored, or actively addressed, possibly seeks to perfect existing structures and for instance through a process of ques- consolidate the official perception of the environ- tioning and discussion. ment.

Step 1: Observation 2 Pseudo-acceptance Cosmetic measures are taken to create the false Self-observation: impression that the suggestion for change has been · To whom can I express criticism and meet with accepted, whilst the structures to resist the voicing of their interest? criticism may possibly have been strengthened, e.g. · What makes it easier for me to express criticism? through marginalisation or defamation. · Who will support me if I express criticism? · Who is interested in what is changing outside our 3 Reactive adjustment organisation? Voiced criticism is taken seriously and leads to con- · What advantages would I be hoping to gain if I crete, albeit sporadic changes in internal procedures were to move to another organisation? and structures, and possibly the perception of the · What reasons or advantages here prevent me environment is also adapted. from moving to another organisation? Observation of others: 4 Active adjustment · By whom have major changes been initiated The organisation actively seeks to identify problems recently? and criticism, with the aim of adjusting its own struc- · Who has tried to bring about an open exchange tures and processes, and redefining the environment. and discussion regarding those changes? How successful were they? · Who has exited recently? C Result · What reasons did they give? · Who showed interest in those reasons? The degree of an organisation's willingness Step 2: Culture of horizontal exchange to learn can be observed through its · What opportunities do we have within our organi- behaviour with respect to information and sation of work to exchange experiences? voiced criticism. Discussion of these issues · How are we rewarded for exchanging experi- as a rule initiates both strategic planning, ences? · Who is interested in our insights, assessments and strong team-formation processes. and suggestions?

T-06/3

T-07: Process History

A Method

Whilst we are constantly involved in the individual decision-making pro- processes of change, we nevertheless cesses. At first glance we often observe a have surprisingly little process experience chaos of facts and an agglomeration of at our disposal. This also applies to pro- interests, of which we understand only little, jects of cooperation which, as a rule, even though we did take decisions at the expend a great deal of energy on planning, time. but spend little time on periodic adjustment of the plans in the light of experiences. Reconstructing process histories has the benefit of making us focus more closely on The parameters of a project are in constant factors influencing decision-making in the flux: New emphases emerge, others fade, present. Instead of seeing uncertainty, and roles, interests and power structures errors and contingency as obstacles, we change in the course of cooperation. can harness them as creative potentials: We look back at selected processes we As a rule, we find it difficult to concede that have undergone and ask ourselves: we fully grasp only little, that we make mistakes, that we take decisions on the · What decisions did we take at the time? basis of inadequate data, and that we · What information did we base those barely understand the complex, dynamic decisions on? processes in which we are involved. · What did we expect to happen as a Nevertheless, planning does make sense: result? We want to agree on goals, and we can · What was the actual outcome? observe the discrepancies between our planned targets and what we have actually achieved. B Application We know where we started from, and who Step 1: Determining the scene we were with along the way, but we barely know how we reached the goal. Any situation in the present can be seen as the result of decisions we have taken in Methods of self-evaluation are an appro- the past. In other words: The scene in priate means of reshaping planning into an which we find ourselves now was con- iterative process responsive to experi- structed, and has a history. Which major ences. Having said that, the majority of decisions brought us to where we are methods focus on the results, and in doing today? so neglect the detours, the errors and the uncertainty which have been with us along First of all, the question contains a problem the way. of delineation: We must confine ourselves to a section of the present which can be To learn from the history of the process, described, and whose history we wish to we must take the trouble to look back over shed light on.

T-07/1 When first attempting to work with process The straight line along the time axis should history, it is recommended to select a con- not give the impression that the path taken crete result: The village tree nurseries are was itself a straight line! This becomes all being run self-reliantly and on a break-even the more clear when we take into account basis, loans are being repaid, the user decisions which at the time appeared groups are not keeping unwritten agree- minor, or which at the time we did not ments, etc. even see as being formal decisions.

In the following steps, the method gains Step 3: D-matrix momentum if - in order to separate perspectives - we work with different groups We can now enter the decisions in a matrix in parallel, so that we can later compare which will make it easier to begin dis- the decisions taken and their importance. cussion of the process history: relevance to the outcome Step 2: Fishbone minor major

S-2 S-3 If we focus on a particular scene, e.g. the degree of large tree nurseries, we can hold a workshop to illusions self- decision- steering collect the decisions which brought us to making where we are today. We plot the decisions freedom S-1 S-4 along the time axis, and draw a fishbone formalisms constraints of the decisions D-xx: small

D strongly Step 4: Styles of decision-making influenced by external factors We assume that decisions were taken on a more or less participatory basis, and that alternative options were compared in D-01 D-03 D-05 the decision-making process. We will now attempt to characterise the decisions in D32 D51 S-3 (= with a large degree of freedom and of major importance for the outcome) on D11 D31 today the basis of these two criteria time · Which three decision-making styles do D61 the decisions in S-3 display? D21 D41 A: Autocratic - one individual or group of D62 individuals took the decision on the D81 basis of their position and function. B: Consultative - one individual or group D-02 D-04 D-06 D-08 of individuals took the decision after consulting other individuals and asking D strongly for their opinion. influenced by us C: Group-centred - one group of individuals reached agreement on the deci- Decisions with even numbers were strongly deter- sion through an opinion-forming pro- mined by us. cess. Decisions with odd numbers were strongly influenced by external factors. · What alternative options were considered before taking the decision? We can distinguish several hierarchical levels of What and who played a crucial role in decisions, for instance the relationship between D-05 and D51 is that the latter influenced decision our deciding this way and not differ- D-05. ently?

T-07/2 Step 5: Evaluation C Result

Once we have worked with various groups, The reconstruction of process histories we begin evaluation by comparing the promotes the incorporation of what has results. To learn from the process history, been learned into the existing body of it is now necessary to focus on the knowledge of a group or organisation: We following questions: retrace our steps, and recall what we learned. · Which decisions proved to be of major importance in retrospect? Process history focuses attention on jointly · Why did they prove important? achieved development, on our develop- · What information did we base the ment. Through a process of experiential decisions on? learning, it promotes the adjustment of · What was the level of acceptance of the plans to those processes which we have decisions at that point in time? helped shape. · Where did we make mistakes and end up in dead-end situations? · What detours were necessary? What did we learn from that? · What did we forget? What did we not want to acknowledge, and what did we put out of our minds? · When were we blocked, with none of us knowing what to do next? · What and who helped break down these blocks? · How much weight did we attach to formal decisions? Where did real self- steering actually take place? (Comparison of squares S-1 to S-4) · Why did something take longer than expected? · Why did certain actors remain com- mitted and others drop out? · What alliances were formed between the actors, and how did they affect the decisions? · What do we see differently now than then? · In which decisions now under consideration do we wish to take that into account? · What can we do to ensure that the lessons from the process history are not forgotten?

T-07/3

T-08: Group Performance

A Method

Organisations consist of groups: working · Direct contact: The members of a groups, user groups, departments, func- group are in direct personal contact. tional groups, operative groups, manage- They meet regularly, and exchange ment ranks, directors etc., which in turn information on their work. The members form sub-groups. know each other, and enter into relationships with each other which are When observing group processes, more or less related to the work. several basic questions arise both for outsiders, and for the group members them- · Timespan: In contrast to functional selves: groups formed coincidentally (e.g. in a lift or in a queue), the group survives · What is a group? over a relatively long period. · How does it develop? · What holds it together? · We-feeling: The members perceive · What performance advantages does it themselves to be part of the group. have? Unlike groups upon which we impose a definition based on socio-economic or Once the group members begin to con- socio-cultural characteristics (landless sciously ask themselves these questions, female farmers of Indian origin, estab- the ability of the group to steer itself lished civil servants of salary bracket X), increases. the members themselves are aware of belonging to the group. This may be reinforced by formal or symbolic con- B Application ditions for admission. The individual member develops a more or less pro- B-1: What is a group? nounced "we-feeling".

Not every collection of people constitutes a · Community of values: The members group. When using the term group, we have a minimum, in some cases tacit refer to an entity with the following dynamic consensus on how the outside world, characteristics: and behaviour within the group, are to be judged, and which norms are to be complied with. This forms the basis for direct community the admission or exclusion of members, contact of values and for the joint goals of work.

group · Differentiation of roles: On the basis of time- differentiation their ascribed status or their social and of roles span professional skills, the group members develop mutual expectations. Positions we and roles emerge, for instance leaders, feeling moderators, co-workers etc. Attached to

T-08/1 these roles are prestige, respect, feel- Phases of group development: ings of liking, disliking, competition and Phase and Task-orientation and rivalry etc.. group structure group dynamics

Where direct contacts are a condition, a 1 Forming group cannot be enlarged indiscriminately. uncertainty regarding understanding of tasks expectations; heavy characterised by views With working groups, it has proved to be dependency on founders of members; much time the case that - depending on the task - the or leadership; situational and energy expended on upper limit is six to twelve members. trial of behaviours; relationships, rules and negotiation of rules. methodological issues.

B-2: How does a group develop? 2 Storming formation of sub-groups task-orientation dis- The most common group formation pro- and alliances; resistance appears behind issues to division of labour; re- of relationships; polar- cesses emerge from one of two sources: volt against leadership; isation of opinions; mistrust towards and rivalries and conflicts; · The group is formed around a core of rejection of strong group affectively laden rejec- founders who join forces in the light of members. tion of roles and tasks. common interests and projected bene- 3 Norming fits: Common economic interests lead to development of we- common goals come to the founding of a company, common feeling, group cohesion the fore, pragmatic task- awareness of discrimination leads to the grows; norms and rules orientation becomes founding of a social movement. perceived as supports; stronger; open ex- members provide mutual change of opinions · The group is formed on the basis of a support; conflicts are facilitates cooperation, settled. overcoming barriers functional division of labour: To guar- caused by relationships. antee coordination, a working group is 4 Performing formed; to divide up maintenance work problem-solving strat- relationship problems and assert water rights, a user group is egies developed, division are considered resolved; of labour is functional; constructive handling of formed. mutual expectations are tasks becomes the addressed periodically; norm; communication Admission to a group can be based on a role changes are poss- problems and relation- number of different criteria: ible. ship-related issues are addressed, where the · compulsory membership: social groups, work demands. occupational groups, age groups which This diagram does not imply that every at the same time function as working group will undergo all phases in a linear groups. fashion: There are groups which never · appointment or nomination: decision move beyond phases 1 and 2, and there rests with a higher authority. are groups which move backwards again, · selection by the group itself: group for instance because new members have decides on the basis of prescribed rules joined. or its own criteria. · voluntary membership: new members The diagram will prove useful when the seek contact and make an active effort group asks itself at what stage it is at and to be admitted. where it is going. Each change in the composition of the group changes its internal dynamics, more B-3: Group cohesion so in the earlier phases of development than in the latter, when the group has The internal cohesion of a group is a already developed a pronounced task- measure of its stability. Group cohesion orientation. has an ambivalent effect on those outside

T-08/2 the group: On the one hand, it can seem · With whom would you like to cooperate attractive to new members, as they see a in connection with afforestation? "social home" inside the group; on the · Whom could you not cooperate with other hand, cohesion can cut the group off under any circumstances? from the outside world, even turning it into something like a sect or secret society. For each of the questions, each result is then shown in a diagram as below: promoting cohesion inhibiting cohesion frequent and regular size of group inappro- A direct contacts priate to the task agreement on goals and inconsistent goals, and B C values conflicting basic attitudes competition between performance assessed groups and group re- individually E wards D F cooperation and syn- loner culture and rivalries ergistic effects among between sub-groups members success, acknowledge- failures G H ment and visible benefit L to members J As well as cohesion, there are other K advantages which make a group distinctly M attractive: D G means: D chooses G. · pragmatic benefit: the anticipated economic G H means: G and H choose each other. benefits of membership. Numerical values can be added to the diagram, indicating the number of times each individual has · protection: collective protection against violence been selected. and coercion guaranteed by membership. · safeguarding of interests: strengthening and Sociograms need to tread a fine line between dis- protection of members' interests by the group. cretion and transparency. Not all groups can with- · aura: gain in social prestige associated with stand the level of self-analysis necessary. Inappro- membership. priate application of this instrument might cause · self-actualisation: opportunity for members to irreparable damage, for instance if rivalries were to use their own expertise and capabilities. become visible or loners to become branded. · learning: possibilities for acquiring new expertise and capabilities in the group. Cohesion and performance only go hand Strong group cohesion can also have drawbacks: in hand if and when the group identified · Highly cohesive groups are resistant to organisa- with the superordinate objectives of the tional change. larger organisation. If this is not the case, · Group pressure can lead to isolation, and thus to the group constitutes a threat within the a clouded perception of reality. organisation. The ideal situation is one in Sociograms can be an appropriate means which highly cohesive groups are well led. of observing the development of cohesion within a group. These respond to the ques- B-4: Performance advantages of tions: Who gets on best with whom? Who groups enjoys the highest level of acceptance? Which sub-groups are forming? The performance of a group is greater than the sum of its members' individual The members of the group are invited to performances if and when the group size select two or three other group members. is optimal, and the members complement The question of selection is always each other qualitatively. This will not be posed in relation to a concrete goal, for the case where the group is homo- instance: geneous, yet performs different tasks, or if

T-08/3 it contains freeloaders or passive members. Experiences from the working world indicate that partially autonomous groups which plan, implement and evaluate entire tasks, perform better than highly-specialised groups, provided that their members 1 2 3 4 possess the necessary social skills for internal coordination. Circular (1) and linear communication (2) Designing the task lays the foundation for are least conducive to task performance: the performance capability of a group. communication takes longer than What requirements must a learning- necessary, the paths of decision-making oriented task design fulfil? are long and complicated. Having said that, where errors of information do occur, · The task allows the self-reliant definition these are most quickly corrected in the of goals, within the framework of the communication circle (1), as this pattern known superordinate goals. provides the best guarantee of creative · The task comprises the planning and and rapid exchange. steering of the work. · The task makes it possible to maintain Group members prefer the circular contacts with internal and external arrangement (1), as they see this as clients. providing an opportunity to enter into dis- · The task allows corrections and other cussion with others more quickly and more adjustments to be made during execu- easily, and see the least danger of being tion. excluded. · The task allows for review of goal attainment. The fact that these patterns are strongly influenced by the respective superordinate · The task allows for a horizontal ex- organisational culture need not prevent us change of experiences with other from discussing them. groups. · The task allows for the rewarding of group performances. C Result

The social skills of the members are Observation of group formation processes, therefore a further limiting factor, since and the dynamics between task-orientation performance-orientation and members' and internal cohesion, enables us to needs often conflict. Competent group assess the performance capability of leadership must be able to harmonise groups. Once groups automatically see group needs with task-orientation. Search process observation as being their own tasks, problem-solving tasks and routine task, they begin to steer themselves. tasks require different communication patterns. Consequently, group performances are promoted primarily through targeted training of leaders, in order thus to stimulate the self-reflectivity of groups.

This is best illustrated on the basis of several internal communication patterns of groups:

T-08/4 T-09: Structure and Process

A Method

Organisations are subject to the twin polar on the structures of the organisation - they influences of order and chaos. are the engine driving the structures. With- out processes there are no structures, and Rules and norms simplify internal coordin- structures are pointless unless they form ation and control of the performance the riverbed for processes process; these include for instance: safety regulations, rules governing working hours, The aim of the organisation-specific bal- service regulations, definition of respon- ance between structure and process is to sibilities and relative positions of personnel achieve a maximum of clarity, binding within the hierarchy, rules governing the force and adaptability, with a minimum of use of infrastructure. Taken in their entirety, rules. these rules, together with the material resources (buildings, machinery etc.), form the structure of an organisation. ê STRUCTURES continuity PROCESSES ê security Structures are expressed in organisation ê flexibility ê routine charts, specifications, in the number of ê initiative levels of the hierarchy, or in the division of rules and norms ê innovation duties. They provide actors with a binding, secure framework within which the produc- organisation chart production processes tion process takes place. Ideally, the rules and levels of hierarchy are only so dense as to promote initiative formal and in- and innovation, whilst at the same time division of labour, formal com- securing the "regulated“ production pro- description of tasks munication and functions cess. interpersonal relationships The alteration of rules, output-oriented instruments and methods of work resource management, all interpersonal learning pro- dealings and all communication thereon planning, monitor- cesses form the processes of an organisation. ing and sanctions These also include personal relationships, which cut across and may circum- vent or threaten formal structures. This is Rules and norms are clots of coagulated the case for instance with friendships or experience. They lead to a certain degree family ties, as they exist independently of of routine, security and standardisation, the asymmetrical power gap and relation- and serve a dual purpose: ships of authority. · increased efficiency: We know e.g. A symbiotic relationship exists between who we have to approach (proper official structure and process: structures promote channel!) and which form to fill in. or hinder processes, whilst the largely invisible processes have a dynamic effect

T-09/1 · quality: We achieve a consistent quality B Application of products and services. B-1: Indicators of structure and There are declared and undeclared, process regularly observed and tacitly ignored rules. Interest in the density of rules and their It is a characteristic feature of organisa- observance varies. In most organisations, tions and their sub-organisations to divide the density of rules decreases at the upper themselves up into structural and process levels of the hierarchy, whilst interest in components. This generates key informa- their being followed increases. tion on existing scope for action and the Organisations are made up of sub-organi- prevailing organisational culture. sations and niches, which are structured A working group wishing to conduct an and regulated to differing degrees. The organisational diagnosis can select those ratio of the mix is reflected for instance in indicators from the following list which it the scope for decision-making on a considers especially significant: discretionary basis as opposed to by the book. It may also be expressed in the · number of levels of the hierarchy involved material structures, for instance a work- in the performance of a task or in a place design conducive to communication, decision-making process or in values, for instance the attachment of · number of formally distinct tasks positive value to informal contacts. · design of tasks: breakdown of objectives, planning, regulation, quality control, evalu- Wherever order is defined by rules, there ation vis-à-vis execution are also sanctions to punish infringements · number of meetings at the horizontal level of the rules, and there are disputes over · number of meetings within the vertical structure which rules should be kept and which · time taken for decision-making thrown overboard. People adopt an · number of individuals involved in decision- attitude toward the structural and process making components of the system: for instance, · interval between planning and execution they seek security in routine, and accept a · time needed by new staff to feel integrated large gap in power between themselves · frequency of formal alterations to regulations and their superiors. Or they are comfortable and organisation charts in processes which feel chaotic, and seek · staff turnover out their own reference groups. · ratio of number of individuals with and those without direct external contacts Processes are determined by task-related · number of standardised work instruments: cooperation between people, their affective manuals, forms etc. and their distribution relationships, their expectations and · frequency of sanctions desires. · frequency and target groups of promotions · methods of monitoring presence The division of the (sub-)organisation into · methods of staff evaluation structural and process components is dependent on the nature of the task, and B-2: Shifts in the balance between the resources available. It is also influenced structure and process by culturally-determined thought and be- Where specific tasks need to be re- haviour patterns, and organisational tradi- designed, either for individuals or for tions: the same tasks are performed differ- teams, the redefinition of structural and ently in different places! process components can be discussed.

T-09/2 First of all, the tasks (in this case A and B) · the new skills possibly required by the are entered along the continuum of struc- personnel performing the task, necess- ture and process, with selected indicators. itated by the shift.

direction Task A Task B Task B Task B

rationale: high high level rationale: - density structure of infor- - of rules orientation mality - - - - process orientation C Result indicators: indicators: - - The insight that there is a need for both - - structures and processes leads us to - - pursue a question-and-answer approach: we attempt to find out what would be the ideal mix in our particular case. As a In a second step, the direction in which the result, we begin to develop our own task needs to be developed in order to concepts of the organisation in question. achieve the objectives is discussed. The rationale of why a shift in one or other By analysing the balance between struc- direction is appropriate consists of three ture and process, we discover something arguments: about the dynamics of an organisation, laying the foundation for appropriate · the targeted increase in quality, interventions. We address the issue of · the anticipated increase in efficiency (in whether and where we have too few the sense of improved resource man- structures, and whether and where we are agement), creating too little scope for processes.

T-09/3

T-10: Characteristics of Grass-roots Organisations

A Method

The term grass-roots organisation is not whilst possibly accentuating social differ- clearly defined. It is applied to a broad field ences. of highly diverse organisations, whose common feature is that they all maintain These organisations' close links with more or less direct relations with the political parties and pressure groups of people. civil society create scope for action for them, whilst at the same time binding them · as a territorial community: extended to their governmental and non-govern- family, village, parish, local administra- mental partners in alliance. tion, urban district group, school parents' group, etc. We also need to see the distance between these organisations and public administra- · as a productive membership organisation structures as a dynamic process. tion: user group, self-help group, co- Extensive decentralisation of governmental operative, small business association, structures and the strengthening of local credit association, etc. administrations can lead to territorial grass- · as a social movement: self-help roots organisations becoming involved in groups, human rights association, trade close cooperation with the local administra- union, cooperative, etc. tion in local areas. The terms themselves point to the fact that Many grass-roots organisations perform a there are a large number of hybrid organi- bridge function: They link rural sections of sations, which makes them more difficult to the population, largely neglected by typify. For example: Self-help groups which governments, to the modern urban-oriented have been formed in response to a world. These agents of this link are in many collectively felt deprivation in villages, join cases young university graduates who forces in a federation, form a credit co- assume leading positions in these orga- operative, and develop into a powerful nisations. pressure group which controls a political party. Normally, when dealing with grass-roots organisations, greater emphasis is placed The grass-roots orientation of these on intercultural issues than when co- organisations, in the sense of their being operating with governmental agencies or obliged to the people, is compromised by large NGOs, for instance. With rural grass- the need for internal professionalisation roots organisations, we also look for within the organisation. authentic, genuine and exotic "otherness", Ethnic affiliation and clientelistic family and when we do not find it (...They're allegiances of these organisations in many already hooked up to the Internet), we cases prove to be both strengths and suspect them of operating on the basis of weaknesses at the same time: they instrumental and rational (i.e. western!) strengthen the grass-roots orientation, logic.

T-10/1 The development of grass-roots organisa- · Demoralised grass-roots organisations tions is characterised inter alia by the following conflicts: Expectations which have not been met are among those obstacles which are most difficult to overcome: Following a painful disappointment, a · Local versus modern forms of commu- Bolivian campesino or an African cooperative nication: written contracts, planning, farmer, with his perforce pragmatic strategy for technical rationality. survival, will take care not to join an organisation · Breadth of values of members (seniority, a second time, thus risking his economic and social survival. social obligations within the community, It is absolutely essential to evaluate local orga- local knowledge) versus professional nisational experiences, in order to be able to orientation and upgrading of the leader- answer the question as to who we want to work ship group: growth in power through with. professional competence. · Culture of negotiation

Nothing is so time-consuming as two different partners moving onto common ground and B Application negotiating their interests. Organisations are places for the slow to sojourn. We cannot de- B-1: Points to observe velop and change non-stop. Hectic activity blocks sustainable learning processes. · People are already organised We need to gear communication to the slow learning processes. The harmonisation of differ- People unsuspectingly referred to in planners' ent interests requires time. jargon as target groups always have organisational experience no matter where they are. B-2: Diagnosis Organisational cores exist everywhere. Project planners occasionally overlook this fact. They Step 1: Self-profile in facts want to organise the target groups from scratch. People react to this with a reasonable social Facts are objective, their selection and technique: they allow themselves to be organised. Cooperation must build on the existing evaluation are not. Where the opportunity organisational cores and local organisational arises, it is also recommended to establish experiences. In many cases, the establishment a separation of perspectives here: We and development of new organisations will be work with two or three groups whose superfluous. composition is relatively homogeneous. · Paradoxical cooperation Two questions interest us: What is fac- tually the case? Who knows what? We are In many cases, raising the issue of organisation interested in both the facts and their consists in placing the naked demand on user interpretation, in other words the "local groups to provide material inputs: manual work as day labourers, provision of materials, money. theory" of the organisation about itself. Grass-roots organisations see this as the collection of a tribute, a practise which in many places We can gain an overview with the awakens memories of compulsory measures following twelve thematic fields: imposed by colonial administrations. Organisations based neither on benefit nor on 1 Establishment: When was the grass-roots orga- voluntary understanding of their value tend to nisation founded? Who founded it? With what crumble and fall apart once the inputs have been intentions? made. 2 Members: How many persons belong to the · Dormant rump organisations grass-roots organisation as - members Everywhere there are organisations which have > in total become dormant, because they are not needed at > honorary staff present. These can be self-help organisations, or - permanent staff associations. We do not see these organisations > in managerial positions at first glance. > in operative positions Rump organisations contain development poten- > auxiliary staff tial. They can be reactivated with only little input. - temporary staff

T-10/2 3 Legal form: What legal form does the grass- Step 2: Visions roots organisation have? (informal group, legally incorporated society, cooperative, association, Even a grass-roots organisation with private company, etc.) limited performance capability constitutes 4 Products and clients: Which goods and a development potential. If the social services does the organisation produce? (also: energies can be successfully focused empowerment, protection of interests, etc.) For towards a joint vision, this potential can be whom? Which products are in greatest demand among harnessed. Consequently, the second which client groups? diagnostic step focuses attention on the future. 5 Cooperation: With which other organisations does the grass-roots organisation cooperate on · Images of the future: What do we want a regular basis? What is the purpose of that to achieve in the next two (three) years? cooperation? We collect the concepts and ideas, and 6 Reach: How far does the grass-roots orga- turn the suggestions into pictures, for nisation extend (local, regional, national) in instance a hill with a forest on top, or a terms of well-attended meeting of members. - its own infrastructure? (e.g. with branch offices, means of communication) - its members - its partners in cooperation

7 Tasks: Which main tasks does the organisation perform? - core tasks - supporting internal tasks

8 Structure: How many hierarchical levels does the organisation have? What are they called? · Growth: How are we going to achieve How are staff distributed across the levels? What that? We use a simple, everyday image professional qualifications do these groups of to illustrate growth and change, for individuals possess? instance the growth of a tree, the path 9 Funds: Where do the funds come from? of a drop of water on its way to the sea, - members' contributions the transformation of a silkworm into a - revenues earned cocoon, or the lunar phases leading to - credits full moon: - grants Phases Path marks: How do we know 10 Infrastructure: What infrastructure and assets that we've got that far? does the grass-roots organisation have at its ...... disposal? - buildings ...... - production plant and vehicles - means of communication ...... - other ......

11 Planning: When and where does the grass-roots ...... organisation plan its activities? Does it have a ...... medium-term strategy or ideal?

12 Evaluation of experiences: What positive This illustration is designed to focus experiences can the organisation look back on? How are experiences evaluated within the grass- attention on a stepwise procedure outlined roots organisation? more precisely in the next step.

T-10/3 Step 3: Limiting factors Step 4: The outside world

To refine the diagnosis, we can ask our- Every organisation has relations with the selves which capabilities the organisation outside world, and its members develop lacks in order to develop in the prescribed ideas concerning that environment. direction. Here too is it appropriate to avoid applying a preconceived list. It is a known Key questions: fact that there are grass-roots organisa- · Which developments encourage us? tions capable of performing well without · What do we observe with concern? duplicate bookkeeping, organisation chart · Which relationships with other and computers. organisations (private and public) will become more important in the future? We ask two key questions: · What must we know and be capable of doing in order to attain our goals? C Result · Where are we strong already?

The results can be illustrated in the form Cooperation with grass-roots organisations below, for example. First of all, fields of places high demands on our flexibility: We competence are delineated, for instance: must become detached from our own organisational concepts. A deposits in the credit cooperative, Diagnosis of these organisations' B number of active members, performance capability is based on the C coordination with the local adminis- experiences and assessments of their tration, members. This helps the grass-roots D regular meetings with the women's organisations realistically assess their groups to evaluate experiences. potentials and limits, and open up to the The segmented circle distinguishes three outside world. different degrees of competence. (1) low, (2) medium and (3) high. To provide a clear representation of the development process, this can be applied repeatedly through time.

2 A 1

C D

T-10/4 T-11: Systematic Diagnosis

A Method B Application

Organisations are living organisms, shaped Step 1: Bird's-eye view and logo by their own members. Each member has his or her own understanding of how the Organisations are complex. We see some- organisation works or should work. These thing different depending on where we are "local theories" contain notions on leader- standing: from above or below, from the ship and cooperation, and on the purpose inside or the outside. What is striking to and quality of the work. Some have very some, is insignificant to others. clear and explicit ideas, whilst others have a more intuitive grasp of what is going right The first step consists in preparing a and what is going wrong in an organisation. coarse-grained snapshot of the organisation. The members differ in their ability to put across their local theory, and in their in- We work with a working group. Each fluence, or power of definition, in terms of member first selects eight specific features being able to transfer their ideas to others to describe the organisation. and have them accepted. Task: Select eight typical positive and Systemic diagnosis is based on the con- negative features of the organisation, four structivist assumption that behaviour and of which are qualitative characteristics and willingness to learn are moulded by the four of which are quantifiable magnitudes members' local theories. (or relationships). Draw a logo of the ' organisation which characterises the The aim of this procedure is for a working present status quo. Represent the result team or organisational unit to elaborate its as follows: own diagnostic model, and on that basis to think about and discuss possible modifications. logo of The method complements and extends organisation other types of diagnosis based on facts, figures and surveys. Organisational change is based on the principle of the minimum possible external intervention. The organisation must change itself; consequently, that is where the corresponding insight must also start to grow.

T-11/1 Step 2: Zoom deficits, weaknesses and which strengths and potentials you observe. The representation of the eight features, based on personal organisational experi- systemic functions limiting strengths/ ence, is compared with a list of systemic factors potentials functions which an organisation comprises. The list of systemic functions is open-ended, and may be supplemented. Examples are:

· satisfaction of client needs · economic profitability · social integration of members · internal coordination · stability and continuity Step 4: Objectives for change · ability to cooperate with other organisations The three columns are now used to draw · adaptability up objectives for change. In this context, · self-reflexivity and learning capability the following sequence of priorities should be observed: Task: Mark with a cross those systemic functions which correspond to the eight (1) Environment and products: quality and main features you selected, and represent quantity of goods and services, demand and the result as follows: market position, portfolio. (2) Ability to cooperate: cooperation with other systemic functions organisations. (3) Staff development: expertise and capabilities of staff, team development and social skills. (4) Internal structures and processes: allocation of tasks, rules, information flow and decision- making. O The objectives for change must be sought at the highest possible level of objectives, so that the forces for self-organisation can be mobilised and strengthened: What must Step 3: Limiting factors and strengths we change at the level of objectives (1), such that (2), (3) and (4) are adjusted In the third working step, the individually- automatically? What must we change at elaborated diagnostic models are com- levels (1) and (2), such that (3) and (4) are pared and discussed in the working team. adjusted automatically? etc.. The aim is not to build a model applicable to all, but to identify limiting factors. The reasons for these problems are complex, C Result and can be identified on the basis of the individual models. Equally important for the Systemic diagnosis takes the organisa- diagnosis are the strengths and poten- tional experiences of the members as its tials which we can rely on. starting point, and leads to a consensus regarding the key limiting factors and Task: Draw up a list of the systemic func- potentials. It promotes the willingness to tions which you crossed. Bearing in mind change, and allows objectives for change the main features you selected, ask your- to be drawn up which build on the orga- self which limiting factors, bottlenecks, nisation's own strengths.

T-11/2 T-12: Subjective Organisation Charts

A Method B Application

There is no ideal organisation chart X for B-1: The view from inside organisation Y, and an organisation chart tells us nothing about the performance We ask the staff of an organisation the capability of an organisation. Organisation following question: With which supra- charts are simply cognitive maps repre- ordinate, coordinate and subordinate col- senting an organisation from a functional leagues do you cooperate? perspective as a hierarchical system of division of tasks. To represent this we use a circular model. At the centre of the circle is the name of Organisation charts represent an ideal the staff member (X). Superordinate, peer situation, are aids to orientation and serve and subordinate colleagues are entered on as planning tools. They cannot show the the concentric circlers. The size of the real socio-technical dynamics of the orga- entry represents the number of working nisation: open positions, the performance contacts per unit of time. capability of an organisation, circumvention of official channels or the real relations of communication remain invisible. superordinate

Organisation charts reveal and conceal at the same time. Since more coordination X peer tasks are generated as the division of tasks increases, organisation charts attempt to prevent this by methodological means, for subordinate instance by creating staff units or organisational matrices. When this occurs, communication, relationships and work procedures are deliberately neglected. B-2: The view from outside

Organisation charts express the perspec- We ask outsiders, for instance the key tive of the management of an organisation, partners in cooperation or suppliers, the and to a certain extent represent the official following question: How do you see the version of things. We can also elaborate organisation on the basis of your relations organisational charts from different per- with it? spectives, for instance from the perspective of the staff, or the perspective of outsiders. To represent the responses we use a This makes sense if we are interested in model based on perspective: Those indi- subjective organisational experiences, or viduals and units with whom relations are client-orientation. most intensive are placed at the front.

T-12/1 C Result

We access the organisational reality through these numerous perspectives, angles and interpretations. It is revealing to compare different organisational charts as cognitive maps. This provides information on the organisational structure, the informal flow of information, on intersections, on the degree of centralism and power centres, and on client-orientation.

B-3: Client contacts

We represent the organisation from the perspective of a client. Whom does the client deal with most frequently? Who supports the staff with whom the client deals?

To illustrate this we use a semicircle. The connecting lines represent support. The size of the entry (node) represents the number of interactions with the client per unit of time.

client

T-12/2 T-13: Client-orientation

A Method B Application

Organisations produce goods and provide To find out where the organisation can services to satisfy a client's need. The improve its client-orientation, it is appro- benefit derived by the client is a key priate to examine closely the interactions criterion for the success and continued with clients. existence of the organisation. Step 1: Client-bonding There are a range of possible ways in which an organisation can make itself A working group selects clients on the client-oriented. Here is a selection of basis of two aspects: seven fields of observation: · clients with strong client-bonding who 1. Client needs: The organisation identifies client have availed themselves of goods and needs on a regular basis, takes seriously prob- services repeatedly. lems emerging during interaction with the client, responds to changes in client needs and monitors · clients with weak client-bonding, i.e. development trends within the wider environment. whom the organisation has only dealt with once. 2. Communication: The organisation links goods and services to messages which are appropriate to emphasise and firmly establish in the client's Step 2: Chain of interactions mind the benefits of the product(s). For selected clients of both groups, the 3. Centring of competence: The organisation con- centrates on goods and services which it can working group draws up the chain of inter- produce especially well and economically. actions: from the first point of contact, through to the point at which the client was 4. Cooperation: The organisation seeks cooper- satisfied, and finally returned as a client. ation with other organisations, to profit from comparative advantages. interactions with client X responsible 5. Task structuring: The organisation gears its internal structuring of tasks to client relations.

6. Quality management: The organisation monitors quality and adjusts it in line with client needs.

7. Personnel management: The organisation develops the key qualifications, primarily of those staff dealing directly with clients.

time

T-13/1 The working group rates the interaction on C Result the basis of a first assessment: Organisations have a tendency to become 1 = excellent so introspective that they begin to operate 2 = satisfactory 1 2 3 as if they were an end in themselves. 3 = unsatisfactory Focusing attention on the clients promotes a more outward-looking approach, and Step 3: Evaluation thus the organisations' adaptability. Re- peated regularly, the method presented The working group presents its evaluation here can become an instrument of quality for discussion at a workshop. The respon- management, and can be used to carry sible staff are requested to add further out on a self-reliant basis, small but im- comment, and are asked whether or not portant organisational changes. they agree with the assessment.

A selection is made from the numerous chains of interaction of those which include a high number of excellent and a high number of unsatisfactory ratings of the interactions with the client. These are then taken as a basis for making proposals for organisational improvement. The figure on the right relates to the above- mentioned seven fields of observation of the organisation:

proposed improvements no.

T-13/2 T-14: Benefits of Cooperation

A Method B Application

Voluntary cooperation between different Step 1: Analysis of actors partners is only possible when an advantage, a benefit to the actors, is generated The term "actor" is not sharply defined. In by that cooperation. one case it might denote governmental or private organisations, in another it might We can regulate horizontal cooperation mean specific sub-organisations or groups through contracts, but the crucial factor for of individuals. Decentral sub-organisations, performance of the contract and for re- for instance the local branch of the ministry maining in the cooperative relationship for forestry or the operational extension unit boils down to one question: What's in it for of an NGO, differ so profoundly from their me? head offices (in terms of mandate, resources, client-orientation) that it is appro- This question can only be answered from priate to view them as different actors. the perspective of the actors themselves, and the answer given will change during It is quite possible for individuals to belong the course of the cooperation. In other to different groups of actors: they lead a words, we will need to ask ourselves this women's group and hold a seat on the local key question on repeated occasions. council, they are cattle farmers and at the same time are on the board of the cattle Considerations of benefit are relative. If in breeders' association. the eyes of others certain partners are deriving a disproportionately large benefit, this imbalance - irrespective of how objec- group of group of tive the judgement is - can lead to a termi- actors 1 actors 3 nation of the relationship.

The benefits of cooperation consist not only in economic advantages. We also have to include independence, or the possibility of learning within an alliance. Consequently, cooperation of a voluntary nature will withstand only a low level of hierarchical relationships. Accentuated hierarchies lead to individual actors withdrawing from the cooperation. group of actors 2

subordinate relationship relationship of intensive exchange

T-14/1 The circular diagram emphasises cooper- Should actors have difficulty in seeing any ation within the plane. The three key ques- benefit in the cooperation, this indicates tions are: that there are already pre-existing or latent problems for cooperation. · Who is involved? · To which group - differentiated by level - Commonalities with regard to the benefits does the actor belong? (local - regional - of cooperation are ambivalent in terms of national) what they signify: The actors may have an · What major relationships do the actors interest in close cooperation, or they may maintain with each other? be in competition.

Step 2: Analysis of benefits Where the targeted benefit of an actor is in harmony with the objective of cooper- We need to ask each one of the actors the ation, we can assume that the actor will question as to the benefits of cooperation. have a growing interest in the cooperation. However, we should not be surprised by To present the results for discussion, we the fact that, in most cases, the benefit can use the same circle diagram: turns out to be more or less far removed from the declared objective of cooperation (e.g. afforestation). In each case, the objective of cooperation is the lowest com- group of group of actors 1 actors 3 mon denominator upon which the actors have agreed.

What benefits do we gain C Result from the cooperation? Actors draw different benefits from a cooperation. Their motives for cooperation are diverse.

Observation of the benefits of cooperation group of actors 2 provides important information on the behaviour of the partners in cooperation.

T-14/2 T-15: Qualitative Analysis of Cooperation

A Method

Organisations exchange information, goods change our location and perspective, so and services. However, it is almost imposs- that we can draw conclusions from com- ible to predict the developmental dy- parison of our observations. namics of relationships between different, Within the cooperation system, all partici- independent private and governmental pating partners are involved in steering, organisations. It is therefore all the more albeit to differing extents and with differ- important to observe them continuously. ent interests. Ideally, the network is com- Yet we cannot see everything! The image which springs to mind is one of jumping parable to points on the surface of a fleas: Imagine we lived in a two- sphere: All points are potential centres, but dimensional world. A flea jumps - through the network looks different when seen from the third dimension - from one place to each of the points. another. Whilst in mid-jump it disappears When one of the partners in cooperation from our sight, to reappear unexpectedly takes on a task of coordination, an auto- somewhere else. The spatial dimension to matic shift in power and influence takes which we have no access leaves us in place. The following questions might be wonder and amazement ... raised:

And yet: There do exist a small number of · Does the coordinating organisation enjoy the normal economic phenomena. The division necessary acceptance among the other orga- of labour leads to increasing transaction nisations? costs, caused by coordination and steer- · Does the coordinating organisation have at its disposal the capability and the necessary re- ing. At the point where these costs exceed sources to perform the communicative tasks? the benefits of cooperation, one would ex- · What shifts in power are to be anticipated? pect organisations acting rationally to with- · Which decisions must the coordinating organisa- draw from that cooperation. Yet cooper- tion discuss and agree on with all participating ation is just as little based exclusively on organisations? rational calculation of benefits as any human relationship. B Application Relationships of cooperation range from mere exchange of information, via stra- B-1: Observation of steering tegic alliances and through to limited-term cooperation agreements which establish Who performs the following core tasks? a cooperation based on the division of labour. These warm up, turn dormant, and 1 Communication · emphasis on overriding, common goals. cool down again. · processing of information on important development trends. A network of cooperation is seen differently · promotion of exchange of information and active by each of the participating organisations: participation in planning and evaluation. there is no objective centre. We need to · drawing-up of plausible, transparent and acceptable criteria and methods for evaluation.

T-15/1 · definition of binding rules and conflict manage- M ment procedures. If the processing and exchange of information are not based on accepted agreements, imbalances and 2 Clarity mistrust arise. The information gaps are filled by the · stimulation of cooperation through greater clarity: partners' imaginations, ê mutual predictability and - periodic review of roles. trust subside. - support in the simplification of planning, contractual agreements, definition of quality M criteria and methods of evaluation. During the cooperation, shifts in influence and power take place. This does not exclude the possibility that 3 Complementarity rivalries and competition may arise. If tensions grow emphasis on strengths, potentials and comple- · into a dysfunctional conflict, which threatens to turn mentarity of the participating organisations. into a game of winners and losers, ê then potential periodic analysis of tasks with the participating · losers withdraw, regardless of how important they organisations. are for other partners in cooperation. 4 Focus · confinement to key areas and strengths: core M business. When specific organisations feel controlled by more powerful partners and a vertical pattern of behaviour · gradual, cautious expansion in agreement with the existing partners. becomes the norm, ê weaker partners withdraw from the cooperation. 5 Competence · promotion of mutual recognition of professional M capabilities. One organisation is of the view that another is inter- · arrangement and support of personal exchange fering in its internal affairs ê and as a result with- of experience. draws from the cooperation.

6 Coherence M · identification and clear presentation of the advan- In the course of the cooperation, fresh alliances are tages of cooperation and the lowest common formed among the partners which others perceive as denominator. a threat, as they then become de facto excluded from · evaluation of experiences with the participating the inner circle. This can lead to ê the entire organisations, also in connection with the im- cooperation network collapsing and having to reform. pacts of the cooperation on the participating organisations. B-3: Analysis of a relationship 7 Continuity · emphasis on the long-term, common interests. The following method has proved useful for · support of sustainability through strategic plan- in-depth analysis of a single relationship of ning. cooperation:

B-2: Critical events Step 1: Separation of perspectives

Once a cooperation system has been The two partners in cooperation are invited to analyse the relationship on the basis of their ex- formed on the basis of an analysis of tasks, periences and assessments. Steps 2 and 3 below and the coordination tasks have been are carried out separately, i.e. with two working defined, the structure begins to move as groups from the two organisations working sep- practical cooperation progresses. In other arately. words, the tasks already defined and the Step 2: Criteria obligations entered into change. Organisa- tions which respond not flexibly but for- The seven criteria are explained with a positively malistically to this will soon break off coop- worded indicator. They can be adapted to the eration, or attempt to impose their view on situation, and weighted with a factor F of between 1 and 3: Which of the seven criteria conveys little or no their partners. There are a number of significant information? Which criterion is missing? critical factors or symptoms which point to a Which criteria are in our view more important than looming crisis in the cooperation system: others?

T-15/2 Criteria F Criteria & examples F ++ + - - -

1 Agreed goals 1 Agreed goals We periodically define goals on a e.g. joint basis. 2 Contract e.g. 2 Contract 3 Contractual fidelity We enter into unequivocal, clear e.g. written or verbal agreements con- 4 Advantages cerning rights and obligations. e.g. 5 Trust 3 Contractual fidelity e.g. We comply with agreements 6 Communication entered into, or give early notice e.g. of any deviations. 7 Conflicts e.g. 4 Advantages We derive benefit from the cooperation. Step 4: Discussion and evaluation 5 Trust We actively inform our partners of The two working groups present to each other their our intentions. seven criteria, their respective weightings and their relationship profiles. They explain their ratings by giving examples. The overall rating can also be 6 Communication expressed as a numerical value, representing the We nominate contact persons, re- total of ratings of the individual criteria on a scale of spond as quickly as possible and 1 to 4. make appropriate means of communication available. During the evaluation, the atmosphere of the discussion will be crucially determined by the extent 7 Conflicts to which commonalities are emphasised. As a rule, the answering of questions requesting further expla- We address conflicts early on and nation of points not understood will lead to a com- directly, and offer to help find ways parison of the different interpretations of the relation- of dealing with them. ship derived from the different perspectives.

Marked discrepancies are symptoms of smouldering conflict. Having said that, an imbalance need not always be redressed, as asymmetrical-complementary relationships are quite capable of being functional. The partners in cooperation lay down in a Step 3: Rating plan of action which measures they wish to take to improve the cooperation. The two working groups continue working with their revised and weighted list of criteria. They rate their relationship to other organisations, and supplement the relationship profile with examples and C Result comments. The observation of dynamic processes of cooperation can focus on important tasks and critical factors. Nevertheless, surprises are not ruled out. Specific important conflict-laden relationships must be analysed regularly, together with the partners in cooperation.

T-15/3

T-16: Quantitative Analysis of Cooperation

A Method

Relationships of cooperation have substantial content: information, goods and services are exchanged. This relationship of exchange is steered by rules, which are initially only of an informal nature, and are B strongly influenced by personal relation- A ships. When products are exchanged, the need to secure the relationship within a contractual framework increases, as the level of interest and associated risks grows. The sizes of the segments in relation to the total volume mean that, for organisation A, the coop- In view of their dynamic and turbulent eration accounts for approximately 10% of eco- nature, we should also attempt to describe nomic and human resource deployment, whilst for relationships of cooperation using simple organisation B the figure is over 40%. The dependency of organisations A and B on the cooperation quantitative magnitudes. This makes it is also correspondingly disequitable. easier for the partners to understand imbalances and to review roles. · Staff commitment: Similarly, we compare for the two organisations A and B If we confine ourselves to a relationship the relationship between total working between organisations A and B, we can time per year, and working time gener- ask ourselves the following two key ques- ated by or invested in the cooperation. tions: · Memberships: A further relationship · What is the relative significance of the which may be significant is that of com- cooperation to the two organisations A mon memberships of third organisations and B? held by individuals belonging to orga- · What other relationships bind the two nisations A and B, or by the organisa- organisations together? tions themselves.

B Application C Result

· Financial volume: We compare the Quantitative relations make an important total annual turnover (or annual contribution to our understanding of the be- budgets) of organisations A and B. The haviour of partners in cooperation. In par- relative sizes of the two circles corre- ticular, they reveal the relative dependence spond to this ratio. We then enter seg- on the cooperation. ments in the circles which represent the percentage of total turnover accounted for by the cooperation for each of the organisations A and B. This can be represented as follows:

T-16/1

T-17: Power and Shifts in Power

A Method

In social and organisational relationships, Power always takes on symbolic power is the ability of a person or an insti- trappings: spatial demarcations mark out tution to impose their will on another person distance, ceremonial actions and signs or institution, even if the latter does not enhance, consolidate and legitimate it. wish that to occur. Power relations have a history: they exist Relations of power and coercion permeate within the context of a social, cultural and all areas of life, since we are both depend- symbolic world view. This means that ent and vulnerable: physically, emotionally, characteristics such as gender, age, educa- socially and economically. tional status and ethnicity are inextricably linked to relationships of power. In groups and organisations, power is distributed, exercised, declared and transfigured The most naked form of the exercise of in different ways. Yet it is most certainly a power is sheer violence: the power to inflict human invention: created and changed by harm on others, to turn them into helpless people. victims. Consequently, we can never quite conceive of a life free from anxiety and fear For a relationship of power to come into of others. Coexistence also means con- play, there must exist a dependency be- stantly having to live in fear and protect tween the two parties, usually involving ourselves. several dimensions: economic, social and emotional. The enforcement of power is Power can be exercised more easily based on the threat or exercise of co- through direct violence where ercion. · socially-conditioned indifference to the The exercise of power is governed by suffering of victims causes people to different rules in each society, and within look the other way, and erodes scruples each smaller social unit. To understand and power relations within relationships of co- · the face behind the violence is made operation, we need to ask ourselves three anonymous through mechanisation and key questions: automation.

· On what foundation is power built? We can distinguish three categories of · How does power affect a relationship? acts of power: · When and why do relations of power change? · acts which guarantee or damage material security, Power has a material base in the inequit- · acts which strengthen or reduce social able access to scarce resources, for in- status, stance to land, water or capital. This in- · acts which physically injure or protect. equity is cemented through educational inequity, and a lack of equal opportunity to The three acts of power mutually reinforce assert legal rights. each other: a curtailment of resources

T-17/1 leading to a loss of the means to subsist B Application can, for instance, entail exclusion from a group. Punishment and loss of freedom are B-1: Positional power and sources of often associated with a loss of social power recognition, and economic disadvantage. Members of groups and organisations have The very possibility of power being exer- an ascribed or acquired positional power, cised is enough to make power relation- expressed through their position and func- ships work. Many acts of power are tion within the hierarchy. The organisation preceded by censure and admonition, to assigns it, consolidates it, secures it and promote this gentle form of coercion. attaches status symbols to it. Power relations are dialectic: The anticipa- Positional power involves the right to wield tion of rewards or sanctions lend the authority. The range of this power is finite; powerful an aura, which facilitates the is confined for instance to the authority to exercise of power and promotes the issue instructions to the staff of a identification of the less powerful with the department, but not fix salaries or take more powerful (power fantasies). The exer- decisions on promotion. Only the power of cise of power leads to compulsive be- money knows no physical boundaries. haviour when people can only act under the pressure of the threat of sanctions, or promise of rewards, in the future. Or if they Step 1: Positional power aspire only to maintain or extend their power. The participants of a workshop, or individual members of an organisation are The structures of an organisation are co- invited to discuss their positional power. agulated clots of power: They regulate and organise access to power and power Practically speaking, we exercise positional competences. Norms, habits, routines and power through: symbols secure those structures. · TQ: targets and quality control, When structures change or dissolve, the · IP: access to information and partici- established balances of power also change pation in decision-making, to the benefit of individual persons and · M: allocation or refusal to allocate ma- interest groups. We perceive these shifts terials, as moments or periods of crisis and in- · SI: standardisation and issue of direc- security. tives, · RS: rewards, acknowledgement and The dynamics of power distribution in sanctions. relationships are complex. We will confine ourselves here to two fields of observation: number of : number of superior subordinate staff staff · Sources of power: How does the power T which individuals and groups have, arise IP Q M and develop? R · Power relations in organisations: S SI Which characteristics of an organisation reflect the relations of power within it? The relative proportions of the positional power Issues of power are considered delicate, as components can be expressed by the sizes of the we are unable to address power relations if ovals. the actors are unwilling to do so.

T-17/2 It can be illuminating in the discussion if the pressed in the ability to bring something participants also describe their earlier posi- about. tion in the organisation. · CR - creativity: power arising from the capability to develop new ideas and Additional step 1: For purposes of comparison, the same picture can also be drawn up by outsiders, for things, and to look at existing ideas and instance by superiors and subordinates. However, things from a fresh angle. this is not possible in organisations where power · SR - social relationships: power de- issues are taboo. How openly power issues can be rived from belonging to a social group, addressed is dependent on the power culture in the stratum or class, and secured through respective groups and organisations. This is shaped by both sides of a relationship of power: on the one relationships with other power holders. hand by the extent to which the individual exercising the power feels subjectively entitled to do so, and on IN the other hand by the acceptance s/he enjoys among his or her subordinates.

Additional step 2: The opinion that, in western- CN oriented organisations, professional competence SR alone is the key to positional power, is a widespread misconception. In all organisations, this power is legitimated through organisation-specific and social means. Subjective reports (constructs) on the issue of the legitimacy of power can be illuminating: background, gender, age, property, influence, merit, industry, professional experience, expertise, social and professional competence.

Step 2: Sources CR EK In groups and organisations, positional power is docked into power sources which reinforce or weaken it. It is easier to tap into PO and exhaust these sources from a strong position of power than it is from a weak The participants draw their own hexagon of power one. sources, and offer it for discussion in a small group, giving examples. Processes of extending power (self- empowerment) are, as a rule, less geared Use of the various power sources is steered by three to achieving positional power than to salient factors: gradually tapping into new power sources. · organisational cultures: these create better or worse preconditions for specific power sources. Which sources are these? · established communication patterns: these make it possible to utilise or inhibit the utilisation · IN - information: power derived from of specific power sources. control over the flow of information and · gender-specific behaviour: women and men influence over the information contained. attach different values to and anticipate different benefits from specific power sources. · CN - communicative and negotiating power: power to grasp, describe and convey ideas comprehensibly, to con- B-2: Power relations in organisa- vince, and in so doing to assert one's tions own interests. · EK - expert knowledge: power based Organisations assign roles, and determine on specialised knowledge which others who may influence decision-making pro- do nor possess and which, as a rule, is cesses. In other words: They define the protected by formal titles. circle of people involved and framework for · PO - practical orientation: power grow- participation. Why is participation appro- ing from learned capabilities, and ex- priate?

T-17/3 · Participation makes people more cliques and rivalries emerge. In the cut-and-thrust of shrewd: It creates access to knowledge competition, it is precisely those qualities which are crucial for tasks of leadership and coordination which and experience, and brings solutions to are not rewarded: ability to cooperate, transparency, problems more closely into line with trustworthiness, and an ability to support others. practical conditions. · Participation promotes self-confidence Step 1: Structural characteristics and responsibility: The participating actors grow into their active role, and The power culture within groups and orga- influence decisions. nisations can be observed via three struc- · Participation creates acceptance for tural characteristics: the power gap, the changes: The participating actors adjust degree of bureaucratisation and the styles to new things. of management practised. Simple indi- Organisations attempt to keep complexity cators include for instance: low by imposing hierarchical structures: · Power gap: number of hierarchical The prescribed order acts as a substitute levels. number of persons in staff units for negotiation of working relations, and is in relation to personnel with line man- designed to make the work easier to agement functions. number of personnel monitor and control. However, this stan- with supervisory responsibilities. wage dardisation weakens flexibility and adapt- gap. centralisation of decision-making ability. Consequently, the performance on issues of policy, strategy, personnel, capability of strongly hierarchical organisa- technical matters. tions is disputed - even as regards repeti- tive tasks. · Degree of bureaucratisation: number of separate tasks with prescribed pro- Depending on the tasks involved, organisations have a shallow or a steep hierarchy. cedures, responsibilities and official channels. density of regulations and Steep hierarchies have the advantage of being standards. importance attached to clearly structured, thus inspiring confidence in their written communications in keeping of members that they are doing the right thing. They are records. formal conditions for entrance predictable, since roles are clearly allocated. As the division of labour increases, they are conducive to and requirements for promotion. grad- the formation of broad intermediate hierarchical uated remuneration and status symbols. strata involving complex decision-making paths. depersonalisation of responsibility for However, even the most rigid hierarchical structures decision-making. are constantly being evaded, as peoples' capacity to anticipate the consequences of their own actions are · Styles of management: Management is limited. Therefore, once structures have been defined they are then evaded, and periodically revised. Those practical steering work in relationships of at the top of steep hierarchies run a constant risk of power. It is dependent on communica- being cut off from reality. This is the case, for tion and allegiance. The style of man- instance, where the management surrounds itself agement practised is always a compro- only with faithful paladins. mise reached under the influence of four Shallow hierarchies have the advantage of being polar factors: adaptable, conducive to cooperation and learning- oriented. The shallow hierarchy, as encountered for ê biography of the superior, e.g. author- instance in project groups, does however require that itarian role models. members talk to each other, and are capable of ê the nature of the tasks themselves, constant self-coordination. The malleability of these structures makes them prone to the emergence of e.g. problem-solving tasks involving informal power structures which lack transparency. non-standard procedures ê expectations of the individuals being Looking at a hierarchical structure we can identify the managed, e.g. clear definition of routes up the career ladder, which not all will be able to follow. Since not everyone can reach the top, goals with maximum individual scope this creates competition. However, selection pro- ê power culture of the organisation, e.g. cedures often consume a great deal of social bureaucratic procedures. energy: Members watch each other, and self-serving

T-17/4 There are no ideal management per- · Social capabilities: reliability, pre- sonalities. There is merely empirical dictability, openness, cooperativeness, evidence that complex problems are transparency, trustworthiness, fairness, better and more quickly solved through a willingness to support. consultative and goal-oriented style of · Organisational culture: models, group management. Consequently, the level culture of superiors, management direc- of conscious awareness of the man- tives. agement style needs to be questioned:

Are different styles of management possible? C Result Are their impacts observed and thought All human beings observe relationships of about? power involuntarily. They fascinate us, and What expectations do the superiors/sub- give rise to wild speculation. If and when ordinates have regarding management? we are able and willing to address issues of Are the superiors aware of the style of power, it is all the more important that we management which they are practising? do so with caution and on the basis of a Do the superiors negotiate the social thought-out strategy. relationship of "leadership" with those involved? Raising issues of power is equivalent to asserting a claim to power. Consequently, Step 2: Distance of power we first need to ask ourselves the questions raised here. The power culture in groups and organisations is reflected in the bonds of authority within power-based relationships. There is always a greater or lesser degree of distance between those holding power and their subordinates, which the subordinates either more or less accept and tolerate.

Observation of this distance provides pointers as to

· the stability of the distribution of power as it stands · the identification of the subordinates with those holding power · tendencies and efforts to bring about a redistribution of power

Rationales of distance can be addressed in structured group discussions, or in one-on- one meetings; they can be related to four aspects:

· Personal qualities of those wielding power: charisma, background, prestige, influential connections. · Professional capabilities of those wielding power: expert knowledge, experience, brilliance, speed, clarity.

T-17/5

T-18: Cooperation at Local Level

A Method

As is generally known, a diversity of organisations The question raised in this context is: Who operate in local areas: the local administration, can do what best: What are the compara- municipal enterprises, the justice of the peace, the tive advantages of the various organisa- police force, the parish, religious and ceremonial associations, neighbourhood self-help groups, tions? special-purpose associations for the maintenance of community facilities, savings associations and credit cooperatives, purchasing and marketing cooper- B Application atives, parents' associations, mothers' clubs, youth groups, artisans' associations, user associations for forest, water, pasture or electricity users, manu- B-1: Memberships facturing enterprises, small engineering offices, building contractors, local groupings of regional or Step 1: The network national parties, trade unions, professional bodies, etc. It is basically of no significance where we begin within a network of organisations to Cooperation between organisations in a examine the issue of memberships. The specific locality is also shaped by personal simplest approach is to start where we and in some cases family relationships know relationships already exist. (Enquir- among its members. People know each ing about memberships of third parties other, they meet on a regular basis, and should if at all possible be avoided, as this are at the same time members of several creates mistrust). organisations. Our mapping of the network of personal It is therefore a logical first step to famil- interconnections will be more reliable if we iarise ourselves with and observe these proceed from several individuals at the memberships. same time. The network might for instance The size, purpose, goals, resources and be represented like this: performance capability of these organisa- Org. 1 Org. 2 Org. 3 Org. 4 tions vary widely. However, it is often less what an individual organisation can achieve that is important, and more what the organisations can achieve in cooperation. This question arises for instance in cases where central government devolves new tasks upon local authorities, and allocates A B C D E F to them the necessary resources and competences. Within these processes of M = 3 6 2 3 2 1 decentralisation, the local administration is The arrows indicate that the membership of the assigned the core task of bringing together respective organisation involves a senior position. and coordinating local organisations. The arrow is counted double in determining the value M (= number of memberships).

T-18/1 Step 2: The membership matrix · Performance capability (P) Which human resources and capabilities do we To obtain a clearer overview, we represent the have at our disposal in order to attain our goals? relationships in matrix form. We enter the positive What material resources can we count on? numerical value M (= number of memberships) in Do we know how to deploy these scarce re- the respective box where a membership exists; we sources most effectively? enter the negative value where no relationship · Cohesion (C) exists. Since when have we been cooperating? How many members are actively involved? Organisations How many members have we gained or lost over è 1 2 3 4 the last twelve months? Individuals What keeps us together? ê · Legitimacy (L) What secures us recognition among other local A 3 3 - 3 3 organisations? B 6 6 - 6 6 What influence do we have on other organisations? C 2 - 2 2 - 2 Step 2: Radial profile D 3 3 - 3 - 3 E 2 - 2 2 - 2 To begin the discussion, the self-assessment can be represented as a radial pro- F - 1 - 1 1 - 1 file: Value V 15 7 - 7 1 W Value V is a simple numerical indicator of the relative significance of organisations 1 to 4. What is surprising in this example is the fact that organisation 4 has a higher value than 3, because although it does not have many members, it has more influential ones such as B, who also hold positions in other organisations. L C B-2: Comparative advantages

Step 1: Representation

Local organisations can significantly increase their performance capability through cooperation. This also creates P B motivation for community development. By holding workshops with local organisa- C Result tions, or by visiting them, self-assessments can be generated, leading to the The boundaries of local organisations are question of comparative advantages: With fluid, and the performance capability of whom do we wish, with whom are we able, those organisations fluctuates. By observ- to cooperate in order to raise our per- ing memberships, we can better under- formance? stand the fluid boundaries and the relative importance of specific organisations. Be- The self-assessment focuses on four fore focusing on the promotion of specific characteristics: organisations, it is appropriate to sound out the potentials for cooperation. In many · Willingness to achieve (W) cases, when an organisation becomes Have we set ourselves goals? What are we doing to attain our goals? open to cooperation, this triggers off sus- How great is our interest in cooperating with other tainable learning processes. organisations?

T-18/2 T-19: Warning Signs

A Method

Conflicts are an everyday concomitant of organised user groups, or requires a any cooperation. There is no such thing as change in the prevailing land-use system. permanently conflict-free relationships. Wherever people work together, there will Where users compete for scarce re- be clashes between different opinions, sources, the question arises of the extent needs and interests, both between indi- to which we ourselves are part of the viduals, and between groups and organisa- conflict, and to what extent we should be- tions. come actively involved in solving the conflict. In everyday life, we resolve most conflicts in an unspectacular fashion. We negotiate The ability to act appropriately in conflict compromises, make concessions, and the situations and in a manner acceptable to next day nobody remembers that there was the actors presupposes powers of any conflict at all. empathy and self-detachment. We perhaps need to ask ourselves the following There are latent (cold, smouldering, con- questions: cealed) and manifest (hot, openly argued- out) conflicts, which mutually reinforce each · What is going on here? What is at stake? How can I obtain information in order to gain an initial other. Conflicts are processes of nego- overview of the situation? tiation which usually lead unexpectedly · What is my role? What is my part in the conflict? from dialogue via debate and dispute · What do I lack and need in order to be able to through to emotionally-charged argument. make a contribution to management of the Anger, feelings of helplessness, contempt conflict? and hatred fuel the conflict. The parties to Conflicts are a source of interference, the conflict turn into merciless enemies and because they frustrate our plans. We are lock antlers. Annihilation of the adversary capable only to a limited extent of under- becomes the main objective. The damage standing and predicting the consequences remains: destroyed interpersonal rela- of our actions and the actions of others. To tionships, physically and emotionally rectify the problem, we tend to seek rash injured human beings, ruined settlements, solutions. For many conflicts, however, scorched earth. there is no final solution in the given time span and social framework. We have to Projects also trigger conflicts, and fuel come to terms with them and live with them unintentionally. They draw new lines them. We perhaps have to smooth them of conflict in the organisational landscape, over or postpone them, even at the risk that make them visible and accentuate them they might erupt again. To detach our- through the targeted changes: For in- selves from the negative understanding of stance, a new land-use strategy ascribes to conflict, it is beneficial if we call to mind the women a new, active role, shifts the positive aspects inherent in such sources relationship of dependency between small of tension: tenants and landowners in favour of

T-19/1 · Signal effect: Conflicts point to symptoms and warning signs point to a number of further open questions. pitfalls: · Interests: Conflicts reveal where interests lie. · Stimulus: Conflicts make self-observation more · Naivety: "It's a cut and dried case; I acute. · Cohesion: Conflicts consolidate social relation- know the causes." - Conflicts have a ships. history, which consists of histories told · Change: Conflicts push forward changes. differently by the different parties to the conflict. B Application · Violent potential: "It'll be possible to sort it out." - We often operate in an environment of smouldering violence There are a broad selection of possible which defies rational control. ways to act in conflict situations. They · Social romanticism: "I must help the range from observation, via inquiry through disadvantaged groups." - Taking sides to active conflict moderation. Actions may prematurely makes it impossible to take be directed with differing degrees of inten- on the role of moderator, and weakens sity at the causes of the conflict, the the disadvantaged: Only those who progress of the conflict and the possible have liberated themselves know how to impacts of the conflict. utilise and defend what they have causes of progress of impacts of achieved. conflict conflict conflict · Megaphone: "I've got to get this out into become M M the open." - Many tensions and conflicts aware and are everyday concomitants of cooper- observe ask ques- ation. They constantly build up and sub- tions M M side. Discretion is often more advisable suggest dia- than transparency. Outsiders are not logue M entitled to step backstage and broad- establish cast everything. dialogue M M · Umpire pose: "I am neutral." - This self- define roles M assessment is not sufficient for an ascertain ex- active, neutral mediator role. The key pectations M M criteria are acceptance by and expecta- share emotions of the parties to the conflict. tions M M sound out M scope C Result elaborate solutions M M evaluate It goes without saying that our behaviour in solutions M M conflict situations is not only rational. Both negotiate M our assessment of the risks and potential solutions damage, and our understanding of our own reach agree- role, are coloured by our biographical ments M monitor im- experiences. It is therefore all the more pacts M important that we proceed cautiously, shedding light on fields of conflict, and The ability to recognise conflicts in good observing them over a long period before time and influence them such that the becoming actively involved. damage is limited, and the parties to the conflicts reach agreement on solutions, re- Conflict management requires professional quires a great amount of social skill and life expertise and a level-headed assessment experience. Also essential is the accept- by the moderator of his/her own role. The ance an individual needs when actively task confers prestige and power, but also entering conflict situations. The following entails risks.

T-19/2 T-20: Phases and History

A Method

Anyone wanting to repair something first conflicts through leads to nothing can also has to understand how it works. Conflicts help keep a conflict latent; It smoulders develop in several phases, can escalate away, damages the working through several stages, and as a rule in- atmosphere, and promotes an attitude of volve different sub-conflicts. ironic and cynical detachment.

Conflicts bring the actors under their Avoidance of conflict can be put down to factors directly related to the nature of the conflict itself: influence, as in conflict situations the actors suddenly become conscious of what · The nearer protagonists are to reaching their the were previously only unconsciously goal, the less willing they are to engage in con- aware of: standards and rules, relations of flicts. · If the goal is acceptably similar to the original ownership and power, dependencies and goal, the protagonists will come to some arrange- interests. This triggers off anxieties: What ment. some are relieved to see finally reach the · The more the conflict is seen as unpredictable, light of day, poses a threat to others. the greater the reluctance to become involved. · Conflict is also avoided where there is a high risk Conflicts narrow perception. The actors re- to the loser, or · a threat of losing face, or status. construct their view of the situation such as to support their own standpoint: It goes without saying that the parties to a conflict deal with it now on the level of the · Defensive attitude: The parties to a issue at stake, now on the level of the conflict see themselves as being sur- relationships involved. They defend their rounded on all sides by a hostile en- material interests, and voice opinions on vironment. A friend-or-foe schema is their adversaries. The primary task of a superimposed on and distorts their per- moderator is therefore to obtain clear ceptual world. The protagonists expect answers to the following questions: unquestioning and unconditional allegiance. Dissent is not tolerated. This · phases: Where are we? paranoid narrowing of the mind means · types of conflict: What kinds of conflict that members expressing criticism are are involved? quickly branded as traitors. · stories: How do the actors explain the causes of the conflict? Efforts to restore harmony: The parties to a conflict gloss over mistakes and Conflict management aims to establish a failures. Only good news is welcome process of self-observation among the news. The protagonists surround them- parties to the conflict, and halt or reverse selves with unquestioning yes-men. The the narrowing of perception. The role of the status quo must be maintained at all moderator shifts along the continuum be- costs. Things which might damage har- tween the two opposite poles of an inter- monious relations are made to look vention by force, which might be necess- unimportant and shut out in an attempt ary under certain circumstances, and an to pacify. The experience that seeing observational role of process facilitation.

T-20/1 Between the two lies the role of providing of location, arguments and coalitions. intermediary services and consultancy on Depending on how they estimate their request. chances of success, they attempt to demonise or play down the importance of their adversary, or blot out the conflict. B Application Discussion B-1: Phases The parties to the conflict attempt to defend their own standpoint and interests. The un- Conflicts undergo a cycle of different compromising game of win-or-lose elicits phases of development. resistance from the opposing side, leads to injuries and cripples the forces for compromise on the side waging the battle. Unless external mediators are called in (appeal to civil or criminal law, decisive verdict by presentiment someone in power), the conflict escalates.

differences Escalation negotiation The further the conflict escalates, the more difficult and complicated it is to manage:

Stage I - The fronts harden: Opinions turn into creeds, to which the parties firmly adhere. Direct encounters are accompanied by verbal offence with a escalation arena high symbolic content, which is then reduced to labels. The parties conceal their own weaknesses, M discussion and close ranks. The cooperative forms of conflict management still prevail: The parties may be at odds, but they take note of each other and the arguments put forward. The grim debate remains Presentiment confined to a small circle. Outside witnesses and The parties to the virtual conflict are not interested parties fuel the conflict. consciously aware of the differences. They allude to them. Outsiders are already able Stage II - Actions speak louder than words: The debate fails to reach a solution. Arguments and to identify growing conflict potentials. errors of the opposing side are polemicised, brought to a head, embroidered and made to seem Conscious differences ridiculous. Meetings take longer and longer, but do The parties to the conflict are consciously not lead to any tangible result. The conviction grows aware of the differences. For economic or that there will no longer be any agreement. Within social reasons, they refrain from address- the parties, a strong pressure to conform emerges. Anyone willing to compromise or accept the other ing conflict-related issues. The parties to side's view is suspected of treachery. The social the conflict cut themselves off and avoid arena suddenly becomes much wider, whilst the direct encounters. They form cliques and arguments become unsophisticated. Both parties actively seek allegiance, especially among become more preoccupied with the nature of the opposite side than with the problem itself. They see individuals with power and influence. If the themselves as victims, and make the opposing party action of the conflict being fought out is responsible for their own behaviour. When one of the moved backstage - where spite, rivalry and parties sees an opportunity to assert its interests, it disparagement become concealed - then does so. The conflict then becomes a question of the path to open conflict management be- power. comes littered with obstacles. Stage III - Threatening attitudes and loss of face: The parties to the conflict are unwilling to make con- Demarcation of the arena of conflict cessions, and adopt an "all-or-nothing" attitude. Mild The parties to the conflict mark out the con- forms of threat turn into radical ultimatums with firm flict with a selection of opinions and inter- deadlines. Mistrust and fear develop. The parties become completely cut off from one another, and their ests. In some cases they repudiate the behaviour follows a pattern of threats and sanctions points made by the opposite side in the on one side, and a feverish quest for countervailing conflict. The parties compare advantages power on the other. The conflict has become com-

T-20/2 pletely divorced from the real issue, and has turned B-2: Types of conflict into a matter of principle. Attacks are focused on the adversary's moral integrity and basic attitudes. The Conflicts become suppressed, deferred or aim is to publicly expose the opposite side, cause them to lose face and thus justify the sanctions. poorly resolved when the parties remain unclear as to the sub-conflicts of which it Stage IV - Final blows - If I go down, the enemy is comprised. Within a field of conflict, we goes down with me: The loss of grip on reality can observe different types of conflict: leads to a situation in which both parties now think only of their own survival. Thinking about the source of the conflict is now taboo for the actors. The · Conflict of values: The parties judge opposing sides avoid direct contact, and keep an causes and effects of situations differ- even larger psychological distance from each other ently, which in many cases is attribut- by denying each other's basic human values, also by able to their holding incompatible values. spreading deceit and lies. By doing so, they lower their own threshold as regards the use of violence. · Conflict of cultures: The actors hold The opponent's intention to inflict damage becomes incompatible values as a result of their a paramount concern. The solution is now: Forward different cultural backgrounds. These at all costs! The only satisfaction is that, when one values include ways of encountering side goes down, it can also drag the enemy down people and ideas from other cultures, with it. and the constructions placed on those Negotiation other people and handed down through The parties succeed in breaking the spiral one's own cultural tradition. of escalation. They return to the discussion · Conflict of distribution: The parties do phase. With external assistance, direct not agree on access to and the (fair) dis- communication leads to a controlled dia- tribution of scarce goods and services. logue. The two sides agree on rules of · Conflict of goals: The parties are pur- communication. Different opinions and suing conflicting goals, which under cer- interests can be expressed. The history of tain circumstances may be detrimental the conflict is jointly analysed. The scope to the other party. for negotiated solutions widens again. For · Conflict of schools: The parties are in both sides, provisionally viable and accept- dispute over methods and routes of goal able solutions emerge. attainment, and over scientific hypotheses. Scope for negotiation between parties A · Conflict of roles: The mutual expecta- and B: tions of the parties are incompatible or only partially compatible with the respec- A wants to go tive conception each side has of its own this way room for role. compromise · Conflict of information: The parties try ÷ to prevent each other from obtaining information, withhold information, and B rejects B wants to go defame the information sources and the this this way reliability of the information which they supply. M · Conflict of power: The parties compete for power, influence and material advantages. They ignore decisions made by A rejects the other side, question the other side's this professional competence, and evade or obstruct decisions.

T-20/3 B-3: History To enable the conflict history to emerge such that it incorporates the different inter- The management of a conflict always leads pretations of the involved actors, we need back to the history of its origins. This his- to apply this method separately with each tory is constantly being written and re- of the parties to the conflict. A comparison written by the actors. The key questions of the results can be a useful starting point are: for the conflict management process, as the actors are then invited to consider the · Boundaries: Who are the parties to the "objective situation" from various angles. conflict? Who is in dispute with whom? Who is intervening? · Issues: Over which issues are the C Result parties to the conflict in dispute? What do they see as being the issue at stake? A knowledge of the phases, types of · Support: What support from groups or conflict and conflict history forms the basis organisations are the parties counting for all active roles in the conflict manage- on? ment process. This knowledge is obtained · Relations: Since when have relations through observation, and patient listening. existed between the parties? Of what In many natural resource management pro- nature are they? jects, conflict management can ultimately · Objectives: What are the parties to the only be understood as a dilemma: On the conflict aiming towards? What do they one hand, projects aim implicitly to redis- seek to achieve? What have they calcu- tribute power - for instance with respect to lated as being their chances of success? access to and the management of scarce · Means: What inputs are they willing to resources. On the other hand, many pro- make in order to attain their goals? jects lack the process consultancy compo- · Conflict experience: Which major con- nent which would be necessary in this flicts do the parties remember? What context. experience do they have of conflict management? How are conflicts dealt with in The earlier consultancy inputs are fed into the groups and organisations within their the conflict management process, the immediate environment? greater will be its chances of success. Observation of specific fields of conflict The conflict history can be visualised therefore needs to be commenced as early through simple means; the starting point is as possible, and continued over a pro- a concrete event which one of the parties longed period. to the conflict considers important: future effects effects effects effects

effects effects

irrigation channel closed on 14/09/1988

rationale rationale

past

T-20/4 T-21: Conflicts between Groups

A Method

Tensions and conflicts between groups are ICR forces each side to see things from an everyday occurrence in any cooper- the other's point of view, thus diluting es- ation. Within an organisation, they arise tablished attitudes held by group members. naturally as a result of differences in function, for instance between Conflicts are diffuse and complex, since they are viewed and affectively charged · staff departments and line management differentially by the different parties. ICM · development and production forces the parties to take part in a struc- · planning and execution tured communication process. This con- · controlling and line management trolled communication is designed as and · project groups and line management where necessary to bring out into the open Claims on scarce resources place groups and negotiate experiences, images, inter- in a competitive situation, which can end in ests and emotions. ICM is based on the a life-and-death struggle. If the conflict following working hypotheses: remains unrecognised and untackled, it · equality: Parties A and B are equal partners in soaks up a considerable amount of energy, terms of their right to express their own view- and becomes correspondingly costly. Com- points. petition is narrowed down to rivalry, and · constructs: Parties A and B have constructed comes to a head in direct hostility. Infor- conceptions of themselves and the other party mation gaps, misunderstandings and errors which can be put forward and exchanged. · openness: The ability to listen, an effort to gradually become firmly established in the understand other viewpoints and the willingness shape of enemy stereotypes. Ultimately the to see things from the other's point of view can be parties to the conflict are no longer able to learned and acquired more easily when the com- communicate with each other. munication is structured by certain rules.

The following method of Intergroup Con- ICM is a planned sequence of Conflict flict Management (ICM) has proved suc- Resolution Conferences (CRCs). Depend- cessful in a variety of practical situations. It ing on the conflict situation, these confer- reduces competition and selfish parochial ences last one-half to two days. They es- group politics, creating greater scope for tablish direct dialogue between the communication. The method steers the parties. parties towards the following questions: Between the CRCs, the parties need time · What do we really want? to digest the confrontation. In other words, · How are we different from each other? they must unlearn things already learned, and learn new things; they must also take · What are we able and willing to commu- note of unpleasant information, and deal nicate about? with that within their own group. This in- · Which modus vivendi do we wish to volves a risk of conflicts within the group achieve? emerging for one or other of the parties in

T-21/1 the course of the ICM process. It is there- · They provide them with thorough information of fore appropriate that not only the CSCs, but the purpose and steps of ICM. also the group meetings of the parties, be · They answer all questions on points not understood. supported by external moderators. · They explain their own role, and gain an impression of their level of acceptance. The external moderation - ideally compris- · They work towards establishing on the part of the ing at least two individuals - must plan, conflict party representatives a pledge to seek steer, observe, continuously evaluate and ways and means improve relations between the adjust the process. The tool is based on parties to the agreement. · They ascertain where resistance to the process is the assumptions that: to be anticipated. · They influence the size and composition of the · the moderators are accepted by the groups. involved parties, · Together with the representatives, they draw up · the parties wish to resolve the conflict, the time schedule for the CSCs. · the groups are not larger than eight to · They discuss the logistic issues affecting the workshops: premises, teaching aids etc. ten persons, · primarily those directly involved and The representatives of the two parties to those with a major interest in the conflict the conflict are requested to inform their work in the groups, groups of the purpose and structure of the · the parties to the conflict are willing to ICM process. invest the time necessary for an ICM process, If necessary, the moderators hold addi- · the moderators introduce and steer the tional one-on-one discussions, and then process carefully, and insist on the prepare the first workshop. schedule and rules being adhered to. Step 1: Opening the dialogue

ICM can even be useful in the event of conflicts of The initiation of the process of dialogue is deliber- objectives and socioculturally-induced tensions, ately highly structured. This promotes confidence in although in such cases it will often need to be the method on the part of the parties to the conflict, expanded: and consolidates the role of the moderators. The (1) Conflicts of objectives require greater openness: participants should find the working rhythm pleasant, Where the visions are fundamentally at odds, further and be given clear tasks. cooperation is no longer conceivable. (2) Culturally-induced tensions are based on 01. Plenum: Welcome and introduction by disturbances rooted in one's own culturally-induced the moderators: general timetable of perceptions of culturally alien phenomena. To bring to the surface (misleading) constructions of alien the ICM process, aim and structure of phenomena transmitted through one's own culture, the workshop, rules. the (unconscious) constructions of self held by the actors need to be addressed. Intercultural conflict 02. Group work: The two parties A and B management makes the constructions of self avail- draw up in separate rooms a presenta- able, and dilutes and modifies them. As a rule, this tion of themselves on a flip-chart. takes more time than is available for the ICM process. 03. Plenum: half-hour presentation by party A. Party B allowed to request B Application explanation of points not understood (no discussion!). As with all the tools, the following steps of ICM need 04. Plenum: half-hour presentation by to be adapted to the respective situation. Some steps party B. Party A allowed to request may have to be omitted, or expanded. Depending on progress, breaks, pauses for thought and interim re- explanation of points not understood views should be incorporated into the process. (no discussion!).

Planning and preparation: 05. Group work: group work in separate rooms. Presentation on a flip-chart. The moderators hold a preliminary dis- Parties A and B answer the following cussion with two representatives of the four questions separately: parties to the conflict.

T-21/2 · What did we understand as being the key · Zoom: Based on the presentation of our messages? image of the other group and their image of us, what are the questions which we have · What do we find new, and possibly sur- wanted to have answered for a long time? prising? · What is directly related to our conflict with the 11. Plenum: One after another, the two other group? groups first present their projection of the other group's image of them. No · What did the other group conceal? discussion! Between the two flip- 06. Plenum: brief presentation of flip- charts, the moderators place an empty charts. Questions requesting explana- chart containing a question: tion of the first two points. The parties exchange flip-charts and retire again. Projection of What do we Projection of group A: How find new or sur- group B: How 07. Group work: The groups comment on does group B prising? does group A the answers supplied by the other see us? A B see us? party. Per question, precisely the same amount of space is provided in which to write these comments. 08. Plenum: exhibition of the four flip- charts (answers to the four questions 12. Plenum: One after another, the two of the two groups + feedback of the parties present their own image of the other group). other group, and their zoom questions. The groups first discuss Step 2: Deepening the dialogue amongst themselves what they have This step can be commenced either immediately, or just discovered about themselves and on the following day. Interruptions which are too long the other group. In the next plenary should be avoided, however. session, the groups will have to answer In this phase the sequence plenum-group is inter- questions requesting further explana- rupted. One aim of the committees is to ensure that tion of points not understood regarding the parties are no longer able to maintain taboos on their own image of the other group - certain ways of thinking within their own group. possibly giving examples. Once there 09. Plenum: welcome and introduction by are no further questions remaining the moderators: calm, sober review of regarding the zoom questions, the the results of step 1, repeat explana- parties retire to the next group work tion of the general timetable for the session with the list of questions ICM, aim and structure of the process posed by the other party. to deepen dialogue, rules. 13. Group work: The groups answer the 10. Group work: The two parties A and B zoom questions of the other party. separately draw up three flip-charts 14. Plenum: Presentation of the answers (possibly have them illustrated with and discussion, with the aim of col- drawings). lecting questions and problems. The · Our image of the other group: How do we points are arranged by thematic see and experience the other group? How do fields, and by their importance and they behave towards us? What harm have they inflicted on us or do they wish to inflict on degree of urgency. Under certain cir- us? What are they more interested in, and cumstances, it may be useful to break less interested in? What are their weak- things down by type of conflict. nesses? Which mistakes and false assumptions do they make? What are their 15. Plenum and groups: Per thematic field, strengths? the two parties form mixed com- · Their image of us: How do the others see mittees made up of the same number us? What do they think of us? What do they of representatives from each group. expect of us?

T-21/3 The committees discuss the thematic facilitate and possibly monitor imple- field, and draw up proposals for mentation. At this point the parties can action. also decide on sanctions, to lend the measures a sense of urgency. Beware! - This intermediate phase can be short or long. It may be the case that the committees require a day or a C Results week as time in which to elaborate their proposals. Many conflicts over scarce resources reach a fatal conclusion. They are resolved not Step 3: Solutions through communication, but by power and Solutions only make sense if they can be put into violence. practise at a later date. The plan of action worked out here should therefore be aiming to achieve a modus When farmers north of Mardan in Pakistan vivendi rather than any grand visions. wish to settle a dispute over land or water, they do so within the framework of several By this point at the latest, the moderators must point to and address those conflicts rooted in personal "Jirga", or assemblies in which the issues relationships which jeopardise realisation of the can be argued out and solutions sought. measures. The assemblies are structured according to 16. Plenum: The committees present their strict rules and rituals. The highly esteemed proposals for action. Questions on arbitrators who are called in pay scrupulous points not understood are raised and attention to compliance with these pre- answered. scribed practises. In other words, the farmers have their own ICM mechanism. 17. Group work: Feedback of the proposals of the committees on a flip-chart. ICM is appropriate in cases where a How satisfied/dissatisfied are we with potentially explosive conflict has existed the proposals? Which proposal stands between two groups over a prolonged the best chance of being successful? period of time. In contrast to the energy consumed by smouldering conflicts, this 18. Plenum: discussion of the feedback method is efficient. It forces the parties to from the groups. A decision is taken on communicate, and leads to acceptable the three to five most important solutions within a relatively short period. measures. It is necessary to regulate the commu- N.B.: - If during this discussion no nication in a structured fashion, as the minimum consensus emerges on con- issues at stake in the conflicts cannot be crete measures, the moderators must clearly separated from the relationships interrupt the ICM process. The parties and feelings involved. Only experienced are invited to suggest dates for re- moderators will be capable of steering ICM commencing. On the second occasion, in a manner adapted to the situation and the moderators themselves should appropriately structured. present a proposal containing the simplest possible measures. The moderators must also be aware inter 19. Plenum: A new mixed committee is alia of how deeply they wish to probe into formed and mandated to draw up the the tensions which arise. This places high final plan of action (What? Who? With demands on the moderators, for instance whom? By when?). where the parties' aggression is directed against them, or when delicate, personal N.B.: - A break will need to be inserted conflicts arise. here, depending on the amount of work involved. 20. Plenum: The new committee presents the plan of action. The two parties accept the plan, and decide how to

T-21/4 T-22: Resistance to Changes

A Method

Resistance is a natural concomitant of The greater the pressure of time to changes. There is no learning and no implement a change, the more of a prob- change without resistance. lem, the more of a burden the resistance seems to be. We tend to disregard it, and We first notice resistance in ourselves: try to push through the change. However, Changes are disconcerting and make us as a rule this cardinal error reinforces the anxious, as the future is uncertain. This is resistance. Ignoring resistance leads to also the case when we plan the change, in blocks and costly errors. Dealing construc- other words when we attempt to gain an tively with resistance, indeed learning from overview of the uncertainty. Although it, is therefore a central prerequisite for the changes are a natural part of the human success of changes. life cycle, from birth, via adulthood and through to death, we are basically con- The sequence of events leading to the servative beings: A bird in the hand is still development of resistance to impending worth two in the bush. changes is, in simplified form, as follows:

Resistance to change is an expression of 1 Announcement of a change: If the insecurity and worry that it will not be information on the change is fragmen- possible to deal with the new by applying tary, and the consequences unforesee- the old experiences and action strategies. able, this generates anxieties and fears. Caution and reserve towards any change at all is a natural defence mechanism 2 Disturbance of the psychological against losing control: We know from equilibrium: The necessity and rationale experience that an abrupt burst of change of the change are called into question: throws us off balance. Here too, Para- Why should anything be changed here? celsus' rule applies: What makes a man ill What were we doing wrong before? also cures him, it is simply a question of the Who is hoping to gain something from dose. this? What do I have to fear? When changes are pending, as a rule three · the new is unknown:è suspicion · the benefits are unclear:è scepsis, wait-and- groups form: the pros, the indifferent and see the contras. Changes - whether technical, · the way there is unknown: è fear of losing methodological, organisational, economic, control social, political or cultural - are therefore · I haven't got the strength:è flight always potential sources of conflict. If 3 Rationalisation: In a state of disequi- redistributions of power are not addressed librium, we look for more or less openly, but tacitly ignored, this will even plausible explanations as to why the stimulate resistance. change should not take place. Argu- ments and objections are signals we must take seriously, for instance:

T-22/1 · Considered, objective arguments indicate a · Actually we've got much more urgent problems. need for information and interest. · Nobody here wants that. · Negative talk, jokes, rumours and intrigue · That comes from outside, it's alien to us. usually have their origin in a diffuse informa- · We'll never manage with that for one minute. tion situation. · I personally would be in favour, but I don't believe · Attacks on individuals who embody the it's got any chance of getting through with us. change point to the tabooing of power issues. · The casting of doubt on information sources An objective and logical argument can indicates fundamental rejection of the objectives of change. easily be unhinged by these stock responses. Despite appearances they all 4 Symptoms and actions: Sickness, high boil down to a single statement: We don't staff fluctuation, absenteeism, with- want to change anything! drawal (emigration within), friction losses, confusion, paper warfare, These stock responses are encoded sabotage, staff departure. messages. We need not take them literally, but we must take them seriously. There Dealing constructively with resistance are very many more emotionally charged means reducing loss of control in favour resistances than rationally founded ones. If of participation. they are not interpreted as signals, they lead to never-ending communication loops Loss of control in this context means people losing along the rhetorical lines of: "We know their grip on the situation ("What is actually going on here?"), because the familiar rules no longer apply what's going on, but we don't want to and people can no longer assess the consequences change anything, so we don't understand of their own actions. As a rule this leads to anxiety, anything." and it is widely acknowledged that anxiety gives bad counsel: It reduces self-confidence, narrows the field Resistance indicates where energy is of vision and blocks willingness to learn. blocked. Conversely, this means: Where In this unpleasant situation we tend to fend there is resistance, energy can be off the threat to the status quo with pseudo- released. In other words, resistance is logical arguments: We rationalise our basically not a source of interference, but a preconscious, affective disinclination, and source of energy, which we need to tap for mobilise from the rich fund of stock re- changes. sponses that we can summon up without thinking, those which speak against the B Application change:

· That will have the opposite effect. Step 1: Understanding resistance · That will have no effect. · That will destroy what we've already got. Resistance is often diffuse: We notice that · In our organisation, department etc. everything is something or other is "not quite right". quite different. Suddenly things clog up, everything turns · Not bad really, but not really for us (not invented stop-and-go, there is endless debate over here syndrome). insignificant issues, the "thread" is lost, a · Nobody does it like that. · We've always done it that way. sense of helplessness and disgruntlement · That's too theoretical. prevails, an awkward silence develops. · There's too little empirical/theoretical evidence of that. The forms of expression of resistance · That's not our problem. are many and varied. The matrix below is · That's too complicated. useful for providing a clear illustration of · That doesn't interest me. observations, and possibly comparing · It's too late for that. them over a longer period of time. The · It's too early for that, we're not ready for it yet. · That would cost too much! We haven't got the simplest approach is to enter the verbal money for it. and non-verbal behaviours of individuals · That would be all right, but we haven't got the and groups in the matrix, with examples. time.

T-22/2 verbal non-verbal they do not believe the well-meant (speech) (actions) assurances of the protagonists, and fear active resistance agitation only negative consequences. This pro- (attack) counterarguments unrest - disputes - - accusations - intrigues - rumours duces a climate of mistrust, which we can protests - threats - of negative conse- carefully attempt to break down by suspicion of others quences – forma- adopting an inquiring attitude: gaining advantage tion of cliques - - polemics – stub- sabotage – boy- · What objections and questions do the actors born formalism - cotts - withholding have? of information · What is especially precious and important to the passive evasion apathy actors? (flight) silence - trivial bad moods – sulki- · What are their interests, needs and concerns? debate – debase- ness –inattentive- · What might happen if we proceed as planned? ment of individuals ness - anger - · What ought to be prevented in the view of the - ridiculing and fatigue – absenee- actors? debasement of ism - withdrawal - · What alternatives do the actors themselves see? new ideas – be- sleepless nights - · How should things proceed in their view? littlement - fooling fear for one's eco- · What is acceptable and appropriate? around - jibes - nomic position - sarcasm sickness To prevent different groups from rein- All resistance contains encoded messages forcing each other's resistance and form- which we need to decipher. We cannot do ing mutual alliances, it is important to work that without entering into direct contact with groups separated according to their with the persons and groups concerned. In respective interests (= principle of separ- this context, understanding means trying to ation of perspectives). In attempting to see behaviours from their point of view. understand the resistance, actions are In the face of impending changes, the guided by two rules: actors ask themselves three interrelated · We must encourage and support questions: people in expressing and explaining their resistance. · We must transform non-verbal and Why? passive forms of resistance into verbal, ê What is the point active forms. of this exercise? What is being Step 2: Learning from resistance Will I manage? concealed wherever possible? ê What am I The art of dealing with resistance is related capable of? Am I to the Japanese martial art of "aikido": up to the task? Instead of launching a frontal assault on it, What are my Do I want to? we have to absorb the energies enclosed chances of ê What's in it for in it. success? me? What kind of people will I be If we wish to reduce actors' loss of control, dealing with? What will I lose? help resistance be expressed and get the people on board, then we need to tread several paths at the same time. All paths lead to the common goal of learning from the experiences and arguments of the The various forms of expression of actors. resistance mutually reinforce each other. When individuals do not see the point of a change or understand their future role,

T-22/3 Inform Step 3: Turning resistance into dialogue The purpose of the change is made known clearly and The field of energies between advocates sustainably - route and and opponents of a change, between methods are known - negative and positive forces for change, target situation is made clearly evident. can be captured and illustrated by simple means:

positive arguments, actors negative Support actions and be- who arguments, actions The actors are taken haviours influence and behaviours seriously - their concerns the are listened to - they are change given a forum to present + + + - - - their experiences, interests, fears. ... Involve Affected persons and groups are involved early on according to their As a rule, this observation of the field of capabilities - their experi- energies brings to light numerous insights ences are taken into account in implementation. into the driving forces behind, resistance to and dynamics of processes of change: learn from resistance · The same individual or group can mobilise both Change the positive and negative energies simultaneously environment or, in other words, have two souls in one breast. The actors are given an · The field of energies draws to our attention opportunity to look beyond where we are making assumptions and where their garden fence: they we know too little. become familiar with other · We recognise which actors embody the resis- ways of working and other tance and need to be involved to an especially environments. high degree. · The field of energies provides information on Try out new alliances and self-serving cliques. social forms The actors work in working The tool is especially revealing when ap- groups which cut across plied several times during the course of a existing boundaries within process of change, if possible with groups the organisation - they establish new relationships. separated according to their respective different interests.

Observe critical- C Result fields of conflict E.g. loss of wages or other Projects for change trigger conflicts, which material benefits - loss of personal relationships - take the form of resistance to the change. fear of being overstretched Anyone understanding and observing the - loss of decision-making open and discrete forms of resistance can authority - constriction of adjust the change process to the given scope for action - poor prospects for development circumstances and the actors' standards of and learning. acceptance, and help steer it accordingly.

T-22/4 T-23: Motivation and Visions

A Method

The complex logic of motivation can be and in the experienced present. They illustrated by the example of two user should be understood as the product of a groups: One works with high motivation dynamic relationship between humans and strong internal cohesion, whilst the and their environment. other - under the same external conditions - cooperates only hesitantly, and falls apart Against this background, the rain dance of again after a short time. the Hopi Indians appears in a new light: It is effective not because the Indians know The different motives for the behaviour of how to successfully outwit the meteoro- the two groups is to be found in the logical turbulence, but because by doing behaviour of the individual members, in the this, even if they are still thirsty, they internal structure of the group or in environ- maintain group cohesion in difficult times. mental influences. Motives are always pseudo-rational, as they are characterised Three observations can be drawn from this: by obscurity: · Behaviour cannot be reduced to a one-dimensional motive. Consequently, behaviours can only · It is not possible to draw a sharp distinction be predicted with great difficulty. between the behaviour of a group as a whole and · Human beings are at once both free agents and the behaviour of individual members. determined beings. Their behaviour takes place · Environmental influences are interpreted differ- within a socially and symbolically charted space, ently by groups and organisations, and permeate through which they move as more or less active groups to quite different depths. subjects. · Motives are linked to cultural orientations, in that Motives are the causes of behaviour: we they are either faithful to them or reject them. eat because we are hungry. In other words, Dissent from dominant cultural values is part of hunger is the motive for the behaviour any culture, and is a driving force of cultural "food intake". However, this mechanistic development. view, as postulated for instance by the Long-term cultural orientations provide a Maslow pyramid (ascending from physio- community with a relatively stable ready- logical needs via social recognition up to made stock of motives. self-actualisation), falls short of the mark. It is widely acknowledged that there are Cultural orientations determine in language, symbols many more reasons why we eat: for in- and images how experiences are to be evaluated, stance pleasure or worry, boredom, human and what aims are worth striving towards. They construct meaning for people's actions, and provide contact, festive occasions, politeness, the rationales for the causes and effects of natural end of Lent or religious feast days. events. They contain life plans and norms for the individual and the community, and describe what is Motivation explains why we do something, considered appropriate and acceptable, or what is to and why we do it one way as opposed to be rejected. They determine moral distinctions another. Biological, personal, social and between virtues and vices, and contain models of a good life from birth until death. They regulate cultural motives merge in one explanation. coexistence, and the management of natural re- Motives are deeply rooted both in culture sources.

T-23/1 Comparative studies indicate that there are B Application a number of fundamental differences which affect motivation, for instance: B1 Visions

· Conceptions of space Visions of the future are sources of moti- sedentary (rooted): The life space is given; the vation. They focus and mobilise energies perceptible horizon describes the life space; towards an imaginary state, and they show travel creates feelings of insecurity; the familiar what we want to guard against and what and known are important. we are afraid of.

mobile (movable): The space is opened-up, con- How do the actors (e.g. user groups) see quered, measured; various horizons intersect; life has a vector; travel is considered enriching; the their future? Supported by creative tech- new is considered worth striving towards. niques such as group discussion, drawing, photography, model construction, theatre · Perception of time or video, we try to find answers to the polychronic: A human lifetime is part of an following questions: eternity or a natural cycle; individual aspirations are unrewarding; life is determined by waiting for vision favourable opportunities. past

monochronic: A human lifetime serves ends worth achieving ;it is divided into small units and What has changed in activities; planning, order and punctuality serve to our community in the How are our children supposed to live? control time. recent past? Why did the change What are they supposed occur? to live from? · Demarcation of the boundaries be- What will help enable What was our part in them to live like that? tween private and public life it? What did we achieve? clear boundaries: Private walks of life are What has improved/ shielded and protected. Public life is governed by deteriorated? market laws and publicly verifiable rules. Mutual support based on family and group ties is considered a distortion of the market. Connivance and corruption result in criminal prosecution. What is standing in the Protection and nepotism are suppressed. way of that? obscure boundaries: Family, community or ethnic obligations are at least as important as market demands. Connivance and solidarity con- What can we do? What do we intend to fer prestige. Economic success is worth striving Whom can we count do to realise this? towards if it can be transformed into social recog- on? nition and liking.

These comments are intended to illustrate The translation of diffuse motives and that we need to use the following tools with inclinations into a clear vision releases care. They simplify the situation in order to energies. Visions unfold their power of bring us closer to the old question of why motivation through obvious images, which we do one thing and not another. We also include stories and fairy tales. More is should certainly take a look at the first contained in these ambiguous and question - the question as to the actors' ambivalent forms of expression than in visions. straightforward descriptions. B2 History of motives

Motives are concealed, behaviour can be observed. Picking up on the earlier example of the two user groups who behave differently, it would be helpful to ask

T-23/2 the groups what their motives were, so as cohesion, stability and willingness to to be able to compare them. achieve.

The reconstruction of motives (reverse social engineering) is based on the assumption motivators that when we archaeologists find an arte- fact, we inquire as to the purpose behind achievement Group promotes will to achieve the "mysterious behaviour". and stimulates comparisons. · What did we expect? What did we hope to gain? support Group helps spread risks and · Who acted? provides a sense of security. · What moved us to act that way as opposed to another? learning Group makes it possible to learn from others.

helping Group promotes sense of re- behaviour of behaviour of sponsibility and selfless action. user group A user group B recognition Group strengthens self-esteem through rewards motives motives There are "freeloaders" in all groups. Members who motives motives try to keep their own input as low as possible, and only climb on board once the risks are foreseeable. motives motives It is to be assumed that social motivators play a more minor role with these individuals. motives With regard to the performance capability and stability of a group, the satisfaction of What What social needs becomes all the more distinguishes distinguishes important, the more heterogeneous the us from group us from group interests of the members are. It goes B? A? without saying that this cannot mean whitewashing over diametrically opposed This comparative observation of the history interests of ownership and status, as occur of motives (benchmarking) promotes self- among user groups. These interrelation- reflection within groups and organisations, ships are represented in the following and focuses their attention on their own matrix: strengths. high unstable group, but stable, high- B3 Social fields of motivation of high performance performance group in the short term with strong co- People acting as members of a group hesion perfor- anticipate tangible benefits which they mance could not achieve as individuals. The input unstable, poor recreation club with cohesion limited performance made by the individual member must be economically proportionate to the benefit low which the member derives from the group. low social needs high However, the cohesion and performance of groups are also dependent on whether B4 Assuming responsibility the group is able to bind and integrate its members. This occurs primarily through The central question is whether people see the satisfaction of needs which the mem- themselves as active and free agents bers can only realise within a group, within (subjects), or as victims of circumstance a social environment. Observation of these or the power of fate (objects). The fact that social fields of motivation therefore people can be willing or motivated to ac- provides valuable information on group cept or reject responsibility, to stand up

T-23/3 for or put aside their own interests, leads Subjective loci of control are cognitive back to the following observation: People maps with which we continuously evaluate believe that their lives and actions are what we think ourselves capable of, which either more or less determined by them- options are promising and what we would selves or by others. They implicitly answer be better advise to avoid or take flight from. questions regarding the relationship between human beings and their environ- · Subjective loci of control: To what ex- ment, e.g.: tent are my/our life/lives and actions determined by myself/ourselves or by · Do I determine my life and actions myself? others? · To what extent are my life and actions deter- · Perceived constraints in the environ- mined by other people, the organisation of work or environmental constraints? ment: What do I/we believe is in my/our · Is my life characterised by chance, strokes of way? fate or other unforeseeable influences? · Actual constraints: What is actually in · Am I subject to laws which, although I am fam- the way? What obstacles do the others iliar with them, I am nevertheless at their mercy? see? · Can I overcome restrictions and constraints or not? There is no right or wrong subjective locus of control! If we compare these subjective notions with the ac- The responses to these questions provide tual constraints, we might be able to draw con- information on the subjective locus of clusions regarding the appropriateness of the con- control, or in other words: the conception straints. But this says nothing about the success of an individual has of the scope of his or her the subjective locus of control. "Unrealistic" ideas of control are also quite capable of being successful. It influence. These notions represents in- is widely acknowledged that someone who believes sights and world pictures gained from strongly in him-/herself is also more likely to over- everyday experience. If we listen carefully, come obstacles. we can glean these from casual statements When groups and organisations develop a made to justify behaviour: jointly accepted picture of the con- "Never let things get you down." straints, the actors become clear in their "The way my parents and forebears did it is best." own minds as to what they wish and are "That is futile." able to assume responsibility for. Only "One has to adapt." "That's the way it's always been, it's in the regu- those things can be changed which the lations." people involved feel able to change. "I can wait." "I'll struggle through." Methods of self-observation and self-evaluation "I'm expecting something from that!" promote the exchange and comparison of subjective loci of control, and thus the self-reliance of groups Subjective notions of locus of control are and organisations. socio-culturally and biographically learnt ideas on the effects of an individual's own C Result actions, and are relatively stable through time. All an individual's experiences of his Motives and motivation have their origin in or her own effectivity or powerlessness visions. Knowledge of the social needs and shape their subjective locus of control. Key subjective loci of control which these formative experiences of this kind are incorporate provides a good basis on which already acquired during childhood: to understand strategies for action. "Our place in life is preordained." - "We still managed it." - "You'll never get past her up there!" - "Do not contradict figures of authority (father, teacher, superiors, government officials)."

T-23/4 T-24: Calculations of Benefit and Life Plans

A Method

As we can never grasp the full complexity When we ask ourselves how people can of circumstances and influences, action in- manage scarce natural resources soundly volves risks. We compare the initial situa- and sustainably, we need to understand tion with the anticipated economic, social their calculations of benefit and life and symbolic benefits, we consider our plans; the following questions need to be own inputs and the risks. In short, we asked for example: perform a calculation of the benefits. This economy of action is based on · What expectations and desires do the learned assumptions of the effects and people have? interplay of actions and circumstances, on · Which economic or other disadvan- causal schemata. tages do they suffer? · Who are the agents? These calculations of benefit include considerations · What benefits do they expect to gain on both the current and the anticipated situation. As a rule, an unsatisfactory initial situation triggers from that? actions to change it; in such cases we speak of push · Which subjective successes gradually factors. Visions of alternative life potentials exert a raise the expectations? force of attraction and give actions a target; in · To which incentives to act do the people these cases we speak of pull factors. respond? Individual calculations of benefit are often People with the same or similar calculations not expressed through actions until they of benefit and life plans form communities are discovered within a group to be a joint of values responding to the same incen- experience. Within a group the experience tives. These groups are bound together by of deprivation is reinforced, individual intercultural orientations. ests coalesce into a collective will, and risks can be spread. Even highly individualistic societies contain communities of values bound together through common Although life plans are largely prede- cultural orientations, for instance through the termined by values and rules, they also consumer experience or motor vehicle mobility. contain an individual core: the totality of In order to become familiar with cultural desires and expectations, dreams and orientations, it is appropriate to inquire as visions. The prospect of economic or other benefit alone is not sufficient to make us to the inputs which a community of values act accordingly. Actions must be con- derives from a culture. We can thus assess sistent with culturally-determined life plans, which energies are mobilised when values or at least not diametrically opposed to change, when people are influenced by them. extraneous cultural values, or when they are cut off from their own culture.

T-24/1 · Assimilation: New attitudes adjust to members of become as consistent as possible with a community existing life plans (= avoidance of dis- of values sonance). cultural inputs · Reification: Abstract concepts (natural resource management, sustainability, Support: Order: Strategies for autonomy etc.) are translated into care, devotion, differences with action: upbringing, social regard to visions, goals images or stereotypical aphorisms, or ties: sense of background, worth attaining, personified. belonging to family property, age, technical and and the profession, organisational Incentives are designed to influence community. gender, education, capabilities, forms power and of cooperation. people's calculations of benefit and life Provides: authority. plans. The aim is to reinforce a certain sense of security Provide: and link to Provides: concepts of behaviour, for instance ecologically sound communication as norms, concepts achievement and and sustainable land-use forms, or diminish well as symbolic of law and benefit, scope for or prevent another behaviour, for instance actions and their incorporation into action. interpretation. structures of exhaustive exploitation. power and dependency. Anyone consciously employing incentives in their work must therefore become intimately acquainted with the calculations of benefit and life plans of the people The western industrialised societies for instance offer concerned. their members a culture with marked individualistic traits. The support is limited, and its aim is to develop a competitive individual fit for life. The life B Application plans contain an evolutionary view of history, and place a positive value judgement on individual success achieved in competition with others. B-1: Life histories Incentives to selfless, altruistic behaviour are in direct competition with these life plans. Historians' interest in biographies is founded on the insight that they contain Support, order and strategies for action something which cannot be obtained merge into one cultural orientation. The through structural history: moods, men- members of a community of values, for talities, personal world pictures, life instance pasture or forest user groups, plans, attitudes governing behaviour. It draw their life plans from this source. New is barely possible to capture all this forms of resource use which are promoted through surveys. Conversely, even a through economic incentives, but are modest qualitative cross-section through a inconsistent with cultural orientations, will social group involves complex methodo- become established either only slowly or logical problems and a large amount of not at all. They will meet with the resistance work. of attitudes, with opinions and value judgements which are affectively laden and The only way out of this dilemma is to relatively stable through time. keep ambitions modest, a healthy eye on things and remain cautious. The following Attitudes are coagulated experience. The observational design offers a correspond- more important those attitudes seem to ing framework . people for their life plans, the stronger they become. They facilitate selective per- Life stories are narrated, and in the course ception and moral judgement of behaviour; of a life are retold repeatedly. They belong they serve as mutual supports, and provide to the people who tell them. They decide people with a basis on which to justify their - inter alia on the basis of the relationship own behaviour. Attitudes are learned they enter into with their interlocutors - through:

T-24/2 what they want to tell. This situation pre- B-2: Changing attitudes supposes trust, openness and mutuality on both sides. But it also presupposes on Attitudes (value judgements and opinions the part of the listener powers of empathy, expressed as behavioural habits) are sub- discretion and a questioning awareness of ject to social change. They are changed his or her own life experiences. through:

· Definition: By which structural charac- · coercion and the threat of sanctions · rewards and incentives teristics (property, land-use forms, in- · models and ideals (personification) come, age, gender, number of persons · reduction of dissonance between attitudes and per household, etc.) can the group behaviour. whose calculations of benefit and life plans interest us be defined? The permanence of a change in attitude is · Selection of interviewees: To which dependent inter alia on the following fac- individuals (at least five) do we seek tors: access in order to interview them? · prospect of advantages and benefits · Contact persons: Who can establish · tangible proof of the benefits contact with these individuals, and hold · credibility and social status of role models and four or five long biographical interviews individuals with different attitudes in an atmosphere of mutual openness? · certain knowledge that an individual would not isolate him- or herself by virtue of the new · Establishing contact: How and where attitude are the contact persons going to establish the relationship with the inter- Individuals tend to revise an insight if they viewees leading up to the first inter- are the only ones to have it. New attitudes view? are more likely to be accepted when they · Interview guide: With which questions are confirmed by others, and put to the test are we going to establish the relation- and demonstrated with others. The learning ship of trust? Which experiences and of attitudes therefore needs to be socially changes do we wish to address in the supported. Learning in groups through course of the interviews? dialogue and experience is the most appro- · Interview notes: In what form and on priate means of achieving this, applying the what scale should the contact person steps of PLA (participatory learning and put the interview down on paper on the acting): following day? · Address and make visible attitudes in the group, · Evaluation group: Who should form without placing value judgements on them: rela- the evaluation group? What should be tive situation in the field of attitudes. the group's task? What behavioural · Get to know the attitudes and thoughts of other change do we anticipate on our own people, reinforce surprise and curiosity: dilution. part? · Note and record differences, get to know advantages and disadvantages of one's own attitude, Practical tips: see the familiar in a new light, through new eyes: - If biographical literature is available, it should be differentiation. consulted beforehand. It may provide valuable · Try out new attitudes under practical conditions, tips for the interview guide. evaluate experiences in group discussion, link - It has proved useful to complement the inter- new attitudes to existing ones: integration. views with photographs, following the first interaction. The small selection of subjects should be Changes in attitude occur within a field of made by the interviewees themselves. The pic- forces. A tension known as "cognitive dis- tures and discussion thereof will facilitate the sonance" arises between new demands interview process. and old habits which is perceived as being - Individuals with intercultural backgrounds or experiences will be able to provide valuable tips unpleasant. There are various ways of on establishing contact and on conducting the relieving this tension, for instance: interviews.

T-24/3 · Ignore the call for a change in attitude. · It is not worth fighting windmills. Changes in · Avoid further contacts. attitude are best achieved through the field of · Call into question the rationale for the new atti- indifference. tude. · Information which neither confirms nor directly · Seek confirmation of the existing attitude. conflicts with existing attitudes opens up access to the field of indifference. The more pronounced habits and opinions · New attitudes need to be linked to existing, are, the less effect a direct assault is likely positively experienced values and ideals. · The consequences of changes in attitude must be to have. As a rule, assaults of this kind clear and predictable. even reinforce the existing attitudes. The following model therefore focuses attention B-3: Indicators for observation on those "soft" attitudes which are of a more provisional nature. If user groups observe the consequences of their actions themselves, they are more The model raises the following question for likely to become willing to change their discussion: How do people react to infor- behaviour. On the basis of an observa- mation which contains value judgements? tional model to examine natural resource management and its impacts, we can sur- Information vey user groups as to which indicators they consider important. The model dis- rejection tinguishes three groups of indicators:

indifference · Pressure: natural resources utilised by people, e.g. water consumption, logging, land use. 3 acceptance 2 ê How high do we estimate consump- 1 tion of the resources we use? Is it increasing or decreasing?

· State: impacts of resource use on environmental quality, e.g. lowering of the ground-water level, reduction in forested area, erosion. The model distinguishes three fields of ê What are the impacts of resource response to value-laden information: use?

· Field of acceptance: Contains those attitudes · Response: preventive, controlling and which an individual adopts on the grounds of regulative measures of resource man- personal conviction - the information confirms and reinforces existing attitudes. agement, e.g. water rates, afforestation, · Field of indifference: Contains attitudes which land-use rights. apply from case to case, are adapted to ê What can/must we do to ensure that individuals and situations, and point to indecision our children will still be able to use - the information elicits hesitation and surprise, is these resources? What are the im- examined and depending on the benefits offered integrated into the field of acceptance. pacts of the measures we/others · Field of rejection: Contains attitudes which an have taken? individual firmly rejects on the grounds of personal conviction - the information is questioned These P-S-R indicators sharpen the and rejected, previous attitudes are reinforced awareness of user groups vis-à-vis their (boomerang effect). own resource management activities, and form the starting point for periodic moni- A number of conclusions can be drawn toring to provide information on which from this contrastive model of assimilation incentives are effective. for the observation of changes in attitude:

T-24/4 B-4: Economic incentives · How will the capabilities of the recipients develop with regard to the new It is widely acknowledged that subsidies on forms of management? capital goods and loans, price supports and · Will the overall economic benefits subsidiary direct payments on the intro- come up to expectations? duction of new technology distort market · Will the subsidies lead to ecologically conditions. They raise profitability at the damaging behaviour? Will other user level of the individual farm or enterprise in groups crowd into ecologically sensitive order to create an incentive. The extent to zones in order to be able to participate which limited-term incentives are justified is in the incentive systems? measured by the long-term benefits to the · Will a dependency develop among the economy as a whole. The crucial question recipients of subsidies, stifling initiative is therefore whether or not the user groups and self-responsibility? will continue the new forms of management · Will individual user groups receive once the incentives have elapsed. If eco- preferential treatment and come off nomic incentives are to be effective, we considerably better? Will subsidies must ask the following questions when have undesirable social impacts, for in- designing and applying them: stance in the form of a more pronounced · Were the nature and scope of the social differentiation among the rural incentives negotiated with the user population, or a diminution of the status groups? What means of articulating of individual family members? themselves do the user groups have in the determination of economic incen- C Result tives? · With which expectations, life plans and The transition to sustainable forms of calculations of benefit will the economic natural resource management is inter- incentives be competing? woven with social learning processes which · How will the economic incentives are foreseeable only to a limited extent. change the status of the recipients with- New forms of resource management in the family and within the user groups? - especially when coupled with economic · What impacts will the incentives have on incentives - also always modify people's life other sector policy measures? strategies. It therefore makes little sense to · When and how is the transition from organise user groups and use incentives the system of incentives to market unless we are familiar with the experiences integration planned to take place? of change and calculations of benefit in · Does the scope of the subsidies corre- which their life plans and attitudes are spond to the recipients' own inputs and rooted. solvency? · Is the new management forms' profitability at the level of the individual farm or enterprise guaranteed? · Will subsidies and compensation be awarded selectively to the legitimate recipients on a timely and efficient basis? · Will the recipients use the subsidies in the intended manner? · Will additional income be earned on a continuous basis? · Will the recipients' own inputs and other conditions attached to the subsidies be adhered to?

T-24/5

T-25: Household Forms

A Method children and

Within the horizon of natural resource management, family households are perhaps the aged, production and accumulation, the most important strategic group pur- consumption, insurance against risk. The suing their own interests and with their own basic socioeconomic pattern of family project. Like other groups -administration households consists of five characteristics: officials, entrepreneurs, foreign consultants etc. - they act according to their own logic, · central or decentral community of residence · access to resources and are in a continuous process of ex- · division of labour between men and women, change and negotiation with their environ- and between adults and children ment. · obligations to contribute to the household · distribution of usufruct of the household The microcosm of the family household is a small enterprise in which production is This focuses attention on two key prop- based on the division of labour, and in erties of the household: which investments are made of both a Family households feed, care for and in- material and an immaterial nature (welfare, · struct growing children, and exert a for- social relationships). The family household is closely interlinked with other households mative influence on the behaviour and larger enterprises via markets. patterns of their young members; to ensure survival, their exists a mutuality The family household is at the same time a between the generations which is social community within which various redeemed at a later date. roles are allocated by age and gender, and · Households maintain intensive relations in which decisions are taken and power of exchange with the outside world; and dependency are negotiated. In the they exchange what they themselves outside world, the family household plays a produce for those goods and services central role as a solidary community and as which they do not; relations of exchange a participant in the political process. between nomads, agricultural societies and urban zones, between lowlands, The family household is held together by a mountain areas and coastal regions are dense network of sociocultural norms typical examples of this. and interpretations which govern relationships between its members and the outside The members of user groups are often world. reduced to one function: they are water users, cattle farmers, consumers of fuel- The boundary between a household and wood. Their rationality of action, however, larger organisational units is blurred. Whilst is derived from the life world context of specific individual tasks are performed the family household. Efforts to guarantee within the nuclear family, other functions survival are mingled with business calcu- are spread along the axes of family ties, lations. Investments in line with market con- which extend far beyond the household per ditions compete with obligations to conse: for instance, obligations to care for tribute to the household. Economic be-

T-25/1 haviour is linked to symbolic and ritual The approximately ten pictures should actions. The utilisation of natural resources show both the house within its immediate is weighed up against commercial industrial environment, and striking or puzzling activity, and wage labour against cliente- details (the various construction materials, listic protection. the ornamental door, the projecting canopy, etc.). The inhabitants of the house In the relationship to family households, the should only be photographed at their most important interface is to be found express request. between two widely divergent knowledge systems: between local knowledge and the Step 2: Explanations instrumental-technical rationality of action of the economy. Observation of the diverse Presentation: We prepare enlargements hybrid forms of the family household is of the pictures in DIN A4 and A5 format, therefore key to understanding an unfam- selecting only pictures that do not show iliar and complex rationality of action. In the any people. We visit the families in order dwellings and houses people build, this to show them the pictures and talk about diversity is manifestly materialised: in the them. After that, we give the pictures to the finca in the Bolivian highlands, in the igloo families. of the Inuit, in the Indian tepee, in the Discussion: The first discussion focuses Kyrgyz yurt, in the mud house of the initially on the following aspects: Dogon, in the pile house of the Toradjas of Sulawesi. climate and topography B Application

Step 1: Pictures of houses house Definition: We define the group whose households interest us on the basis of materials and objectives, purpose simple structural characteristics: location, technology and products property, land-use forms, income, number of persons per household etc. This will provide us with insights into Photography: We establish contact with a · the ecological, economic and institu- small number of families and declare to tional environment them our intentions, i.e. that we would like · the resources, capabilities and knowl- to take pictures of their houses, so as to edge of the family members be able to talk to the families about them · the economic and other purposes and afterwards. Pictures of our own houses objectives and other dwellings can be useful when explaining this. Photography: If the interlocutors permit, we now take additional pictures with the It may be necessary to pay several visits in members of the family on them, for in- this connection. Which members of the stance a group photograph of the children household make themselves available to and the adults, a group picture of the talk to us is in many places culturally women, a picture showing people doing determined. housework etc., and shots of the interior As a rule, only outdoor shots are taken; might also be permitted. entry into the interior of the house and entering individual rooms infringes the Step 3: One step further intimacy of the family organisation, and in many places is subject to ritual activities. Presentation: Again we prepare enlargements in DIN A4 and A5 format, selecting shots showing both the house and the

T-25/2 people. The shots of the house now also Comparative viewing of the pictures leads show ornaments or other non-directly-func- spontaneously to striking correspon- tional features, and possibly also the dences and to new questions. If we ident- interior. We visit the families to show them ify important information gaps in these the pictures and talk to the families about questions which we need to fill for our them. After the discussion, we give the work, this will require further rounds of pictures to the families. discussion, possibly also with other households. Discussion: The discussion should first address the issue of the history of the house: Among the most important insights and When and by whom was it built? Why did findings we seek the link to our project. Key they build it just here? etc.. The discussion questions: What does this mean for our should focus on the following aspects: project? What influence will that insight have on what we do or what we are symbols and history cooperation and planning to do? conflicts C Result house Observation of the diverse functions of family households enables us to understand the behaviour patterns of the actors values and in their everyday context. By doing this we norms create favourable preconditions for us to harmonise what we do or are going to do This will provide us with insights into with the thoughts and actions of our part- · social relationships, spatial planning, ners, in other words to become a part of division of labour and forms of cooper- what they do. ation · values and common experiences · history, symbols and their significance

Step 4: Evaluation

climate and topography symbols and history cooperation and conflicts

house

materials and objectives, purpose technology and products

values and norms

The pictures of the visited families are now put together in the form of an exhibition. Where possible, the captions should include verbatim quotes from the interlocutors. The six-point star formed by the two superimposed triangles helps illustrate the areas discussed.

T-25/3

Literature

A English

· Bolliger, Ernst et al.: Agricultural Extension, · Wells, Michael, Brandon, Katrina: People handbook, St. Gallen 1991 (SKAT, LBL). and Parks, Linking Protected Area Manage- · Davis-Case, d'Arcy: The Community's Tool- ment with Local Communities, Washington box, The Idea, Methods and Tools for Par- D.C.1992. ticipatory Assessment, Monitoring and Evaluation in Community Forestry, Rome B Spanish 1990 (FAO) Paper 311, October 1992. · De Leener, Philippe, Ndione, Emmanuel, Ndiaye, Mamadou (a.o.): The future of · Balzer, Geert, Engel, Adalbert: Die Rolle von community lands. Human Resources, Lon- Anreizen bei der Anwendung von RMSH als don 1995 (ENDA. GRAF). Vorgehensweise, Eine Handreichung für Projektbearbeiter/-innen, Consultants und · Engler, Markus: Participation in Rural Infra- Projektmitarbeiter/-innen, Eschborn, Januar structure Programmes. A process-oriented 1995 (GTZ). approach to Bridge Building at the Local Level in Nepal, Lindau, February 1994. · Antons, Klaus: Práctica de la dinámica de grupos, ejercicios y técnica, Barcelona 1986. · Gohl, Eberhard, Germann, Dorsi, Prey, Joachim, Schmidt, Uwe: Participative Impact · Bojanic, Alan, Cañedo, María Elena: De- Monitoring, A Short Guide To Participative mandas campesinas, Manual para un análi- Impact Monitoring, Eschborn 1993 (prelimi- sis participativo, La Paz 1994. nary draft). · Bolliger, Ernst et al.: Extensión agrícola, un · Harder, Martin (GTZ, Abt. 403): Sri Lanka, manual, St. Gallen 1991 (SKAT, LBL). Launching a Self-Evaluation Process in · De Bono, Edward: El pensamiento lateral, Farmer Organizations, Report on a consul- Manual de creatividad, Barcelona, Buenos tancy, Colombo, Nov./Dez. 1991. Aires, México 1993 (Ediciones Paidós) · Pretty, Jules N., Guijt, Irene, Thompson, · Hopson, Barry, Scally, Mike: 12 pasos para John, Scoones, lan: Participatory Learning & el éxito brindando servicio, Buenos Aires, Action, A Trainers Guide, London 1995 Bogotá 1993 (Ediciones Macchi). (IIED). · Konrad-Adenauer-Stiftung (KAS): Gobierno · Scheuermeier, Ueli: Approach Development, local, desarrollo institucional y participación A contribution to participatory development comunitaria, Serie de publicaciones sobre of techniques based on a practical experi- Política, Economía, Derecho, 1995, N° 1, ence in Tinau Watershed Project, Lindau Quito, Ecuador. 1988 (LBL). · Quintanilla, Ismael, Bonavía, Tomás: Direc- · Schönhuth, Michael, Kievelitz. Uwe: Partici- ción participativa, Madrid 1993 (Editorial patory Learning Approaches, Rapid Rural Eudema). Appraisal, Participatory Appraisal, An intro- · Schein, Edgar H.: Consultoría de procesos, ductory guide. Rossdorf 1994, (TZ-Verlags- México 1988. gesellschaft). · Tillmann, Hermann J., Salas, María Angé- · Schwedersky, Thomas (GTZ): Report of the lica: Nuestro Congreso, Manual de Diagnós- consultancy to Siran Forest Development tico Rural Participativo. Santiago de Puriscal Project (SFDP), Pakistan, 07.-26.04.1995, (Costa Rica) 1994. Bonn, May 1995. · Tillmann, Hermann, Salas, Maruja: (para el · SDC (Swiss Development Cooperation): proyecto manejo de los Recursos Naturales Impact hypotheses, development and its a través de la Auto-ayuda de la GTZ), Diag- environmental impact, Bern 1994. nóstico rural participativo (DRP), Proyecto río Guatiquía - Colombia, informe narrativo de un Curso-Taller que se llevó a cabo entre el 31 de agosto al 17 de septiembre de 1993, Stockach-Tübingen 1993.

Literature 1 C French

· Balzer, Geert, Engel, Adalbert: Le rôle des · Bourdieu, Pierre: Sozialer Sinn, Kritik der mesures d'incitation dans l'application de la theoretischen Vernunft, Frankfurt a./M. 1987 stratégie GERNAP, Outil de travail à l'inten- (Suhrkamp). tion des chargés de projets, des consultants · DEH (Direktion für Entwicklungszusammen- et des collaborateurs de projet), Eschborn. arbeit und Humanitäre Hilfe): Spieglein 1995 (GTZ). Spieglein an der Wand..., Zum Thema · Bolliger, Ernst et al.: Vulgarisation agricole, "Selbstevaluation" (SE) in der Entwicklungs- un manuel. St. Galle 1991 (SKAT, LBL). zusammenarbeit, Reihe Arbeitshilfen zu Pla- · Bourdieu, Pierre: Le sens pratique, Paris nung, Evaluation. Monitoring und Umsetzung 1980 (Editions de minuit). (PEMU), Bern Dezember 1990. · DDA (Direction de la Coopération au Déve- · DEH (Direktion für Entwicklungszusammen- loppement et de l'Aide Humanitaire): Hypo- arbeit und Humanitäre Hilfe): Wirkungshypo- thèses d'impact, développement et impacts thesen, Entwicklung und Umwelt-lmpact sur l'environnement Berne, 1994. Bern, Juli 1994. · DDA (Direction de la Coopération au Déve- · Doppler, Klaus, Lauterburg, Christoph: loppement et de l'Aide Humanitaire): Miroir Change Management. Den Unternehmens- mon beau miroir dis-moi..., L'auto-évaluation wandel gestalten, Frankfurt 1994 (Campus dans la coopération au développement, Verlag). Berne mars 1991. · Glast, Friedrich: Konfliktmanagement. Ein · De Leener, Philippe, Ndione, Emmanuel, Handbuch für Führungskräfte und Berater, Ndiaye, Mamadou (u.a.): Avenir des terroirs: Bern 1994 (Haupt Verlag). La ressource humaine, Dakar 1992 (ENDA, · Gohl, Eberhard: Participative Impact Moni- GRAF). toring, Ein Positionspapier. Stuttgart April · De Leener. Philippe: Réinventer le présent, 1993 (GTZ). Dakar 1994 (ENDA GRAF Sahel). · Högger, Rudolf: Wasserschlange und Son- · Doucet, Lavai, Favreau, Louis: Théorie et nenvogel, Die andere Seite der Entwick- pratiques en organisation communautaires, lungshilfe, Frauenfeld 1993 (Verlag im Québec 1992. Waldgut). · GTZ: L'idée a fait tache d'huile. Etude de cas · Lecomte, B., Kwan-Kai-Hong: Institutionelle d'un projet d'amélioration de la gestion des Stärkung von Basisorganisationen. Begriffs- terroirs villageois (PATECORE) au Burkina rahmen und methodisches Vorgehen, GTZ Faso, Synthèse, Eschborn 1992. Abt. 403. Nr. 12d. 12/1992. · Gueye, Bara. Schoonmaker, Karen: Intro- · Müller-Glodde, Ulrike: Prozessbegleitende duction à la méthode accélérée de recherche Beratung im Ressourcenmanagement, Eine participative (MARP), London 1991 (IIED). Arbeitshilfe für GTZ-Mitarbeiter-/innen und · Imfeld, Josef, Kalt, Peter Manuel de l'auto- Mitarbeiter/-innen in der Projektplanung und évaluation, Service Evaluation de la DDA, -durchführung, Bonn April 1994. Mai 1994. · Stachle, Wolfgang: Management, München · Lecomte, B., Kwan-Kai-Hong: Renforcement 1991 (Verlag Franz Vahlen). institutionnel des organisations d'autopromo- · Sülzer, Rolf, Zimmermann. Arthur Organi- tion. Cadre conceptuel et méthodologique, sationen verstehen, Westdeutscher Verlag GTZ Division 403. No. 12f. 1/1993. (erscheint im September 1996). · Whitmore, John: Coaching für die Praxis, D German Frankfurt a./M. 1994 (Campus).

· Balzer, Geert, Engel, Adalbert: Die Rolle von Anreizen bei der Anwendung von RMSH als Vorgehensweise, Eine Handreichung für Projektbearbeiter/-innen, Consultants und Projektmitarbeiter/-innen, Eschborn. Januar 1995 (GTZ). · Bolliger, Ernst et al.: Landwirtschaftliche Beratung, Leitfaden, St. Gallen 1991 (SKAT, LBL).

2 Literature 402/96 22e NARMS Department 402 Environmental Protection, Conservation of Natural Resources, Dissemination of Appropriate Technologies (GATE)

Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH