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Design: Cecilia Valli — Illustrations: Guida Joseph
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© FAO 1999
This document, The Participatory Process for Supporting Collaborative Management of Natural Resources: An Overview, is meant to provide the conceptual context for the 'The Participatory Package', a new set of materials on the participatory process that is currently being developed by the Community Forestry Unit of FAO. The Overview describes the extent and nature of participation in collaborative management of natural resources, and focuses on the processes and practical aspects of promoting and supporting collaborative management in ways that are acceptable to governments and resource users.
The promotion of collaborative management is based on the assumption that effective management is more likely to occur when local resource users have shared or exclusive rights to make decisions about and benefit from resource use. There is an increasing interest in strengthening or creating collaborative management systems as a strategy for promoting rural development and resource conservation through empowerment and partnerships.
As the issue of participation has evolved, it has become increasingly recognized that although a lot of attention is being paid to rural community analysis, often little attention is given to the application of the analysis results to planning and implementing initiatives. In addition, decentralization has increasingly led to efforts to turn over the responsibility and authority for natural resource management to rural communities. This has led to a re-evaluation of the role of natural resource management professionals, projects and other initiatives in helping this transition to occur. With this Overview, we hope to facilitate this transition by describing the participatory process, by listing and discussing numerous management issues associated with it, and by giving examples of how important active participation of all stakeholders is, from initial problem and situation analysis through to the end of an initiative.
The Participatory Package is currently in the development phase. The primary objective of The Participatory Package will be to effectively deliver useful advice and ideas to forestry government officials to integrate effective, broad-based participation into all aspects of their work.
Support and funding for The Participatory Process for Supporting Collaborative Management of Natural Resources: An Overview was provided by the Community Forestry Unit and the multidonor Forests, Trees and People Programme (FTPP), which works to increase social and economic equity and improve well-being, especially that of the poor, through the support of collaborative and sustainable management of trees, forests and other natural resources.
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Preface |
iii |
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List of Figures and Boxes |
vii |
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Acronyms |
viii |
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Acknowledgements |
ix |
CHAPTER 1 - INTRODUCTION |
1 |
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1 |
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2 |
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4 |
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Dimensions of participation |
4 |
Development programmes |
6 |
The role of supporters |
7 |
Key themes for supporters |
9 |
CHAPTER 2- OVERVIEW OF THE PARTICIPATORY PROCESS FOR SUPPORTING COLLABORATIVE MANAGEMENT |
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11 |
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Components of the process |
12 |
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15 |
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Introduction |
15 |
Ideas for support: whose initiative? |
18 |
Design and approval of a support programme |
19 |
Start-up: creating an action-learning organization and making initial appraisals |
23 |
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26 |
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Goals and action plans for the first cycle of support |
26 |
Activities and outcomes: implementing and monitoring |
29 |
Lessons and evaluation: reflecting and making judgements about the process and outcomes |
31 |
More cycles of support: more planning, acting and learning |
33 |
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34 |
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CHAPTER 3 - THE ACTORS AND ENVIRONMENT FOR COLLABORATIVE MANAGEMENT |
37 |
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37 |
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Users |
39 |
Governments |
40 |
Development agents |
42 |
Other private stakeholders |
44 |
The role of stakeholders |
44 |
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46 |
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Introduction |
46 |
Some preconditions |
48 |
Is there political and legal backing from a competent government? |
49 |
Do markets provide opportunities and confidence? |
54 |
Infrastructure |
56 |
Does the philosophy and practice of collaborative management fit the culture? |
56 |
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58 |
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CHAPTER 4 - PRACTICAL ASPECTS OF MANAGING A SUPPORT PROGRAMME |
61 |
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61 |
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Constraints and Pitfalls in Adopting Participatory Approaches |
63 |
Problems with the design of, or commitment to, the support programme |
63 |
Attitudes, behaviour and skills of supporters |
65 |
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68 |
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Flexibility and action-learning |
68 |
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70 |
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Entry-points |
70 |
Gaining confidence |
71 |
Negotiating overall goals |
71 |
Building skills and knowledge |
73 |
Informing and being informed |
74 |
Financial and other resources |
74 |
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75 |
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77 |
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79 |
Figures:
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Figure 1.1 |
Six types of participatory approaches based on their main objective |
5 |
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Figure 2.1 |
Three parts of a support programme |
13 |
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Figure 2.2 |
Eight stages in supporting collaborative management through a participatory process |
14 |
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Figure 2.3 |
Variations in the timing of stakeholder analysis and participatory assessments during the establishment of a support effort |
17 |
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Figure 2.4 |
Parts of a programme design and relevant participatory approaches |
20 |
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Figure 3.1 |
Stakeholders in natural resource management 3 |
8 |
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Figure 4.1 |
Sets of issues related to supporting collaborative management |
62 |
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Box 1.1 |
Explaining collaborative management |
3 |
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Box 1.2 |
Some dimensions of participation in decision-making |
4 |
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Box 1.3 |
Four types of development programmes |
6 |
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Box 1.4 |
A range of potential roles for supporters of collaborative management |
8 |
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Box 2.1 |
Stakeholder analysis |
16 |
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Box 2.2 |
Designing a buffer zone management project in Thailand |
22 |
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Box 2.3 |
Check it out first |
25 |
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Box 3.1 |
Users |
39 |
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Box 3.2 |
Governments |
40 |
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Box 3.3 |
Development agents |
42 |
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Box 3.4 |
Other private stakeholders |
44 |
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Box 3.5 |
Understand the enabling environment, or else. |
46 |
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Box 3.6 |
Living in times of war |
48 |
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Box 3.7 |
Managing the politics |
50 |
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Box 3.8 |
In search of legal personality |
52 |
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Box 3.9 |
Skills and attitudes can be changed |
53 |
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Box 3.10 |
Impact of a development project on the irrigation services market |
55 |
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Box 4.1 |
PRA too costly? |
64 |
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Box 4.2 |
Some issues for establishing forums and process for negotiating overall goals and objectives of collaboration |
72 |
ACRONYMS
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CIFOR |
Centre for International Forestry Research |
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GIE |
Groupement D’intérêt Economique |
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IDS |
Institute of Development Studies |
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ILO |
International Labour Organisation |
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IUCN |
The World Conservation Union |
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NGO |
Non-Governmental Organization |
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PRA |
Participatory Rural Appraisal |
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RRA |
Rapid Rural Appraisal |
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WWF |
World Wildlife Fund |
The authors wish to thank Katherine Warner and Daniel Shallon of the Community Forestry Unit, FAO, for the support, guidance and stimulation provided during the preparation of this Overview. The initial idea for producing such an Overview and using a participatory approach for scoping and reviewing the content was theirs, and they provided significant intellectual and practical help continuously during all stages of preparation and writing.
In Rome, there were many people who assisted in identifying issues and organizing ideas, or provided comments on drafts of the paper. Their time and assistance were greatly appreciated. They are: Vanda Alterelli, Jon Anderson, Jean Bonnal, Susan Braatz, Alice Carloni, John Dixon, Florence Egal, Thierry Facon, Lyes Ferroukhi, Kevin Gallagher, Michelle Gauthier, Jan Johnson, Peter Kenmore, Lennart Ljungman, Ron Maine, Doug McGuire, Steven Post, John Rouse, Juan Sagardoy, Vicki Wilde and Patrizio Warren. Outside Rome, we were helped also by Pippa Bird, Grazia Borrini-Feyerabend, Bob Fisher, Andrew S. Inglis, Cynthia Josayama, Nico Schulte Nordholt and Margaret Skutsch.
The members of the Working Group on 'The Participatory Package' have provided many helpful suggestions and insights. They are: Stephen Baas, Carlos Brenes, D’Arcy Davis Case, Luca Fé d’Ostiani, Don Gilmour, Bara Gueye, Mary Hobley, Amrit Lal Joshi, Marilee Kane, Ling Lin, Salome Wamaitha Kago Machua, Cynthia McDougall, Oumy K. Ndiaye, Papa Dethie Ndione, Erik Nielsen, Hugo Romero, Laura Russo, Rabindra Kumar Singh,Vitoon Viriyasakultorn and Jamie Watts.
For providing much practical help and support during the project, we would especially like to thank Michela Mancurti, and Francesca Gentile and other staff of the Community Forestry Unit.