THE PARTICIPATORY PROCESS FOR
SUPPORTING COLLABORATIVE MANAGEMENT
OF NATURAL RESOURCES:

 

AN OVERVIEW

 

 

Prepared by

Andrew W. Ingles, Arne Musch

and Helle Qwist-Hoffmann

 

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS

Rome, 1999

 

 

Design: Cecilia Valli — Illustrations: Guida Joseph

The designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United

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© FAO 1999


 

PREFACE

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.

 

TABLE OF CONTENTS

Preface

iii

List of Figures and Boxes

vii

Acronyms

viii

Acknowledgements

ix

CHAPTER 1 - INTRODUCTION

1

Promoting People’s Participation

1

Collaborative Management

2

Participatory Action and Learning Approaches

4

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


11

A Short Preview

11

Components of the process

12

Part 1: Building a Support Programme

15

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

Part 2: Providing Support at Selected Sites

26

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

Part 3: Withdrawing Support

34

   

CHAPTER 3 - THE ACTORS AND ENVIRONMENT FOR COLLABORATIVE MANAGEMENT

 

37

An Overview of Stakeholders: Who Are They?

37

Users

39

Governments

40

Development agents

42

Other private stakeholders

44

The role of stakeholders

44

The Enabling Environment: Are Circumstances Right?

46

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

Conclusion

58

   

CHAPTER 4 - PRACTICAL ASPECTS OF MANAGING A SUPPORT PROGRAMME

61

Introduction

61

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

Managing the Programme

68

Flexibility and action-learning

68

Managing Relations With other Stakeholders

70

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

Conclusion

75

REFERENCES

77

COMMUNITY FORESTRY PUBLICATIONS

79

 

LIST OF FIGURES AND BOXES

Figures:

Figure 1.1

Six types of participatory approaches based on their main objective

5

Figure 2.1

Three parts of a support programme

13

Figure 2.2

Eight stages in supporting collaborative management through a participatory process

14

Figure 2.3

Variations in the timing of stakeholder analysis and participatory assessments during the establishment of a support effort

17

Figure 2.4

Parts of a programme design and relevant participatory approaches

20

Figure 3.1

Stakeholders in natural resource management 3

8

Figure 4.1

Sets of issues related to supporting collaborative management

62

Boxes

Box 1.1

Explaining collaborative management

3

Box 1.2

Some dimensions of participation in decision-making

4

Box 1.3

Four types of development programmes

6

Box 1.4

A range of potential roles for supporters of collaborative management

8

Box 2.1

Stakeholder analysis

16

Box 2.2

Designing a buffer zone management project in Thailand

22

Box 2.3

Check it out first

25

Box 3.1

Users

39

Box 3.2

Governments

40

Box 3.3

Development agents

42

Box 3.4

Other private stakeholders

44

Box 3.5

Understand the enabling environment, or else.

46

Box 3.6

Living in times of war

48

Box 3.7

Managing the politics

50

Box 3.8

In search of legal personality

52

Box 3.9

Skills and attitudes can be changed

53

Box 3.10

Impact of a development project on the irrigation services market

55

Box 4.1

PRA too costly?

64

Box 4.2

Some issues for establishing forums and process for negotiating overall goals and objectives of collaboration

72

 

ACRONYMS

CIFOR

Centre for International Forestry Research

GIE

Groupement D’intérêt Economique

IDS

Institute of Development Studies

ILO

International Labour Organisation

IUCN

The World Conservation Union

NGO

Non-Governmental Organization

PRA

Participatory Rural Appraisal

RRA

Rapid Rural Appraisal

WWF

World Wildlife Fund

 

ACKNOWLEDGEMENTS

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.

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