Introduction to participatory tools and methods

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Introduction to participatory tools and methods
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Adaptation Entry Points for CSOs

• DISASTER RISK REDUCTION front end preparation
• policy and planning
• Policy analysis and research (e.g. political
  ecology of adaptation)
• Stakeholder identification analysis
• Participatory planning processes
• Incorporation of traditional knowledge
• physical preventative measures
• Adaptive designs retrofitting
• Natural resources conservation
• Integrated resources management (INRM)
• Incorporation of traditional knowledge
• Reforestation, conservation management
• physical coping and/or adaptive measures and
• Vulnerability and risk assessment studies
• Participatory contingency planning
• Participatory hazard mapping resilience
  development
• community capacity building
• Awareness building
• Community level adaptation planning

CANARI 2007
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Adaptation Entry Points for CSOs

• Economic capabilities the ability to earn an
  income, to consume and to have assets
• Community and sectoral risk reduction and
  resilience building
• Livelihoods diversification
• Crop diversification
• Sharing of traditional knowledge best practices
• Human capabilities based on health, education,
  nutrition, clean water and shelter
• Research
• Awareness building and education on Integrated
  Natural Resources Management, adaptation planning
  vulnerability reduction and resilience building
• Capacity development in planning and
  participatory processes
• Political capabilities human rights, a voice and
  some influence over public policies
• Capacity development
• Participatory planning processes
• Awareness building education
• Participation in resource allocation
  decision-making (land use planning food
  security)
• Advocacy (land use planning food security)
• Socio-cultural capabilities the ability to
  participate as a valued member of a community
• Capacity development
• Participatory planning processes
• Awareness building education

CANARI 2007
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Some key tools and methods in participatory
processes

• Participatory planning and management
• Stakeholder identification and analysis
• Stakeholder mobilisation
• Assessing and building capacity for participation
• organisational
• institutional (policies, laws, structures,
  relationships, organisations)
• Skills
• Participatory mapping
• Conflict management (negotiation)

Photo Allan Smith
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Why participation?

• Participation is important in climate change
  adaptation because

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Why participation?

• Incorporates a wide range of perspectives and
  ideas, resulting in improved decision making and
  management
• Improves the knowledge and skills of all
  stakeholders
• Increases the likelihood of stakeholder support
  through involvement in decision-making
• Can provide a forum for identifying conflicts
  between users and negotiating solutions to them
• Can contribute to stakeholder empowerment and
  local institutional development, especially when
  the sharing of management responsibility in
  involved

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What is participation?
Forests and Forest User Groups in St
Vincent Photos Fitzgerald Providence
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Spectrum of participation
Top-down decision making most powerful
stakeholders informs some of the other
stakeholders of some decisions
Inputs, analysis and decisions made with
equitable involvement of all stakeholders
Most powerful stakeholders sell the decision to
selected other stakeholders
Most powerful stakeholders present tentative
decision for discussion
Joint analysis but final decision still with most
powerful stakeholders
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Types of participation

• Manipulative
• Passive
• Participation by consultation
• Participation for material incentives
• Functional
• Interactive
• Self-mobilisation
• Source Bass et al (1995)

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Where is your country in terms of participation
in climate change policy and adaptation?
Top-down decision making most powerful
stakeholders informs some of the other
stakeholders of some decisions
Inputs, analysis and decisions made with
equitable involvement of all stakeholders
Most powerful stakeholders sell the decision to
selected other stakeholders
Most powerful stakeholders present tentative
decision for discussion
Joint analysis but final decision still with most
powerful stakeholders
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What factors determine the kind of participation
that is most appropriate?

• Purpose of initiative
• Complexity
• Urgency
• Degree of conflict
• Capacity
• the philosophy of those leading the process in
  relation to participation
• skills and knowledge
• available time
• available human and financial resources

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Determine need for planning process
Identify needs or problems to be addressed
Identify/mobilise stakeholders
Define goals and objectives
Conduct stakeholder analysis
Create mechanisms for equitable stakeholder
participation
Collect information on which to base decisions
Monitor and evaluate
Share results with stakeholders
Analyse information and identify options
Negotiate among stakeholders
Formulate plans and responses
Implement
Participatory planning
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Stakeholder identification

• Who is a stakeholder?
• The individuals, groups and organisations that
  are involved in or may be affected by a change in
  the conditions governing the management and use
  of a resource, space or sector.

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Who is a stakeholder?
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Why stakeholder identification?

• Primary aim to document all those who have a
  stake
• Stakeholder identification can become a mechanism
  to widen and identify others
• Stakeholder identification can help to identify
  potential or actual conflicts
• Exclusion can have unexpected and undesirable
  consequences

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Some considerations for stakeholder mobilisation

• How does information reach the stakeholders and
  can they interpret it?
• When does it reach them? Give sufficient notice.
• Equitable participation
• Time and place of meetings
• All stakeholders together or in separate groups?
• Who will facilitate? Should it be someone
  independent?
• Options for inputs outside of meetings

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Why stakeholder analysis?

• To identify management priorities
• To identify mechanisms for participation
• To monitor and manage change
• As a tool for negotiation and conflict management
• A platform for building and strengthening
  partnerships
• To understand existing capacity and capacity gaps
• To provide a baseline of information for
  monitoring and evaluating change

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Outcomes of stakeholder analysis

• Greater understanding of
• relationships and power (institutional framework)
• areas of potential or actual conflict or
  collaboration
• capacity building needs for participation in
  management
• stakeholder rights and legitimacy
• resource use and priority
• issues for management

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Questions for stakeholder analysis

• Depend on the reason for the analysis, e.g.
• Benefits from and interests in resource (current
  and future)
• Impacts of a proposed change in management
  regime socio-economic and environmental
  (positive and negative)
• Power, rights, responsibilities (formal and
  informal)
• Understanding existing or potential conflict
• Capacity to contribute to management

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Conflict analysis matrix e.g.
Ref CANARI Guidelines 5
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Power analysis e.g.
Ref CANARI Guidelines 5
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Stakeholder power analysis
e.g. Forestry Division, EMA, TCPD, Min Energy,
MPUE, Min Housing, Min Works, Commissioner of
State Lands
e.g. Stakeholder Committee
e.g. Community Local tour guides, Squatters
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Mapping relationships

• Visually maps the relationships between all of
  the stakeholders

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Stakeholder capacity analysis

• Assess capacity for participation
• World view and culture
• Structure
• Adaptive strategies
• Skills
• Material resources
• Linkages

Reflection What is the capacity of your
organisation to participate in climate change
planning and adaptation?
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Complexity

• Wide range of users and actors who are constantly
  changing
• Danger of simplifying complex realities, e.g.
• People belong to several stakeholder groups
• Stakeholder groups are not homogenous
• Understanding and managing complex situations
• Complex human relationships
• Complex human interfaces with natural resources
• Competing uses of natural resources
• Participatory process but caution where there are
  acute conflicts and inequity

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Each situation is unique

• Need for understanding of local conditions and
  realities
• Challenges of natural resource management
• preservation versus livelihood pursuits
• No one size fits all
• Need to tailor responses

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Challenges of participation

• Costly in terms of time and resources for all
  (including stakeholders)
• Raises stakeholder expectations and can lead to
  disillusionment if realistic expectations not
  defined
• Where capacity lacking, can be counterproductive
  and result in backlash
• Consultation burnout

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People and the Sea

• Watch the film and assess what participatory
  methods were used and how they contributed to
• managing a resource that had previously been
  scarce (adaptation)
• improved livelihoods
• enhanced capacity
• reduced conflict

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Conflict management

• What is conflict?

• An umbrella term for divergent aims, methods or
  behaviour frequently stemming from differences in
  power between stakeholders.

Disputes
Conflicts
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Why do conflicts/disputes arise around natural
resource use and management?
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Why do conflicts/disputes arise around natural
resource use and management?
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Cross cutting themes

• Change Natural resource management is concerned
  with rules that govern access and use, rather
  than natural resources. When those rules change,
  rights are affected and disputes may arise.
• Status of the resource Where resources are
  finite or scarce, disputes may arise with
  increasing intensity
• Context Many of the causes and reasons for
  conflicts are beyond the control of natural
  resource managers but managers must be able to
  interpret the wider world and understand the
  relevance for their work

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Actions and responses to conflict
Separate action e.g. using personal influence,
squatting
Joint action e.g. negotiation, mediation
Third party action e.g. arbitration,
adjudication
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Negotiation

• is based on the premise that to be sustainable
  any agreement between stakeholders must meet as
  many of their complementary needs as possible
• calls for an open and flexible outlook rather
  than grudging compromise
• often requires an independent facilitator.

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Successful negotiations

• move stakeholders from entrenched positions
• address different layers of conflict, e.g.
• procedural (e.g. right to be heard)
• substantive (e.g. livelihood issues)
• include all stakeholders that can impact
  positively or negatively on the outcomes
• take into account in the design of the process
  existing power relations and structures so that
  factors such as gender, wealth, ethnicity and
  class do not prevent stakeholders from making
  their case.

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Addressing power differences in the negotiations
means

• assessing and building stakeholder capacity to
  participate
• ensuring that marginalised voices are heard
• levelling the playing field for negotiations
• ensuring that all parties can have outcomes
  revisited if circumstances change

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A word of caution

• ..it would be a mistake to see participation
  as a magic cure for all ills. The evidence
  suggests that processes that involve a wide range
  of actors in management, far from making things
  easier, actually result in complex arrangements
  which reveal conflicts and tensions rather than
  make them go away. Conflicts and natural resource
  management go hand in hand. Participatory
  approaches can help point out where problems are
  likely to occur and provide a way forward once
  they do.

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Small group work

• Divide into 2-3 small groups
• Select a case study based on the community of one
  of the group members and discuss some or all of
  the following
• What are likely to be the major impacts of
  climate change?
• Which stakeholders will be most affected?
• Which stakeholders are best situated to minimise
  or mitigate against the negative effects of
  climate change?
• What are likely to be the areas of conflict?
• What types of participatory processes could be
  used to bring stakeholders together and negotiate
  conflicts?
• How would you mobilise the stakeholders to
  participate?