Participatory Natural Resources

and Conflict Management

(NRM472)
Course Credit: 2(2+0)
Dep’t: NaRM Year Four Sem II
Instructor: Mohammedamin K.

April, 2024
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 CHAPTER 1: INTRODUCTION
1.1 Description of Natural Resources
1.1.1 Definition
• Natural resources are naturally occurring substances that are considered valuable in their relatively
unmodified or natural form.
• They are resources available in nature like land, air, water, sunlight, soil, minerals, wild flora &
fauna.
• They are gifts of nature that the mankind uses or can potentially use to create material wealth.
• They maintain the chemical balance of the Earth, stabilize climate, protect watersheds, renew
soil and provide a wide range of goods and services .
• They are source of food, raw material, genetic material, medicine, employment and wealth.
• The diversity of nature is a source of beauty, enjoyment, understanding, and knowledge a
foundation for human creativity and a subject for study.
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 Con’t
 In general natural resource have the following function:

1. Production function: production of biomass and other biotic materials for

human use.

2. Biotic function: habitats and gene reserves for plants, animals and micro-

organisms, above and below ground.

3. Climate regulative function: sink GHG, form global energy balance, and

global hydrological cycle.

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 Con’t
4. Hydrologic function: regulates the storage and flow of surface and

groundwater resources, and influences their quality.

5. Storage function: storehouse of raw materials and minerals.

6. Pollution control: receptive, filtering, buffering and transforming hazards.

7. Biogeochemical/Nutrient cycle is the exchange of materials among living and

non living components of env’t (air, soil, biota & water) within ecosystem.

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 Con’t
8. Living space function: site for settlements, industrial, sports & recreation.

9. Archive or heritage function: medium to cultural history of mankind, and a

source of information on past climatic conditions and past land uses.

10. Connective space function: space for the transport, inputs and produce, and

for the movement of plants and animals between discrete areas of natural

ecosystems.
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 1.1.2 Classifications of Natural Resources
• There are various methods of categorizing natural resources.
• These include :- source of origin, stage of development, and by their continual
utility or renewability.
A. On the basis of origin:-
Biotic- biotic resources are obtained from the biosphere (living and organic
material), such as forests and animals, and materials that can be obtained from
them.
Fossil fuels such as :- coal and petroleum are also included in this category
because they are formed from decayed organic matter.
 Abiotic- Abiotic resources are those that come from non-living, non-organic
material. Examples of abiotic resources include land, fresh water, air and
heavy metals including ores such as gold, iron, copper, silver, etc.

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 b. On the basis of stage of development :-

Potential Resources – Potential resources are those that exist in a region and
may be used in the future. For example, petroleum occurs with sedimentary
rocks in various regions. But, until the time it is actually drilled out and put into
use, it remains a potential resource.
 Actual Resources – Actual resources are those that have been surveyed, their
quantity and quality determined and are being used in present times. The
development of an actual resource, such as wood processing depends upon the
technology available and the cost involved.
Reserve Resources – The part of an actual resource which can be developed
profitably in the future
Stock Resources – Stock resources are those that have been surveyed but cannot
be used by organisms due to lack of technology. For example: hydrogen.
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 C. Based On Renewability
Renewable Resources – can be replenished naturally. Some of these resources,
like sunlight, air, wind, etc., are continuously available and their quantity is not
noticeably affected by human consumption.
Non-Renewable Resources – either form slowly or do not naturally form in the
environment.
Minerals are the most common resource included in this category.
Natural Resource Management

Is technique which deals about the way of handling or managing those natural
resources around our localities.
Mainly focuses on land, water, soil, plants and animals, with a particular
attention on how management affects the quality of life for both present and
future generations.
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Natural resource management issues are inherently complex as they involve the
ecological cycles, hydrological cycles, climate, animals, plants and geography etc.
All these are dynamic and inter-related.
A change in one of them may have far reaching and/or long term impacts which
may even be irreversible.
Natural resource management also has to manage various stakeholders and their
interests, policies, politics, geographical boundaries, economic implications and the
list goes on.
It is very difficult to satisfy all aspects at the same time.
This results in conflicting situations.

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 Cont...
 The key objectives of NRM include
 Ensuring adequate and sustainable supply and efficient use of natural resources or the
creation of wealth and well-being in society,
 Avoiding the destruction of nature's capacities for reproduction and regeneration of
resources and absorption of residuals;
 Securing the co-existence of society and nature.
 To sustain ecological diversity.
 To offer or provide resources for upcoming generations.
 To maintain basic amenities supply for the people.
 To improve the quality of living of all organisms.
 To maintain the ecological balance for sustainable development.
 To maintain employment facilities for people.
After the United Nations Conference for the Environment and Development (UNCED)
held in Rio de Janeiro in 1992, most nations subscribed to new principles for the
integrated management of land, water, and forests.
…

There are various approaches applied to natural resource management applied by

different countries depending on countries economic capacity, abundantly available
natural resource kind, simplicity to implement and other related factors.
Some of the approaches :-.
1. Community-Based Natural Resource Management (CBNRM):-
Combines conservation objectives with the generation of economic benefits for rural
communities.
The three key assumptions being that: locals are better placed to conserve natural resources,
people will conserve a resource only if benefits exceed the costs of conservation, and people
will conserve a resource that is linked directly to their quality of life.
However, the motives behind the participation are differentiated as either people-centered
(active or participatory results that are truly empowering) or planner-centered (nominal and
results in passive recipients).
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 2. Adaptive Natural Resources Management
This approach includes recognition that adaption occurs through a process of ‘plan-do-
review-act’ style.
The main components in this approach are :-
 Determination of scale

Collection and use of knowledge

Information management

Monitoring and evaluation

Risk management

Community engagement Opportunities for collaboration.

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 3. Integrated Natural Resource Management(INRM)
Is a process of managing natural resources in a systematic way, which includes
multiple aspects of natural resource use (biophysical, socio-political, and
economic) meet production goals of producers and other direct users (e.g.,
food security, profitability, risk aversion) as well as goals of the wider
community (e.g., poverty alleviation, welfare of future generations,
environmental conservation).
It focuses on sustainability and at the same time tries to incorporate all
possible stakeholders from the planning level itself to reduce possible future
conflicts.
INRM is being used extensively and been successful in regional and
community based natural management.

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 4. Precautionary Biodiversity Management

The "threats" on biodiversity include; habitat fragmentation, putting a strain on

the already stretched biological resources; forest deterioration and
deforestation; the invasion of "alien species" and "climate change.
 Policy making is dependent on "evidences", relating to "high standard of
proof", the forbidding of special "activities" and "information and monitoring
requirements".
Before making the policy of precaution, categorical evidence is needed.
When the potential menace of "activities" is regarded as a critical and
"irreversible" endangerment, these "activities" should be forbidden.

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5. Top-down (Command And Control) Community-based Natural Resource Management

The government imposes some polices and laws from the above.
Then, the community is obliged to implement those laws imposed from the
above.

Most of the time, this approach is not advisable. Because, the community does
not participate on initiation and adoption of polices and laws.

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 All the things we use and consume are obtained from natural resources.
 There is scarcity of resource and inequitable distribution
 Due to natural hazards
 Poverty, war, population explosion, industrialization (waste disposal and pollution),
resultant urbanization, energy crisis, over use of agro-chemicals, illegal poaching, habitat
loss or deforestation, erosion, overharvesting, introduction of invasive alien species,
corruption, and the lobby of the rich and over exploitation of the natural resources
increase the demand for natural resources and limit their availability.
The unequal consumption of natural resources.
Advanced countries produce over 75% of global industrial waste and green house gases.

Energy from fossil fuels is consumed in relatively much greater quantities in developed
countries.
Ineffective use of resources can also cause considerable losses to environment and
economics impacts.
 1.2 Global Distribution of Natural Resources
 Distribution, stock and quality of natural resources is uneven at global level

 Natural resources are not evenly distributed all over the world due to variation in

their geographic location and past geologic processes.

 Some places are more endowed than others,

 For instance, some regions have lots of water (and access to the ocean and seas).

 Others have lots of minerals and forestlands.

 Others have metallic rocks, wildlife, fossil fuels, and so on.

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 Con’t
 For instance, The Congo Basin hosts the second_x0002_largest tropical forest in the

world, is home to endemic and biodiverse fauna and flora, and contains rich natural

resources including minerals, oil and timber.

 USA has the world’s largest coal reserves with 491 billion tons.

 Australia is the world’s largest net exporter of coal.

 China remains the largest producer of gold.

 The USA, Russia, and Canada are the leading producers of timber and pulp.

 Many countries have developed their economies by using their natural resources.18
 Con’t
 Brazil and Peru, for example, make a lot of money from The Amazon Forests, which

is super diverse in trees and animals.

 International and local trade has its roots in the fact that resources are not evenly

distributed on the earth’s surface.

 Regions with crude oil can drill oil and sell to regions without oil, and also buy

resources such as timber and precious metals (gold, diamonds, and silver) from

regions that have them in abundance.

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 The uneven distribution is also the root of power and greed in many regions.
 Con’t
 Some countries use their wealth in resources to control and manipulate regions

with fewer resources.

 Countries and regions have even gone to war over the management, ownership,

allocation, use, and protection of natural resources and related ecosystems.

 In general access, or the lack thereof, contributes to a place’s economic

development, political relationships, and culture.

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 1.3 Natural Resources of Ethiopia
Ethiopia, located in the horn of Africa, has long been recognized for its wealth of natural
resources and a country of diverse ethnic, religious and cultural group.
Our country is the homeland for so many natural resources and endowed with rich natural
resource base be it biological, physical or mineral.
Some of the abundant resources in Ethiopia are :-fertile land, water resources , good atmosphere,
Biodiversity, mountains , etc.
In Ethiopia land is the primary means for livelihood generations, main vehicle to invest,
accumulate wealth and transfer it between generations for the most of the poor in developing
Countries.
The total land area of Ethiopia is 999,541 kilometer square. Out of this 66% of the total area is
suitable for agriculture.
However, only 14% is covered by annual and perennial crops. Area coverage by other land uses
includes: high forest (3.6%), bush (8.1%) and range lands (51%).
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 Cont..
There are 10 major soil types that are estimated to cover 75.2 percent of the total area
of Ethiopia.
Up to 400 tons of fertile soil per hectare is lost annually from land with poor vegetation
cover as well as from land where no effective soil conservation measures have been
carried out.
The soil thus lost annually is from the farmlands, which make up 15.3 percent of the
total area.
It is estimated that the amount of soil that the country loses annually due to water and
wind erosion reaches 1.5 billion to 1.9 billion tones.
Ethiopia is endowed with vast energy resources like: biomass, water, fossil fuel,
geothermal, wind and solar energy. 22
 Cont..
Biomass: this energy is the very source of Ethiopian energy. 94% of the Ethiopian energy
consumption is predominately based on biomass energy.
Water: Ethiopia is endowed with substantial water resources.
The country is described as the water tower in east Africa.
The water resources are lakes, different drainage basins, wetlands and rain fall.
Though Ethiopia is not using its water resources efficiently, now a day it is using for
hydroelectric, irrigation, fishing and recreation.
Ethiopia's hydropower potential is estimated up to 45,000 MW and is the 2nd highest in Africa
(only DR. Congo has a higher potential).
From the total energy consumption of the nation, it accounts only 1%.
In Ethiopia more than100 MW of geothermal power have so far been used along the rift valley.
However the total geothermal based electricity generation capacity is estimated to 7000 MW. 23
 Cont..
It receives a solar irradiation of 5000 – 7000 Wh/m².
Ethiopia has good wind resources with velocities ranging from 7 to 9 m/s.
Its wind energy potential is estimated to be 10,000 MW.
Because of its location, Ethiopia experiences overhead sun twice a year which makes the country part
of the tropical region and country of thirteen months of sun shine.
Ethiopia is with in wide range of high and low altitude that makes the country home for different
fauna and flora.
However, some of them are in imminent danger to extinction especially endemic wild animals and
some plant varieties.
The resource base of the country is under threat of heavy degradation with interrelated natural and
man made factors rooted from the increase in human and livestock population coupled with unwise
utilization, deforestation, desertification, loss of biodiversity, soil erosion, soil fertility, loss,
sanitization, environmental pollution, climate change and seasonal variability.
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 Ownership Regimes of Natural Resources
• Natural resource management approaches can be affected by the ownership
and the right of stakeholders who are owners of those natural resources.
• In most case the domestic constitutions of each country determine the owner
of natural resources. E.g. The FDRE constitution under article 40(3) stipulates
that the ownership of all natural resources is exclusively vested in state and
peoples of Ethiopia.
• Specifically regarding land the constitution states that land is the common
property of the nations, nationalities and peoples of Ethiopia and shall not
subject to sale or other means of Exchange.
• Generally Ownerships of resources can be categorized as follows:-

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1. State property Regime
…

Ownership and control over the use of resources is in hands of the state.
 Individuals or groups may be able to make use of the resources, but only at the permission
of the state. National forest, National parks and military reservations are some examples.
2. Private property Regime
 Any property owned by a defined individual or corporate entity.
 Both the benefit and duties to the resources fall to the owner(s). Private land is the most
common example.
3. Common property Regime
 It is a private property of a group. In other word, when a group of individuals own a certain
property.
The group may vary in size, nature and internal structure e.g. indigenous neighbours of
village. Some examples of common property are community forests.

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 4. Non-property Regimes (Open Access)

There is no definite owner of these properties. Each potential user has equal ability to use it
as they wish.
These areas are the most exploited. It is said that "Everybody's property is nobody’s
property". An example is a lake fishery.
It will causes tragedy of the Commons

5. Hybrid Regimes
Many ownership regimes governing natural resources will contain parts of more than one
of the regimes described above, so natural resource managers need to consider the impact
of hybrid regime.

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 1.4.1 Community participation
concepts
 Community have no one definition, three basic types of definition: 1)
communities of place, or people who live in the same location; 2) communities
of practice, or people who do the same thing to make a living (farmers, fishers,
lawyers); and 3) communities of interest, or people who have the same concerns
and desires.
 It is a group of people who share an interest, concerns or identities, a
neighborhood, or a common set of circumstances.

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 Con’t
 Participation implies a process by which people are enabled to become actively and
genuinely involved in defining the issues of concern to them, in making decisions about
factors that affect their lives, in formulating and implementing policies, in planning,
developing and delivering services and in taking action to achieve change.
 It is a process of empowering and transforming individuals and communities by acquiring
skills, knowledge and experience, ultimately leading to greater self-reliance.
Characteristics of participation
The characteristics of effective participatory planning processes are that they:
 have active, informed and equitable participation of all interested stakeholders throughout
the process;
 provide opportunities for the diverse views and opinions of stakeholders to be presented
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 Con’t
 Seek to negotiate between stakeholders to manage conflicts and build consensus;
 Effectively communicate information to stakeholders so that they can understand the
issues, form opinions, and make decisions;

 Recognize the inequities among stakeholders and seek to find approaches that facilitate

the equitable engagement of those with the least power and

 Voice and ensure that the more powerful stakeholders do not dominate or manipulate the

process;

 Adapt the process to respond to emerging needs; and

 Respect the process and the decisions reached. 30

 Con’t
 Community participation is a powerful idea which refers to the process by which: Professionals,

Families, Community groups, Government officials, and other stakeholders get together to work

something out, preferably in a formal or informal partnership.

 Since no government or authority has the means to solve all the public problems adequately, it is

necessary to involve people in matters that affect them.

 However, delegating powers to people is not an easy task and involves great inquiry into the change in

the attitudes of the authorities and professionals.

 Community participation brings many long-lasting benefits (sustainable) to people instead of only a

means of getting things done. 31

 Con’t
It is associated with community power and control as, the redistribution of power.

Community participation is inherently good and brings people together in creating and making decisions about their

environment.

Since people are actively involved in the process, participation helps promote sense of ownership and control among

the community.

Community participation can lead to the social development of the people (empowerment, independence)

The aim of involving people in the community to get the maximum benefit for the whole society.

Studies have documented that, communities that engage their citizens and partners deeply in the work of community

development: raise more resources, achieve more results, and develop in a more holistic and ultimately more

beneficial way.
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 Con’t
 Common elements of sound community participation are: Many people, many centered, open and advertised,

open to all ideas, inclusive and diverse, open mind and open process.

1.4.2 Community participation contributions

Community participation might contribute to:

1. Sharing project costs: participants are asked to contribute money or labor (and occasionally goods) during the

project’s implementation or operational stages.

2. Increasing project efficiency: beneficiary consultation during project planning or beneficiary involvement in

the management of project implementation or operation.

3. Increasing project effectiveness: greater beneficiary involvement to help ensure that the project achieves its
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objectives and that benefits go to the intended groups.
 Con’t
4. Building beneficiary capacity: either through ensuring that participants are actively involved in

project planning and implementation or through formal or informal training and consciousness-

raising activities.

5. Increasing empowerment: seeking to increase the control of the underprivileged sectors of society

over the resources and decisions affecting their lives and their participation in the benefits produced

by the society in which they live.

6. Develop holistic and integrated approaches: untrained people or community members can think

from their own perspectives, making valuable contribution to the formulation of holistic and cross -
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cutting approaches that can meaningfully address the complex issues.
 Con’t
7. Increase democracy: community participation in decision making, planning and action is a human right.

 An increasing number of citizens are disillusioned with government and want to see more participatory

approaches to democracy.

 It is increasingly being argued that new Styles and structured of governance are needed that transcend people

being viewed as passive recipients of services provided by agencies and decided by elected representatives and

enable genuine participation, empowerment and citizenship.

8. Combat exclusion: community development and community organizing often works with specific groups of the

population especially those that are marginalized and disadvantaged.

• By giving these communities a voice, community participation can play an important role in combating social

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exclusion within society.
1.5 Natural Resource Conflicts
When one raises the question of what a conflict is, it is typically defined with a list of
negative words, such as violence, population displacement, hatred and war.
In reality, we live with conflicts in our daily lives, and they are not necessarily negative.
Rather, they are normal, natural and neutral, but the way they are managed matters.
Conflicts are inevitable, violence is not.
Conflicts are the result of human diversity and may have positive consequences as much
as negative.
Conflicts management based on cooperation can lead to social progress and change.
Conflict is generally understood as a social phenomenon which results from the
differences in the social circumstances and/or disparate interests of at least two parties
(individuals, groups, states, etc). 36
Con’t
A conflict is not necessarily violent.
The conflict often occurs during a change. Some want change, while others
oppose it.
If their disagreement or conflict is addressed peacefully, the process can be
positive.
But, when the conflict is not managed properly, it becomes violent.
Conflict is often the result of incompatible needs, goals, or aspirations.
Needs such as: food, shelter, health, safety, freedom and justice might be
threatened or perceived to be threatened.
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Con’t
Conflict is a natural and necessary part of our lives.
Conflict may occur; at home with our families, at work with colleagues or
in negotiations between governments.
Conflict is both the force that can tear relationships apart and the force
that binds them together.
In most cases conflict is as a result of the following: different perception,
different behaviors or attitudes, poor distribution of resources, lack of basic
human needs or their frustration, different interests and ideological
differences based on religion or political parties.
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Con’t
Conflict can build new relationships. Conflict can create coalitions. It serves as
a safety-valve mechanism which helps to sustain relationships.
Conflict helps parties assess each other’s power and can work to redistribute
power in a system of conflict.
Natural resources are embedded in an environment, geographic, geopolitical
and interdependent space where actions by one individual or group may
generate eff ects far beyond specific localities or even national jurisdictions.
This is particularly true of shared trans-boundary resources. For instance
larger Nile basin, which is shared by nine countries, namely Egypt, Ethiopia,
Sudan, Tanzania, Kenya, Uganda, Burundi, Rwanda and the DRC. 39
 Con’t
Due to the loss of Mau Forest cover, unsustainable agricultural expansion and
intensification (including irrigation) and human population growth, socio-cultural and
socioeconomic actors in the Mara River basin increasingly face inadequate access to water.
Apart from the water security vulnerabilities are threats related to loss of virgin forest
cover in the upper parts of the catchment area and along rivers, environmental crimes
related to water pollution, and high levels of water use by industries and urban settlements.
These problems have provided serious environmental security problems, e.g. decreasing
water supplies, competition for and conflicts over the available water, inappropriate and
poorly planned land use, and ineffective water resource management systems in the two
countries (Kenya and Tanzania).
The crosscutting values are sustaining nature and realizing social equity and human rights.
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 CHAPTER TWO: COMMUNITY PARTICIPATION IN NATURAL
RESOURCES MANAGEMENT

Participation in the context of natural resource management can be described as a

process that:
 facilitates dialogue among all actors;
 mobilizes and validates popular knowledge and skills;
 encourages communities and their institutions to manage and control resources;
 seeks to achieve sustainability, economic equity and social justice; and
maintains cultural integrity.

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 2.1. Why Participatory Approaches
 Because it seeks to involve people who will take part in and will be affected by a
project throughout the entire process, from defining the goal to evaluating the
project’s impact.
 It achieve more results, more rapidly, and with greater benefit to the community as a
whole.
Communities with higher rates of citizen participation were:
 much more likely to have citizen control of their governing boards,
 more diverse board membership,
 greater adoption of the “empowerment” approach, and as a result,
 higher levels of success in attracting the resources needed to implement their plans.
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 Features of Participatory and Non-participatory
• Participatory Approaches • Non-participatory Approach

• Participation • Instruction
• Involvement • Observation
• Learning-by-doing • Teachers says
• Bottom-up
• Top-down
• Ownership
• Employment
• Empowerment
• Obedience
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 Con’t
The power of participatory approaches in people’s lives

 Individuals find their highest personal growth

 A true community is not the same as a “group,” which can be any collection
of people, no matter how loose

 Deep acceptance of one another,

 Complete inclusiveness, and

 The self-awareness to have a realistic understanding of the circumstances in

which the community finds itself.
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 Con’t
The participatory approach emphasizes
• self- help,
• the democratic process, and
• local leadership in community revitalization.
 Most community development work involves the participation of the
communities or beneficiaries involved.
 Community participation is an important component of community
development and
 Reflects a grassroots or bottom- up approach to problem solving 45
 Con’t
The major aims of participatory approach are:
 To encourage participation of the community as a whole
 To bring community development
 To identify and articulate their own goals,
 Design their own methods of change, and
 pool their resources in the problem solving process.
Effective community participation may lead to
 social and personal empowerment,
 economic development, and
 sociopolitical transformation. 46
 Con’t
By participating in decision making and implementation activities, local people
help project officials identify:
1. needs
2. strategies to meet those needs, and
3. the necessary resources required to implement the various strategies
Participatory approaches are:
 Bottom up
 People-oriented
 People as agents and beneficiaries of development
 Goals and tools of development.
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 Differences between participatory and conventional approaches:
Participatory:
 Local communities are fully and actively involved
 External support organization is a facilitator of analysis and a catalyst for action
 Information dissemination is by farmer-to-farmer extension and informal
networking
 Flexibility and adaptation to local circumstances pervade any recommended
technologies
 Emphasis on sustainability, equity, and access to improvements; not on short-
term benefits. 48
 Con’t
Conventional:
 Communities may be consulted about their views, but the analysis is done by
professionals
 Donors support, creates new, imposed, externally financed structures with
little linkage to local community or to local government.
 Information is transferred by extension agents through key informants,
demonstration plots, field visits, and the media;
 Adoption criteria include technical efficiency, production maximization, cost-
benefit analysis
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 Characteristics of Participatory Approaches:
a. They integrate community mobilization for planning and action with rural
development, agricultural extension and research
b. They are based on an equal partnership between farmers, researchers and extension
agents who can all learn from each other and contribute their knowledge and skills
c. They aim to strengthen rural people’s problem-solving, planning and management
abilities
d. They promote farmer’s capacity to adapt and develop new and appropriate
technologies/innovations.
e. They encourage smallholder farmers to learn through experimentation.

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 Advantages of participatory approach
 Sees people as subjects (“active agents”)
 Provides a way of solving some of the problems encountered with the other
approaches.
 Poor people’s views are elicited to shape plans and contribute to
developmental strategies.
 Better decision making
 Stronger democracy
 Allows for a timely analysis and intervention
 Cost-effective
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 Sustainable
 2.2. Forms of Community Participation

 There are different forms of participation.

Consultation
 The basic means of giving the community some means of voices, involving it in
decision-making.
 The main rationale is to insure that the project or program introduced by the outside
agency is adapted to meet the needs of community members and to avoid
difficulties in implementation.
 It involves consultation with community representatives and consultation with all
sections of the community.
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 Con’t
Financial contribution by the community
• Cash collection made by and within the community, generally prior to or at the time of
implementation of a project, usually a contribution to capital construction.

Self-help projects by groups of beneficiaries

• In this case a specific group of local inhabitants contribute their labor and other inputs to
its implementation, while there is also the assistance of external agency.

• Those who contribute will recompensed by reduced fees & the services they receive, while
non-members pay more.
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 Con’t
Self-help projects by the whole community
• Projects in which every family in the community is expected to make a contribution.
• Food for work projects may perhaps be included here.

Community specialized workers

• The training and appointment of one or few community members to perform
specialized tasks.
• Some form of community authority is usually also exercised over the specialized
workers.
54
 2.3. Typology of participation
There are different types of participation ranging from the lowest to the highest.
A. Manipulative participation:
• Participation is simply a pretense, with ‘people’s representatives on official boards but who
are unelected and have no power

B. Passive Participation:
• People participate by being told what has been decided or has already happened.
• It involves unilateral announcements by an administration or project management without
any listening to people’s responses.

55
 Con’t

C. Participation by consultation:
 People participate by being consulted or answering questions.
 External agents define problems and information gathering processes, and so control
analysis.
 Such a consultative process does not concede any share in decision-making, and
professionals are under no obligation to take on board people’s views.

D. Participation for material incentives:

People participate by contributing resources, for example labor, in return for food, cash or
other material incentives.

56
 Con’t
E. Functional participation:

 Participation is seen by external agencies as a means to achieve project goals, especially

reduced costs.

 People may participate by forming groups to meet predetermined objectives related to the

project.

 Such involvement may be interactive and involve shared decision-making but tends to arise

only after major decisions have already been made by external agents.

57
 Con’t
F. Interactive participation:
 People participate in joint analysis, development of action plans and formation or
strengthening of local institutions.
 Participation is seen as a right, not just the means to achieve project goals.
 The process involves interdisciplinary methodologies that seek multiple perspectives and
make use of systemic and structured learning processes.
 As groups take control over local decisions and determine how available resources are
used, so they have a stake in maintaining structures and practices.

58
 Con’t
7. Self-mobilization:
 People participate by taking initiatives independently of external institutions to change
systems.
 They develop contacts with external institutions for resources and technical advice they
need, but retain control over how resources are used.
 Self-mobilization can spread if governments and NGOs provide an enabling framework of
support.
 Such self-initiated mobilization may or may not challenge existing distributions of wealth
and power.

59
 2.3 Scope and Levels of participation in natural resource
management

A. Global level: used for a resources that has transboundary nature and which
require global interventions and joint efforts
B. National level: Implementation of natural resource and environment
decisions and legislations is highly dependent on the effectiveness and
efficiency of national environment institutions.
C. Local level: Implementation of natural resources management interventions
should be based on local level solutions and initiatives designed with and by
the local communities.

60
 Levels of participation illustrate the so called “power” and
“powerlessness” of people.
 This include eight level:
Level 1: Manipulation
Level 2: Therapy
Level 3: Informing
Level 4: Consultation
Level 5: Placation (appeasement)
Level 6: Partnership (cooperation)
Level 7: Delegated power
Level 8: Community control

61
Level 1: Manipulation
 Manipulation is done in the name of participation with the
communities being treated as ordinary rubber stamps
(disapproving).
 They may be made members of advisory boards where they do
not take part in actual decision making, where most decisions are
predetermined.

 In this step, the power holders manage and handle the issues of the
community.
 At meetings of the community, the officials educate, convince, and advise
the citizens, not the reverse.

62
Level 2: Therapy
 This step is amongst the lowest in participation, with external
experts subjecting members of the local community to ‘therapy’ or
threat in which wanted or unwanted ‘expertise’ is passed on to
them.
 ‘The outsiders/power holders treat or make decisions about the
community without the real participation of the community.
 In some respects, group therapy, masked as citizen participation.

63
Level 3: Informing
 Local communities are informed their rights,
responsibilities and options that may be available.
 Though this is seen as the first step in people’s
participation, there could be only one-way flow of
information.

64
Level 4: Consultation
 Consulting the citizen in the decision making or planning
process.
 This is, just like informing, a valid step towards full
participation.
 Just by consulting the public, there is no guarantee that “citizen
concerns and ideas will be taken into account”.
 Means of consultation are attitude surveys, group meetings,
contacts and informal interview.

65
Level 5: Placation (appeasement)
 Some influential members of the community may be included in the
decision making process or made members of committee for
supervising the interventions.
 Though this stage is at a higher step of participation than the previous
ones, the members are not accountable to other members of the
participating community.
 For placation, the informing and consultation” are of course very
important.
 The citizens get to advise and even to plan a great deal but it is the
power holder that makes the decision.
 Thus, the needs and aspirations of downtrodden (unfairly treated
group) and marginalized classes may not be adequately taken care of.

66
Level 6: Partnership (cooperation)
 Participation actually begins at this step with power being
transferred to the participating community.
 The people become partners in planning and decision making
through appropriate forums.
 The participating community has a major say in natural resource
management and associated interventions.
 Planning and decision-making tasks are carried out through bodies
like joint policy boards, planning committees and other
mechanisms that might enforce such a partnership.

67
Level 7: Delegated power
 The decision-making power being transferred delegated to a
community level organization, comprised primarily of members of
the community.
 The people take all decisions concerning them with agencies
external to the rural environmental playing the role of a facilitator.
 The local level institutions also implement, monitor and evaluate
the programmes.

68
Level 8: Community (citizen) control
 The community or people assume full control with no
intermediaries in between.
 The available funds flow to them and they implement the
interventions.
 This is the highest form of authority that citizens may achieve.
 This level of participation again requires citizens that are very
willing to engage themselves and spend much time and efforts in
such activities.

69
In general, when we consider grade of participation:
 Manipulation and therapy are non-participation
 Informing, consultation and placation are apparent or
tokenism (seeming) participation
 Partnership, delegation and community control are actual
participation (citizen power)

70
Eight steps on the ladder/Levels of citizen participation 71
 2.4 Participatory Natural Resources Management Projects

A project is a complex effort to achieve a specific objective.

 Project have a deadline,
 Approved budget
 Have a beginning and an end
 Have an output etc.,
 PNRM Projects represent the commitment of human and physical resources to
produce specific outputs in a given time and budget framework
 Vary in scale, purpose and duration.
 Projects may stand-alone or be integrated into a program. 72
 Con’t
 Program: - is set of goals, policies, procedures, rules, job assignments,
resources to be employed, and other elements necessary to carry out a given
course of action.
 Is set of activities used to accomplish objectives or used to solve some problems.
 Project: is specific action plan formulated to complete various aspects of a
program which can be distinctly identified as a clear-cut grouping of
activities with definite objectives and completion time.

73
 Con’t
 Projects can be broken down into stages/phases (or cycle),
 Each lasting from one to three years depending on the situation and type of intervention.
 Each phase has its own objective and strategy.
There are six stages in PNRM. These are:
1. Identification
2. Design/Formulation
3. Appraisal
4. Proposal preparation, approval and financing
5. Implementation and monitoring
6. Evaluation
74
 1. Project Identification=the 1st stage
 The idea and needs of the project is part of this stage
 the field and framework of intervention should first be identified
 certain prerequisites checked and an institutional green light obtained
Done by means of an exploratory or fact-finding mission at
 the intended site of intervention,
 conducted by personnel or in some cases by a person from outside.
 no binding rules with regard to the choice of person for such a mission
 Terms of reference should be shared and discussed with stakeholders.

75
 Con’t
Project identification includes:
 Initial Review
a. Impetus for change
b. Nature of the problem
c. Stakeholder analysis
Who are the stakeholders?
 What do they have at stake?
 Are there gender-linked differences among and between stakeholder groups?
 What are they willing to invest in change?
 What benefits are they likely to realize?
d. Manner in which to proceed 76
 Con’t
Situational Analysis
 provides a detailed review of the context in which stakeholders operate.
 The analysis is conducted at two levels:
 Development context provides an overview of how a community operates,
in terms of resource base, social and institutional structures, and changes
over time
 Livelihoods analysis provides a more detailed examination of how members
of the community make their living, with regard to their use of resources, use
of time, and generation of benefits.
77
 Con’t
Information can be collected in a participatory manner,
 In a style that is responsive to the community’s interests, and
 Through a process that enables all voices in the community to be heard.
Conducting a situational analysis also offers;
 flexibility
 receptiveness to new and unexpected ideas
 two-way flow of communication
 process for empowering people in the community
 information validation during the collection process

78
 Con’t
Socio-economic and Gender Analysis
• Adopts a systematic approach to identifying and examining impacts of development on
different members of the community.
Principal questions addressed include:
≈ Who does what work?
≈ Who has access to, and who has control of, resources?
≈ Who has access to, and who has control of, benefits?
≈ Who participates in decision making?
Identification of Potential Projects
 Review of findings
 Stakeholders’ priorities for development
79
 Project Design=the 2nd stage
 Develops the initial project ideas from Stage I into more detailed proposals.
 Project operation is demonstrated through the preparation of work plans and
personnel schedules.
 The output or end result of the formulation/planning phase should be a
preliminary project design, project plan and project document
 Decisions made at planning stage determine almost entirely the quality and
cost of the project, and therefore the ultimate success of a project.
 Consists of time activities, normally called the ‘work breakdown structure’.

80
 3. Project Appraisal= 3rd stage
 Aimed to identify and design projects that have a clear foundation for success.
 Used for whether to proceed to writing a proposal and seeking funding.
 Represents an opportunity to improve project design prior to implementation.
 Examines the information gathered during the course of the preceding steps.
Project Appraisal Criteria
Technical Social and gender Political
Financial Institutional Sustainability
Economic Environmental Risk

81
 4. Proposal preparation, approval and financing=4th stage
 This stage includes; finalizing proposal, approval and funding
 Three fundamental questions are addressed in a project proposal, approval and financing:
a. What is the project about?
 the context, process, nature, identification and design, beneficiaries of the project etc
b. How will be it operationalized?
 implementing agency: goal, structure, staffing, previous experience, financial management
system, work plan, duration, personnel, other resource requirements
a. How much will it cost? How will it be financed?
 financial viability
 duration of project
 exposure to risk
82
 sustainability of benefits beyond the life of the project
 5. Implementation and monitoring= 5th stage
 Implementation is the execution of activities (or tasks) as set out in the operational plan.
Implementation steps:
a) Work breakdown structure
b) The scheduling framework
c) Financial administration
d) Reporting
Monitoring is the standardized measurement and observation of the project
 allows continuing the strategic thinking undertaken at the planning stage and guarantees
that the project “stays on track”
 allows regular assessment of work progress (action/activities) and use of resources (human,
material, financial)
83
 6. Evaluation
 Evaluation is an assessment, as systematic and objective as possible, of the design,
implementation and results (outputs), of an ongoing or completed project, program or
policy.
 all the facts related to a specific situation are considered after which conclusions are
drawn and a judgment is made.
 Subsequently, recommendations can be made for the future.
 recommendations should be founded on a thorough analysis that explains the project’s
level of performance.
 The assessment should be transparent, systematic and objective, or in other words, it
should be repeatable.
84
 Con’t
Gender analysis involves the assessment of:
 The distribution of tasks, activities, and rewards associated with the division
of labor at a particular locality or across a region;
 The relative positions of women and men in terms of representation and
influence; and
 The benefits and disincentives associated with the allocation of tasks to
women and men.

85
 2.5. Challenges in Implementing Participatory Approaches
 It does not automatically lead to consensus
 People and public authorities can be cynical about the value of participation
 People may only participate if they think their interests are threatened
 Unrealistic expectations of what can be achieved
 It may slow down the decision
 It costs money, and we don’t have any
 Level of citizen organization
 Participatory Skills
 Political will
 Insufficient financial resources at the local level. 86
 2.6. Commonly Used Participatory Approaches
 Over the years, a large number of participatory approaches have been developed to meet the
needs of different disciplines, settings and objectives.
Five approaches deemed useful in ensuring environmental sustainability are presented:
1. Rapid Rural Appraisal(RRA)

2. Participatory Rural Appraisal(PRA)

3. Participatory Poverty Assessments(PPA)

4. Participatory Action Research(PAR)

5. Appreciative Inquiry(PI)

87
 1. Rapid Rural Appraisal(RRA)
 RRA is a qualitative survey methodology in which a multidisciplinary team
is used to formulate problems for agricultural research and development.
 Emerged in the 1970s as a more efficient and cost-effective way for
outsiders to learn about communities, and particularly about agricultural
systems
 Consists of a series of techniques for “quick and dirty” research undertaken.

88
 Con’t
Theoretical Background and Guiding Principles
RRA is guided by a refined set of principles that require knowledge and skill to apply:
 Optimizing trade-offs – researchers are expected to carefully balance the
quantity, relevance, accuracy and timeliness of the information acquired, as well as
optimize actual use of the data collected.
 Triangulation –researcher use more than one technique/source of information to
cross-check answers and undertakes research
 Learning rapidly and progressively- RRA should be conducted in a relaxed
manner that emphasizes creativity, curiosity, and conscious exploration
 Learning from and with local people : this means learning directly, on-site, and
face-to-face, gaining from indigenous physical, technical and social knowledge.
89
 Con’t
Techniques for Rapid Rural Appraisal: The following series of activities are used
technically
1. Selection of a multi-disciplinary research team
2. Training of research team members
3. Development of a checklist of issues to serve as the basis for questions;
4. Random selection of interviewees from various households/farmers and key
informants;
5. Recording data
6. Discussing and analyzing data with team members
7. Rapid report writing in the field
90
 Con’t
Researchers may select from a variety of tools including:
 Review of secondary sources, such as aerial photos;
 Direct observation, foot transects, familiarization, participation in activities;
 Interviews with key informants, group interviews, workshops;
 Mapping, diagramming, brief aerial observation;
 Biographies, local histories, case studies;
 Ranking and scoring,
 Time lines; and
 Short simple questionnaires, towards the end of the process.

91
 Advantages and disadvantages of RRA

Advantages
• RRA provides researchers with a quick,
efficient and cost-effective approach for
quantitative and qualitative data
collection, analysis and interpretation
• Allows researchers to: use a variety of tools
and techniques to understand a common
issue; integrate different disciplines within
the same team; and draw information from
a range of people representing different
segments of a population.
Disadvantages
• an extractive, externally-driven process.
• The information collected is retained,
assessed and used by the outsiders
rather than by the individuals and
communities involved in the research.
• Participation” is restricted to provision
of information to the researcher by the
community.
92
 2. Participatory Rural Appraisal
 PRA has been defined as a family of approaches, methods and tools designed to
enable local people to formulate and analyze their situation in order to plan, act,
monitor and evaluate their actions.
 Emerged in the 1980s and involves the direct participation of community members
in rural planning using different techniques such as diagrams and maps.
 PRA builds on Rapid Rural Appraisal, but moves much further towards a more
holistic approach to participatory development, adding some more radical, activist
perspectives.

93
 Con’t
 The underlying concept is that local people are capable of analyzing their own
realities and that the outsiders
 “do not dominate and lecture;
© they facilitate,
© sit down, listen and learn;
 they do not transfer technology;
© they share methods which local people can use for their own appraisal,
analysis, planning action and evaluation.
 In other words, external experts are “mere” facilitators of the development
process.
94
 Theoretical Background and Guiding Principles
The following principles guide the implementation of PRA
 Capacity building: by empowering the local community.
 Utilization of results: collected data is useless unless it is utilized.
 Short-cut methods: short-cut methods may yield reliable and relevant information
under time and financial constraints.
 Multiple methods: inclusion of different perspectives and various methods can
help ensure that the collected information is complete and reliable.
 The expertise of the non-expert: – usually local people are more knowledgeable
about their environment than the external experts.

95
 Con’t
 PRA’s fundamental focus  knowledge is power, and shared with and owned by
local people.
 The validity of local knowledge is reinforced and the monopoly on information
being held by outsiders is broken.
 The PRA process transforms researchers into learners and listeners, respecting local
intellectual and analytical capabilities.
 A properly implemented PRA gives enhanced attention to the inclusion of
marginal and vulnerable groups: women, children, aged and destitute and
ensuring their effective participation in development planning and
implementation.
96
 Techniques for Participatory Rural Appraisal
A sample of the methods that can be used when conducting a PRA, divided into four
classes of activities:
1. Group and team dynamics methods
2. Sampling methods
3. Interviewing and dialogue methods
4. Visualization and diagramming methods
The researcher can use techniques that:
 Have specific and positive impacts
 Optimize cost and time
 Emphasize teamwork,
97
 Are systematic, to help ensure validity and reliability
 Advantages and disadvantages of PRA

Advantages
• flexible and highly responsive to
individual difference, situational changes
and emerging information.
• mapping and calendars, are effective in
encouraging participation by quieter
individuals, members of minority groups
(e.g., women), and those unable to read.
• enable researchers to collect a large
amount of information in a relatively
short period of time
Disadvantages
• The primary challenge of PRA is that the
approach alone does not provide
communities with decision-making authority
or input into project management.
• be used in manner that is externally driven,
• is formulaic and not responsive to or
respectful of the specific context
• raises expectations that something will be
done to address a problem etc.,
98
 3. Participatory Poverty Assessment
 PPA is an iterative participatory research process that seeks to understand poverty
from the perspective of a range of stakeholders, especially the poor.
PPA is viewed as a means to:
 Enhance conceptualization and understanding: of the multi-dimensional nature of
poverty and its causes.
 Improve participation: providing for wider ownership and for a broader cross-
section of society (and particularly the poor)
 Enhance policy effectiveness: The effectiveness of poverty reduction policies are
more likely to be enhanced
 Increased local capacity: as the process enables previously disenfranchised people
99
to directly engage in analysis and monitoring of poverty and policy impacts.
 Con’t
The design of a Participatory Poverty Appraisal may include:
1. Select technical assistance.
2. Identify implementation partners.
3. Identify objectives and the research agenda.
4. Identify members for the field team.
5. Identify sources of financial support.
6. Select field research sites and participants.
7. Develop a methodology for research, synthesis and analysis.

100
 Con’t
Implementation of the PPA can be undertaken through a number of different activities,
including:
 Gathering of existing secondary information for context, background and triangulation of

findings;
 A review of existing analysis and research carried out in poor communities using

participatory approaches;
 Field research in poor communities involving travelling research teams engaged in
participatory research at the community level.
 Policy analysis using inputs from PPA and other sources of information and analysis to
influence policy development;
 Training of NGOs, research institutes, central/local level government staff in methods and
101
 4. Participatory Action Research
 PAR involves bringing people from various social and political contexts and
backgrounds to identify, investigate and take appropriate action on conditions that
affect them as community members.
 PAR is a continuous cycle in which insiders and outsiders together decide what
needs to be researched, design the research to be undertaken (what will be
measured and how) and collect the necessary information.
 This information is then put into practical applications or used to identify new
research ideas.
 PAR seeks to alter the traditional top-down approach to research by collaboratively
engaging.
102
 Con’t
Theoretical Background and Guiding Principles
PAR is distinguished from all other modes of action research by its adherence to four
principles:
a. empowerment of participants
b. collaboration through participation
c. acquisition of knowledge
d. social change
 The approach involves creating critical consciousness and giving participants the
skills needed to become “self-sufficient learners”.
 Its primary objective is to empower disenfranchised populations through
103
 Con’t
The approach is based on at least two theoretical assumptions:
1. The social construction or relativistic nature of reality; and
2. The accumulation of power by those who control the mechanisms of knowledge
creation
 PAR observes that elite groups disproportionately control the mechanisms of
knowledge development, and often use this power (knowledge) to exploit or
oppress certain groups.
 PAR aims to give disenfranchised groups the ability to generate knowledge and
power through research activities.

104
 Con’t
PAR thus seeks to simultaneously:
a. address the practical concerns of people by solving an immediate problem &
b. be a tool for education and the development of a critical analysis of social and
economic conditions.
Techniques
1. Planning
2. Acting
3. Observing
4. Reflecting

105
 5. Appreciative Inquiry
 AI turns the problem-solving approach on its head by focusing on a community’s
achievements instead of its deficits.
 AI has been successfully adapted as an approach to community development.
AI lets practitioners move beyond traditional problem-centered methods;
 like participatory problem and needs assessment,
 to identify and build on past achievements and existing strengths within a
community,
 establish consensus around a shared vision of the future, and
 construct strategies and partnerships to achieve that vision.
AI belief that the past successes of individuals, communities, and organizations
106
 Con’t
Appreciative Inquiry (AI) is:
 A positive, strength-based approach to change
 Finding the best in people and the world around them
 Co-creating inspiring future images
 Focusing on what we want more of
 Finding and unleashing the positive core
 AI is an approach to organizational and social change that identifies peak
moments within a community and reinforces the conditions that make past
achievements possible.
AI has been described as: the cooperative co-evolutionary search for the best in
107
people, their organizations, and the world around them.
 Con’t
 It involves the discovery of what gives life to a living system when it is most
effective, alive, and constructively capable in economic, ecological and human
terms.
 AI involves the art and practice of asking questions that strengthen a system’s
capacity to apprehend, anticipate, and heighten positive potential.
 AI interventions focus on the speed of imagination and innovation-instead of the
negative, critical, and spiraling diagnoses commonly used in organizations.
 The discovery, dream, design, and destiny model links the energy of the positive
core to changes never thought possible.

108
 Theoretical Background and Guiding Principles
The application of six principles helps to explain the power behind the appreciative approach:

1.The Constructionist Principle 2. The Principle of Simultaneity

• Reality and identity are co-created • We live in the world our questions
• Truth is local. There is no absolute create
truth • Change begins the moment we
• We see things as we are question
• We are deeply interconnected • The unconditional positive question is
• Words Create Worlds. Reality is transformational
constructed through language • Develop your sense of wonder 109
 Con’t

3. The Poetic Principle: 4. The Anticipatory Principle:

• Life experience is rich • Positive images create positive futures

• We have habits of seeing • Vision is fateful

• Whatever we focus on, grows • Create vision before decisions

• Find what we want more of, not • What we believe, we conceive
less of • Big change begins small
• Develop an appreciative eye

110
 Con’t

5. The Positive Principle: 6. The Principle of Wholeness:

 Wholeness provides more expansive
 Positive emotions broaden thinking
thinking than reductionism
and build
 Learn to be present to the emerging
 The positive core expands as it is
whole
affirmed and appreciated
 Identify and leverage strengths

111
 Techniques

The basic process of Appreciative Inquiry is to begin with:

 A grounded observation of the “best of what is,”
 Then through vision and logic collaboratively articulate “what might be,”
 ensuring the consent of those in the system to “what should be” and
 collectively experimenting with “what can be.”
 An appreciative inquiry usually proceeds through four stages: discovery, dream,
design and delivery.

112
Con’t

113
2.7 Participatory Monitoring and Evaluation
 Monitoring is the routine assessment of ongoing activities and
progress.
 It is the systematic and continuous assessment of the progress of a
piece of work over time.
 It is a basic and universal management tool for identifying
strengths and weaknesses in a programme.
 Its purpose is to help all the people involved make appropriate and
timely decisions that will improve the quality of the work.
 Monitoring is an on-going activity during the life of the project.

114
 Evaluation determines how successful the project
has been in meeting its objectives, as well as in
assessing the impact of project activities on
desired outcomes, like knowledge or behavior.
 Evaluation is the comparison of actual project
impacts against the agreed strategic plans.
 It looks at what you set out to do, at what you
have accomplished, and how you accomplished it.
 It can be formative (taking place during the life of
a project or organization, with the intention of
improving the strategy or way of functioning of
the project or organization).

115
 It can also be summative (drawing learning’s from
a completed project or an organization that is no
longer functioning).
 Evaluation focuses on measuring whether
planned outcomes and impacts have been
realized.
 Therefore, it is necessary to first evaluate the
process then the output/outcomes and finally the
impact.

116
 Participatory monitoring is monitoring which involves the
community in monitoring their programme activities.

 Participatory evaluation advocates for involvement and

participation of community members and other stakeholders in
the design and execution of the evaluation process.

 Participatory monitoring and evaluation significantly differs from

conventional monitoring & evaluation in that the community,
beneficiaries and people involved in designing and implementing
the project, are involved in monitoring and evaluation throughout
the project’s duration.

117
 In the monitoring process, in consultation and collaboration
with donors, the community and beneficiaries together with
implementers decide what will be monitored and how the
monitoring will be carried out.
 They together analyze the information gathered through
monitoring and assess whether the project is on track in
achieving its objectives.
 Participatory monitoring enables project participants
themselves to generate, analyze and use information for their
day-to-day decision-making as well as long term planning.

118
 In participatory evaluation, just as in participatory monitoring,
the beneficiary community and other stakeholders together
decide how to conduct the evaluation – its timing, scope,
methodology etc.

 The group also determines what they would like to find out
through evaluation;

 They help formulate the questions to be asked;

 They participate in collecting and analyzing data, and presenting
the findings.

119
 If a project follows a participatory approach from
the beginning, it is easy to carry out a
participatory evaluation at the end.
 If there is willingness and resources to actually do
participatory monitoring and evaluation, it would
be beneficial because one is using local people
who are in the field, doing the actual work, and
they have a stake in the outcomes.
 Participatory monitoring and evaluation enables
them to shape the actual program and be involved
in its evolution.

120
 This gives staff and volunteers a feeling that the
project is not simply imposed on them, but is
participatory with a joint decision making
process.
 What monitoring and evaluation have in common
is that they are geared towards learning from
what you are doing and how you are doing it, by
focusing on:
Efficiency
Effectiveness
Impact

121
 Efficiency tells you that the input into the work is
appropriate in terms of the output.
This could be input in terms of money, time, staff,
equipment and so on.
 Effectiveness is a measure of the extent to which
a development programmes or project achieves
the specific objectives it set.
 Impact tells you whether or not what you did
made a difference to the problem situation you
were trying to address.
In other words, was your strategy useful.

122
 Features implied within Participatory
Monitoring and Evaluation
 Participatory:
Shared learning
Joint decision-making
Co-ownership
Democratic process
Mutual respect
Empowerment
Enhanced mutual understanding

123
Monitoring:
Knowing where we are
Observing, recording change
Regular, timely assessment
Increased, jointly shared accountability
Routine reflection
Feedback

124
 Evaluation:
Reflection process on what has occurred
Assessment of achievements
Impacts over a longer period
Learning from experience
Valuing change
 Overall, participatory monitoring and evaluation
should serve to increase the analytical capacities
of community members, and empower them to
question, and become pro-active in development
initiatives.

125
 Monitoring involves:
Establishing indicators of efficiency,
effectiveness and impact;
Setting up systems to collect information
relating to these indicators;
Collecting and recording the information;
Analyzing the information;
Using the information to inform day-to-day
management,
Monitoring is an internal function in any
project or organization.

126
Evaluation involves:
Looking at what the project or organization
intended to achieve.
– what difference did it want to make?
– what impact did it want to make?
Assessing its progress towards what it wanted to
achieve, its impact targets.
Looking at the strategy of the project or
organization.
– Did it have a strategy?
– Was it effective in following its strategy?
– Did the strategy work? If not, why not?

127
Looking at how it worked.
₋ Was there an efficient use of resources?
₋ What were the opportunity costs of the way it
chose to work?
₋ How sustainable is the way in which the project
or organization works?
₋ What are the implications for the various
stakeholders in the way the organization
works?

128
There are many different ways of doing an
evaluation.
 Some of the more common are:
Self-evaluation
Interactive evaluation
Rapid Participatory Appraisal
External evaluation
Participatory evaluation

129
 Participation
3.1 Concepts of Good Governance in Natural Resources
Concise Oxford Dictionary defines governance as
 “the act or manner of governing; the office or function of governing”. To govern is
‘to rule or control with authority’
 The process of decision-making and by which decisions are implemented (or not
implemented).
Governance comprises the institutions, processes and conventions in a society,
which determine;
 how power is exercised,
 how important decisions affecting society are made and
 how various interests are accorded a place in such decisions.
130
 Con’t

 In governance, citizens and groups articulate their interests, exercise their

legal rights, meet their obligations and mediate their differences.

 It is a continuing process through which conflicting or diverse interests may be

accommodated and a co-operative action may be taken.

 It includes formal institutions and regimes empowered to enforce agreement as

well as informal arrangements that people and institutions either have agreed to
or perceive to be in their interests.

131
 Con’t
It denotes the use of political authority and exercise of control in a society in relation
to the management of its resources for social and economic development.

 encompasses the role of public authorities in establishing the environment in

which economic operators function and

 in determining the distribution of benefits as well as the relationship between

the ruler and the ruled.

Governance in the sense of self-organization can be found at three different levels –

interpersonal, inter-organizational, and inter-systemic.

132
 3.2 Government vs. governance

Government: the office, authority or function of governing.

Governing: having control or rule over oneself.
Governance: the activity of governing.
 Government, is the institutional design and structure that operationalizes
governance principles.
 Good government is ultimately the accurate articulation of its community’s voice
(or a reflection of its many voices) concerning power, relationships, responsibility,
and accountability.
 Governance is simply what the government does.
 Governance may be bad or good
133
 Good governance
 Good governance is, among other things, participatory, transparent and
accountable.

 It is also effective and equitable. And it promotes the rule of law.

 Good governance ensures that political, social and economic priorities are
based on broad consensus in society and that the voices of the poorest and
the most vulnerable are heard in decision-making over the allocation of
development resources.

 Governance has three legs: economic, political and administrative.

134
 Con’t

I. Economic governance includes decision-making processes that affect a

country's economic activities and its relationships with other economies. It clearly
has major implications for equity, poverty and quality of life.
II. Political governance is the process of decision-making to formulate policy.
III. Administrative governance is the system of policy implementation.
Encompassing all three, good governance defines the processes and structures
that guide political and socio-economic relationships.

135
 Good governance has 8 major characteristics.

Participation: entails taking part in decision making and implementation either

directly or through legitimate representatives

 Includes both men and women

 It is important to point out that representative democracy does not necessarily

mean that the concerns of the most vulnerable in society would be taken into
consideration in decision making.

 Participation needs to be informed and organized.

 This means freedom of association and expression on the one hand and an
organized civil society on the other hand.
136
 Rule of law

 Implies equal treatment both in protection and punishment under the law for
everyone in the same way, all the time.
 It also requires full protection of human rights, particularly those of minorities.
 Impartial enforcement of laws requires an independent judiciary and an impartial
and incorruptible police force.
Transparency
 Transparency means that decisions taken and their enforcement are done in a
manner that follows rules and regulations.
 It also means that information is freely available and directly accessible to those
who will be affected by such decisions and their enforcement.

137
Responsiveness

 Good governance requires that institutions and processes try to serve all
stakeholders within a reasonable timeframe.

Consensus oriented

 mediation of the different interests in society to reach a broad consensus in society

on what is in the best interest of the whole community and how this can be
achieved.

 It also requires a broad and long-term perspective on what is needed for

sustainable human development and how to achieve the goals of such
development. 138
Equity and inclusiveness
 A society’s wellbeing depends on ensuring that all its members feel that they have
a stake in it and do not feel excluded from the mainstream of society.
 This requires all groups, but particularly the most vulnerable, have opportunities to
improve or maintain their wellbeing.
Effectiveness and efficiency
 processes and institutions produce results that meet the needs of society while
making the best use of resources at their disposal.
 The concept of efficiency in the context of good governance also covers the
sustainable use of natural resources and the protection of the environment.

139
Accountability
 The requirement to accept responsibility and answer for actions
 governmental institutions, the private sector and civil society organizations
must be accountable to the public and to their institutional stakeholders.
 Who is accountable to whom varies depending on whether decisions or actions
taken are internal or external to an organization or institution.
 In general, an organization or an institution is accountable to those who will be
affected by its decisions or actions.
 Accountability cannot be enforced without transparency and the rule of law

140
141
 3.3 Governance & sustainable human development:

what is sustainable human development?

 Human development as expanding the choices for all people in society.
 This means that men and women-particularly the poor and vulnerable - are at
the center of the development process.
 It also means "protection of the life opportunities of future
generations...and...the natural systems on which all life depends“
 This makes the central purpose of development the creation of an enabling
environment in which all can enjoy long, healthy and creative lives.

142
 Cont...

 Economic growth is a means to sustainable human development - not an end in

itself.
 economic growth does not automatically lead to sustainable human
development and the elimination of poverty.
There are five aspects to sustainable human development-all affecting the lives of the
poor and vulnerable:
Empowerment - The expansion of men and women's capabilities and choices
increases their ability to exercise those choices free of hunger, want and deprivation.
Co-operation - With a sense of belonging important for personal fulfillment,
wellbeing and a sense of purpose

143
 Cont..

 Equity - The expansion of capabilities and opportunities means more than income
 it also means equity, such as an educational system to which everybody should have
access
 Sustainability - The needs of this generation must be met without compromising
the right of future generations to be free of poverty and deprivation and to exercise
their basic capabilities.
 Security - Particularly the security of livelihood. People need to be freed from
threats, such as disease or repression and from sudden harmful disruptions in their
lives

144
 Cont...

UNDP focuses on four critical elements of sustainable human development:

 eliminating poverty
 creating jobs and sustaining livelihoods,
 protecting and regenerating the environment
 promoting the advancement of women.
Developing the capacities for good governance underpins all these objectives.

145
 3.4 The Concept of Natural Resource Governance

 NRG is defined as the rules and regulations that determine (or govern) natural
resource use and the way these rules and regulations are developed and enforced.
 Natural Resource Governance refers to the processes of decision making involved in
the control and management of environment and natural resources.
 It is about relationships & who has the power and responsibility to make and
implement decisions.
 Improving management, reducing threats, and meeting conservation
objectives over the long term requires good governance

146
 Con’t
The initial scale and scope of natural resources governance depend on factors
such as
 the natural resources involved,
 the legal framework for participation and
 the willingness of key stakeholders to participate.
 Effective NRG requires democratic and mutually supportive central and local
governance institutions.
PNRG needs decentralization;
 Involves the transfer of powers from the central government to lower level actors
and institutions and
 Democracy 147
 How Does NR Governance Differ from NRM?

 NRG is the processes of decision making involved in the control and management
of environment and natural resources.
while
 NRM is the implementation of rules and regulations defined by a governance body
or group.
 NR “governors” are those individuals or groups that establish, and are accountable
for, the implementation of NR access and use policies and norms (institutions).
 And “managers” are those individuals or groups that are responsible for executing
the policies, rules, and regulations (institutions) established by the “governors.”

148
 Con’t

Three Core Attributes for Effective NR Governance: authority,

capacity, and power.

Authority: is the perception of natural resource users and rights holders

that a governance group genuinely represents their interests and has legal
or customary jurisdiction to govern “their” natural resources.

 If a governance group lacks authority to govern (i.e., people do not trust

them to represent and protect their interests), it will fail to be effective
over the long term.

149
 Con’t

Capacity: the ability of a person or organization to participate

effectively in the process in which they are engaged.

 If a governance group has insufficient capacity to govern (i.e.,

decide what to do and implement those decisions), then,

 even if it is perceived to be legitimate in the eyes of key

resource users and rights holders,

 It is unlikely to be able to govern access to and use of NRs.

150
 Con’t

Power: a right or authority given or delegated to a person or body.

 When a governance group is perceived as being the legitimate

authority, and

 even when it has the capacity to plan and to act,

 if it does not have the political, economic, or policing power to exert its
authority, it will be unable to govern effectively.

 Aspects of authority (i.e., legitimacy) and capacity (i.e., financial

resources or technical capacity) may influence how much power a group
possesses.
151
Con’t

152
 3.5 Principles of Natural Resources
Governance
1. Legitimacy
 Legitimacy is the acceptance and justification of shared rule by a
community
Legitimacy refers to:
 The validity of an organization’s authority to govern that may be
conferred by democratic statute or earned through the acceptance
by stakeholders of an organization’s authority to govern
 Power has been devolved to the lowest level at which it can be
effectively exercised;
 The integrity with which this authority is exercised.
153
 Con’t

2. Transparency
Transparency refers to:
 the visibility of decision-making processes;
 the clarity with which the reasoning behind decisions is
communicated
 the ready availability of relevant information about governance
and performance in an organization.
 All decisions about natural resources management priorities and
investments should be accessible to stakeholders.
 Transparency is required in who has made a decision; the means
by which it has been reached and its justification. 154
 Con’t
3. Accountability
Accountability refers to
 the allocation and acceptance of responsibility for decisions and
actions and
 the demonstration of whether and how these responsibilities
have been met.
 Accountability is an issue for governance in contexts where the
effectiveness of decision-making processes is essential for their
authority and credibility.

155
 Con’t

4. Inclusiveness
 Inclusiveness refers to opportunities available for stakeholders to
participate in and influence decision-making processes and
actions.
 Governance is regarded as inclusive when all those with a stake in
governance processes can engage with them on a basis equal to
that provided to all other stakeholders.
 Inclusiveness also implies that governing natural resources
management bodies actively and effectively engage their key
stakeholders through targeted participation processes, and by
maintaining ongoing dialogue with them. 156
 Con’t
5. Fairness
Fairness refers to:
 the respect and attention given to stakeholders’ views;
 consistency and absence of personal bias in decision making; and
 the consideration given to distribution of costs and benefits of
decisions.
 To assist fairness, governing natural resources management
bodies can employ a range of participation mechanisms
appropriate to stakeholders’ specific cultural and communication
preferences.
 Treating stakeholders with respect and supporting their dignity is
157
both a moral obligation and fosters acceptance of outcomes.
 Con’t

6. Integration
Integration refers to
 the connection between, and coordination across, different governance levels;
 the connection between, and coordination across, organizations at the same level
of governance; and
 the alignment of priorities, plans and activities across governance organizations.

158
 Con’t
7. Capability
 Capability refers to the systems, plans, resources, skills, leadership, knowledge
and experiences that enable organizations, and the individuals who direct,
manage and work for them, to effectively deliver on their responsibilities.
Effective implementation is influenced by
 executive skills and leadership;
 skills and competence of staff (technical, financial and management);
 availability of training;
 knowledge;
 organizational maturity;
 funding availability and continuity; and succession planning.
159
 Con’t

8. Adaptability
Adaptability refers to:
 the incorporation of new knowledge and learning into decision-making
and implementation;
 anticipation and management of threats, opportunities and associated
risks; and
 systematic reflection on individual, organizational and system
performance.
 Adaptability demands that a governing body is able to rearrange its
internal processes and procedures in response to changing internal or
160
 Chapter 4. COMPETITION AND CONFLICTS OVER NATURAL RESOURCES

• Resource scarcity” describes a situation where the supply of resources such as

water, forests, rangelands and croplands is not sufficient to meet the demand.
• Increasing scarcity of natural resources needed to sustain livelihoods can
increase competition between user groups.
• There are three main causes for increasing resource scarcity working
separately or in combination:
1.Demand-induced scarcity arises when the demand for a specific resource
cannot be met by the existing supply.
• It increases in consumption rates can reduce the per capita availability of the
resource over time.
161
 cont..
2. Supply-induced scarcity occurs when environmental degradation, pollution,
natural variation or a breakdown in the delivery infrastructure constrains or
reduces the total supply or local availability of a specific resource.
• As the supply of natural resources is reduced, options for pursuing productive
livelihood strategies are undermined, potentially creating competition between
livelihood groups.
3. Structural scarcity: “Structural scarcity” occurs when different groups in a
society face unequal resource access.
• While structural scarcity can result from poor natural resource governance it can
also occur in a well-functioning governance structure, as the outcome of
different land use decisions and tradeoffs.
• At the same time, cultural practices, gender dynamics as well as social and
economic barriers may also lead to structural scarcity.
162
 4.1 Factors that drive conflicts over natural over natural resources are

• Ethnic polarization,
• High levels of inequity,
• Poverty,
• Injustice and
• Poor governance.

163
 Con’t
 Conflict is generally understood as a social phenomenon which results
from the differences in the social circumstances and/or disparate interests
of at least two parties (individuals, groups, states, etc).
 A conflict is not necessarily violent
 The conflict often occurs during a change.
 Some want change, while others oppose it.
 If their disagreement or conflict is addressed peacefully, the process can
be positive.
 But when the conflict is not managed properly, it becomes violent.

164
 Con’t
 Conflict is often the result of incompatible needs, goals, or
aspirations.
 Needs such as: food, shelter, health, safety, freedom and justice might
be threatened or perceived to be threatened.
 Conflict is a natural and necessary part of our lives
Conflict may occur;
 at home with our families
 at work with colleagues or
 in negotiations between governments
 Conflict is both the force that can tear relationships apart and the
force that binds them together.
165
 Con’t
4.2 Origin of conflict
In most cases conflict is as a result of the following:
 Different perception
 Different behaviors or attitudes
 Poor distribution of resources
 Lack of basic human needs or their frustration
 Different interests
 Ideological differences based on religion or political parties

166
 Con’t
4.3 Functions of conflict
 Conflict helps establish our identity and independence:
 Intensity of conflict demonstrates the closeness and importance of
relationships:
 Conflict can build new relationships
 Conflict can create coalitions
 Conflict serves as a safety-valve mechanism which helps to sustain
relationships:
 Conflict helps parties assess each other’s power and can work to
redistribute power in a system of conflict: etc

167
 Con’t
4.4 Characteristics of Conflict
 Conflict is not automatically a bad thing.
 Constructive processing of differences can produce high quality
decisions, encourage growth and strengthen groups/individuals.
 Destructive conflict can result in poor quality decisions, discourage
learning and cause ongoing harm to groups/individuals.
Characteristics of Constructive Conflict
 Affirms differences and sees their potential for enriching outcomes.
 Participatory – win/win; shared power; focused on group/common
interest; safe.

168
 Con’t

 Attitude of curiosity, genuineness, humility & respect (Reflected

through listening, questioning, validation, affirmation, empathy, a
power with approach & openness
 A two-way process – trying to achieve mutually acceptable outcomes;
broad vision; open to change; focus on the issues; rational
 Based on clear guidelines ground rules/process.
 Equal information – sharing common information base; naming
personal agendas; seeking fair outcomes
 High level of personal responsibility for process; balance between
giving and taking 169
 Con’t
Characteristics of Destructive Conflict
 Uses differences as divisions – dichotomous (wrong/right; bad/good; weak/strong)
 Competitive – win/lose; powerful/ powerless; focused on self-interest; scary.
 Attitude of confrontation, dominance & aggression/passive-aggression (Reflected
through dumping, put downs, talking over, hurting, abuse, violence, blaming and
taking power over others)
 A 1-way process – trying to win preferred outcomes; narrow vision; resistant to
change; personalizes issues; irrational
 Out of control – no guidelines/limits

170
 Con’t
 Uneven/unequal information – work from stereotypes/assumptions rather than
information; undercurrents/hidden agendas; disinterested in fair outcomes.
 Little or no personal responsibility for process; winner takes all
4.5 Consequences of Conflict
 Increase costs (time, money) devoted to dealing with the conflict
 Waste of resources and energy spent dealing with the conflict
 Decrease productivity
 Lower motivation
 Decrease morale
 Poor decision-making

171
 Con’t
 Withdrawal and miscommunication or non-communication
 Complaints and blaming
 Backstabbing and gossip
 Attitudes of distrust and hostility (that may influence all future
interactions
 Erosion to personal, work, and community relationships
 Harm to others not directly involved in the conflict
 Damage emotional and psychological well-being of those involved in the
conflict
172
 Dissatisfaction and stress
4.6 Approaches to Conflict
 Over the centuries conflict has been approached in a variety of
ways.
 Even today conflict tends to be resolved using these same basic
strategies.
 These strategies include:
Power
force and knowledge
the ‘strongest’ usually wins
 the one with the most resources often wins
Rights
standards of fairness or behavior
Interests
underlying needs, desires, concerns, fears, hopes often at the
root of the visible conflict
 the underlying interests of both parties inform the final agreed
upon resolution 173
4.7 Conflict dynamics
 Conflict is dynamic and unpredictable
 It rarely reveals neatly with a defined beginning, middle and end
 Aspects of the different stages of conflict are often present
concurrently
 Therefore, conflict can vary in form, intensity, location, by actors
and, over time
 Conflicts are best thought of as dynamic (ever-changing),
interactive social processes
 Conflict can emerge gradually and steadily, or develop rapidly in
response to a few significant events
 Ideally, conflicts should be managed at the latent stage, before
they emerge or escalate.

174
Fig. Conflict dynamics/stages
175
4.8. Conducting Conflict Assessment
Conflict assessments are diagnostic tools that are designed to
help:
a. Identify and prioritize the causes and consequences of
conflict
b. Understand how existing development programs interact
with factors linked to conflict
c. Determine where development and humanitarian
assistance can most effectively support local efforts to
manage conflict and build peace

176
 Conflict assessments are meant to provide a broad overview of
destabilizing patterns and trends in a society.
 Conflict assessments typically include six steps:
1. Decides to initiate
2. Initiates the conflict assessment
3. Gathers information
4. Analyzes
5. Designs a joint problem-solving process
6. Shares the assessment

177
Step 1: Decide to Initiate a Conflict Assessment
A convener should begin a conflict assessment process by
retaining a credible and qualified assessor.
 the assessor be perceived by all parties in the conflict as
impartial and not having a stake in the conflict.
 the convener should provide the assessor with a preliminary
list of likely stakeholder.
the convener should draft a letter to stakeholders that
introduces the assessor.

178
Step 2: Initiate a Conflict Assessment
It include the following questions:
What is the history of this situation?
What issues relating to the situation are important to you and
why?
What other individuals or organizations have a stake in the
situation?
What are the interests and concerns of those individuals or
organizations, as you see them?
Would you are willing to work with other stakeholders to
develop a consensus-based solution to this situation?

179
Step 3: Gather Information through Interviews
 Stakeholders interviewed in person, individually.
 The eye-to-eye contact possible in an in-person interview is
important for both gathering accurate information and building
rapport.
 The assessor should be sure to write down the answers to the
main questions:
 what are your main concerns?
who are the other key players?

180
And others such as:
 the interviewee’s exact involvement in the conflict
what the interviewee thinks of the other parties
what the interviewee doesn’t think is important
the names and organizational affiliations of people
mentioned by the interviewee
whether or not the interviewee thinks the media are
interested in the issues
concerns expressed about the convener or the assessment
process

181
Step 4: Analyze the Interview Results
By the time the interviews are complete, the
assessor should have a good idea of who the
central players are, what concerns them, and
whether or not mediation is likely to succeed.
This includes:
Summarize the Findings
Map Areas of Agreement and Disagreement
Assess the Feasibility of a Mediation Process

182
Step 5: Design a Joint Problem-Solving Process
 If a consensus-based process appears feasible,
the assessor needs to draft a preliminary
process design.
 The assessor should make design
recommendations regarding:
the goals of the mediation,
the issues to be discussed,
selection of the appropriate stakeholder
representatives,
the time frame and schedule for meetings,
ground rules,
the relationship of the process to other
decision-making efforts,
funding
183
Step 6: Share the Assessment with
Interviewees
 The analysis of the interview results and the
proposed process design should be presented
to the convener and the interviewees in a
written conflict assessment report.
 The report should include the following:
Introduction
Findings
Analysis
List of Interviewees
Recommendations

184
4.9. Conflict Prevention and Conflict Resolution Strategies
 Conflict prevention means to anticipate problems ahead of
their happening, and the capacity to prevent it from
escalation.
 It requires taking early proposals, instituting commission of
inquiry, investigations, proper distribution of resources, and
respect for the rule of law and human rights.
 Conflict prevention is often divided into two categories: direct
prevention and structural prevention.

 Direct conflict prevention refers to measures that are aimed

at preventing short-term, often imminent, escalation of a
potential conflict.
 Structural prevention focuses on more long term measures
that address the underlying causes of a potential conflict along
with potentially escalating and triggering factors.
185
Strategies of Conflict Resolution
 When angry, separate yourself from the situation and take time to
cool out
 Attack the problem, not the person
 Communicate your feelings assertively, not aggressively
 Focus on the issue, not your position about the issue
 Accept and respect that individual opinions may differ
 Do not review the situation as a competition
 Focus on areas of common interest and agreement
 Never jump to conclusions

186
 Listen without interrupting; ask for feedback
 Remember, when only one person’s needs are satisfied in a
conflict, it is not resolved and will continue
 Forget the past and stay in the present
 Build ‘power with’ not ‘power over’ others
 Thank the person for listening

187
Chapter 5 Alternative Dispute Resolution (ADR)

 The word “alternative” in Alternative Dispute Resolution

(ADR) refers to the fact that ADR is used as an alternative
to the formal institutions by which societies usually
govern disputes

 ADR provides new tools to reach mutual agreements

between parties
 ADR systems may be generally categorized as negotiation,
conciliation/mediation, or arbitration systems.

 Negotiation is a bargaining relationship among the

opposing parties 188
 Mediation is the process whereby an acceptable third party
who has limited or no authoritative decision-making power
assists the principle parties in a conflict to resolve.

 Arbitration is a process whereby the parties submit the issues

at stake to a mutually agreeable third party, who will make the
decision for them

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Characteristics of ADR
Informality
Application of Equity
Direct Participation and Communication between Disputants

Negotiation and Principles of Negotiation

 Negotiation can be defined as back-and-forth communication
designed to reach an agreement between two or more parties with
some interests that are shared and others that may conflict or
simply be different
 Negotiation is a voluntary attempt to resolve conflicts that arise
from competing needs, interests and goals
 It is a problem solving approach in which parties seek agreement
rather than resort to violence and force
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Principles of Negotiation
1. The greatest failure in negotiation is failing to negotiate
2. The most important person to know in a negotiation is yourself
3. Everyone has power in a negotiation
4. Single-issue bargaining leaves both parties unsatisfied
5. Urgency drives decisions
6. Agreement is the end; making concession is the means
7. Even in a collaborative environment, best results are obtained by
keeping the other party on a need to know basis
8. Success in negotiation is directly related to the amount and kind of
preparation preceding the negotiation
9. Even when two sides are far apart on major issues, there are always
things they can agree upon.
10.Meaningful negotiation involves conflicts

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Positional and interest based negotiation
1.Positional Negotiation
 Positional negotiation is a bargaining strategy in which a series of
positions and alternative solutions that meet particular interests
or needs are selected by a negotiator, ordered sequentially
according to preferred outcomes and presented to another party
to reach an agreement.
 In the case of Positional Bargaining the parties hold defined
viewpoints (positions).
 The negotiation process is based on forcing mutual compromises.
 Positional negotiations start with parties making an offer which
will maximize their benefit
 Each party then attempts to draw the other into their bargaining
range by using a series of counter-offers and concession.

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2. Interest-based negotiation
 Interest-based negotiation is designed for parties who have a need to
create or maintain healthy relationships
 In this type of process, parties discuss the issues that face them and
express the interests, values and needs
 This cooperative process focuses parties away from their positions and
onto using interests and objective criteria for making decisions
 A party’s basic needs, wants, and motivations are commonly referred to
as its interests
 Interests are the fundamental drivers of negotiation
 People negotiate because they are hoping to satisfy their interests
better through an agreement
 The measure of success in negotiation is how well your interests are
met

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Hard and Soft Positional Bargaining
 In Soft Positional Bargaining
Participants are friends
The goal is agreement
Make concessions to cultivate the relationship
Soft on the people and the problem
Trust others
Change your position easily
Make threats
Disclose your bottom line
Accept one-sided losses to reach agreement
Search for the single answer: the one they will accept
Insist on agreement
Try to avoid a contest of will
Yield pressure
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In Hard Positional Bargaining
Participants are adversaries
The goal is victory
Demand concessions as a condition of the relationship
Hard on the problem and the people
Distrust others
Dig in to your position
Make offers
Mislead as to your bottom line
Demand one-sided gains as the price of agreement
Search for the single answer: the one you will accept.
Insist on position
Try to win a contest of will
Apply pressure

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 Approches to NRM
• Adaptive management: The iterative
and systematic process of learning
from ongoing resource management
results and outcomes to improve
approaches and management
decisions.

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