Transforming Bureaucracies: Institutionalising participation and people centred processes in natural resource management- an annotated bibliography This Annotated Bibliography has been prepared as a collaborative effort involving, in alphabetical order, the following authors: Vanessa Bainbridge Stephanie Foerster Katherine Pasteur Michel Pimbert (Co-ordinator) Garett Pratt Iliana Yaschine Arroyo 2 Table of contents Table of contents..........................................................................................................................................3 Acknowledgements......................................................................................................................................4 Introduction..................................................................................................................................................5 Theories of organisational change for participation ...................................................................................8 Towards learning organisations.................................................................................................................12 Gender and organisational change.............................................................................................................16 Transforming environmental knowledge and organisational cultures ....................................................19 Nurturing enabling attitudes and behaviour..............................................................................................22 Policies for participation............................................................................................................................24 Methods for institutional and impact analysis ..........................................................................................27 References..................................................................................................................................................30 References by chapter..............................................................................................................................246 References by region ...............................................................................................................................247 References by subject area ......................................................................................................................248 3 Acknowledgements We are indebted for the valuable assistance from many individuals in identifying literature to include in this annotated bibliography: Sally Baden, Solon Barraclough, Grazia Borrini Feyerabend, Jutta Blauert, Fred Carden, Robert Chambers, Jenny Chambers, Richard Duncan, Thomas Fisher, Reiner Forster, John Gaventa, Krishna Ghimire, Irene Guijt, Liz Humphrey, Ray Ison, Sally Jeanrenaud, Anuradha Joshi, James Keeley, Ana Llena-Nova, Sharha Razavi, Jeff Readman, Chris Reij, Patta Scott-Villiers, Peter Smith, John Thompson, Peter Utting and Anne Waters-Bayer. Thanks to the entire Environment Group at IDS, who generated many ideas for the review through a brainstorming session. We are grateful to Jaz Vagadhia for her invaluable assistance with administrative matters. Finally, we would like to acknowledge the financial support of the project funders, the Swiss Agency for Development and Co-operation, and Bundesministerium fur wirtschaftliche Zusammenarbeit und Entwicklung (BMZ). 4 Introduction The purpose of this annotated bibliography The International Institute for Environment and Development (IIED) and the Institute of Development Studies (IDS) have initiated an action-oriented research project designed to examine the dynamics of institutionalising people-centred processes and scaling up participatory approaches in large, public bureaucracies for natural resource management in a variety of social and ecological settings. This research has been motivated by the following observations and questions. For over two decades, participatory methodologies have proved to be effective in enabling local people to take greater control of the development process. They have also enhanced the delivery of services to vulnerable groups by external support agencies and increased the viability of development programmes and projects by using local knowledge, capacities and priorities as the basis for learning and action. With few exceptions these participatory efforts have been limited to the local level, where they have been used for a broad range of activities from village-based planning and catchment management, to action research, farmer-led technology development, and natural resource management (forests, rangelands, protected areas and wildlife, coastal areas and fisheries, agricultural biodiversity, wetlands). Recently, however, the focus on the micro has given way to attempts by large, public and private agencies, including government departments, development agencies, non-governmental organisations, international research agencies and universities, to adopt and apply these approaches on a large scale. Large-scale participatory natural resource management programmes often include national governments, large NGOs and donor agencies as major stakeholders. The scaling up of participation to include more people and places constantly challenges these large organisations to become flexible, innovative and transparent. More specifically, the emphasis on diversity, decentralisation and devolution of decision making powers in the management of natural resources for complex and dynamic livelihoods implies procedures and organisational cultures which do not impose “participation” from above through bureaucratic and standardised practices. How can bureaucracies facilitate and support the participation of local actors throughout the whole participatory management process - from appraisals and preparing for partnerships, planning and developing co-management agreements, negotiating resource allocation, implementation, monitoring and evaluation, to reviewing and revising the means and ends of the participatory process? Under what conditions can bureaucracies be refashioned or transformed to ensure that their outcomes (policies, programmes, resource allocation and projects) actually facilitate, rather than inhibit, participation and the adaptive management of natural resources? Full involvement of primary stakeholders in this expanded sense involves a shift in the type and quality of participation from tokenism and consultation to real decision making and democratic control. Participatory methodologies and approaches for example need to build on multiple perspectives, systemic group learning processes, conflict resolution, sustained action through the strengthening local institutions and/or building new local institutions in the interest of gender equity and fair representation 5 of different resource user groups. What kind of training, capacity strengthening and follow up is necessary to create the right ‘skills mix’ for staff of public agencies to employ participatory approaches effectively on a large scale? What incentives (e.g., economic, professional, social, etc.) act as catalysts for the spread and scaling up of participatory processes in large agencies? How do the attitudes and behaviour of officials and professionals change when they become involved in the use of participatory approaches, and what are the factors that encourage or bring about these changes? What is the impact of institutionalising participatory approaches on the social dynamics, livelihoods and well-being of low-income rural and urban groups and local organisations? And on the status of natural resources and environmental conditions? To focus on these issues and questions, IIED and IDS initiated a collaborative research programme with national partners in Burkina Faso, India, Indonesia, Mexico and Senegal. Case studies include the scaling up of participatory watershed management (India), the institutionalisation of farmer centred, participatory integrated pest management (Indonesia), gestion des terroirs or village resource management (Burkina Faso and Senegal) and sustainable natural resource management (Mexico). This annotated bibliography was developed primarily for the national research teams as a guide to the recent literature on organisational change and the institutionalisation of participation in natural resource management. We hope that the references included in this bibliography will also be useful to a wider group of individuals interested in these themes. On institutions, organisations and the institutionalisation of participation A clear distinction is made between institutions and organisations in this annotated bibliography. Strictly speaking organisations are not the same as institutions. Institutions are "the humanly devised constraints that shape human interaction….they structure incentives in human exchange, whether political, social or economic….Institutions reduce uncertainty by providing a structure to everyday life…Institutions include any form of constraint that human beings devise to shape interaction" (348). Land tenure rules and other rules regulating access, use and control over natural resources are examples of institutions. Although they embrace them, institutions are not organisations; they are best understood as a set of informal and formal rules that are administered by organisations. Organisations are thus "groups of individuals bound by some common purpose to achieve objectives" (348). Organisations