Olivier Barreteau

Companion Modelling: A Method of Adaptive and Participatory Research

The principles laid down in the ComMod Charter and presented in the general introduction relate to a stance or attitude towards how a specific issue and specific field are addressed by taking into account the various types of knowledge and perceptions already present and the use of certain tools. These principles suggest a framing for the teams committed to them, but the adaptation capacity in organizing the implementation of companion modelling in a given case study is in practice left to the commodian. This chapter aims to detail the diversity involved in implementing a ComMod process and the common points that emerge from it. The objective is to describe in order to understand better, with no normative intention.

Collaborative modelling as a boundary institution to handle institutional complexities in water management

Water management is an area for several sources of institutional complexity, which have been extensively studied but are still poorly handled in practice. In this chapter we add to the family of boundary entities a concept of boundary institution, in order to re-visit the dynamics at stake in participatory modelling. On the basis of a few case studies, we show that participatory modelling, as a process, fits this concept of “boundary institution”. A boundary institution is a step above considering the model as a boundary object, because it provides rules for interaction among stakeholders without prior consensus among them. In addition, these institutions provide prototypes to develop other institutions that address complex water management issues or that could help in providing institutional infrastructure (rules, etc.) to existing boundary organizations. Boundary institutions have no tangible infrastructure. Because they are intangible, how boundary organizations actually function will require further research.

The MEPPP Framework: A Framework for Monitoring and Evaluating Participatory Planning Processes

Evaluating participatory processes, participatory planning processes especially, can be challenging. Due to their complexity, these processes require a specific approach to evaluation. This paper proposes a framework for evaluating projects that have adopted a participatory planning approach: the monitoring and evaluation of participatory planning processes (MEPPP) framework. The MEPPP framework is applied to one case study, a participatory planning process in the Rwenzori region in Uganda. We suggest that this example can serve as a guideline for researchers and practitioners to set up the monitoring and evaluation of their participatory planning process of interest by following six main phases: (1) description of the case, (2) clarification of the M&E viewpoint(s) and definition of the M&E objective(s), (3) identification of the context, process and outputs/outcomes analytical variables, (4) development of the M&E methods and data collection, (5) data analysis, and (6) sharing of the M&E results. Results of the application of the MEPPP framework in Uganda demonstrate the ability of the framework to tackle the complexity of participatory planning processes. Strengths and limitations of the MEPPP framework are also discussed.

Managing frame diversity in environmental participatory processes - Example from the Fogera woreda in Ethiopia.

Many participatory processes fail to generate social change and collaborative outcomes. This failure can partly be explained by how divergent stakeholders frames are handled. This paper builds on the framing and participation literature to explain how facilitators can manage frame diversity and foster collaborative outcomes. It suggests two pragmatic steps: identifying frames and managing frames. The two steps are applied to a participatory process for natural resource management in Fogera, Ethiopia. Effectiveness of facilitators strategies to manage frame diversity in the Fogera case is discussed. Two main elements challenging effectiveness are identified: counter-strategies used by facilitators and most-powerful stakeholders, and the constraining factors knowledge, champions and frame sponsorship. We argue that these elements need to be taken into account by participatory process facilitators when managing frame diversity.

Drivers of Environmental Institutional Dynamics in Decentralized African Countries.

This paper builds on the assumption that an effective approach to support the sustainability of natural resource management initiatives is institutional “bricolage.” We argue that participatory planning processes can foster institutional bricolage by encouraging stakeholders to make their own arrangements based on the hybridization of old and new institutions. This papers aims at identifying how participatory process facilitators can encourage institutional bricolage. Specifically the paper investigates the specific contextual and procedural drivers of institutional dynamics in two case studies: the Rwenzori region in Uganda and the Fogera woreda in Ethiopia. In both cases, participatory planning processes were implemented. This research has three innovative aspects. First, it establishes a clear distinction between six terms which are useful for identifying, describing, and analyzing institutional dynamics: formal and informal; institutions and organizations; and emergence and change. Secondly, it compares the contrasting institutional dynamics in the two case studies. Thirdly, process-tracing is used to identify contextual and procedural drivers to institutional dynamics. We assume that procedural drivers can be used as “levers” by facilitators to trigger institutional bricolage. We found that facilitators need to pay particular attention to the institutional context in which the participatory planning process takes place, and especially at existing institutional gaps or failures. We identified three clusters of procedural levers: the selection and engagement of participants; the legitimacy, knowledge, and ideas of facilitators; and the design of the process, including the scale at which it is developed, the participatory tools used and the management of the diversity of frames.

Four challenges in selecting and implementing methods to monitor and evaluate participatory processes: Example from the Rwenzori region, Uganda.

Participatory approaches are now increasingly recognized and used as an essential element of policies and programs, especially in regards to natural resource management (NRM). Most practitioners, decision-makers and researchers having adopted participatory approaches also acknowledge the need to monitor and evaluate such approaches in order to audit their effectiveness, support decision-making or improve learning. Many manuals and frameworks exist on how to carry out monitoring and evaluation (M&E) for participatory processes. However, few provide guidelines on the selection and implementation of M&E methods, an aspect which is also often obscure in published studies, at the expense of the transparency, reliability and validity of the study. In this paper, we argue that the selection and implementation of M&E methods are particularly strategic when monitoring and evaluating a participatory process. We demonstrate that evaluators of participatory processes have to tackle a quadruple challenge when selecting and implementing methods: using mixed-methods, both qualitative and quantitative; assessing the participatory process, its outcomes, and its context; taking into account both the theory and participants views; and being both rigorous and adaptive. The M&E of a participatory planning process in the Rwenzori Region, Uganda, is used as an example to show how these challenges unfold on the ground and how they can be tackled. Based on this example, we conclude by providing tools and strategies that can be used by evaluators to ensure that they make utile, feasible, coherent, transparent and adaptive methodological choices when monitoring and evaluating participatory processes for NRM.

Joint management of water resources in response to climate change disruptions

Climate change has a profound impact on the water cycle, causing gradual and sometimes marked changes in hydrosystems and natural hydrological processes. Societies and stakeholders are striving to adapt so as to manage and control their interactions with water. Current scenarios indicate, however, an acceleration in global climate change processes, yet with high local variability. In this chapter we present a selection of climate change related research studies focused on three major issues in the field of water resource management: characterizing change patterns, adapting to change via technological innovations and adapting governance to cope with change. These studies were carried out in partnership primarily with institutions in developing countries, with the full participation of local stakeholders in defining and running the projects and disseminating the results.

Environmental information sharing: a means to support the legitimization of oyster farmers’ stewardship over water quality management in NSW, Australia?

Oyster farmers depend on good water quality. Activities upstream from estuaries result in externalities that impact water quality. Over the last 10 years, oyster farmers have been developing estuary-wide environmental management systems ( EMSs ) to tackle internal (i.e. industry-related) and external (i.e. catchment) issues in N ew S outh W ales, A ustralia. Drawing on interview-based research and document analyses, this paper shows that the process of creating an EMS for the oyster industry, as well as the creation of the EMS itself, resulted in legitimizing the industrys stewardship over the natural resource it depends on (water). For the oyster industry, this result was due to a change in the scale on which EMSs have been developed: instead of viewing issues at the individual business level, the systems expanded their viewpoint to the entire catchment, and included every oyster business in the estuary, as well as all other activities in the upper catchment. By providing a means of communicating internal efforts and with the support of local government bodies, EMSs provided a mechanism with which influence over upstream actors and activities could be exerted. We demonstrate this by using the ‘social-ecological systems’ and ‘ ENCORE ’ frameworks, emphasizing the transitions that allowed for this change of scale to take place.