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IDRC, M. Verde.

As stated earlier, the purpose of this handbook is to provide a practical reference on a process for community-based co-management for use by the initiators and facilitators of co-management. There is no blueprint or right process for community-based co-management. As already stated, there are a variety of different processes which can be tailored to meet a site-specific situation and context. In some cases there may already be a fisher organization capable of engaging in co-management, while in another there will be a need to organize fishers. In another case, an informal or customary fisheries management system may be functioning well in the community and the need is to reach a co-management agreement with government to provide support. In another, fishers may only now be discussing informally among themselves the need to engage in some form of collective action.

This handbook will present a process of community-based co-management, not the process of community-based co-management. The process to be presented in this handbook can be thought of as a generic process that can serve as a reference to those who want to initiate a community-based co-management programme. Start at the beginning or start in the middle depending upon the situation. The process presented is based on the authors' experience with community-based coastal resources management and co-management and on the experience of NGOs, development projects, governments and other institutions around the world. It takes lessons learned from successes and failures and provides a process to adopt, adapt or revise to the local situation and context. The activities presented in the process are present in some form in all the cases that the authors are familiar with.

Community-based co-management can be initiated in several ways. The process presented in this handbook is a community-level and community-initiated programme of community-based co-management that is implemented in partnership with an external agent (such as an NGO or academic or research institution) and government. Alternatively, it may be an externally initiated programme where the external agent or government agency identifies a problem (or problems), then establishes a programme in collaboration with the community. In another case, it may be initiated as part of a larger donor-assisted development programme, where there is little early consultation with the community. Co-management could also be initiated by the government fisheries department working with fishers to establish a national level fisheries advisory body to guide policy.

The ways in which the fishers approach the community-based co-management programme will depend, in part, on how the programme is initiated and their sense of ownership over the process. While the origin and initiation of the community-based co-management programme may differ (beginning or pre-implementation phase), it is the authors' experience that the implementation phase activities in the process presented in this handbook are usually present.

This chapter of the handbook will provide an overview of the phases, components and activities of the process. Much more detail of each will be provided later in the handbook.

3.1. A Process of Community-based Co-management

The implementation of community-based co-management can be viewed as having three phases: 'beginning' or pre-implementation, implementation and 'turnover' or post-implementation (Fig. 3.1).

It should be noted that many of the process activities described in this handbook are continuous and overlapping, especially during the implementation phase (Box 3.1). The co-management process is dynamic rather than linear, often cyclic as it evolves, and adaptive. The three phases are not distinct but actually flow into and overlap each other. Some implementation activities may finish and enter a post-implementation phase while at the same time new implementation activities are being initiated.

Fig. 3.1. There are three phases in a process of community-based co-management.

3.1.1. 'Beginnings' or pre-implementation

The pre-implementation phase may start when fishers and other stakeholders recognize a resource(s) problem that may threaten their livelihood, income, and/or social and community structure. This is especially true where the resource users are highly dependent on a resource(s), availability of the resource(s) is uncertain or limited, and the users are highly identified with their fishing area. If the resource(s) problem, such as low or no catch, repeatedly occurs, if it exists within a single community of fishers and if the users are unable or unwilling to move to another fishing area, the fishers are more likely to take action to deal with the problem. Fishers will individually and collectively begin to discuss the problem and seek information, a process that often leads to consensus-building and agreement on a plan of action. This plan of action may be specifically designed to initiate a process of change and seek assistance to do so. The fishers may identify different stakeholders who should be included in this programme.

At this early stage, an enthusiastic individual(s) may step forward as the prime mover(s) of the co-management programme. The fishers may seek assistance from the government or external agents on possible solutions or courses of action to deal with the problem. These external agents and/or government may enter at this point to assist the community by organizing meetings and providing information to prepare a preliminary programme plan and strategy. A proposal for outside funding of the programme may be prepared. Initial approvals for the programme may be obtained from different levels of government and local officials and leaders.

At this point, linkages are established and strengthened between fishers, other stakeholders, external agents and government so that a partnership is developed. A formal or informal agreement for cooperation may be established at this time. The development and strengthening of these linkages and networking at institutional, group and individual levels, is a continuous process during the life of the co-management programme.

3.1.2. Implementation

The implementation of community-based co-management has four linked and complementary components:

1. Resource management.

2. Community and economic development/livelihoods.

3. Capacity building.

4. Institutional support/networking/advocacy.

Please note that no one component exists in isolation but they are linked and complementary to each other. For example, it is often found that solutions to fisheries management problems lie outside the fishery, thus requiring household livelihood and community development issues to be addressed.

The resource management component consists of activities to manage, protect, conserve, rehabilitate, regulate and enhance marine and coastal resources.

The community and economic development/livelihood component's purpose is to raise income, improve living standards and generate employment through alternative and supplemental livelihood development. It addresses both individual and family needs, as well as community needs such as community social services and infrastructure development, enterprise development, and regional economic development, which includes business and industrial development.

The capacity building component, aimed at individuals (both women and men) and organizations, involves empowerment and participation, education, training, leadership and organization development.

The institutional support/networking/advocacy component involves conflict management mechanisms, individual and organizational linkages, interactive learning, legal support, policy development, government restructuring, issue advocacy, networking with other communities and organizations, forums for sharing, and institution building and strengthening.

There are a number of specific activities and interventions in the implementation phase of community-based co-management.

Community entry and integration

Community entry and integration are usually the first steps in implementation. Field workers and community organizers (COs) (either from the community or from outside it) provided by the external agent begin to identify the main stakeholders, those groups and individuals with an interest in co-management, and facilitate the process. It is often difficult to determine who is and who is not a legitimate stakeholder and at what level in the co-management partnership they should be involved. The field workers and community organizers establish initial relationships and credibility with community members, targeting project participants and local leaders at this time. The COs, working with the local people, identify and study the communication and participation structures in the community, including local social structures and power relations, forums for discussion and conflict management, communication barriers by gender and class, and participation in decision-making.

A series of meetings and discussions is held with resource users, stakeholders and government officials to share the concept and process of community-based co-management, to begin to develop communication and a consensus on their interests and concerns, and to build awareness about resource protection, management and rehabilitation. Community members actively participate in these activities. Other activities include identifying key individuals and groups to be involved in co-management, the organizing of a start-up team composed of community members (Box 3.2), answering questions about the programme, raising awareness about issues, the process and the programme, and participating in community activities such as fishing and local events. Government and local leader approvals are sought. At this point, it is useful for the CO, working with community members, to conduct a feasibility analysis to determine whether a co-management arrangement would be possible. The legal, political, institutional, economic and sociocultural feasibility need to be considered (Borrini-Feyerabend, 1996). A household census may be conducted to collect socio-economic data on the community to initially identify problems, needs and opportunities. Community integration of field workers and community organizers can be a long process and requires those workers to have the skills, energy, commitment and personality to listen, share and work with the people of the community on an equal basis.

Research and participatory research

Participatory research is conducted to collect and analyse baseline data on the community, its people and its natural resources and to generate new knowledge. The baseline data are used in the preparation of development and management plans and strategies, for decision-making, for monitoring and evaluation and for process documentation. A participatory research process involves the people of the community, working with the researchers, in the design, collection, analysis and validation of the output. The participatory research process can also raise awareness and educate community members about their community and natural resources, as well as being useful in the formulation of potential solutions. Participatory research, which is conducted using a mix of scientific and rapid-appraisal methods, includes the collection of traditional and indigenous knowledge.

Participatory research can have four components, conducted in an interactive and iterative manner: (i) resource and ecological assessment (REA); (ii) socio-economic assessment (SEA); (iii) legal, policy and institutional assessment (LIA); and (iv) problem, needs, issues and opportunities assessment (PNIO). A REA provides a scientific and technical information base on the coastal and marine resources of the area. It usually includes three interrelated assessments: capture fisheries, coastal habitat (coral reef, mangrove, seagrass) and water quality. A SEA, which provides baseline information and a profile on social, demographic, gender, cultural and economic characteristics and conditions in the community, includes both stakeholder and conflict analyses. An LIA profiles the institutional arrangements (formal and informal rights and rules), organizational arrangements, legislation and policies and programmes (internal and external to the community) for coastal resources management. The PNIO is a participatory assessment of opportunities, problems, issues and needs, which is conducted by and with the stakeholders through a series of community meetings, key informant interviews, surveys and one-on-one discussions. Community members share with each other, as well as with government and external agents, ideas for their community's future and their vision on how to achieve that future.

Drawing on the baseline data from these four assessments, participants discuss the feasibility of developing a co-management agreement. The baseline data also serve as a basis for the future monitoring of the programme and for the evaluation of success and impacts.

Environmental education and capacity building

Environmental education and training, integral and ongoing activities of the community-based co-management programme, are the main methods of capacity building for community members and government. The external agent usually implements these activities, based on the assessments conducted earlier. The education and training should recognize and build upon the existing experience and knowledge of community members and government. Information is exchanged and the CO can learn from and with community members and government. Education methods, formal and informal, include small-group work, seminars, cross visits, role-playing, radio, video and fisher-to-fisher sharing of local knowledge. Environmental education is a priority goal of these activities, as is the building of community members' and government officials' and staffs' capabilities and confidence so they can make informed choices and decisions about problem articulation, management and development objectives, strategies and plans, and implementation.

Community organizing

Because community organizing is the foundation for mobilizing local human resources, community organizations and leaders are needed to take on the responsibility and authority for management and development activities. These organizations and leaders may already exist in the community, may emerge by themselves or may be newly established. Their focus is on participation, representation, and power sharing in the community. The members of any such group or organization must be willing to take on the responsibility. Existing organizations and leaders in the community are identified through the stakeholder analysis and LIA. Various types of organizational structures can become involved, including associations, cooperatives, unions, management councils and advisory committees, and may have differing levels of participation. Organizations may be formed at levels ranging from the fisher to the village to the municipal/district to the province/state. Organizing is often associated with work aimed at community members who are economically disadvantaged and/or with the least political power.

Education and training can empower the organization or leaders, developing their ability to take on management responsibility. Leadership development is an important part of this step, since strong and dedicated leadership is necessary if community-based co-management is to succeed. Existing community leaders, such as elected officials and senior fishers, play an important role but may be too closely tied to the existing community power structure to be advocates of improved equity. New leaders, often individuals with the motivation but not the means to take on leadership, can invigorate the process and increase its legitimacy. Terms of office for leaders should be short enough to decrease the possibility of corruption and power grabbing.

Adequate time must be provided for the organizing and leadership development processes. Lack of social preparation is often the cause of programme failure. It is during this step that the roles and responsibilities of organizations, leaders and stakeholders are delineated and clarified. Formal and informal fora for discussion and debate should be established, with stated place, time and rules for their meetings. Bridges are built between groups and organizations to improve communication and collaboration. The core groups and organizations advocate for support for policies, laws and local initiatives. Initial consultations and/or planning meetings are held among the partners to develop the co-management agreement.

Co-management plan and strategy

The community-level organizations, working in partnership with other stakeholders and the government, develop a resource management and community development plan whose objectives and strategies include a co-management agreement. Community members participate in the creation of the plan, validating its drafts along the way. The plan will include a common vision for the future, identification of a coordination mechanism and a financing strategy.

Reaching the co-management agreement may involve a series of meetings to negotiate and reach a consensus on its structure and to support management of conflicts. These meetings will involve identifying the key issues, as well as extensive bargaining and compromising in order to reach decisions.

The co-management agreement may include, specifically stated, a definition of roles, responsibilities and authority; identification of fora for meetings; conflict management mechanisms; and rule-making procedures. The agreement should be widely circulated to inform and obtain comments from relevant communities and stakeholders. A co-management body may be established at the end of the process of developing the agreement to represent all the partners. Participants would specify who is represented on the co-management body, what is its mandate and its level of authority and tasks. Indicators of success or monitoring and evaluation of the plan are specified. This can be done through a logical framework analysis (LFA) where outputs, activities, verifiable indicators and means of verification are stated.

The financial resources to implement the co-management plan should be identified early in the programme and made available before implementation. If external funding is needed to implement all or part of the plan, this is the time to identify a source and apply for the funds.

It should be noted again that the strengthening of linkages and partnerships and networking between resource users, stakeholders, government and the external agent is an ongoing and continuous process that extends beyond the implementation phase. The roles and responsibilities of the partners will change and adjust as the community-based co-management programme matures.

Institutional support will be sought, for example, to have formal recognition of the community organization or passage of a government ordinance legitimizing local institutional arrangements (rights and rules). The process of rights- and rules-making can be as difficult, yet as critical, as any other activity in the co-management programme.

Conflict management

Since conflicts will inevitably arise, the agreement must contain forms and mechanisms to address and resolve conflict. Conflict management is a process of dialogue and negotiation. A facilitator (a person who enables organizations to work more effectively), mediator (serves as a neutral party to assist stakeholders in finding a resolution to the conflict) or arbiter (makes a decision for the stakeholders at the request of the stakeholders) may be needed to guide the process towards constructive results. Participants should designate a forum for negotiation and agree on some rules for the process. They may generate and discuss various options for action, formally agreeing on one of those options. The conflict management mechanism should be multi-level to allow for an appeal process.

Plan implementation

The activities and interventions of the co-management plan are implemented through sub-projects. These may be resource management-related, such as marine reserve or sanctuary creation, mangrove reforestation, erosion management or fishing gear restriction. On the other hand, they may be about community development: such as a water well, a road or livelihood development, such as agriculture, aquaculture or small business enterprise. As needed, the responsibilities and rights of partners are clarified, conflicts are managed, and the agreement is enforced – possibly resulting in changes in the agreement or the development of a new agreement (Maine et al., 1996).

Evaluation

Monitoring and evaluation should be central elements of the overall implementation process, although evaluation may also be conducted during the turnover or post-implementation phase. The indicators of success specified earlier are used in monitoring and evaluation, both done in a participatory mode. Participatory monitoring allows for adaptive management: interactive learning and a feedback system of success and failure while the programme is being implemented. It provides the community and external agents with information, during the life of the programme, so they can assess whether activities are progressing as planned, and whether modifications are needed. Participatory evaluation allows those internal and external to the community to evaluate programme objectives against results. It allows for planning for the future based on experience. The baseline information collected earlier in the programme can be used in the evaluation. The co-management agreement is also monitored on an ongoing basis, with the partners reviewing the results. Performance indicators may be used to measure progress of the co-management agreement, programme and implementation.

3.1.3. 'Turnover' or post-implementation

At this point, the programme, with assistance from an external agent and external funding, is fully taken over by the community and becomes self-sustaining. The post-implementation phase begins. The external agents work through a planned phase-out from the community and the other co-management partners. The phase-out should be planned and well understood by all to eliminate surprises and minimize problems. A self-sustaining funding strategy is put in place. New activities may be planned and implemented. Where feasible, people in other communities replicate and extend the results of the project. Fisher-to-fisher training and cross visits can be an effective way to train people in other communities. Project replication and extension can also enhance the credibility of the community-based co-management system in the eyes of the community and the co-management partners, since success often breeds success (White et al., 1994; Johannes, 1998). Change and adaptation are central elements of post-implementation.

3.2. Doing It

In the next sections of this handbook, much more detail will be provided on the phases, components and activities described above.

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