management planning for nature conservation || local communities and stakeholders

41M. Alexander, Management Planning for Nature Conservation: A Theoretical Basis & Practical Guide, DOI 10.1007/978-94-007-5116-3_4, © Springer Science+Business Media Dordrecht 2013

Abstract A stakeholder is any individual, group or community living within the in fl uence of the site or likely to be affected by a management decision or action, and any individual, group or community likely to in fl uence the management of the site. Conservation managers must recognise the need to adopt an inclusive approach which takes account of the interests of stakeholders and, as far as possible, encour-ages their involvement in all aspects of management and planning. One of the key issues when building and maintaining successful relationships is to have a shared appreciation of what can and cannot be negotiated. Relationships with stakeholders are so important that they should be dealt with explicitly within the planning pro-cess. It is possible to prepare an objective which establishes the desired relationship with stakeholders and to identify within an action plan all the essential activities necessary to meet the objective.

4.1 Background

In earlier years, protected area management had a reputation for excluding people or severely restricting human activities (Borrini-Feyerabend et al. 2004 ) . This may have been true for some sites and it may represent the views held by some pioneer-ing conservation managers, but, as a generalisation, it is an unfair criticism. It is true that many managers saw a separation between wildlife and people, and this may occasionally have led to exclusive attitudes and practices. However, this can be overemphasised: the dif fi culties that can exist between managers of protected areas and stakeholders are the consequence of a combination of many different factors. Among the most signi fi cant is poor communication, leading to misunderstanding and intolerance (unfortunately, an all too common human failing). Over the past decades, certainly since the 1970s, there has been a move or paradigm shift towards a much more inclusive approach to managing protected areas (Borrini-Feyerabend et al. 2004 ) .

Chapter 4 Local Communities and Stakeholders

42 4 Local Communities and Stakeholders

Managers of sites established by government agencies face a particular problem. The sites are most often established as an assertion and expression of ‘common values’ through the democratic process. That is, at a high level society decides to protect wildlife for the common good, and one of the methods employed is the establishment of protected areas. Unfortunately, at site level this can be, or may be perceived as, a threat to the interests of local people. Conservation managers have come to realise that they must involve, and consider the interests of, stakeholders (particularly local communities) in the management of protected areas. Society will tolerate the right of individual owners to do more or less what they like on their own property, often without question, providing their actions are legal and meet any planning regulations. However, when that land is managed for wildlife, and espe-cially when the management is carried out by a government agency, society pre-sumes a right to be involved, to be consulted and to in fl uence management. If we want to maintain conservation areas, we must be prepared to adopt inclusive approaches; we must work with other people. We should also recognise that the capacity to appreciate and enjoy wild places and wildlife, and not simply to regard them as an essential resource, is often restricted to individuals who do not have to depend on these areas for their livelihood.

Sites are never isolated from their surroundings; it is usually only possible to safeguard them with the co-operation of others. Protected area managers should recognise that local stakeholders can make a very signi fi cant contribution towards managing a site. Once stakeholders gain a sense of ownership there are many differ-ent ways in which they can help: for example, local knowledge and traditional skills are often essential, especially when these complement good science.

Stakeholders, local communities and indigenous people can gain substantial bene fi ts from the presence and management of protected areas. Some of these bene fi ts are obvious and include opportunities for activities such as fi shing, hunting, grazing, reed harvesting, recreational use and ecotourism. Other less obvious bene fi ts include the protection and maintenance of spiritual and cultural values associated with a site, and the maintenance of ecosystem functions, for example, fl ood control and improved water quality.

Any mention of stakeholders, or anything else that might have implied stakeholder or local community involvement, was, until very recently, absent from management planning guides (NCC 1981, 1983, 1988 ; Alexander 1994, 1996 ; Eurosite 1999 ) . By the late 1990s, management planning guides began to put greater emphasis on stake-holder involvement. Measures of Success (Margoluis and Salafsky 1998 ) , a USA guide to management planning, stresses that local stakeholders must participate in the plan. One of the earliest European planning guides which included guidance on plan-ning the management of ‘relationships with the local community’ was The CMS Management Planning Guide for Nature Reserves and Protected Areas ( Alexander 2000 b). In 2002, Eurosite organised a workshop on stakeholder involvement in man-agement planning. One of the conclusions of that workshop was:

Stakeholder involvement is a method that can help in protecting and managing effectively nature conservation sites. Involving stakeholders is not a goal in itself. It should be part of a complete set of activities. Stakeholder involvement is not in all cases needed or equally

434.1 Background

important. Involving stakeholders can be time and money consuming, so consider whether or not it will really help you.

The Eurosite report, while recognising the importance of stakeholder involvement, adopts a very pragmatic approach: it is something that we do in order to improve site management. This is an important point. Many people seem to think that stakeholder involvement is an end in itself: they forget the wildlife.

The IUCN Guidelines for Management Planning of Protected Areas (Thomas and Middleton 2003 ) contains a chapter on ‘involving people’. It provides a list of the bene fi ts of involving people in management planning:

Increased sense of ownership – Greater support for the protected area – Greater public involvement – Links planning for conservation with planning for development – Provides a mechanism for communication –

This very succinct list sums up the recognised bene fi ts of including stakeholders in management planning.

In sharp contrast to earlier Eurosite publications, their guide, Management Planning for Protected Areas (Idle and Bines 2005 ) , offers an approach to planning ‘arising from the need to involve stakeholders’. This guide appears to hand decision making over to stakeholders. It also puts considerable emphasis on the use of ‘professional facilitators’ to guide the development of the plan. While these facilitators are com-pletely impartial, with no hidden agendas, their employment is likely to add greatly to the cost of producing a plan. Although the guide is intended for European Natura 2000 sites, surprisingly, it does not appear to recognise the legal nature of the features on these sites.

In summary, the move away from an exclusive, towards a more inclusive, approach to conservation management has been followed by a similar change in management planning guidance. Most current guides recognise that stakeholders’ involvement is crucial to the success of a plan. One guide goes further and, in addi-tion to advocating stakeholders’ involvement, also recommends that an objective for ensuring continued stakeholder participation is included in the plan. More recently, some people have suggested that the entire process can be handed over to stakehold-ers. I believe that stakeholder involvement should mean working in partnership with others to seek solutions that protect our sites and the wider environment, enhance the quality of life and provide bene fi ts for stakeholders and the wider society, and have the least possible impact on the freedom of individuals. The level of stake-holder involvement will vary according to local circumstances. There may, occa-sionally, be sound justi fi cation for a community to manage its own sites.

Unfortunately, poor relationships with stakeholders are not uncommon and may occasionally lead to serious con fl ict. Whatever the reasons for the divisions (and the sometimes disastrous and expensive consequences), conservation managers can only ever control or change their own attitudes and actions. Where others are con-cerned, managers can only hope to in fl uence them through reasonable discussion that treats their opinions with respect.


4.2 Stakeholder De fi nitions

There are many different de fi nitions of ‘stakeholder’, but the following is reasonably typical:

The term ‘stakeholder’ is generally used to de fi ne a person, group or organisation who has an interest in an issue, service or resource, or who is, or would be, affected by it. The current de fi nition used in conservation circles is ‘those likely to be affected by a decision or likely to affect the implementation of a particular decision’. (Caldwell and Evison 2005 )

Some de fi nitions divide stakeholders into different categories:

Example 1 (Rientjes 2000 )

Primary stakeholders Stakeholders whose permission, approval or ( fi nancial) support is required – Stakeholders directly affected by the plan or activity – Stakeholders who will bene fi t – Stakeholders who will suffer loss or damage –

Secondary stakeholders Stakeholders who are indirectly affected –

Tertiary stakeholders Stakeholders who are not directly involved but can in fl uence opinion –

Example 2 (Baker Associates 1997)

Direct partners – priority relationships where there is ongoing contact – Participative groups and signi fi cant others – those with an interest in the –situation, important to the process, some ongoing contact Statutory agencies – General consultees – community groups, general public –

These divisions can be very contrived or intended for speci fi c applications. Any approach to creating divisions of this kind will have both positive and negative consequences. People often fi nd that dividing a topic under speci fi c headings helps to ensure that all areas are considered: in other words, the headings act as a series of prompts. Conversely, whenever divisions are created they very rarely provide unam-biguous ‘boxes’ for all possible categories. The consequence is that some people will spend an inordinate amount of time trying to decide on the most appropriate divisions. The divisions should be regarded as an aid and not an encumbrance, and should be tailored to meet any speci fi c situation.

For the purpose of site management, and this chapter, the de fi nition of stakeholder is extended to mean:

A stakeholder is any individual, group, or community living within the in fl uence of the site or likely to be affected by a management decision or action, and any individual, group or community likely to in fl uence the management of the site.

454.4 Facilitators

This de fi nition includes ‘local community’. There will rarely be one single, clearly identi fi able community. Individuals can be part of several different communities. A simplistic view of communities will regard spatial boundaries as the only de fi nition. However, even within a clearly de fi ned area there can be several quite distinct com-munities, often overlapping. For example, religious divisions often exist within a community. Other divisions will include age, occupation and political inclination. These sections are sometimes in con fl ict and may not agree on all issues. This means, of course, that from a site manager’s perspective it will rarely, if ever, be possible to obtain the approval of everyone.

4.3 Stakeholder Involvement in Plan Preparation

The Ramsar Convention Bureau ( 2000 ) claims that experience has shown that it is advisable to involve local and indigenous people in a management partnership when:

The active commitment and collaboration of stakeholders are essential for the –management of a site, for example, when the site is inhabited or privately owned. Access to the site is essential for local livelihood, security and cultural heritage. – Local people express a strong interest in being involved in management. – Local stakeholders have historically enjoyed customary/legal rights over the site. – Local interests are strongly affected by the way in which the site is managed. –

4.4 Facilitators

Before making any attempt to engage with stakeholders the need to involve a facili-tator should be given some consideration. Skilled and competent facilitators are often an essential prerequisite to successful negotiation. Some publications (The Ramsar Convention Bureau 2000 ; Idle and Bines 2005 ) recommend the use of facil-itators or coordinators when involving stakeholders in any participatory process. An obvious consideration when using facilitators is that people may assume they have been employed to address confrontational issues, and discussions could be ham-pered by preconceived ideas that at least one of the parties is expecting disagree-ment. This may not be the case, but when people expect confrontation they often fi nd it. Whether going it alone or involving facilitators organisers should:

Ensure that all the stakeholders understand the role of the facilitator or –organiser. Regularly verify that all stakeholders agree on the basic objectives of the –initiative. Ensure the involvement of representative groups and individuals from all signi fi cant –sectors of the community and ensure that no key participants are excluded. (Assist in the establishment of representative groups if they do not already exist.) Ensure stakeholders share ownership of the process. –


Ensure that key parties have a clear understanding of each other’s needs, respon- –sibilities and limitations.

There will always be problems associated with stakeholders. Some people, because of their position in society or their background, will be articulate and con fi dent com-municators. They can dominate discussion, even when their particular interests are of little consequence. Other people, who may have a crucial role or interest, fail to be heard because they lack con fi dence or perhaps because they feel that they cannot in fl uence decisions or make a difference. It is the responsibility of site managers to ensure that everyone is given an equal opportunity to participate and that proceed-ings are not dominated by a minority.

4.5 What Is Negotiable?

This is perhaps the most signi fi cant question of all. The answer, of course, is that the limits on negotiation , i.e. what can and cannot be negotiated, will vary from circumstance to circumstance. It is essential, from the onset of any col-laborative venture or discussion, that both parties understand what is and what is not negotiable. The worst possible mistake is to give stakeholders the impres-sion that something is negotiable only for them to fi nd out later that it is not. Unfortunately, this happens all to often, usually when, albeit with the best of intentions, managers or planners rush into consultation with stakeholders before they have taken the time to understand for themselves what constraints may be imposed on their ability to negotiate or compromise. Probably the best examples come from statutory sites where managers have a legal obligation to protect the qualifying features. For example, there is a legally imposed obligation to obtain and maintain Favourable Conservation Status for all Natura 2000 sites, and this obligation has been extended to include Ramsar sites. Clearly this is not negotiable: there are no choices or decisions that can be shared with others. However, the way in which a site is managed should be negotiable. Sometimes, but not always, there will be several different management options. The most likely penalty of com-promise is that management will be less ef fi cient or it will take longer to achieve the desired results.

Whenever there is a case for involving stakeholders in the planning process, the fi rst stages in the plan should be drafted before making any formal contact. The legal status of the site, along with any other legal obligations and constraints, must be clearly understood. As far as possible, the information that is relevant to planning should be collated, and any gaps that might be fi lled with information from stake-holders should be identi fi ed. The objectives should be drafted and the extent, if any, to which they may be modi fi ed is noted. The full range of potential management options should be identi fi ed. Taken together, this information will provide the basis for shared decision making.

474.6 The Stakeholder Section in a Plan


So far in this chapter I have very brie fl y considered the involvement of stakeholders in site management and then, in greater detail, I have discussed their involvement in preparing a plan. Stakeholder and community interests can have considerable implications, both positive and negative, for site management, and they can impose signi fi cant obligations on the site manager. Public interest, at all levels, must be taken into account. Conservation managers must recognise that other people may have many different, and sometimes opposing, interests in the site. It is essential that these interests are safeguarded wherever possible. There may be a justi fi able need for compromise, providing, of course, that the prime objectives of management are not jeopardised. Maintaining communication and, whenever necessary, consultation with stakeholders is essential, at the very least to keep them informed of any devel-opments that may affect them. In order to safeguard wildlife successfully, conserva-tion managers need to adopt a fl exible approach that will allow them to respond to the legitimate interests of others, to adapt to the ever-changing political climate, to accommodate uncertain and variable resources, and to survive the vagaries of the natural world.

For these reasons, the Conservation Management System Consortium planning guides (Alexander 2000, 2005 ) recommend, and provide guidance on, preparing a section in a management plan which deals explicitly with stakeholder relationships. This is such an important consideration that it deserves the same attention as any other area within the plan. Site managers must organise or plan their involvement with stakeholders: simply responding and taking remedial action when things go wrong is not good enough. Relationships must be established and maintained. This takes time and effort, and it should be planned. This is a very simple section to com-plete, but the planning principles used in all other sections of the plan are just as important here. It is only possible to identify activities when we know what we are trying to achieve. This means that a plan should contain an objective for stakeholder relationships, followed by the activities that are necessary to meet the objective.

When preparing a plan for isolated, remote sites where there are few, if any, people and little external interest, this section can be dealt with in a few paragraphs, but for some sites with sizeable resident populations, or sites surrounded by densely popu-lated areas, this section can be larger than the rest of the plan. As is the case for all sections in the plan, this section should be as large as it needs to be and no larger.

4.6.1 Description/Stakeholder Analysis

A stakeholder analysis is simply a systematic approach to identifying all relevant stakeholders. The information will later be used to prepare an action plan which will de fi ne the circumstances when the stakeholders will be consulted and how they should be involved. All stakeholders or groups of stakeholders will require attention at some time, but usually not all at the same time or for the same purpose.


All the stakeholders must be identi fi ed. One way of doing this is to consider the reasons for wanting or needing to engage with stakeholders, and also why they would want or need to be contacted. Earlier in this chapter, I gave examples of different ways in which organisations de fi ne or categorise stakeholders, and recommended that categorisation should be tailored to meet the requirements of an organisation or of any speci fi c situation. The Rientjes ( 2000 ) approach is a good general guide to this process. Stakeholders are divided into three groups, each with different interests. Regardless of how the stakeholders are divided, each category can comprise:

Professional staff from various organisations, including businesses. – Representatives of organised groups: these can be local or national, for example, –a fi shing society, county wildlife trust or community council. Individuals. –

The following is a modi fi ed version of the Rienjes approach:

Primary stakeholders

Stakeholders whose permission, approval or ( fi nancial) support is required. (This –will include statutory consultees.) Stakeholders directly affected by site management. – Stakeholders who will bene fi t. – Stakeholders who will suffer loss or damage. –

Secondary stakeholders

Stakeholders who are indirectly affected. –

Tertiary stakeholders

Stakeholders who are not directly involved, but can in fl uence opinion. –

Once the stakeholders have been identi fi ed, the following information should be recorded:

The most appropriate means of communicating with each individual or group. – The sort of engagement they require, if any. – Their contact details (or, when dealing with a group, details of a representative). – How they want to be contacted, for example, mail or email. – Their interests or the issues they want to be involved in. – Their relationship with the protected area. (This will include an extremely diverse –range of interests, for example, dog walking, bird watching, fi shing, grazing or other agricultural rights ).


4.6.2 Objectives for Stakeholders

Please note: a fuller account of preparing objectives is included in Chapter 15 . The relationships that organisations choose to have with stakeholders are entirely

a consequence of their policies. A simple objective for relationships with stakehold-ers and the local community could be to achieve a state where:

Mutual understanding, co-operation and respect optimise bene fi ts for stakeholders and make a positive contribution towards protecting the site.

This is possibly too universal, i.e. it could be applied more or less anywhere. An objective, in this context, is a simple statement of the ideal state for relationships with stakeholders. It may not be an obtainable state in the short term, but it will provide a consistent direction for all developments in this area.

4.6.3 Performance Indicators and Monitoring

In common with all objectives, there must be some means of measuring achieve-ment. It is not an easy task to select performance indicators that will measure the quality of relationships with stakeholders. One obvious approach is to identify a series of monitoring projects to ensure compliance with any management projects

Fig. 4.1 Stakeholder involvement

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identi fi ed in the rationale. For example, the rationale could identify the need to contribute towards the provision of environmental education in the local schools. This activity must be planned, and a compliance-monitoring project identi fi ed, to ensure that the work is carried out as required. Monitoring compliance will tell us that a planned action has taken place, but it will not enable any evaluation of how effective the action has been towards meeting our objective of improving relation-ships with the community. It should, however, be possible to make direct, though possibly subjective, measurements. For example, it may be possible to gauge stakeholder opinion by recording the number of complaints or compliments received and noting any trends. Informal liaison will provide a proactive approach. It may even be appro-priate, in some circumstances, to use formal interview or questionnaire techniques.

4.6.4 Status and Rationale

This section is concerned with justifying the allocation of resources and time to obtaining and maintaining good relationships with stakeholders. The fi rst step is to consider the implications of status. Status is quite simply the difference between what we want and what we have. If relationships are excellent, where excellent is de fi ned by the objective, then any current management activities are probably appro-priate. Conversely, if relationships are poor a change of management is required.

The rationale is concerned with identifying and describing, in outline, the manage-ment activities considered necessary to obtain and maintain an appropriate relationship with stakeholders. Management activities may include, for example, liaison, provision of environmental education, consultation, compensation and direct aid. Given that managers should always seek ways of improving relationships and involving stakeholders, there are two key questions which should guide this section:

What opportunities are there to obtain bene fi ts for the site and its wildlife by –improving community relationships? How can local people bene fi t from the presence of the site? –

4.6.5 Management Projects

This section is a continuation of the rationale in which the need for, and the nature of, possible management has been discussed. The function of this section is to describe in detail all the individual projects that must be carried out in order to meet the stakeholder objective.

Planning Individual Projects (See Chapter 17 )

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51References

Recommended Further Reading

Borrini-Feyerabend, G., Kothari, A. and Oviedo, G. (2004). Indigenous and Local communities and Protected Areas: Towards Equity and Enhanced Conservation. IUCN, Gland, Switzerland & Cambridge, UK.

Eagles, P. F. J., McCool, S. F. and Haynes, C. D. A. (2002). Sustainable Tourism in Protected Areas: Guidelines for Planning and Management. IUCN Gland, Switzerland and Cambridge, UK.

Eurosite (2002). Report on the 67th EUROSITE Workshop – Nature Management Planning and Stakeholder Involvement . Eurosite, Tilburg, The Netherlands.

Ramsar Convention Bureau. (2000). Ramsar Handbooks for Wise Use of Wetlands. Ramsar Convention Bureau, Gland, Switzerland.

Thomas, L. and Middleton, J. (2003). Guidelines for Management Planning of Protected Areas. IUCN Gland, Switzerland and Cambridge, UK.

References

Alexander, M. (1994). Management Planning Handbook. Countryside Council for Wales, Bangor, Wales.

Alexander, M. (1996). A Guide to the Production of Management Plans for Nature Conservation and Protected Areas . Countryside Council for Wales, Bangor, Wales.

Alexander, M. (2000b). Guide to the Production of Management Plans for Protected Areas . CMS Partnership, Aberystwyth, Wales.

Alexander, M. (2005). The CMS Guide to Management Planning . The CMS Consortium, Talgarth, Wales.

Borrini-Feyerabend, G., Kothari, A. and Oviedo, G. (2004). Indigenous and Local Communities and Protected Areas: Towards Equity and Enhances Conservation . IUCN, Gland, Switzerland and Cambridge, UK.

Caldwell, N. and Evison, S. (2005). The role of National Nature Reserves in the Countryside Council for Wales’ Approach to Stakeholder Involvement. Unpublished report, Countryside Council for Wales, Bangor.

Eurosite (1999). Toolkit for Management Planning. Eurosite, Tilburg, The Netherlands. Idle, E. T. and Bines, T. J. H. (2005). Management Planning for Protected Areas, A Guide for

Practitioners and Their Bosses. Eurosite, English Nature, Peterborough, UK. NCC (1981). A Handbook for the Preparation of Management Plans for National Nature Reserves

in Wales. Nature Conservancy Council, Wales, Bangor, UK. Margoluis, R. and Salafsky, N. (1998). Measures of Success: Designing, Managing, and Monitoring

Conservation and Development Projects . Island Press, Washington, DC. NCC (1983). A Handbook for the Preparation of Management Plans. Nature Conservancy Council,

Peterborough, UK. NCC (1988). Site Management Plans for Nature Conservation, A Working Guide. Nature

Conservancy Council, Peterborough, UK. Ramsar Convention Bureau (2000). Ramsar Handbooks for Wise Use of Wetlands. Ramsar

Convention Bureau, Gland, Switzerland. Rientjes, S. (2000). A Practical Guide for Communicating Nature Conservation . European Centre

for Nature Conservation, Tilburg, The Netherlands. Thomas, L. and Middleton, J. (2003). Guidelines for Management Planning of Protected Areas.

IUCN Gland, Switzerland and Cambridge, UK.

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