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Annex 11 : Identification of actions that facilitate the use of selected criteria and indicators to assess participation in national forest programmes

 Phase I


Activate the actors (potential and existing)


Who was absent before and is engaged now?

Who was least heard before and is engaged now?

Actors clearly recognize their interest

Active actors (of activity)

New actors identified

Actors recognize their role(s)

Initiating actor (s) make others aware of potential goal/priority conflicts

Steps or mechanisms

The Government provide a clear sign of interest to support nfp process

Any actors who can provide funds can de facto initiate the process, and make problem identification

Make use of science (University, research institution) for problems identification

Universities can initiate the process,

stakeholders analysis, interviews

approach the Government

conduct inception workshops, contact the Media

Start with a wide invitation to the process

Conduct a good analysis of stakeholders/issues/interestŕ recognition of interest by the different stakeholders

Allocate time and space for discussion, problem analysis and dialogue

Early identification and clarifications of roles

Assessment of capacities



Actors who need to be involved are! 


All HI/HP included

Most HI/LP

Most LI/HP involved

Process is comfortable for the newcomers

Directly affected actors are engaged and committed to the process


Steps or mechanisms

Make use of reporting system and facilitation to draw out less powerful groups (relationships)

Ensure dissemination of information, including informing all the stakeholders on who is participating (give them a reason to participate)

Clarify the cost/benefit of non participation

Include key actors for implementation since the beginning

Design a participation process, including feedback mechanism/documentation process (who, which level, for what)

Ensure resources availability

Ensure that the representative taking part to the process are really speaking oh behalf of their groups (have feed back mechanism/ statement, tec)

Ensure a continuous dissemination of results (interim/ final)



Awareness of the Process


Public opinion on the NFP process and SFM

What is in the media

Steps or methods

Clarify the objectives of the process

Provide information/news to the public opinion which shows the links between the nfp the development programme for the country.

Wider intersectoral approach: link nfp to poverty alleviation strategy/intersectoral issues


Phase II


Long term incentives for participating are clear to stakeholders

Stakeholders are not marginalized in the process

Contribution of stakeholders are integrated and debated


Level of commitment of stakeholder

Level of influence in final decision making

Steps or mechanism

Records of participation of specific stakeholder

Actions taken by stakeholders

Institutuionalization of stakeholders

Tracking origin of recommendations




Fair Representations


# or % of stakeholder categories/groups participating

% of stakeholder group member satisfied with their group input

% of stakeholder representation satisfied with outcome of analysis/ strategy and action plan

Steps or mechanisms

Identfiy stakeholders through meetings with Forest Service, Major Environmental NGOs, donor community

Inform public and potential stakeholders of the process through popular communication forms/ media

Identify geographic areas with major concentration of stakeholders

Talk to Chief/Mayor (Area/ Municipal, District) to invite village/community leaders (men and women) religious/ indigenous representatives to working groups. (Select representatives)

Additional facilitate a # of PRAs at the village level

Identify topics of the nfp in preliminary analysis:


Relation forestry sector to land husbandry, biodiversity


Management of national forest



Organize meetings with interested groups. Depending on the country, this would take place at district or national level.

Feedback strategy and planning to Representatives of stakeholders, including the ones from Area/District levels.

For fair representation an “independent facilitation unit” is needed

How to monitor/measure:

Benchmark: minutes meetings (step, 4,5,6)

# stakeholder categories identified (step 1)

Mechanism = feedback sessions (step 7)



Criteria – Stakeholders are kept involved in the process to comment and influence decision-making

Indicator:  Adequate feedback mechanisms in place

Steps or mechanisms

Plan and ensure consultation with previously involved stakeholders

Define procedures for the feedback (both ways - reporting, action planning, further engagements)



Realistic and comprehensive information is generated in the process

Local recommendations are documented


Locally organized meetings in all administrative units

Minutes of local workshops

Field information complemented with available expertise

Synthesis report on the result of the process

Steps or mechanisms

Develop format for reporting outcome of local meetings

Develop a matrix to assess the current state of knowledge on specific issues

Define and agree with steering committee the structure of reporting


Criteria – Adequate financial support

Indicator:  Increased proportion of domestic funding

Steps or mechanisms

Line ministry participates in budget negotiations/ allocation

Ring fencing budget allocated

Flexibilty (carry over funds over years, timing of funding according to necessity) in budget delivery – including target recipients, e.g. NGOs, civil groups

Proper business planning


Indicator: Innovative funding

Steps or mechanisms

Land taxation

Develop payment for environmental services (forest schemes, e.g. marketing alternative functions of the forest, e.g. water, NTFP, etc. for watershed management)



 Criteria: Stimulate motivation

Indicator: Level of engagement

Steps or mechanisms

Identify specific benefits for targeted participants (and communicate)

Identify obstacles for participation and deal with them

FEEDBACK mechanisms for social learning based on shared experiences

FEEDBACK system to check validity of contributions to the NFP process  (feedback on how contributions have  been taken up ) … no “broken hopes…”


Criteria: Existing capacity for effective participation


# training sessions in participatory methods

# of participants voluntary involved in stakeholder meetings

Steps or Mechanisms

Curriculum development in participatory forestry at Universities, technical forestry schools, institutions: Also economics, ….

Tailored materials, tools plus methodologies to specific audience – conflict management, policy, law, regulations

Contract local expertise to facilitate training process

Facilitators trained, prepared in nfp elements to reach hi interest, low power groups

Develop an information mechanism that can reach/link together the stakeholders – state clear objectives at the start for provision/identification of incentives to participate fully

Proper evaluation feedback to re-included in training.


Criteria: Various Communication Approaches

Guidelines/ mechanisms shared by most partners

Existence of effective communications strategy

Sustained participation and feedback mechanism


stakeholders able to explain objectives of nfp process

70% of stakeholders have access to relevant information

Steps or mechanisms

A1. Develop clear guidelines for the process in a participatory manner

A2. Make guidelines available to all stakeholders

A3. Revisit and review periodically the purpose of nfp


B1.  Organize short but frequent meetings

B2.  Provide simple and regular progress update

B3.  Multidirectional flow of information


C1.  Initiate and maintain horizontal relationships

C2.  Focus on meeting real needs of involved people

C3.  Vertical relationships should be kept at a minimum and accountability should be downwards.


Phase III – Programme Development


Criteria:  Stakeholders committed to the nfp process

Indicator 1.1 Level of endorsement of the Forest Policy Statement (FPS)


Number of written expressions of endorsement and

Category of organizations – government, local bodies, NGOs


Indicator 1.2 Extent of FPS implementated in organizations’ programmes


Published programmes indicate expressed Forest Policy Statement

Assessment of the activities implemented (Annual Reports)


Indicator 1.3  The extent of change in organization’s programmes reflecting Forest Policy



Comparative analysis of annual reports and other commentaries


Indicator 1.4   The level of investment


                        Analysis from annual reports and other reports


Indicator 1.5  The revenues collecgted by the government from the forestry industry increased.


Analysis of tax returns, finance ministry reports


Corrupt Administration of Forest Licences


Criteria: Transparency in Programme Development


Adequate assessment of stakeholders; interests and power and relationship

How:  Institutional profile


Expert analysis accessible format:  (scale, nature, impact of problem and options for change)

How:  Policy brief, documentation, other medias


Facilitated dialogue on options and issue

How:  Minutes of the events (processes)


Publicity on results of debate and dialogue

How:  Media program




Criteria:  Access to the process


Each actor knows where to access the process (different actors, different access points)

How: clear formulation of responsibilities/ access points (accountability)


Trust in having concerns and proposals addressed

How: minutes… documentation – feedback reported and accessible



Are there parallel informal and formal communication process

How: number plus types of actors/ importance of these in communication



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