Three Foundational Research Papers
The following three published research papers form the foundation for the book (see attachments):
Gruber J. S., Key Principles of Community-Based Natural Resource Management: A synthesis and interpretation of identified effective approaches for managing the commons, Environmental Management, January 2010. 45:52-66
Gruber J. S., Characteristics of Effective and Sustainable Community Based Natural Resource Management: An Application of Q Methodology for Forest Projects, Journal of Conservation and Society, 9(2): 159-171, 2011
Gruber, J. S., Rhoades, J. L., Simpson, M., Stack, L., Yetka, L., and Wood, R. Enhancing Climate Change Adaptation: Strategies for community engagement and university- community partnerships. Journal of Environmental Studies and Sciences, 7:10-24. (2017)
Gruber J. S., Key Principles of Community-Based Natural Resource Management: A synthesis and interpretation of identified effective approaches for managing the commons, Environmental Management, January 2010. 45:52-66
Gruber J. S., Characteristics of Effective and Sustainable Community Based Natural Resource Management: An Application of Q Methodology for Forest Projects, Journal of Conservation and Society, 9(2): 159-171, 2011
Gruber, J. S., Rhoades, J. L., Simpson, M., Stack, L., Yetka, L., and Wood, R. Enhancing Climate Change Adaptation: Strategies for community engagement and university- community partnerships. Journal of Environmental Studies and Sciences, 7:10-24. (2017)
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Annotated Table of Contents
Foundation of the Book
This book will be based on and organized around 12 Guiding Principles linked with effectively practicing community-based natural resource management in local governments and indigenous groups (Gruber 2008 and 2010). These principles were identified as being essential to supporting long-term effective and sustainable local communities. Developed in 2008 as part of international research for a doctoral dissertation, they have since then been taught and applied to assisting local communities in their efforts to enhance conservation, local livelihoods, and social vitality in the US, Eastern Europe and Ecuador. They draw upon adaptive leadership and collaboration skills. These types of skills are defined and clarified by many of the 12 principles. The principles include successful approaches and strategies for communication and facilitation, conflict resolution, negotiation, managing and facilitating multiparty stakeholder processes, adaptive management, managing complexity, participatory decision making, building local community capital, and many other local community leadership and management skills. In general, many of these principles were shown to transcend a wide range of local cultures and economies and appear to be trans-cultural. The research that developed these principles was inspired and envisioned during my participation in a 1998 international conference in DC that was led by the late Elinor Ostrom, Noble Laurent. The principles were developed from a total of 23 published research projects and 24 case studies. These were analyzed and additional follow-up case studies were undertaken that ended up including local sites in 25 counties located in 5 continents (Gruber 2008).
Book Overall Outline
The book will include 14 chapters with an estimated length of 250-300 pages. It will include an introductory chapter that discusses the critical needs of our domestic and international communities that include growing their community leadership capacity. It will also introduce the 12 guiding principles for building healthy and sustainable communities. Chapters 2 through 13 will each cover one guiding principle. Each will start will an approximate 4-page discussion of the principle. The key points that will be covered are shown below under each of these chapter outlines. These are from previous research published in the Journal of Environmental Management (Gruber 2010). Each of these 12 chapters will have one case study that illustrates this principle in the US and one case study from an international community. The case study will also highlight other principles that were involved. It will be essential that each case study shares specific effective approaches on how this community moved towards thriving. Each case study has a standard six-part format and will be approximately 8 pages long. The format is:
- Prologue (one page focusing on the principle that will be illustrated)
- Introduction to case study with location map and photo
- General overview and initial presenting situation
- Goals, approach, and challenges (with Key Principles shown as a letter(s) in parenthesis)
- Outcomes (with 1 or 2 photos)
- Reflection on Principle #x and this case study
Annotated Table of Contents
Preface
Introduction: This introduction will describe how these 12 guiding Principles were developed through an analysis of successful local initiates in 27 countries from 5 continents and have been put into practice in the US and other countries. (2 pages)
Chapter 1: Challenges of our Communities, Growing Local Leadership, and the 12 Guiding Principles for Helping Local Communities Thrive. (15-20 pages)
This chapter will briefly identify the types of challenges that many local communities are now experiencing. Local communities are not just local governments but include groups of individuals that are working together for the common good such as a neighborhood group, an indigenous community group, or a neighborhood non-profit. It will describe and give examples of effective community leadership, both formal and informal, in communities which have practiced adaptive leadership and collaborative problem solving. The 12 Guiding Principles will be briefly reviewed along with the research upon which they are based. The chapter will conclude with laying out the remainder of the book.
Chapter 2: Principle A – Embrace Public Participation and Mobilization of Stakeholders (20 pages total)
Introduction to the key components of the principle: (4 pages)
- Effective public participation is integral to all forms of healthy and sustainable communities and other community-based environmental initiatives.
- Public participation processes should empower citizens and raise knowledge levels.
- Public participation will directly impact public trust, confidence, and legitimization.
- Seek diversity of stakeholders including citizens, NGOs, local and regional governments, private sector and those with programmatic, operational, scientific, and legal knowledge.
- Provide for participation of stakeholders at all stages: information gathering, consultation, visioning and goal setting, decision making, initiating action, participating in projects, and evaluation.
US Case Study: (8 pages including location map, photographs, and relevant table/figure). Format: (see above)
International Case Study (8 pages including location map, photographs, and relevant table/figure). Format: (see above)
Chapter 3: Principle B – Build Social Capital and Collaborative Partnerships (20 pages)
Introduction to the key components of the principle: (4 pages)
- Networks and partnerships are integral to building social capital and serve as a catalyst to finding innovative strategies and solutions.
- Collaborative partnerships are key to leveraging resources and supporting implementation.
- Stakeholder trainings, workshops, and other collaborative learning opportunities can build social capital and commitment.
- Seek agreement among key environmental NGOs, governments, and private sector to work collaboratively and to share resource and responsibilities.
- Ownership by community members and other stakeholders enhances design, implementation, and operation, support cohesion, and encourages long-term commitment.
US and International Case Studies: Format same as previous (16 pages)
Chapter 4: Principle C – Sustainably Manage Natural Resources and Promote Equitable Distribution of Benefits (20 pages)
Introduction to the key components of the principle: (4 pages)
- Environmental justice is a social imperative that includes recognizing local values.
- Seek to improve (or minimize negative effects upon) the local economy.
- Recognize need for linkages between conservation and local economy based upon equity, local needs, financial and environmental sustainability.
- Seek equitable and fair distribution of local benefits, potentially including compensation for protecting natural resources.
- Regulated access to natural resources and graduated sanctions can help ensure equity.
US and International Case Studies: Format same as previous (16 pages)
Note: International case study completed for this chapter:Communal Forest, Ixtlán de Juárez, Oaxaca, Mexico
Chapter 5: Principle D – Support Open Communication and Information Dissemination (20 pages)
Introduction to the key components of the principle: (4 pages)
- Well designed communication systems provide information sharing that support multiple social networks and raise level of knowledge and awareness.
- Linkages are provided between different information and knowledge systems to support learning, decision making, and change.
- Effective communication supports openness and transparency.
- Promote information sharing between experts and non-experts though multiple approaches including: seminars and workshops; printed, electronic, and mass media; and projects.
- Explicitly state expectations and limits
US and International Case Studies: Format same as previous (16 pages)
Chapter 6: Principle E – Promote Research and Information Development (20 pages)
Introduction to the key components of the principle: (4 pages)
- There is a common information base that is accessible and useful.
- Decisions should be based upon a broad but systematic body of information.
- Integrated information includes technical, scientific, social, quality-of-life, economic, and other forms of local knowledge including indigenous experiential knowledge.
- Economic evaluation of environmental assets is a valuable information base.
- On-going research is necessary to improve upon existing solutions including a role for community members in collection of scientific information.
US and International Case Studies: Format same as previous (16 pages)
Chapter 7: Principle F – Enhance Decision-Making Through Devolution of Authority and Empowerment of Community Members (20 pages)
Introduction to the key components of the principle: (4 pages)
- True sharing of power and responsibility (devolution of authority and responsibility) between government authorities, community groups, and the wider community with enhanced local decision making and improves outcomes.
- Most individuals affected by environmental rules and regulations, including those who are often marginalized, should be included or represented in the group who make or modify the rules.
- There are nested, multiple layers of governments and enterprises related to role/activities of decision making, appropriation, monitoring, enforcement, conflict resolution, and governance.
- Devolution of control and decision-making significantly changes the relationship between central governments and rural/regional areas and if done effectively can engage and build commitment of local community members.
- Establishing clear rules, procedures, and regulations can empower the local community.
US and International Case Studies: Format same as previous (16 pages)
Chapter 8: Principle G – Work to Earn Public Trust and Legitimacy (20 pages)
Introduction to the key components of the principle: (4 pages)
- Work must be viewed by community as legitimate to build community trust.
- Local leaders are integral to efforts in establishing trust and credibility.
- Support by local elected officials will build trust and legitimacy.
- Participatory approaches to problem solving and decision making are critical to building legitimacy.
- Transparency in activities, including decision making, supports the building of trust.
US and International Case Studies: Format same as previous (16 pages)
Note: US case study completed for this chapter: Communal Forest, Randolph Community Forest, New Hampshire, USA
Chapter 9: Principle H – Improve Effectiveness Through Monitoring, Feedback, and Accountability Systems (20 pages)
Introduction to the key components of the principle: (4 pages)
- Tight feedback loops are supported by openness, transparency, monitoring, mutual accountability, collaboration, and power sharing between the stakeholders and partners
- Effective feedback systems, including feedback from social networks, allow for opportunities to learn from mistakes, uncertainty, and crises.
- Local appointed or elected representatives of communities must themselves be accountable to their constituents if community-based conservation is to be responsive to the community.
- The performance of those who make decisions should be periodically reviewed by those that are affected by the decisions.
- The social and technical capacity for monitoring, evaluating, responding, and enforcement is necessary for effective and dynamic systems.
US and International Case Studies: Format same as previous (16 pages)
Chapter 10: Principle I – Practice Adaptive Leadership and Co-Management (20 pages)
Introduction to the key components of the principle: (4 pages)
- A robust social-ecological organization is designed and supported to be a learning organization that supports adaptive capacity.
- A learning organization and an optimum management system are resilient to perturbation, with an ability to cope with external shocks and rapid change.
- Adaptive Co-Management and Adaptive Leadership are dynamic and focused on processes rather than static structures.
- Adaptive Co-Management approaches include roles for local government, local community members, NGOs, and private institutions and decision making inclusive of people affected by and knowledgeable of the issues.
- An effective Co-Management approach engages, trains, and mobilizes community member in the work of the organization.
US and International Case Studies: Format same as previous (16 pages)
Chapter 11: Principle J – Enable and Support Participatory Decision-Making Processes (20 pages)
Introduction to the key components of the principle: (4 pages)
- Effective participatory problem solving and decision making is enabled by a well- structured and facilitated dialogue involving scientists, policy makers, resource users, practitioners, and community members.
- Decision making is informed by analysis of key information about environmental and human-environmental systems including life aspirations of local people.
- It is vital to create a shared holistic vision/plan that anticipates probable environmental, social, and economic outcomes.
- The policy creation process should include a wide range of key expert and non-expert constituency/community groups at the table.
- Participatory problem solving should provide opportunities for the sharing of knowledge and collaborative learning about social-ecological systems.
US and International Case Studies: Format same as previous (16 pages)
Chapter 12: Principle K – Strengthen Enabling Conditions (20 pages)
Introduction to the key components of the principle: (4 pages)
- Community has or needs a strong local social structure, common interests, and shared norms in which divisions are not too serious or disruptive of cooperation.
- There are clearly defined boundaries of the resource system.
- The public is unsatisfied with the status quo but is not feeling hopeless.
- Citizens/stakeholders are willing to participate due to high sense of community and/or dependency on the local natural resource.
- There is adequate support and investment of financial and other resources to support transitional costs.
US and International Case Studies: Format same as previous (16 pages)
Chapter 13: Principle L – Anticipate Conflict and Work Towards Resolution and Cooperation (20 pages)
Introduction to the key components of the principle: (4 pages)
- Difficult realities and conflicts are inherent in community-based social-ecological systems.
- Plan for and develop capacity and strategies for conflict management and resolution at the time of initiation of a community-based social-ecological initiative.
- Recognize the central role of institutions outside of the Community-Based organization in providing mediation of environment-society conflicts.
- Work to transcend organizational rivalry and competition between organizations or stakeholder groups.
- Design participatory decision-making processes that promote dialogue and reduce factionalism.
US and International Case Studies: Format same as previous (16 pages)
Chapter 14: Leadership and Strategies for Engaging a Community and Supporting Change (10 -15 pages)
This final chapter will draw upon the strategies for community engagement that are based upon 30 years of US and international consulting in the community capacity building and described in a paper on climate change adaptation (Gruber, J. S., et al. 2017). The strategies described go far beyond climate change that was the focus of that paper and are applicable to many other community change initiatives. This chapter will share successful approaches for collaborative planning that are described, in part, within many of the principles. It will conclude by laying out a challenge to the reader to take on leadership roles within their community.