Impact Assessment Series IA paper 06 Citizen participation in managing water Do Conversatorios generate collective action? Diana Córdoba Douglas White About the CPWF Impact Assessment Series (IAS) The Impact Assessment Series (IAS) provides an outlet for the publication of articles on all aspects of monitoring, evaluation and impact assessment in the CPWF. The audiences for the Impact Assessment Series include CPWF donors who wish to see peer-reviewed impact assessments; CPWF staff who wish to learn from previous experience; and people working for other research for development programs who wish to learn from the CPWF’s approaches, both from what is working and what is not. 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Any views expressed in this publication are those of the authors. They do not necessarily represent the views of CPWF, the authors’ institutions or the financial sponsors of this publication. Citation Córdoba, D. and D. White. 2011. Citizen participation in managing water: Do Conversatorios generate collective action? An outcome evaluation of the CPWF project: Sustaining Collective Action Linking Economic and Ecological Scales in Upper Watersheds (SCALES/PN20). Colombo, Sri Lanka: CGIAR Challenge Program for Water and Food (CPWF). 66p. (CPWF Impact Assessment Series 06). Editing by Kingsley Kurukulasuriya Design and layout by Thomas Meadley Cover photo: CPWF and WWF - Participants of the CAC, Fuquene, Cundinamarca, Colombia. 2011.04.22.CPWF WP-IAS-08.draftv3 Impact Assessment Series 06 Citizen participation in managing water Do Conversatorios generate collective action? Diana Córdoba Douglas White 2011.04.22.CPWF WP-IAS-08.draftv3 Acknowledgements ACKNOWLEDGEMENT OF THE PROJECT This paper is an Outcome Evaluation of the CPWF Project: Sustaining Collective Action Linking Economic and Ecological Scales in Upper Watersheds (SCALES/ PN20). AUTHORS’ ORGANIZATIONS CPWF DONORS Enabling poor rural people to overcome poverty 2011.04.22.CPWF WP-IAS-08.draftv3 Table of contents Abbreviations and acronyms v Executive summary vi Introduction 1 The SCALES project 2 Conceptual framework 4 Conversatorios of Citizen Action (CAC) 6 Evaluation methodology 10 Interviews and social network analysis 11 Participatory video 12 Semi-structured interviews 12 Review of secondary data 13 The Coello watershed 14 Project partners and participants in Coello 18 Overview of the CAC process in Coello 19 Evaluation of outcomes 24 Outcome 1: Increased awareness of water issues 24 - Changed perceptions and attitudes of watershed residents 24 - Improved understanding of environmental externalities 25 Outcome 2: Stronger links amongst community environmental organizations 26 Outcome 3. Enhanced local capacities and relationships with authorities 28 - Committees empowered 29 - Recognition and appreciation of the role of women 30 - Empowerment of a key local NGO (Semillas de Agua) 31 - Increased public agency participation 32 Outcome 4: New priorities and commitments for environment-friendly land uses 34 - Community commitments 34 - Organizational commitments 35 Discussion 37 Factors influencing the success of the CAC process 37 1. Local leadership 37 2. Prior collaborative experiences on projects 38 3. Effective capacity-building and awareness-raising 38 4. Supportive political and socioeconomic context 40 Conclusions 25 Summary of findings 41 Costs and benefits 43 Generation of international public goods 43 Next steps 44 Lessons 44 Semi-structured interviews (list of participants) 45 References 46 Appendix 1. Most significant change story 48 Appendix 2. Agreements reached during the CAC meeting 50 CPWF Working Paper - Impact Assessment Series No. 06 iii 2011.04.22.CPWF WP-IAS-08.draftv3 Figures Figure 1. Conceptual framework: Multi-scale collective action in watershed management 4 Figure 2. Watershed interactions: Context, action arena, and outcomes 5 Figure 3. CAC phases, participants and expected outcomes 6 Figure 4. SCALES impact pathways identified October 2006 9 Figure 5. Geographic location of Tolima Province and Coello River watershed 14 Figure 6. Network map of community, watershed and training links 27 Figure 7. Gender of participants linked together through the SCALES project 31 Tables Table 1. Summary of project information 2 Table 2. Funding provided, cash and in-kind (US$) 3 Table 3. Interview characterization: Participant groups and locations 11 Table 4. Coello watershed problems 17 Table 5. Project partners, experience and role in the Coello CAC 18 Table 6. Coello organizations and CAC participation 23 Table 7. Summary of project participation 25 Table 8. Type of social link and relation to project 26 Table 9. Links formed by the SCALES projects between different parts of the basin 26 Table 10. SCALES project experience/benefits per participant group 29 Table 11. Perceived problems at the watershed level 39 Table 12. Evaluation questions and answers 42 Boxes Box 1. The MSC story 10 Box 2. Better relationship between communities and organizations 28 Box 3. Public agency perspectives of the CAC and SCALES project 33 Box 4. Community perceptions of environment-friendly agricultural production 34 Box 5. Examples of organizational commitment 36 iv Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Abbreviations and acronyms ANDI Asociación Nacional de Empresarios de Colombia APACRA Asociación de Productores Agroecologicos del Rio Anaime (Association of Producers from the Anaime River Watershed) ASDES Corporación Asesorías para el Desarrollo CAC Conversatorio of Citizen Action CEMEX Cement Factory CIAT International Centre for Tropical Agriculture CONDESAN Consortium for the Sustainable Development of the Andean Region CORMAGDALENA Corporación Autónoma Regional deMagdalena CORPOICA Corporación Colombiana de Investigación Agropecuaria (Colombian Agency for Agricultural Research) CORTOLIMA Corporación Autónoma Regional del Tolima (the Departmental Development Corporation - Regional Environmental Agency of the Tolima Province) FARC Revolutionary Armed Forces of Colombia ICA Instituto Colombiano Agropecuario ICRAF International Centre for Research in Agroforestry (Kenya) IDEAM Institute of Meteorology, Hydrology and Environmental Studies IFPRI International Food Policy Research Institute INCODER Instituto Colombiano de Desarrollo Rural INGEOMINAS Colombian Institute of Mineralogy and Geology PAT Three-Year Action Plan R&D Research and Development SENA National Apprenticeship Service – Colombia UMATA Unidad Municipal de Asistencia Técnica Agropecuaria UNIANDES Universidad de los Andes USOCOELLO Water Users’ Association of Coello WWF World Wildlife Fund CPWF Working Paper - Impact Assessment Series No. 06 v 2011.04.22.CPWF WP-IAS-08.draftv3 Executive summary People in the Coello watershed confront water problems that affect their livelihoods. Contamination and deforestation are two major causes of water resource degradation, in terms of both water quality and flow regulation. Specifically, fertilizer contamination of water supplies and sedimentation of waterways negatively affect downstream A central challenge for effective watershed communities. The watershed also faces competition management is improving the welfare of residents who for water supplies. Water is extracted from natural live in upper catchments while providing adequate waterways for both rural irrigation and urban environmental goods and services to people and household consumption. areas downstream. A CPWF project, Sustaining Collective Action Linking Economic and Ecological A CAC is more than a large meeting to talk and Scales in Upper Watersheds (SCALES), addressed make decisions. The CAC is a four-phase process this challenge in three sites.1 This document is an that enhances the effectiveness of local participation: evaluation of a project activity that intended to (1) awareness-raising, (2) capacity-building and enhance collective action in one site: the Coello preparation (3) CAC implementation, and (4) review watershed of Colombia. and planning. The CAC mechanism has brought together diverse actors and fostered collective action Collective action can influence how people use across spatial and social scales. Many types of actors and manage natural resources. It is a process by which have participated, including local NGOs, upstream voluntary institutions (e.g., rules and regulations) and downstream community representatives, are created and maintained, often with the aim of politically important actors (at municipal, provincial improving human and environmental welfare and, and national levels) and scientific experts in research especially for water resources, it typically involves and development (R&D). a broad range of stakeholders who control, use and benefit from water. Examples of stakeholders include The objective of this review is to evaluate the government, private businesses, landowners, farmers, impact of the CAC process. Evaluation methods and city dwellers. included analysis of SCALES project reports and documentation on impact pathways, interviews and The SCALES project researched and fostered social networks. The intended project outcomes, as collective action. The Conversatorio of Acción identified by the project implementers themselves, Ciudadana (CAC) served as the collective action served as the starting point for the analysis. These mechanism to promote civil society participation in expectations were contrasted with identifiable public policy decisions. Supported by the Colombian project outcomes. A social network analysis reviewed constitution, the legal power of CACs enable contextual conditions, mechanisms of intervention, communities to discuss policies and reach agreements and processes that led to the project outcomes. The with government authorities. evaluation also analyzed interviews with project participants. Some interviews employed techniques of video data collection, where project participants 1 Nyando, Kenya; Fuquene, Colombia; Coello, Colombia. vi Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 interviewed key actors regarding their perceptions and 3. Enhanced local capacities and relationships with opinions of project outcomes and likely impacts. authorities. New knowledge helped clarify citizen rights, along with roles and responsibilities of Results of the project evaluation reveal that the organizations. The CAC generated dialogue CAC process effectively fosters collective action and, in turn, commitments of government in watersheds communities. Capacity-building organizations to work on issues raised by activities of the project contributed to communities communities. participating in meetings with multiple organizations 4. New priorities and commitments for environment- and making collective decisions. In addition, dialogue friendly land uses. The agenda of the CBOs, and networking activities increased organizational and NGOs and public-sector agencies broadened political support for communities and local NGOs. beyond water to include land uses such as This is an example of higher-level organizations (i.e., agriculture, power generation and forests. Specific subnational, national and international) working with development and conservation practices included lower-level organizations and communities; in other organic farming, waste management, forest words, cross-scale collaboration. management and reforestation. Key outputs of the CAC process included 27 Evaluation results show that the CAC process agreements with government authorities with financial has the potential to become an international public commitments of over US$2 million. These agreements good/method that can (a) facilitate community access included projects for conservation, resource to knowledge, technology and skills, and (b) enable management, agricultural production systems and them to participate in decision-making processes in potable water systems. managing water and other natural resources. Given the relatively short time frame between project and The project produced four outcomes: evaluation, impacts cannot be realistically assessed. 1. Increased awareness of water issues amongst Social change processes and associated impact people in the watershed. Distinct problems and require years to evolve and grow. Nevertheless, the experiences from the upper, middle and lower project activities and outputs have laid important areas of the watershed were shared. Better groundwork for longer-term economic, social and understanding of others’ perspectives provided environmental impacts. incentives for communities to jointly resolve problems and establish agreements. Although the CAC process benefits from the 2. Strengthened links amongst community and support of Colombian constitution, similar effective environmental organizations. The CAC provided collective action projects could be achieved in other a forum for community-based organizations locations despite not receiving such support. Civic (CBOs) and nongovernment organizations organizations (CBOs or NGOs) can influence (NGOs) to communicate and build support government decisions. As lobbying pressures and for their agendas with both communities and accountability for actions increase, government government agencies. Such interactions enabled agencies themselves will have greater incentive to organizations to establish partnerships and obtain perform. The CAC process connects the people with additional public-sector funds. authorities, thereby improving decisions and actions. CPWF Working Paper - Impact Assessment Series No. 06 vii 2011.04.22.CPWF WP-IAS-08.draftv3 viii Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Introduction The evaluation of collective action with the project, The report contains seven sections. Sustaining Collective Action Linking Economic and Ecological Scales in Upper Watersheds (SCALES), 1. The introduction summarizes the objectives and focuses on project activities within the Coello results of the SCALES project. watershed of Colombia. Serving as a means to 2. The second section presents the analytical advance project objectives, conversatorios of citizen framework and methodology of the adoption and action (CAC, the Spanish acronym) were organized cost-benefit analysis. and implemented. The CAC is both a discussion 3. Section three presents the biophysical and socio- forum and legal mechanism through which political context of the study site. communities can reach agreements with authorities 4. The fourth section describes the research and on specific issues of concern. development (R&D) process of the SCALES project. This evaluation is one of four commissioned by 5. Section five presents the results of the SCALES the ‘Adoption and Cost-Benefit Analysis Project’ of project evaluation, including the MSC, social the Challenge Program on Water and Food (CPWF). network and project influence analysis in the From the CPWF’s 50 plus projects, management and Coello Basin. Theme Leaders selected the four most noteworthy 6. Section six discusses the contribution of the CAC stories of most significant change (MSC). The in the generation of public goods and compares evaluations reviewed: the results of collective action research amongst the two study sites in Colombia. • PN10: Coastal Resource Management for 7. The conclusion identifies the lessons learnt and Improving Livelihoods areas for further research. • PN16: Developing a System of Temperate and Tropical Aerobic Rice The report also includes two appendices. • PN20: Sustaining Collective Action Linking Economic and Ecological Scales in • Appendix 1 contains the entire MSC story, and Upper Watersheds (SCALES) • PN28: Multiple Use Systems • Appendix 2 summarizes the commitments of public-sector agencies resulting from the The SCALES project researched a process of CAC meeting. natural resource management. The objective of this review is to evaluate the impact of the CAC process, the lessons learnt, how the mechanisms worked and in which contexts. CPWF Working Paper - Impact Assessment Series No. 06 1 2011.04.22.CPWF WP-IAS-08.draftv3 The SCALES project The SCALES project advanced R&D activities. In Table 1. Summary of project information addition to fostering collection action, the project examined development processes to draw lessons to Project Number CPWF PN20 share with project participants and increase global Project name Sustaining inclusive knowledge. Collective Action that Links across Economic The project goal, during its 3-year project period, and Ecological Scales was to contribute to poverty alleviation in the upper in upper watersheds (SCALES) watersheds of the tropics through improved collective action for watershed resource management within and Duration of project 3 Years, December 2005 across social-spatial scales. Specific objectives were to: – May 2007 • Understand how collective action can significantly Location of the project Nile and Andes reduce poverty, and identify the best forms Funding body CPWF of collective action to achieve such beneficial Funding amount from US$785,662 impacts. CPWF • Strengthen the participation of women, the Matching funds US$305,400 resource poor, and other marginalized groups in from participating the collective management of watershed resources. institutions • Improve the integration of collective action in Related CPWF projects Theme 2 - 50% natural resource management from local to the Theme 4 - 25% watershed levels. Theme 5 - 25% • Contribute to the development of professional Source: CPWF 2005. capacities that support collective action and poverty analysis within work activities conducted The SCALES project was funded through the in the watershed. CPWF-CIAT and the partners of the project. • Develop applicable policy tools, norms, and The budget requested from the CPWF-CIAT was recommendations for use within the Coello and US$238,506, with a further US$547,157 (cash and in- Fuquene watersheds and contribute a global kind) as matching funds from project partners. literature of collective action experience. In Table 2 a distribution of the budget by each In Table 1 a summary of project information is partner is presented. presented. 2 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Table 2. Funding provided, cash and in-kind (US$)   2005 2006 2007 Total CPWF 144,798 48,347 45,360 238,506 IFPRI 9,975 8,453 10,385 28,812 ICRAF 21,945 18,270 18,900 59,115 UNIANDES 30,577 50,274 36,309 117,160 MASENO 58,687 27,846 14,742 101,275 WWF 27,623 16,128 3,549 47,300 Humedales F., Fuquene NGO 10,000 10,000 5,250 25,250 Semillas de Agua, Coello NGO 30,397 25,000 0 55,397 SANA 12,000 17,000 41,000 70,000 CONDESAN 36,784 6,064 0 42,848 TOTAL 382,786 227,382 175,495 785,662 Note: IFPRI = International Food Policy Research Institute. ICRAF = International Centre for Research in Agroforestry (Kenya). UNIANDES = Universidad de Los Andes. MASENO = Maseno University. WWF = World Wildlife Foundation. SANA = Sustainable Aid in Africa International.. CONDESAN = Consortium for the Sustainable Development of the Andean Region. Source: CPWF 2005. La Vieja River, Quindío, Colombia, at the mouth of the Roble River CPWF Working Paper - Impact Assessment Series No. 06 3 Source: Wikipedia 2011.04.22.CPWF WP-IAS-08.draftv3 The following subsections summarize the action manages different types of water sources such conceptual framework of the project and describe the as springs, wells, potable water systems or small-scale CACs as applied in Colombia. irrigation schemes. Secondary and tertiary nodes represent higher-level social/organizational frameworks Conceptual framework of water management (e.g., subnational and national). The conceptual framework of the project proposes Between the primary nodes are upstream- that watershed management is an inherently multi- downstream externalities termed “water transitions” scale effort ( Johnson et al. 2006). Consequently, of different water characteristics such as quality, collective action around water management occurs quantity and availability. Management of such simultaneously at multiple scales. externalities may be possible via secondary organizational nodes that span two primary nodes, or Three types of nodes are used to represent scales via tertiary organizational nodes that cover the entire (Figure 1). Primary nodes represent physical locations watershed (Swallow et al. 2006). in a watershed. Within primary nodes, local collective Headwater Welfare ecosystems R Water eve transition rse fl Upland ows primary node Welfare Water transition Secondary Midland institutional primary Welfare node node Lowland primary Secondary node institutional node Tertiary institutional node: Lowland Basin, region, national and ecosystems international Figure 1. Conceptual framework: Multi-scale collective action in watershed management (Swallow et al. 2006) 4 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Land use and Context Action Arena water resource investments Water resources Actors Collective Financial action Patterns of resources risk Rules interaction Action Individual Local and customary resources action institutions Outcomes and effects on welfare and water transition Figure 2. Watershed interactions: Context, action arena, and outcomes (Swallow et al. 2006) In addition to downstream flows of water, Management decisions are made in an action arena: economic, social and political resources may flow a socially-defined space composed of social actors,21 from downstream to upstream. These “reverse flows” action resources, rules, and actions. Institutions, typically correspond to the size and associated welfare formal and/or informal, frame the rules that determine impacts of the water transitions. For example, to which actions are possible. Formal institutions include protect downstream water supplies, downstream regulations, laws, and policies whereas informal water users could use political influence to enact strict institutions are customs and traditions. Both types regulation of land use in upper catchments. Since this of organizations often operate at multiple, often action would likely have a negative effect on upstream overlapping, scales. In a given action area, “action dwellers (reducing income or requiring substantial resources” influence one’s ability to take actions or investments), a payment for an environmental services influence others. Action resources include assets such scheme could achieve similar environmental objectives as rights to natural, physical and financial capital, as with positive benefits to upstream livelihoods well as the social and human capital that actors are (Swallow et al. 2006). able to draw upon. Personal characteristics such as leadership ability, charisma, ethnic origin, ideology Although Figure 1 identifies important and value systems are related to human and social hydrological and socio-political relationships across capital that also enable action (Swallow et al. 2006). scales in watersheds, an understanding of how people, individually and collectively, function in such a context remains unclear. Adapted from di Gregorio 2 et al. (2004) and Ostrom (2005), Figure 2 presents 1 Social actors are defined as “individuals or organizations that formulate and carry out decisions, are knowledgeable and a framework for analyzing individual and group capable –within the limits of information, uncertainty and other constraints– and therefore manage available resources to interactions within a watershed context. perform strategies to engage in processes of change and pursue their goals”. CPWF Working Paper - Impact Assessment Series No. 06 5 2011.04.22.CPWF WP-IAS-08.draftv3 Conversatorios of Citizen Action (CAC) of governability and the people’s sovereignty are not being adequately addressed by the public agency. An objective of the SCALES project in the Coello The CAC process improves the flow of information River watershed was to foster collective action at between communities and government organizations different economic and ecological scales. To achieve that often restrict the capacity of communities from this, the SCALES project had the implementation exercising their constitutional rights to participate and of CACs as a principal mechanism. CACs are a to hold their representatives and agencies accountable. legal-political mechanism that allow communities to convene meetings with public and private The 1991 Colombian Constitution is widely organizations with the purpose of: (a) solving perceived to have redefined national government social, political, economic, educational, cultural processes by fostering democratic participation, and environmental problems, and (b) negotiating recognizing fundamental rights, creating judicial conflicts in the three relationships: Community- mechanisms to enforce them, and expanding access State, Community-Territory and between villages to decision-making spaces. Such processes were (Cantilloand Gonzales 2008). traditionally the domain of two principal political parties and the wealthy economic classes. In the CAC process, organizations that can help resolve communities’ problems are invited to the event Since 1991, the government has continued this by means of a formal letter. Legally, no mechanism process by creating the legal framework for the forces the organizations to attend. Nevertheless, realization of a rights-based society. For example, according to the Colombian Constitution, Law 134 of 1994 declares participation in public nonattendance by an official implies that the principle administration as a right, and commits the State to Expected outcomes CAC phase Participants Preparation Citizens, Leaders, EEmmpowerreedd a anndd Analysis: Needs, issues, CBOs, NGOs, and iinformeedd l oloccaal l stakeholders. research commmuunnicittiieess Capacity building: Rights awareness, negotiation, networks, Conversatorio etrAccountable vuesntt. Multiple organizations, effective Follow-up watershed and equitable stakeholders watershed Fulfilling and monitoring management agreements. Identifying further opportunities and needs. Figure 3. CAC phases, participants and expected outcomes (adapted from Beardon et al. 2008) 6 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 support the organization, funding and capacity of people’s knowledge of their natural resources. While citizen’s committees to monitor the use of public the training activities have an overall emphasis on resources and the availability of public services. the community, training courses are also offered The law also provides for public engagement in for public servants. Many professionals in the decision-making in order to orient the state toward public service are also unaware of their roles and common interests and social benefits. Mechanisms responsibilities under the constitution, especially in for individual action were also established, such as the relation to citizen participation. right to tutela under which an immediate court action can be requested by an individual who feels that their The “preparation” phase culminates in a one-day constitutional rights are being violated. public meeting. Communities invite representatives of public agencies with mandates relevant to the social/ The CAC can address inequities in power. environmental issue. A structured negotiation leads to CACs were developed by Corporación Asesorías a signed agreement by representatives of agencies to para el Desarrollo (ASDES) and first implemented undertake specific actions that improve social welfare with support from the World Wildlife Foundation and natural resource management. In the “follow-up” (WWF), Colombia in the late 1990s. WWF used phase of the CAC, community representatives ensure a CAC as a participatory mechanism for managing that organizations comply with their commitments. marine resources on the Colombian Pacific Coast (Beardon et al. 2008). Adapting this experience, The preparation addresses legal, environmental, SCALES introduced this component for generating and social issues. Training in legal instruments helps collective action and shared responsibility in the ordinary individuals obtain information or compel management of water resources. The methodology government agencies to fulfill their obligations in consists of three phases –preparation, negotiation and a timely manner. Environmental training increases follow-up (Beardon et al. 2008). people’s knowledge of their natural resources. While the training activities have an overall emphasis on Despite these government and legal changes, the the community, training courses are also offered creation of a legal framework and political culture for for public servants. Many professionals in the the full realization of the constitution has been a long public service are also unaware of their roles and and difficult process. Since some traditional political sectors still resist the changes, inequality persists. responsibilities under the constitution, especially in Powerful commercial, armed and illegal interests relation to citizen participation. continue to influence decision-making, while the majority of people still do not have the capacity to The “preparation” phase culminates in a one-day use these mechanisms and influence decision-making public meeting. Communities invite representatives of without any support (Candelo et al. 2008). public agencies with mandates relevant to the social/ environmental issue. A structured negotiation leads to The preparation addresses legal, environmental, a signed agreement by representatives of agencies to and social issues. Training in legal instruments helps undertake specific actions that improve social welfare ordinary individuals obtain information or compel and natural resource management. In the “follow-up” government agencies to fulfill their obligations in phase of the CAC, community representatives ensure a timely manner. Environmental training increases that organizations comply with their commitments. CPWF Working Paper - Impact Assessment Series No. 06 7 2011.04.22.CPWF WP-IAS-08.draftv3 Participants of the CAC, Fuquene, Cundinamarca, Colombia Evaluation methods in knowledge, attitudes and skills (KAS) are required to support this change in behavior, and what “project Analytical Approach strategies” (e.g., capacity-building, communication strategies for dissemination, research processes, etc.) The evaluation framework was heavily influenced facilitate these changes in KAS and, subsequently, by the impact pathways generated by project affect behavior. implementers31 during the Participatory Impact Pathways Analysis (PIPA) workshop carried out Figure 4 summarizes the impact pathways of the within the SCALES Project in October 2006 (For SCALES implementation team. The starting point more details of the PIPA workshop in PN20 see: for this evaluation was the expected goals that the http://ipandes.pbwiki.com). PIPA is a project project implementers themselves believed the project planning monitoring and evaluation approach. The would contribute to, as described in Figure 4 (Boxes approach draws from program theory evaluation, 10 through 19). The evaluation contrasts these social network analysis and research to understand expectations with actual project outcomes and changes and foster innovation. PIPA helps the people involved identified in the field. As the evaluation traces the in a project, program or organization clarify their process from CAC preparation to implementation, hypotheses of change; in other words, how they see different actors are taken into account. These actors are themselves achieving their goals and creating expected in charge of the facilitation, training and integration impacts (Douthwaite et al. 2007). This model seeks among partners and project components. Hence, the to identify what actors are expected to change, what analysis describes how the collaboration was structured changes in stakeholders’ practices (behavior) are and implemented. Using the impact pathway defined needed to achieve the project’s goals, what changes by the implementer team, this evaluation gives importance not only to assess the expected and 31 Nancy Johnson (Project Leader, CIAT), Elias Claros unexpected changes but also focus on the process and (CIAT), Carmen Candelo (WWF), Julio Andres Ospina (WWF), Harvey Rodriguez (Semillas de Agua), Jorge strategies implemented during the CAC process. Rubiano (Semillas de Agua). 8 Impact assessment: Do Conversatorios Generate Collective Action? Source: CPWF 2011.04.22.CPWF WP-IAS-08.draftv3 CPWF Working Paper - Impact Assessment Series No. 06 9 Citizens’ responsibility towards water resource 13 Figure 4. SCALES impact pathways identified, October, 2006 Buy SmartDraw!- purchased copies print this document without a watermark . Visit www.smartdraw.com or call 1-800-768-3729. 2011.04.22.CPWF WP-IAS-08.draftv3 Evaluation methodology Most Significant Change (MSC) is a project does not employ quantitative indicators. It is a evaluation methodology that involves systematic qualitative approach based on stories to facilitate collection and participatory interpretation of stories program improvement. Box 1 is the MSC story of the of change. Unlike conventional approaches, MSC SCALES project. Box 1. The MSC story The main project intervention was the conversatorio, which is a legal mechanism through which communities hold authorities accountable. The success of conversatorios depends on the extent to which the community is united, technically prepared, and capable of interacting with representatives of the organizations. The project is adapting a process for preparation of local communities on all of these fronts in order to address watershed issues. In Coello, Colombia, there was very little contact between the upper and the lower parts of the basin. Through this project and the intervention of CIAT’s rice project, a contact was made. Someone from the rice growers’ association participated in a “watershed expedition” that involved about 30 persons from different parts of the watershed visiting it together. As a result, they became aware of the threats to their water supply due to upstream land use practices, and are now active participants in the basin dialogues coordinated by the NGO. Why is the story significant? It shows new relationships and changes in attitudes that should continue beyond the life of the project. What were the critical factors that led to the change? Opportunity to focus on something beyond their original geographical and technical areas of expertise. What were the constraints? The two local NGOs competed for time and attention from the national one. In some ways this brought them closer since but the national NGO does favor one over the other which is always a problem. What are the future implications for action (e.g., future research), if any? Presumably both will continue to use a watershed perspective within their work. One thing I wonder about is how the communities will feel about the linkages they discovered. For example, the fishers see that their problems will be solved upstream. But will they support drastic upstream solutions like banning all agriculture at the expense of upstream welfare? It will be interesting to watch how the alliances among stakeholder groups play out over time. 10 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Table 3. Interview characterization: Participant groups and locations Participant group Location of interviewees within the basin Total Upper Middle Lower Follow-up committee members 2 4 3 9 Participants of the CAC process 3 4 5 12 Nonparticipants 2 5 4 11 Total 7 13 12 32 This document is an evaluation of the changes employed different analytic methods, including the claimed in the MSC story, not of the entire SCALES following: project. The MSC story claims that the CAC was the main intervention of the project to generate collective • Interviews and social network analysis (Fujisaka action. The objective of this paper is to evaluate the and Claros 2007). impact of the CAC process in the Coello Basin in • Participatory video (de Leon and Douthwaite order to understand the factors of success and failure 2007). in generating collective action and across social-spatial • Open and semi-structured interviews (Cordoba scale. As part of the evaluation, the following questions 2008). were addressed: • Review of secondary data. 1. What changed due to the implementation of the Interviews and social network analysis CAC in the Coello watershed? 2. What are the scope and extent of the changes? A causal pathway identified in the original MSC 3. What were the causes of the changes? story that frames this evaluation is that the project a. What was the contribution of the project? has linked upstream and downstream people, b. What were the other drivers? who as a result have better understanding of their c. What was the role of research? interdependencies and take collaborative actions 4. What are the benefits and costs of the changes with these in mind. Network analysis, which studies both now, and potentially in the future? how people are linked, was conducted to examine a. What were the project investments? understandings, interdependencies and actions, as well b. Where could similar changes be realized? as to verify how the Scales Project had contributed to 5. Did the project follow the expected impact collective action. pathways? 6. What international public goods did the project Interviews were conducted with project generate, related to the change? participants and nonparticipants regarding how the project had influenced their knowledge and attitudes The same research questions were addressed in to watershed conservation and community action. the other three outcome evaluations. The evaluation Nine of the follow-up committee members, 12 process reviewed information from diverse sources and training participants, and 11 nonparticipants were CPWF Working Paper - Impact Assessment Series No. 06 11 2011.04.22.CPWF WP-IAS-08.draftv3 first interviewed about their perceptions of problems exercises, the workshop participants learned about and solutions related to watershed and community communication for development, audiovisual development, as well as recent changes in the basin, language, participatory video, the MSC approach and the contributions of SCALES project. Besides and the use of the camera. Before filming in the type of participation, the sample of 32 was classified by communities, the group planned their research location within the basin (Table 3). about the MSC generated by the SCALES project. Interview data were also analyzed via social 2. Filming: Using various participatory tools such network analysis software to identify, represent, as mapping, transect walks and interviews, analyze, visualize, or simulate nodes (e.g., agents, the participants recorded testimonies from organizations) and relationships amongst them. various members of the communities and local Network analysis helped to understand and verify government officials. The group also mapped their how the SCALES project has contributed to vision of the future of the Coello River Basin. increased connectedness and collective action, At the end of each day’s filming, segments of especially between upstream and downstream people. unedited footage were shown to various members Interviewees were asked to name their most important of the communities to generate discussion and contacts ‘at the watershed level’ and determined: elicit feedback. 3. Editing: The group organized the video into 1. Where in the watershed these contacts lived. thematic segments. For each theme, the group 2. What type of links they were. selected corresponding testimonies and developed 3. How long they had had them. editing decision criteria. A draft of the video was 4. Whether the SCALES project had been involved edited with the group. in forming them. 4. Showback of the edited video to the communities: The edited footage was first shown to the Participatory video community members of Anaime and then to those of Coello-Cocora. People were invited to react to A committee was established to follow up on the the issues discussed in the film and to discuss any agreements generated during the CAC. To better other related issues they had in mind. define the main outcomes from the project from the 5. Evaluation of the process: At the end of the perspective of the follow-up committee, nine of its workshop the participants evaluated the process. members documented their own video about the A final version of the video was edited outside the most significant changes the SCALES project helped communities to clarify the things but the basic generate. The video can be seen with English subtitles structure and content, which the group chose, at: http://video.google.com/videoplay?docid=913591 were retained. 2979154571082&hl=en. Semi-structured interviews Participatory video consists of documenting comments and stories of project participants and In-depth interviews with the six participants of the beneficiaries. Steps of the participatory video were: communities were conducted in parallel with the 1. Training: Through lectures and hands on development of the participatory video. At a later time, 12 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 six project implementers were interviewed. Interviews Questioning on specific topics elicited details of issues required about 20-40 minutes and were tape-recorded. mentioned and unmentioned previously. Interviewees were encouraged to talk openly and to discuss problems and failures, as well as successes. Review of Secondary Data The first part of the interview addressed topics of successful, failed and unexpected outcomes of the Secondary sources (publications and papers of the SCALES project that had arisen during the narrations project) provided a broader vision of the project process. in the participatory video. Next, the participants Secondary data included project reports, workshop discussed the facilitation process used by the project. reports and documentation of project activities. Cauca River, Colombia CPWF Working Paper - Impact Assessment Series No. 06 13 Source: Wikipedia 2011.04.22.CPWF WP-IAS-08.draftv3 The Coello watershed Project context and scope of the evaluation The Coello watershed This evaluation focused on the processes and The Coello watershed is located in a mountainous outcomes of the CAC as a mechanism to generate region of central Colombia (Figure 5). The watershed collective action. While the SCALES project also covers approximately 195,000 ha, ranging in altitude generated numerous research outputs, only those from 240 to 5,300 masl. Annual rainfall ranges related to the CAC process were evaluated. The from below 1,000 mm to more than 4,000 mm. The geographical limits to this study were the Coello watershed includes ecosystems ranging from dry forest watershed along with collection of field data, to páramo (upper region) to snow-capped peaks, and is interviews and network analysis. home to national parks and private reserves. CALDAS Columbia Basin of the Coello River Provincial limits RISARALDA 100 0 100 200 300 km N Scale 1:50,000 QUINDIO CUNDINAMARCA TOLIMA Río Combeima Río Bermellón Río Combeima Río Anaime R i Q. Guacari LEGEND Río Combeima River Cuenca Coello Boundary Q. Chaguala Q. Chaguala Department Boundary Río Coello Q. Chaguala Zones Low (1600) Medium (2800) High (5200) Credit: WWF, Semillas de Agua and vectorworldmap.com Figure 5. Geographic location of Tolima Province and the Coello River watershed Source: Corporación Autónoma Regional de Tolima (the Departmental Development Corporation, CORTOLIMA) 14 Impact assessment: Do Conversatorios Generate Collective Action? l o o e l o C 2011.04.22.CPWF WP-IAS-08.draftv3 Nevado del Ruiz, also known as La Mesa de Herveo, a volcano located on the border of the departments of Caldas and Tolima in Colombia. Páramo de Guargua. 2.400 a.s.l. Carmen de Carupa Municipality, Cundinamarca, Colombia CPWF Working Paper - Impact Assessment Series No. 06 15 Source: Diana Córdoba Source: Wikipedia 2011.04.22.CPWF WP-IAS-08.draftv3 The watershed is the principal water network in comparison, fruit production uses 41 million m3 and Tolima Province. The Rio Coello flows east into the coffee only 1.5 million m3 Fujisaka and Claros 2007; River Magdalena. Tributaries of the Coello River WWF 2007. include the Combeima, Toche, Cocora, Anaime, and Bermellon rivers. Nearly 625,000 people live in the Water has traditionally been ample in Coello. Coello watershed (DANE 2007). About 80% live Nevertheless, more people are becoming aware in urban zones and 20% in rural areas. (Peralta et al. that inappropriate land use in the upper watershed 2006; Rodríguez and Rubiano 2005). combined with growing demand for irrigation, domestic water and hydroelectric power in the lower The watershed contains some or all of the eight areas are creating problems of inadequate water supply. municipalities with a population of 622,395 in 2005, including the city of Ibagué (pop. 425,770). In Water quality is also an issue. Agrochemical use addition to Ibagué, it comprises the municipalities and domestic and industrial wastes are contaminating of San Luis, Rovira, Cajamarca, Espinal, Flandes and rivers and water supplies. In addition, high sediment Coello. Only 16% of the population is rural and even loads from soil erosion throughout much of the without Ibague, urbanization rates are above 50%. The watershed, are not only threatening irrigation, but life condition index for municipalities in the Coello also possibly affecting the Rio Magdalena, Colombia’s watershed ranges from “medium low” to “medium major and navigable river. Sedimentation has been high” with urban municipalities scoring higher than identified as a national problem, and one that may now rural ones (Sarmiento et al. 2006). be affecting ports in many Latin American countries (Fujisaka and Claros 2007). Land uses differ according to elevation. The páramos, form part of a buffer zone of the Parque Various conflicts affect the livelihoods of Coello de los Nevados, one of the principal protected inhabitants. Conflicts occur predominantly in areas in Colombia. Although the Pan-American hillside farming and cattle-raising areas, where Highway passes through the watershed, generating deforestation and water contamination occur economic benefits, environmental costs such as (Peralta et al. 2006). These hillside areas suffer from soil erosion and air pollution are accompanied by deteriorated soils and biodiversity loss (Cantillo and favorable market access. Agriculture and livestock are González 2008) and affect the availability and quality principal economic activities. The upper part of the of water. Competition for water is exacerbated watershed is mainly forested; however, these lands are by high extractions for irrigation and human increasingly being converted for livestock and coffee consumption. and horticultural crops. In the mid-altitude areas, sugarcane and fruit trees are common. The region Conditions of poverty and conflict in remote areas accounts for 30% of Colombia’s fruit and vegetable are also attributable to few links to markets, inadequate production. The lower part of the watershed includes organizational support and land shortages (Peralta et 30,000 ha of large-scale irrigated rice, cotton, and al. 2006). Furthermore, Colombia’s internal conflict sorghum as well as beef cattle farms. Rice production negatively impacts Coello. Guerrilla groups are present requires the largest share (500 million m3) of water in the upper parts of the watershed. As a result, many channeled through the rivers and irrigation systems. In families have had to flee the zone. 16 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Table 4. Coello watershed problems Social equity: • Poverty, especially of remote and marginal groups. • High and inequitable water use by rice growers. Water: • Water contamination from untreated sewage drained into river courses. • Lack of adequate systems to supply clean domestic water. • Reduced water flows of the River Coello and its tributaries. • Agrochemical contamination of waters from cropping. Land and water: • Soil erosion, especially in the steep slopes of the upper watershed, from relatively high tillage and repeated cropping – especially of arracacha (Arracacha xanthorrize, grown on ~ 4,000 ha in the upper watershed) and from the extensive pasture areas. • High sediment loads – from soil erosion throughout the watershed – reaching the River Magdalena (Colombia’s major and navigable river) and beyond. • Higher-elevation agricultural zones currently face high soil degradation due to excessive land preparation, inadequate farming practices and loss of soil ground cover, increased by deforestation and expansion of the agricultural frontier (CORTOLIMA 2003). Deforestation and mining: • Potential negative impacts of unskilled extraction of sand and gravel from riverbeds for construction purposes. • Air and water pollution and land degradation caused by the cement plant near the community of Payande. The governmental environmental authority Diverse socioeconomic and policy factors hinder responsible for the Coello watershed is the management processes of conserving the watershed: (CORTOLIMA) (http://www.cortolima.gov. co). Progress on a comprehensive environmental • Few economic incentives. No formal program management plan has been slow. Although the exists for granting incentives or stimuli for environment can be considered a driver for change, farm owners who conserve their natural the process is “top-down” in the biophysical resources, or for those who have declared their sense. Conserving upper parts of the watershed is land as nature reserves on their own initiative. emphasized. For example, the World Wildlife Fund) • Inadequate agriculture policy. Few extension (WWF), Semillas de Agua (a local NGO) and other activities or policies in the agriculture sector NGOs are working to preserve the páramos. Recent promote recommended farming activities initiatives seek to link with downstream stakeholders in the watershed (Semillas de Agua 2007). who could benefit from the environmental services For example, a CORTOLIMA project for that the páramos provide. Conserving Waters and Soils (PROCAS52 - Spanish acronym) recommends practices such Problem analyses conducted in different locations as minimum tillage, direct planting and green within the watershed have generated similar findings. manures for recovering the organic matter.63 Table 4 summarizes field observations, informal 52 PROCAS is an agreement between German Technical interviews41 and reported outputs of the CAC Cooperation (GTZ) – CORTOLIMA and Ibagué municipality that aims to avoid activities, which cause regarding the problems facing the Coello watershed. negative environmental impact in 40 villages (between 900 and 1,900 masl) of the rural sector (for more details see: www.alcaldiadeibague.gov.co). 63 The project also recommends the use of herbicides and 41 Fujisaka and Claros 2007. chemical fertilizers, which can be detrimental to the life and quality of the soil, as well as to the groundwater. CPWF Working Paper - Impact Assessment Series No. 06 17 2011.04.22.CPWF WP-IAS-08.draftv3 • Little organizational and political support. zone and experts in R&D processes related to natural Especially in the páramo zones, regional resources management (Table 5). development plans rarely address the management of natural resources. Since it was not clear what tools would be used to • Insecurity. Armed conflict occurs in the promote the processes of collective action with the upper parts of the páramo. Without security, communities in the watershed it was at the project substantial investments with longer-term inception workshop in October, 2004 that the payoffs are unlikely. decision was made to use the CAC. • Low level of collective organization. Actors that form part of this watershed do not have a The WWF, CIAT, ASDES and the University of shared vision of its future. Consequently, low the Andes all recognized there was a need for adapting probabilities exist for impacting policy and the CAC to the regional context of the Coello River creating more effective alliances for watershed watershed. Thus they decided to invite Semillas de management. Agua, which had a record of interventions in the watershed in alliance with the WWF, to broker Project partners and participants in Coello between them and the communities. In the upper zone of Cajamarca Coello, WWF worked with The International Centre of Tropical Agriculture Semillas de Agua in conservation projects in the (CIAT) was the proponent and coordinator of the páramo of Anaime and with political education of project. It brought together the key actors in the citizens, strengthening productive communities before Table 5. Project partners, experience and role in the Coello CAC Organization Experience and role The University of the Participated in the planning of the SCALES research process, conducted decision- Andes-Bogotá making analyses using economic games with the communities’ participation. WWF Strengthened participatory processes and the communities’ capacities for negotiating and influencing policy formulation For almost 10 years, WWF has been working on these efforts in the Coello watershed. WWF´s role was to provide the project’s institutional and technical support to Semillas de Agua in methodological and conceptual aspects of the CAC and in coordination with various stakeholders in the basin. Semillas de Agua Since 1991, an NGO has advanced development work in Cajamarca (Tolima), Cali (Cauca Valley) and Guapi (Cauca). Semillas de Agua was WWF’s local partner in Coello, with whom they have had almost 10 years’ experience in processes of agricultural production and conservation education. Semillas de Agua also worked with CIAT on the implementation of poverty analysis in Coello. Semillas de Agua worked in announcing, facilitating and supporting various activities for the preparation of the CAC. Its mission was to strengthen the contact between different stakeholders within the watershed. Corporacion Asesorias ASDES is an NGO based in Cali, with more than 20 years of experience in educating para el Desarrollo communities in citizen political action. (ASDES) 18 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 beginning the project, more than 10 years ago. For this larger and medium farmers, urban populations, the reason, Semillas de Agua was considered to be a good industrial sector and educational institutions were local partner (Candelo, C pers. comm. 2008). underrepresented in the process. Semillas de Agua was formed in Tolima 15 years Overview of the CAC process in Coello ago to help conserve the páramo. This NGO began by working with small farmers on conservation The SCALES project supported the CAC in the three and sustainable production projects in the Anaime main phases (1) preparation (October, 2004 to April watershed, part of the larger Coello watershed. 2007), (2) the CAC meeting (May 2007), and (3) Nine years ago, Semillas de Agua helped set up follow-up ( June 2007). Asociacion de Productores Agroecologicos del Rio Anaime (APACRA) to overcome the lack of local Preparation organizations in the communities. Semillas de Agua managed financial resources to fund small productive A review of secondary data from the project showed projects in APACRA, especially to link the producers that the preparation of the CAC included five to the market and provide training. Producers learned interventions: a) Motivation, b) Participatory research about better crop management practices, as well as in water issues and poverty in the watershed, c) how to use plants to control pests and diseases since Enable linkage of different actors in the watershed, d) farmers began to use large amounts of agrochemicals. Strengthened leadership, and e) Training processes. The CAC preparations helped Semillas de Agua strengthen APACRA’s organizational capabilities a) Motivation and leadership in order to foster active participation and increase the bargaining power of the community The first step the project undertook was motivation leaders during the CAC event. The SCALES project through “awareness-building workshops.” These helped Semillas de Agua to expand its work and workshops sought the participation of all actors of the influence other areas. For example, their work includes watershed. The implementers made efforts to engage a 40- farmer project in the town of Roncesvalles to community leaders and powerful actors in the six develop farming and livestock systems. Independently, municipalities of the watershed (Coello, Cajamarca, the NGO has established links with the University Rovira, San Luis, Ibagué and Espinal) as well as public of Tolima through the exchange of intern students in actors in these municipalities. conservation and management of páramo ecosystems. b) Participatory research The watershed municipalities linked to the project were Cajamarca, Ibagué, Rovira, San Luis, Coello, Participatory research activities included poverty and and Espinal y Flandes. In these municipalities the socioeconomic analysis with the support of the partner project worked mainly with the following actors: a) organizations. mini-irrigation boards, b) APACRA, c) Communal Action Board ( JAC, acronym in Spanish), d) Analysis was conducted to identify competent women’s associations, e) sand extractor groups of organizations in different parts of the basin, as well theCoello River, and f ) small farmers. Miners, as the legal context that supports them. This was CPWF Working Paper - Impact Assessment Series No. 06 19 2011.04.22.CPWF WP-IAS-08.draftv3 followed by a participatory diagnosis and planning a 4-day car caravan trip from the point where the of the future of the watershed. Organizational roles River Coello empties into the Magdalena to the were examined in order to identify and prioritize upper parámo area of the watershed. Some sixty community requests/demands from organizations, and people participated, including representatives of develop negotiating strategies during the upcoming seven government entities. Participants were able CAC. Analysis also included identifying the watershed to interact with each other along the way and management responsibilities and budgets of public- were able to see parts of the watershed they had and private-sector organizations, and existing policies not previously known. This expedition allowed and agreements. Such information was used to inform the participants to gain greater knowledge participants of their rights, and thus enhance capacity and understanding of the problems facing the for citizen action. Economic games were held to watershed, and to begin discussing alternatives. sensitize the community about the effects of individual This event was co-funded by the municipalities of decisions on collective goods in a basin, and to analyze Cajamarca, Ibagué and Coello, as well as by the the level of community cooperation in conservation. provincial government and CORTOLIMA. c) Linking of different actors in the watershed d) Strengthened leadership The project intervened to strengthen the linkages The intervention was oriented to set up two between different actors in the watershed through the committees – the technical committee and the follow- following activities: up committee – to be the formal mechanisms to 1. Water forum: This space was not included in facilitate exchange between the different stakeholders the initial work plan of the project. After the and foster cross-scale participation. The technical project started, participants suggested the forum committee was formed from staff of WWF and as an opportunity to articulate their needs Semillas de Agua, meeting monthly to plan and review to the National Campaign of Water run by activity progress. The participants of the follow-up Ecofondo Corporation (Corporation to Finance committee were mostly farmers but also included Environmental Projects) ( June 2006). several miners. Some of the farmers were members 2. An exchange workshop, the Piangueras was of APACRA. The two committees were important organized with women from the Pacific coast in needs identification and training communities of Colombia who had already been through a in citizen participation. They also carried out CAC process. These women harvest small marine institutional analysis with communities and then bivalve molluscs in the mangroves at low tide, trained them in the use of negotiating techniques. which are used to make a typical dish ( July, 2006). Another exchange workshop was organized with e) Training activities another CAC, de Fuquene (February, 2007). 3. A follow-up and participatory evaluation Training workshops were held to enhance political workshop that addressed water treatment, use and skills and participation of citizens. The workshops conservation (November 2006). were open to anyone and were well attended, especially 4. The Coello Basin Expedition organized in by the leaders of the grassroots groups that had February, 2007 and led by Semillas de Agua. It was been involved in previous watershed management 20 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 and community initiatives. Workshops sought to discussed the problems and topics they were to strengthen the legal knowledge of participants so present during the CAC, as well as their advances that they could become active citizens, capable of in the preparation of the requests to be made to influencing policies that affect them. Participants the invited individuals and organizations. were informed about the right to petition, including 2. Simulation of the CAC. Altogether four dry- information requests from public-sector organizations. runs were carried out in the same number of Afterwards, meetings were held in each of the communities for the communities to become communities to establish networks and inform the familiarized with the methodology and community. In addition, some of the participants preparation of their requests and questions. used this tool to solve other types of personal and community problems. In general, the project aimed This process resulted in a wish-list of commitments to develop political awareness of citizens and the the communities requested of organizations, and capacity on issues related to the environment and the vice versa. An outline of a subsequent phase of sustainable use of natural resources. participatory follow-up and evaluation was also produced. In the CAC agenda, the communities, Among the training activities the following were Semillas de Agua and WWF identified a map of highlighted. responsibilities and roles of the organizations and actors that manage water. This exercise enabled 1. Workshops about the CAC as a mechanism for communities to obtain a better understanding of community participation in watershed decision- how to correctly direct their demands. Furthermore, making. four topics on water management were selected by 2. Workshops about policy tools: ‘tutela or the right the participants in order to prioritize the problems in to petition.’ each one of them: (1) conservation and protection, 3. Workshops on sustainable water management, (2) use and transference, (3) supply, maintenance and quality indicators, diseases, water cycle and recuperation, and (4) socioeconomic aspects. efficient use of water, elaboration of sand water filters and biodigester. Some of the interventions arose during the process 4. Workshop on Participatory Monitoring and of reflection and according to the requirements and Evaluation facilitated for the CIAT team. gaps found by the implementing team. For example, 5. Workshop on power and social network analysis. during interactions, the technical committee learned that communities were interested in influencing the Negotiation of a watershed agenda for the CAC formulation of the provincial regional development meeting plan led by CORTOLIMA. Community objectives were to include topics such as environmental The agenda for the CAC was set by the restoration, incentives for conservation, reforestation, communities concerned through negotiations in improvement of the network for distributing water, various meetings. These meetings included: technical assistance in educational and environmental conservation processes, and improvement of 1. Workshops for the preparation of the CAC: In production systems. Consequently, the SCALES these spaces participants of the CAC process project facilitated meetings towards the inclusion CPWF Working Paper - Impact Assessment Series No. 06 21 2011.04.22.CPWF WP-IAS-08.draftv3 of representatives from a regional environmental The follow-up committee is responsible for bringing agency CORTOLIMA and the national training knowledge and information back to local communities and research organizations (Servicio Nacional de and with following up on the agreements reached in Aprendizaje, SENA; and Corporación Colombiana de the CAC. It meets every 2 months with a consultant Investigación Agropecuaria [Colombian Agency for from Semillas de Agua. According to Fernando Pérez, Agricultural Research], CORPOICA) working within a member of this committee, ‘the activities conducted the Coello River Basin. are evaluated; tasks are assigned for visiting the entities with which agreements were signed in the CAC. This Meeting is always done, sponsored by WWF and Semillas de Agua; they contribute to helping with our locale, the The CAC was held in May 2007 and was food and half the transportation costs’ (Pérez, F. pers. attended by important groups of people from the comm. 2008). watershed communities, Semillas de Agua, WWF, CIAT, representatives of the six municipalities The follow-up phase is an opportunity for of the watershed (Cajamarca, Coello, Ibagué, community leaders to generate new initiatives from San Luis, Rovira and Espinal), the provincial the ‘cloud’ of knowledge and skills gathered during the government of Tolima, councils from San Luis CAC process. The committee is a resource available and Cajamarca, Provincial Department of Health, to them to continue with the empowerment process Instituto Colombiano de Desarrollo Rural initiated by the CAC, and often necessary when (INCODER), CORTOLIMA, Instituto Colombiano launching new initiatives. Agropecuario (ICA), Corporación Autónoma Regional de Magdelena (CORMAGDALENA), The project and the CAC process strengthened Water Users’ Association of Coello (USOCOELLO) relationships among and between participating and University of Tolima. communities, the project implementing organizations During the CAC, altogether 27 agreements and the public and private organizations present in the were signed with the participating organizations watershed (see page 27 for a network analysis in a later (Appendix 2). The value of projects promised and section of evidence). One successful project activity other commitments was US$665,000. A complete was the Coello-Cocora expedition, in which 20 list of the agreements is given in Appendix 2. stakeholder representatives traveled from the mouth of the river to its source in the Anaime páramo. Follow-up The participants of the CAC have increased their A follow-up phase began at the end of the CAC. A knowledge of watershed management issues with follow-up committee was formed with the leaders the support of Semillas de Agua and WWF through of the communities who had been active in the two workshops and simulations sessions of the CAC previous phases. This committee meets periodically (see page 29 for the knowledge-attitude study for to manage and assess the progress of the signed evidence). These simulations allowed the communities agreements. In July 2008, the follow-up committee had to learn about the CAC, its advantages and potential 12 members representing the 12 project communities. to solve local and regional problems. 22 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Table 6. Coello organizations and CAC participation Attended Absent CORTOLIMA CORPOICA CORMAGDALENA Institute of Meteorology, Hydrology and Environmental Studies (IDEAM) INCODER Colombian Institute of Mineralogy and Geology (INGEOMINAS) ICA Cement factory (CEMEX) Provincial Department of Health Superintendent of Public Services Office of the Governor, Province of Tolima Public Services Enterprises Mayors from Coello, Cajamarca, Ibagué and Rovira Municipal councils of El Espinal, Rovira and Coello Municipal councils of San Luís and Cajamarca Local Committees for Attention and Prevention of Disasters University of Tolima Provincial Committee USOCOELLO INCORA Training in citizen rights, Fuquene, Cundinamarca, Colombia CPWF Working Paper - Impact Assessment Series No. 06 23 Source: CPWF 2011.04.22.CPWF WP-IAS-08.draftv3 Evaluation of outcomes The CAC was selected by the SCALES project as a predicted project outcomes. There were no significant mechanism to promote the processes of collective differences between the outcomes identified in action and participation of the marginalized the impact pathway and outcomes identified by communities in watershed management. The main participants from the communities of the watershed assumption of the SCALES project is that collective and implementers at the end of the project (empirical action can generate benefits for improved natural evidence collected through participatory video and resources management. According to the project interviews, mainly). However, there were no impacts proposal (2004), involving local stakeholders is critical of this experience on socioeconomic well-being (box to ensuring that the project produces both tangible 12) as 3 years of project implementation is too short development impacts and relevant research results. to ensure impacts in poverty alleviation. Advances in the agreements are expected to have a future impact An analysis of project documentation, the social in achieving the project goals and vision for 2011 (see network surveys, and the interviews (further informed boxes 13 through 18) and in turn it will have an impact by the participatory video made by the members of in poverty reduction through improving the quality the follow-up committee) shows that the project and quantity of available water in the watershed, had most impact in: 1) increasing awareness of water support of farmer organizations, better management issues, 2) strengthening links amongst community strategies for water resources and more conservation and environmental organizations, 3) enhancing areas to assure the provision of water in the watershed. local capacities and relationships with authorities, and 4) setting new priorities and commitments for Outcome 1: Increased awareness of water issues environment-friendly land use activities. Outcomes were achieved through various Changed perceptions and attitudes of watershed residents mechanisms, including increasing knowledge, attitudes and skills, for instance through the creation Prior to the SCALES project, development initiatives of a common agenda, and empowerment of the aimed at integration and collective action of communities and a key local partner, supported by a communities in the Coello Basin did not produce process of capacity-building. Most of the outcomes the expected results. For instance, CORTOLIMA identified by the project implementers in the form of attempted a process of organization with communities their impact pathways were fully or partly achieved in 2004 that, according to one of the representatives of (see boxes 6 through 12 in Figure 4). The evaluation Semillas de Agua, failed because ‘the communities do showed that the project implementers accurately not believe in the organizations and the people did not 24 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 attend the workshops and other spaces due to a lack of The project implementers prioritized efforts to motivation’ (Rubiano, J. pers. comm. 2008). demonstrate potential value to communities of the CAC concept, its objectives and expected outputs. A first objective of the SCALES project was WWF recognized that the idea of the CAC is not easy to break with the initial images people had about to sell to communities since ‘the process does not give citizen participation and community work through tangible things.’ To substantiate such positive claims, raising awareness of local- and regional-level actors the project (led by WWF) conducted an analysis and to stimulate them to participate in watershed of the organizations and legislation which could management activities organized by the project. potentially support water management in Coello. During the first year of the project, Semillas de Semillas de Agua and WWF also conducted similar Agua and WWF conducted a systematic process of motivational work with regional and local authorities motivation with local communities. and with those more powerful actors from the private sector such as rice growers and enterprises (i.e., A review of workshop reports showed that 15 CEMEX, a cement factory). communities of the basin in six municipalities were trained through ten workshops on concepts related to Improved understanding of environmental externalities environmental issues and skills for sustainable use of natural resources. On average, 30 persons participated The CAC training process generated changes in consistently through the full training cycle. These knowledge and attitude, specifically with regard to the participants repeated the training workshops in their environment. A change in environmental awareness communities in which about 300 people participated. of Fernando Perez serves as an example: I have worked These workshops sought to generate participatory with APACRA for five years. We have become able to analysis of the social situation within different parts develop environment-friendly agricultural activities like of the watershed, political formation, negotiation organic products, especially vegetables, as well as different of the CAC agreements amongst communities and conservation practices. Before we were not aware of the disseminate the progress of the project (Table 7). effects of agrochemicals, deforestation and conservation activities. I was a person that threw all my garbage into Table 7. Summary of project participation the river; had one of my cows died, I would have thrown the dead animal away. Participant municipalities 6 Similarly, the members of the follow-up committee Participant communities 15 recognize that, as a result of this educational process, No. of persons involved in the 30 they became more informed, have a better attitude process(training) toward participating and are aware of their role in Beneficiaries of the duplicate 300 the solution of their problems.71 Capacity-building workshops in the communities influenced participant skills in recognizing their Officials of public and private 5 organizations environmental problems. The participatory analyses of the environmental problems in the watershed played Source: Project reports. 71 Two members of the Follow-up Committee are taking a diploma course on the mechanisms of political participation at the Javeriana University in Cali, Colombia. CPWF Working Paper - Impact Assessment Series No. 06 25 2011.04.22.CPWF WP-IAS-08.draftv3 an important role. Activities included analyzing the 591, were generated from the activities developed by use of agrochemicals and the existing productive the SCALES project. systems, degradation of the soils and water resources, mapping of actors, and biophysical characterization of Table 9 shows that, of the 591 links, which the watershed amongst others. respondents attributed to the SCALES project, 78% were between people in different parts of the basins, Comments of the watershed expedition also or project implementers from outside the basin. reflected a new understanding of externalities. For This result corresponds with the project objective to example, Amparo Gutiérrez, a community leader “improve the integration of collective action in resource from Hato de la Vírgen stated: What most impressed management from local to the watershed levels.” Most us was the washing of the trucks, all that grease of the links are between people in the lower basin and went into the Coello River, as well as the draining the middle (160) and the upper (30). In contrast, few of sewage water that falls directly into the river (...). We commented about when we were going to see the Table 8. Type of social link and relation to project Coello watershed uncontaminated. After this process Type of link Location Frequency Total we realized that we had to work very hard in order to Friendship 96 201 297 decontaminate the watershed. Community 98 202 300 development Watershed People directly involved in the workshops 32 74 106 development improved their ability to understand the Training 20 114 134 Total  246 591 837 environmental and social problems of the Coello Source: Social Networks Interviews (Fujisaka and Claros 2008) Basin. However, the process of preparing the CAC focused mainly on political empowerment of participants. Training on available technologies for the Table 9. Links formed by the SCALES projects management of natural resources was limited. These between different parts of the basin issues were somewhat addressed in the Water Forum and through the development of sand filters and the Location Frequency % Total scale links 591 100 biodigester. However, these technologies were being Total scale links within basin   461 78 spread by Semillas de Agua through previous projects Middle 160 35 and not through the SCALES project. Lower Outside 100 22 Upper 30 7 Outcome 2: Stronger links amongst community Lower total   290 63 environmental organizations Lower 27 6 Middle Outside 48 10 Upper 24 5 Through project activities, the SCALES project Middle total   99 21 facilitated numerous interactions. Project participants Lower 8 2 and nonparticipants were linked to the project in Upper Middle 10 2 different ways: friendship, community development, Outside 54 12 watershed development and training (Table 8). Upper total   72 16 Interviews identified 837 links. Most of these links, Source: Social Networks Interviews (Fujisaka and Claros 2008) 26 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 people in the upper basin appeared interested in linking from different parts of the watershed in watershed to people downstream. This pattern is consistent with development. people in the lower basin who are experiencing the effects of upstream pollution and mismanagement, The network map shows a core-periphery and who are eager to link with upstream to resolve the network where the core is made up of the follow- issues. Less motivation exists for upstream people to up committee and the WWF and Semillas de Agua actively link with others downstream. Compensation project implementers (green nodes). The former are schemes for changes in land management practices, indicated by round nodes since WWF personnel were through environmental service payments for example, based outside the basin, mostly in Cali. Square nodes can provide sufficient motivation. represent local participants such as Semillas de Agua based in Ibagué in the middle of the Coello watershed. The survey participants and links are plotted Four SCALES project participants (those trained in Figure 6. The black nodes are the members of by the follow-up committee) and one person from Table 8. Type of social link and relation to project the follow-up committee, the pink nodes represent CORTOLIMA were also part of the core network. people trained or who have worked with the follow- The nonparticipants were on the periphery. up committee and are considered participants in the SCALES project. The red nodes represent Instead of a core-periphery network, a clumpy nonparticipants. Node shapes indicate whether the network structure could have been identified if person is located in the watershed – and if so, in the the survey respondents pertained to two or more upper, middle or lower. This is because one of the main cliques and weakly connected to each other. Core- objectives of the SCALES project was to link people periphery networks are the most efficient spreaders Table 9. Links formed by the SCALES projects between different parts of the basin Figure 6. Network map of community, watershed and training links CPWF Working Paper - Impact Assessment Series No. 06 27 2011.04.22.CPWF WP-IAS-08.draftv3 Box 2. Better relationship between communities and organizations Fernando Perez Community Leader, Anaime District, Cajamarca-Tolima Thanks to a new administration, we can tell our story to this organization. I am happy that they want to listen to us and learn more about environmental problems while letting us participate in finding solutions and the development plan. Suggestions from different representatives of this region are now being heard, such as those through Semillas de Agua and the committee. Alejandro Villamil Technical Director of Unidad Municipal de Asistencia Técnica Agropecuaria (UMATA), Cajamarca One change is that the community is now more receptive to our programs, such as fish culture, the clean village program that the Asociación Nacional de Empresarios de Colombia (ANDI) has with ICA and CORTOLIMA and mainly basin management. Source: Semi-structured interviews. of information. In such networks, while the average Project implementers estimated only 6 months number of links connecting any two people is lower, to prepare for the CAC. However, Carmen Candelo information can spread more easily with less chance from WWF stated that this process took more time for messages to become corrupted (Borgatti and due to the lack of political education of the watershed Everett 1999). This dominant core contains the residents that hampered the ability of understanding follow-up committee and project implementers. and a some issues. This had, as a consequence, an adjustment core group can advance efforts to increase knowledge, of the budget, using some resources intended for the change attitudes and mobilize community- and follow-up stage. watershed-development. Local committees, women and a local NGO Box 2 provides two personal perspectives of how links were highlights of the capacity-building efforts have improved. from the different participating actors. Martinez, B. (pers. comm. 2008) from the La Osera community, Outcome 3: Enhanced local capacities and pointed out that many times she and her colleagues relationships with authoritiess in the training process did not have enough financial resources and time to attend the training. In her Prior to the CAC, the project conducted a series of specific case, she had to invest more than 5 hours each training workshops to fill community knowledge time to attend workshops and meetings. gaps about policy tools, citizen rights and water management. These workshops enhanced skills Semillas de Agua and WWF also highlighted and confidence amongst individuals to empower the value of learning processes during the CAC them to demand a voice for their communities preparation that resulted from the interaction in the joint definition and search for solutions to among multiple actors with different knowledge and watershed problems. The training workshops were capabilities. Application of previously-learned tools used to identify and involve community leaders who contributed to the flow of knowledge. As (Candelo, subsequently became part of the technical and follow- C. pers. comm. 2008.) of WWF says: “Through the up committees. experience of the CAC in the SCALES project, the 28 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Table 10. SCALES project experiences/benefits per participant group Project committee Project Non- members trainees participants Learned about my rights 100 92 0 Learned about problems and people in watershed 100 92 9 Learned new management skills 89 50 0 Built relationships with local agencies 89 33 0 Community organization skills have increased 67 17 0 The conversatorio 67 33 0 Personal capacity 67 25 0 Better water management 44 42 18 Foros del agua 44 25 0 Source: Social Networks Interviews (Fujisaka and Claros 2008). learning tools were perfected. This forms part of committees – the technical committee and the organizational growth, and we have improved many follow-up committee – to be the formal mechanisms things. For our first ‘Piangueras’ CAC years ago on to facilitate exchange between the different the Pacific coast, we had to invent a lot of things, here stakeholders and foster cross-scale participation. no. We brought the Piangueras here so that they could The two committees were important in needs tell about their experience. With this reference, we identification and training communities in citizens’ adjusted it to the conditions of the Coello watershed.” participation. They also conducted organizational analysis with communities and then trained them The training links, and the networking in general in the use of negotiating techniques. One outcome are reflected by what the same respondents said had of this training was that individuals trained in the been their experience with the SCALES project approach were able to influence the prioritization (Table 10). When coupled with the analysis of type of their communities’ problems in the Coello River of links (Table 8), a positive correlation becomes regional development plan. apparent between the number of links reported and the level of participation in the SCALES project. Members of the follow-up committee were leaders This result is consistent with the idea that the more in their communities and certain social resources. the number of people exposed to the project, the more they have come into contact with other people This gave them credibility as representatives of their concerned with the same issues. communities in the process of negotiations carried out by the CAC. The follow-up committee has Committees empowered become an organization recognized at the provincial level for its role in the social management of water. During the first phase the project, implementers The committee follows up the CAC agreements, worked on encouraging the participation of participates in the policy discussion and convenes organizations. The main strategy was to set up two debates on topics related to water conservation and CPWF Working Paper - Impact Assessment Series No. 06 29 2011.04.22.CPWF WP-IAS-08.draftv3 management.82Nevertheless, one of the challenges communicate more effectively, are more respectful to of this committee is its sustainability. Currently, others, are more aware about watershed problems, are Semillas de Agua and WWF contribute 50% of costs recognized by others, and feel proud of being part of and community members contribute the remaining the follow-up committee. 50%. Although fieldwork observation found out that people in the committee were trained to participate Deicy Fracica, who was skilled during the CAC, actively to agency their projects, the idea that explained her actual situation in her community: “The community members taking full responsibility of CAC gave me recognition within my community; the follow-up without remuneration places an extra now I present petitions for rights, “tutelas” and burden on communities that lack the resources. In mentor other neighbors to demand their rights. This order to strengthen and motivate the members of allowed me to lead in resolving problems related to this commitment to follow-up CAC agreements, an women’s well-being that politicians rarely address. incentive system that recognizes their contribution For example, in health services, I led a petition before is necessary. The CAC process helped participating the provincial government for the delivery of services communities in the watershed in enhancing the and medication to women. I feel like a real leader and knowledge and influencing attitudes of relevant with power decision in my community” (Gutierrez, A. public- and private-sector organizations regarding pers. comm. 2008). water management problems (see Box 1 for evidence). Nevertheless, these findings cannot be generalized Recognition and appreciation of the role of women to all women participants. Increasing women’s participation takes time as Amparo Gutierrez, a One of the project objectives was to strengthen member of the Follow-up committee, explains: In the the participation of women in the collective first phase of the CAC, a major thrust was to improve management of watershed resources. One-third of our skills to communicate our ideas. First, I participated the follow-up committee and nearly one-half of the in the Water Forum in Coello-Cocora, next I attended project implementers were women. An analysis of a workshop in mechanisms of participation, and then I the interviews revealed that four female members went on the Coello Expedition. When I started this work of the follow-up committee showed a process of with Semillas de Agua in 2005, I also started to have empowerment.93All answered positively that they were problems with my family because of the time that I was socially and politically more aware and independent out of my house. Moreover, mistrust in my capabilities to than before and have more recognition and standing in work with communities from my husband and my sons society. After accessing the CAC process, these women were high. When they saw that my work began to have 8 an effect, improving the well-being of the communities, I 2 An example of this was the Regional Environmental Forum: ‘The Natural Areas, the Generation of Environmental Goods also gained credibility from my family. Now, I can be out and Services and their Importance for the Development of the Province of Tolima,” held on 12 May 2008. This forum of my house for 4-5 days without a problem (Gutierrez, convened by the CAC Follow-up Committee was supported A. pers. comm. 2008) by the provincial authorities and attended by different actors from the public sector. 93 Empowerment is here related with three perspectives: - personal, that is, developing a sense of oneself and self- Gendered social network analysis of SCALES confidence; relational, that is, the capacity to negotiate, project links (Figure 7) shows that men had nearly bargain and affect the nature of relations; and collective, that is, working with others to achieve some good objectives twice as many links as women (19 versus 10). This (Rowlands in Eade 1996:87). 30 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 result suggests that despite the facts that the women activities. Rubiano attributes APACRA’s success to have gained ground, the men continue to have more the fact that by working together APACRA’s members social resources and participate more. have improved their productive systems. Some of these changes were identified in the participatory Empowerment of a key local NGO (Semillas de video made by the follow-up committee and include Agua) the establishment of a biodigester to make methane, improvements in the quality of drinking water and For 9 years, Semillas de Agua worked with farmers in reductions in the use of pesticides. Although these APACRA to help them farm more sustainably. The technologies were not developed by the project, they Anaime River flows into the Coello and APACRA were disseminated to the participants during the CAC operates in the municipality of Cajamarca. Some process. of APACRA’s members became involved the CAC Although the CAC was able to empower the process. Four of the members of the follow-up actions of APACRA in Cajamarca, the existence of committee come from this organization. The training community organizations participating in watershed and motivation that APACRA’s members received management initiatives in other areas is scarce. This helped strengthen APACRA itself. Through the CAC, is in part because social organization is difficult APACRA gained recognition from the municipality due to the ongoing conflict between rebels of the and now it has a shop to sell organic produce in Revolutionary Armed Forces of Colombia (FARC) the main square of Cajamarca. According to Jorge and the government of Colombia. Indeed, Semillas de Rubiano of Semillas de Agua, APACRA is now one Agua’s zone of influence was restricted, at least until of the strongest organizations in micro-watershed the CAC, to Cajamarca, Coello and Ibague. Figure 7. Gender of participants linked together through the SCALES project CPWF Working Paper - Impact Assessment Series No. 06 31 2011.04.22.CPWF WP-IAS-08.draftv3 The CAC provided a platform and resources Increased public agency participation for the NGO to champion and build support for its conservation agenda. Semillas de Agua adapted The CAC motivated the interest and participation of ideas and opportunities from the SCALES project the local and regional authorities in environmental to expand its influence and profile. The CAC process management. According to Candelo of WWF (Op., not only permitted Semillas de Agua generate new Cit, 2008), the province of the Tolima has become activities in the upper watershed but also helped to more interested in protected areas: This province engage with new partners beyond the upper part [Tolima] had not been participating actively in the of the watershed. According to Jorge Rubiano, conservation process...We are now working with them, biologist of Semillas de Agua, the CAC has provided and we feel that there is greater involvement, and I a space that has made it possible to conduct work at the believe that this is driven by the CAC as it motivates watershed level that had not existed in the province, the public sector to take a leading role.” In addition, through an organization with actors from different according to Ospina, J. (pers. comm. 2008) the CAC municipalities that work for a common purpose, helped to increase interest by mayors and councilmen, addressing the issue of water resource around the which in turn led to the Semillas de Agua working watershed (Rubiano, J. pers. comm. 2008). As a result on protecting areas with municipal support. Other of the CAC, CORTOLIMA approved three páramo perspectives are detailed in Box 3. conservation projects of the NGO. Through the establishment of spaces for community participation such as the CAC, better exchanges were generated between communities and organizations. Among the most important changes recognized by the participants in the CAC is the fact that it has permitted the communities to break down barriers and stimulate their participation in political decision making. This is reflected in a comment made by a community leader from the village of Hormas in Cajamarca: “One of the advantages that I have seen is that now I can go to the mayor’s office without any problem and there is conversation, we share with the authorities that are involved in environmental issues, which has been something really great. We have also noted that there are changes at the regional level; the organizations have begun to take interest in the problems of the watershed, in the conservation of the strategic ecosystems. Of course these are things that are there, but they are promoted as a result of this type of process” (Pérez pers. comm. 2008). 32 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Box 3. Public agency perspectives of the CAC and SCALES project Guillermo Rodriguez Mayor, Cajamarca-Tolima What you are doing is interesting. It is an important alternative, farmers working in harmony with the environment. Rafael Prieto Forest Engineer, Secretary of Rural Development and Environment, Ibague-Tolima This project provided tools to learn more about the problems, to develop water use and its relevance to the community. Camilo Téllez Councilman, Cajamarca-Tolima Since the council participated in the Conversatorio, we’ve seen substantial changes in the ties between the community and the follow-up committee. This project changed the way we relate to our natural resources. They are beautiful and we have to protect them. Now there is more consciousness about environmental protection. Source: Semi-structured interviews. Knowledge acquired with respect to their citizens’ alarms in case there was a crime. Also through our rights and the role of the public and private sectors negotiation 4 bridges were installed in the sector. For us in environmental and community management has this has been an accomplishment; with the CAC we have helped change community relationships with local and learned that the community itself can negotiate. Before regional authorities. Political contact and petitions, that we just waited for things to come” (Gutierrez, A. made by the participants of the CAC through the pers. comm. 2008). agreements, have altered the power relations between politicians and communities. Leaders and implementers of the project reported that not all CAC agreements are being fulfilled The CAC process has motivated the communities The main reason is that the CAC was held prior to to participate more actively in processes of citizen elections so the contacts established with the local action and obtain greater scaling up of their actions. and regional authorities have been lost because they For example, in Cajamarca, the mayor has attempted lost their seats. This process has had both negative to motivate other mayors in the region to make future and positive consequences, as described by Pérez, F. alliances; while in Ibagué, the community of Hato de (pers. comm. 2008): “Where we were well received; la Vírgen has been able to improve their roads and the now they will not meet us. (On the other hand,) in some public lighting in this community through a petition. municipalities we had reached a level of trust with the SCALES helped them learn how to make the petition public officials; but with the change in administration that has led to the installation of community alarms they changed and now we have to get to know the new and installation of bridges resulting in improved safety official. In Cajamarca with the last mayor, everything of inhabitants: “We wanted to reduce the insecurity, the was negative, he only received his political allies so we community met, we called the police in the community, could not approach him; but with the mayor elect we and they recommended that we install community have made great progress.” CPWF Working Paper - Impact Assessment Series No. 06 33 2011.04.22.CPWF WP-IAS-08.draftv3 Box 4. Community perceptions of environment-friendly agricultural production Martha Leonel Community Leader, Cajamarca-Tolima Since we came here we have not used chemicals because I joined Semillas de Agua in November and I learned a lot from them. Look at the coffee we’ve had. We will have more a year from now. Ever Cacerez Anaime River Basin’s Farmers’ Association Initially I shared this experience with my family because we are conscious of environmental protection. We think twice before cutting a tree, for example. We think about managing our solid residues in the farm. Still, in our farm we are using pesticides because unfortunately in big-scale farming... It is hard to convince some workers about these things...they reject you. [Describing a greenhouse] Purely organic. We have green beans here. We take them to APACRA market in Ibague. We grew these with zero chemicals, using the fungicides and insecticides that Semillas de Agua taught us to prepare.. Alvaro Rodriguez Community Leader, Coello-Cocora, Tolima With the progress we’ve made, now I have organic fertilizer from my worm culture. I leave the worms for about a month and a half and once the material has turned into earth I put it around the fruit trees. Source: Semi-structured interviews. Communities have also had success in making to reflect the actual incentives people face when petitions to private-sector organizations. Amparo deciding how to use resources that have both individual Gutiérrez, describes how they approached Unilever and social costs and benefits.104In sum, the process who had already supported educational programs in developed through the SCALES project facilitated the the area: “The Department of Development encouraged participants to know their rights and helped transform us to include more businesses so that was why we their attitude towards their environment and their contacted Unilever, and now they are supporting us relationship with others. with the educational processes of [environmental] sensitization, especially in the schools, where they Outcome 4: New priorities and commitments for collaborate by giving workshops on social aspects, environment-friendly land uses making the community more aware of the environment” (Gutiérrez, A. pers. comm. 2008). Community commitments Candelo et al. (2008) note benefits from another The different interventions by the SCALES project area of research: In both SCALES communities, in the Coello River Basin have raised consciousness economic games were conducted both as a research regarding the use of agrochemicals and environment- activity to better understand the factors that support friendly production options. The work of the SCALES or inhibit collective action in watersheds, and as a 104 Although the games made explicit some of the reasons behind development activity in which watershed residents an observed lack of cooperation and generated discussion on how to address the problem, the consensus from the participate as “players” in “games” or scenarios designed communities was that they could have been better articulated into the CAC process. 34 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 project facilitated the integration and the joint work provincial development plans. Moreover, of the community leaders as well as the sharing of CORTOLIMA and USOCOELLO have problems and experiences of communities from the purchased 3,000 ha in the páramo ecosystem. upper, intermediate and lower parts of the watershed. Both the implementers and the communities now • Program for managing and using agrotoxins. While recognize better communication and relations the program already existed and was implemented amongst these communities. by ICA and the Department of Health, the CAC motivated these organizations to become more Through the creation of the follow-up committee involved in its supervision and development. For and the Coello-Cocora expedition, the communities example, in Cajamarca, inspection of agrochemical had an opportunity to learn about the different sellers was renewed, follow-up by the Department problems that inhabitants face and recognize an of Health of people at risk of being contaminated interdependency exists among them, whereby actions was implemented, and ICA has committed to can affect other parts of the watershed continuing this process in the municipalities of Rovira, San Luis and Coello. Organizational commitments • Regional environmental agency support. The SCALES project helped develop the CAC as • CORTOLIMA dedicated resources for a tool to solicit the commitment of government process support of protecting areas within organizations to work on environment-related themes. its Three-Year Action Plan (PAT, Spanish Public-sector organizations participated in the CAC at acronym). the regional and municipal levels. • CORTOLIMA incorporated a project for pasture management in its current 3-year Despite the process of convocation, important action plan. decision-making actors did not attend (see Table 6). Moreover, some mayors sent representatives with no • Páramo conservation. The Mayor’s Office in decision-making power, which limited the results of Cajamarca has increased support to conservation the political agreements produced in the CAC. and the development of sustainable production systems in the municipal development plan. Interviews of the follow-up committee members and implementing team identified the most important • Fishery plan for the Coello watershed. In a first advances on fulfilling CAC agreements: phase, ICA is holding meetings to support the communities in the upper part of Cajamarca in the • Constitution of protected areas in the municipalities formulation of sustainable fish-farming projects. of Cajamarca, San Luis and Coello.115These municipalities have included projects for • Two multi-organizational fora on strategic zones. purchasing land within their municipal and In alliance with the provincial Department of 115 Rural Development, WWF, Semillas de Agua and The system of protected areas responds to a need to integrate areas for protecting natural zones of water supply, according the follow-up committee invited the mayors and to article 111 of the Law 99, 1993. Municipal and Provincial governments are to include these areas in their development councilmen of the municipalities in the watershed. and territorial plans. CPWF Working Paper - Impact Assessment Series No. 06 35 2011.04.22.CPWF WP-IAS-08.draftv3 The fora have provided an opportunity for public sector participated in each forum (Semillas establishing work agreements between the follow- de Agua 2007). up committee and the other participating actors. Participants from 15 communities in six towns Transcript highlights of the video interviews also also participated. On average, 30 members of reveal organizational commitments (Box 5) these communities and five representatives of the Box 5. Examples of organizational commitment Guillermo Rodriguez Mayor, Cajamarca-Tolima I would like to ask my colleagues, with whom we share this mountain range and the responsibility of water use, such as the mayor of Espinal and the other towns downriver....We have to find strategies and work with the community and researchers to move forward. We are worried for example, about the la Linea tunnel decreasing the volume of the Bermellon River, affecting the Coello River. We have to work together. The fields are contaminated, the pests are resistant to pesticides and there are health problems and the only winners are the ones selling agricultural inputs. I want to ask my colleagues, that between all of us we have to look after plants and animals, the water resources and all the agronomic activities in each of our municipalities because we are all definitely farming communities.. Camilo Téllez Councilman, Cajamarca-Tolima More than a commitment, I see it as a responsibility. One commitment was to set up the municipal protected area system. Another commitment is to involve the community in developing proposals and ideas with the council for a better future. Rafael Prieto Forest Engineer, Secretary of Rural Development and Environment, Ibague-Tolima We observed a serious environmental problem in the Hato de la Virgen stream through participating in the SCALES project. The water is contaminated by septic waste. Now the community is receiving training and they have opportunities to approach organizations about their problems. Unlike before, it is the organizations which initiate proposals to solve problems.. Alejandro Villamil Technical Director of UMATA, Cajamarca We have been with the municipal counselors in the SIMAPS constitutional forum and we are working to establish our municipal protected area system Source: Participatory video. 36 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Discussion Study Limitations the lack of motivation of these actors to participate in the CAC process. Three, although a random A review of the training evaluations indicated that selection was made of the interviewees in the follow- logistical difficulties limited the participation of people up committee, this was not true for nonparticipants in some watershed communities. This was mainly and participants of the CAC. These groups were due to the size of the area, large distances among chosen by ‘snowballing,’ making sample selection of communities and the lack of roads to access to them. nonparticipants an issue. The document review also revealed that awareness- building activities with the most powerful actors in Given that the evaluation goal was to identify the watershed, especially the industrial sectors, were general findings of network strengthening, the almost nonexistent. Cantillo et al. (2008) also support social network analysis, despite the abovementioned this finding, arguing that implementers spent much limitations, was useful. It was possible to informally time in the capacity-building of marginalized actors assess the impact of the project on strengthening social and neglected to lobby with powerful actors. The lack networks not only in a section of the watershed, but of effort to motivate these actors and change their also between these different parts. attitudes and perceptions on water issues reduced their participation in the CAC meeting. There was Discussions also influenced evaluation methods. In only one activity during the preparation of the CAC agreement with the WWF, the NGO that was the local in which community members had direct contact leader of the SCALES project in Colombia, evaluators with these actors (CEMEX mine), whereby social and proposed the implementation of a participatory video environmental agendas were shared. with the participation of community representatives from different parts of watershed. The questionnaire and network analysis presented numerous implementation problems. One, a lack of Factors Influencing the Success of the CAC Process network baseline data of the watershed communities before SCALES started prevented an explicit “before- There are four conditions that influenced the success of after” comparison. Two, a limited review by the the CAC process in the Coello Basin. watershed contexts was not always fully taken into account. For example, social actors were divided into 1. Local leadership three groups, and there was no further analysis or sample of the nonparticipants that included powerful Douthwaite (2002) argues that changes require a actors such industrial sectors, miners and policy ‘champion’ and innovative partners who are able to makers. This would shed light on the current social assume risks. The empirical analysis showed that in networks of the powerful actors and explain, in part, the CAC process local partners at the level of project CPWF Working Paper - Impact Assessment Series No. 06 37 2011.04.22.CPWF WP-IAS-08.draftv3 implementation have an important influence on the • Insufficient financial resources and project results. WWF has a good relationship with Semillas coverage. In Fuquene, budget constraints de Agua, which in turn has been working with the prevented inclusion of more communities in local communities for a long time and is interested the CAC process. While Coello covered six in continuing to work in this region. In Fuquene, municipalities, Fuquene focused on only three neither Fundación Humedales nor WWF has an and with fewer meetings of the entire group. established network in the area. Thus, it took time to • Lack of trust. Limited prior interaction with formulate strategies, coordinate, and build trust before the organizations in Fuquene led some to the project was implemented. Equally, it was very feel that they were “put against the wall” important to find well-motivated and dynamic local during the CAC. Fuquene organizations champions at the community level. were also criticized more than Coello. One representative acknowledged that some of 2. Prior collaborative experiences on projects this was due to a perception of organizations being ineffective and not transparent. The CAC in Fuquene was considered less successful Some organizations felt threatened by than that of Coello (Candelo et al. 2008). Despite community insistence that comply with their achieving 25 agreements with ten organizations in responsibilities. Fuquene, a low level of collective action resulted • Lack of inclusion within research. Although in little follow-up on the agreements. One reason the SCALES project partners had experience for the relative malfunction in Fuquene was a new in both Fuquene and Coello prior to the collaboration between WWF and the local NGO initiation of the SCALES project, research counterpart, Fundación Humedales. Differences activities in Fuquene generated more between the two organizations were difficult to information on the environmental and socioeconomic issues in the watershed. In overcome. According to Candelo, We did not know contrast, previous Coello experience had Humedales, their way or pace of work. In contrast, both research and community development WWF and Semillas de Agua had worked together components that together appear to have in the region of Cajamarca and Coello Cocora for provided a stronger base for the CAC. approximately 10 years. Besides working together, WWF and Semillas de Agua knew others in Coello. 3. Effective capacity building and awareness-raising In addition, Semillas de Agua had worked on strengthening community leadership. A process started WWF and Semillas de Agua were very active with 5 years ago helped establish important local capacities the follow-up committee and participating farmers, and relationships with local authorities. particularly through an intense capacity-building process. The evaluation revealed that: (1) interview Comparing the two watersheds highlights the responses during the participatory video generate importance of establishing working relationships and changes in environmental awareness of the watershed, community leadership capacities before attempting to and (2) the follow-up committee and participating foster collective action. Candelo et al. (2008) identify farmers share similar knowledge and attitudes, likely reasons for difficulties in Fuquene: a result of capacity-building. While both project 38 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 participants and the follow-up committee have similar • Nonparticipants have sparse relationships with perceptions of the main watershed problems (Table environmental and community development, 11), their perception differed from those of the and most of them are with project nonparticipants. In general, nonparticipants identified participants. fewer problems within the watershed. • This greater exposure to the project and its ideas has led to similarities in how the three The network analysis together with assessment of groups see the problems in the watershed knowledge and attitudes provides evidence to support (Fujisaka and Claros 2008). the following findings: • The exposure to the project came mainly through capacity-building and organizing for The central positions of the project implementers the CAF. (see Figure 6 and Figure 7), in particular staff • The SCALES project has worked to achieve from WWF and Semillas de Agua, are consistent objectives relating to the inclusion of women with their capacity-building role, particularly of (Figure 7) and linking between upstream and the follow-up committee. The greater the people’s downstream users (Table 6). participation in the project, the more the links they • The follow-up committee is active in reaching have with other people regarding community and out to other members of their communities environmental development. but the changes are in knowledge (Figure 6). Table 11. Perceived problems at the watershed level Problem Project Project Non- committee trainees participants River contamination 100 100 82 Lack of community awareness 100 33 0 Lack of organization 100 17 18 Damaging crop management 78 75 27 Lack of policy enforcement 78 75 0 Burning 67 50 0 Deforestation 55 75 18 USOCOELLO excessive water use 55 42 0 Extraction of stone, sand and gravel 55 42 0 Lack of domestic water 45 42 0 Disappearance of fish 44 42 0 Landslides along river 33 0 36 Loss of springs 22 8 0 Poverty 22 0 9 The cement factory 0 17 0 CPWF Working Paper - Impact Assessment Series No. 06 39 2011.04.22.CPWF WP-IAS-08.draftv3 4. Supportive political and socioeconomic context existence of a government document substantiated the CAC process. In addition, the likelihood of public Constitutional support is potentially very agency participation increased with principles of important to the success of the CACs. Although governability and people’s sovereignty. considerable work on the ground was needed, the Participants of the CAC, Colombia 40 Impact assessment: Do Conversatorios Generate Collective Action? Source: CPWF 2011.04.22.CPWF WP-IAS-08.draftv3 8. Conclusions This evaluation is focused on the CAC as a mechanism projects fell short of expectations. Only 5 persons from to generate collective action amongst marginalized the public-sector related to water issues participate in actors for natural resources management. The the CAC process. These persons had little experience CAC was the main intervention of the SCALES in negotiation with communities and as a consequence project in Colombia. Designed on the basis of there was lack of leadership in pooling resources and previous experiences of WWF in natural resources better results in the CAC meeting. management, the CAC of the SCALES project emphasized both implementation and reflection of its Summary of Findings usefulness for collective action in Coello and Fuquene watersheds in Colombia. An analysis of project documentation, social network survey, and interviews, with the support of Collective action fostered by the project enabled the participatory video made by the members of the development of human capacity, changed attitudes follow-up committee show that the project had most towards the effectiveness of citizen participation, impact in capacity-building, in forging links, in eliciting constructed a collective agenda through a negotiation institutional commitment, and in enabling people to process, facilitated organizational and community participate in decision making on themes related to spaces to take action, dialogue and learn. Weaknesses water and the environment. This was achieved through have been found in the motivation of powerful actors various mechanisms, including increasing knowledge, and in the generation of trust between powerful and attitudes and skills, creation of a common agenda, marginalized actors. This was reflected in the low and empowerment of the communities and a local participation of these actors in the CAC meeting and partner. Most of the outcomes identified by the project in the low support of public actors in the entire process. implementers in the impact pathways workshop were Moreover, overall public-sector contribution to the fully or partly achieved. CPWF Working Paper - Impact Assessment Series No. 06 41 2011.04.22.CPWF WP-IAS-08.draftv3 Table 12. Evaluation questions and answers 1. What changed due to • Increasing environmental awareness. the implementation of • Eliciting institutional commitment. the CAC in the Coello • Fostering links. watershed? • Improving knowledge and skills on rights and responsibilities with respect to water issues. • Encouraging collective action. 2. What is the scope and • Communities, through petitions, were able to influence decision making extent of the changes?? on problems related to watermanagement and other issues. • The CAC process has motivated the communities to participate more actively in processes of citizen action and obtain greater scaling up of their actions. • Government institutions have committed to work on environmental- related themes. • Thirty agreements with the public and private sector were signed to solve issues on potable water, conservation, production systems, and resource management. • Communities were given opportunities to learn about the different problems in the watershed through the Coello Expedition and through the creation of the follow-up committee. • Women participated in the project as evidenced by the network links in the network analysis of the project and the presence of female representatives in the follow-up committee. • The process of training carried out by SCALES to prepare the CAC has been directed at generating changes in practices through changes in knowledge and attitude and has motivated the environmental conscience of the community leaders. 3a. What were the causes of • Changing attitudes towards the effectiveness of citizen participation. the changes? • Constructing a collective agenda through a negotiation process. • Generation of organizational and community spaces. • The creation of committees empowered to take action, dialogue and learn. • Strengthening of participants’ knowledge and skills through various capacity-building exercises. • Empowerment of a key local actor (Semillas de Agua). 3b. What was the contribution The project's financial support made the training of participants possible, of the project? created spaces for interaction between communities and institutions, and helped its local partner facilitate projects at the community level. 3c. What were the other • Poverty. drivers? • Land degradation, air pollution and water contamination from various sources. • Lack of adequate systems to supply clean domestic water. • Conflict over water use. • Reduced flows of the Coello River and its tributaries. 3d. What was the role of • Contribute to awareness-raising about environmental degradation in research? the watershed and help connect it with the causal factors. • Help generate incentives to generate cross-scale links and the need of the communities to participate in the CAC. • Give elements for negotiation with watershed actors and government. • Refine and evaluate the CAC methodology. 42 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Participants of the CAC, Fuquene, Cundinamarca, Colombia Costs and benefits and other natural resources. Knowledge of the CAC process is also a public good. The total SCALES project investment in the two CACs was approximately US$150,000. An accounting of costs Two criteria are used to define a public good: would also include estimate of the partner contributions nonrival and nonexcludable (Samuelson 1954). and the time invested by the communities. Nonrival implies that the use of a good or service by one person does not diminish benefits from use by Estimating the benefits of the CAC process is too another person. With respect to CAC knowledge, use early an endeavor. While the return on investment by one watershed or country does affect others outside could comprise factors such as the funds committed such areas. The criteria of nonexcludability imply that on the day of the CAC and the nonmonetary use of the good or service cannot be excluded amongst commitments to implement policies and programs, users. With respect to knowledge of the CAC process, the efforts to build capacity in watershed communities documentation is potentially available to all people. could generate the greatest social, environmental and economic payoffs. The CAC process produced 27 The CAC process helped democratize access to agreements with government authorities containing knowledge and technology, which in turn helped financial commitments of over US$600,000. local communities to better manage their water and other natural resources. Hence, the CAC itself Generation of international public goods helps knowledge to fulfill the criterion of being a public good. Since the CAC can be applied outside The CAC process has the potential to become Colombia, it is potentially an international public an international public good that could enable good. Originally developed by the Colombian communities to gain access to knowledge and NGO ASDES, CAC application by WWF and technology, and in turn help them manage their water later the SCALES project have expanded its use. CPWF Working Paper - Impact Assessment Series No. 06 43 Source: Diana Córdoba 2011.04.22.CPWF WP-IAS-08.draftv3 The SCALES research project documented the capacity to extend influence in the watershed and CAC process, developed a conceptual framework, social networks. New tools to generate collective and identified key success factors for use by a wider action and participation in the communities were audience of practitioners. also adapted and applied. 5. Explicit explanation of the importance and Lessons benefits that organizational and collective action motivates participation of different stakeholders. The CAC experience in the Coello Basin produced the 6. Although all the likely participants of the following lessons: CAC have an interest in water management, specific interests are driven by diverse economic, 1. Investment in strategic research topics was environmental and social factors. Clarity of such crucial to improve the effectiveness of the CAC different interests enables the CAC process to process. Complementary studies were conducted respond accordingly. Otherwise, stakeholders to provide inputs for existing processes of who do not feel that their concerns are being knowledge and information transfer, and tools to recognized will lose their interest to participate. identify and address power imbalances between 7. The CAC is a potentially effective mechanism communities, authorities and other actors. for generating multi-stakeholder participation. 2. Participants stated that more time should be Nevertheless, a challenge remains in making the allocated in the preparation of the CAC in process sustainable, whereby advances continue order to attract stakeholders’ attention and without the project. Emphasis on project participation. Securing the cooperation/inclusion development skills and agreed participation in of key players from the industrial sector would follow-up activities help ensure continuity. likely benefit the process. 3. Promoting transfer of knowledge, skills and Next steps active participation in the CAC required the development of skills among the Although the CAC process benefits from support participants, such as active listening and of the Colombian constitution, similar projects effective communication, as well as a better could advance collective action in other locations understanding of the CAC process itself. During without such support. Training civic organizations the process, direct interaction among partners (community-based or nongovernment) can better (e.g., workshops, the Expedition and visit) was influence decisions through new knowledge, noted as the most useful methods for learning, technology and skills. skills development and capacity-building. Nevertheless, relatively few stakeholders could As civic organizations increase lobbying pressures participate. A scaling-out mechanism coordinated while government agencies face greater demands for with activities/training at various stages of the accountability of action, both capacities and incentives process could enable the project to reach a larger to perform can generate effective collective action. The percentage of community members. CAC is an important process to connect the people 4. Enhancing the profile of the local NGO (i.e., with authorities in order to improve decisions and Semillas de Agua) generated important local actions. 44 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Semi-structured interviews (Personal communications) Cacerez, E. 3 July 2008 Candelo, C. 6 July 2008 Gutierrez, A. 5 July 2008 Leonel, M. 3 July 2008 Martinez, B. 5 July 2008 Ospina, J. 6 July 2008 Pérez, F. 4 July 2008 Prieto, R. 5 July 2008 Rodriguez, G. 7 July 2008 Rodriguez, A. 5 July 2008 Rubiano, J. 5 July 2008 Tellez, C. 5 July 2008 Villamil, A. 7 July 2008 CPWF Working Paper - Impact Assessment Series No. 06 45 2011.04.22.CPWF WP-IAS-08.draftv3 References Beardon, H., K. Studd and M. Morris. 2008. Recognising complex social dynamics in natural resource management in Colombia. Rethinking impact workshop: Understanding the complexity of poverty and change. Cali, Colombia: CIAT. March 26-28. http://www.prgaprogram.org/riw/files/papers/WWF%20Beardon%20Candelo.doc Borgatti, S.P. and M.G. Everett. 1999. Models of core/periphery structures. Social Networks 21: 375-395. Candelo, C., L. Cantillo, J. Gonzalez, A.M. Roldan and N. Johnson. 2008. Empowering communities to co- manage natural resources: Impacts of the Conversatorio de Acción Ciudadana. Paper presented at the International Food and Water Forum, Addis Adaba, Ethiopia, November 2008. Cantillo, L. and J. González. 2008. Sistematización del conversatorio de acción ciudadana (CAC) de la cuenca del Río Coello, Tolima, Colombia. Final report presented to WWF and CIAT. March, 2008. CORTOLIMA (Corporación Autónoma Regional de Tolima). 2003. Three-year action plan 2004-2006. Ibague. (Duplicated) CPWF (Challenge Program on Water and Food). 2005. Project Proposal CPWF PN20: Sustaining Inclusive Collective Action. (Duplicated) DANE (Departamento Administrativo Nacional de Estadísticas). 2007. Resultados del Censo general del 2005. http://www.dane.gov.co/files/censo2005/regiones/tolima/ibague.pdf. De Leon, M.C. and B. Douthwaite. 2007. Most significant change stories from the Challenge Program on Water and Food (CPWF). CPWF Working Paper 03. Colombo, Sri Lanka: The CGIAR, Challenge Program on Water and Food, 93p. Di Gregorio, M., K. Hagedorn, M. Kirk, B. Korf, N. McCarthy, R. Meinzen-Dick and B. Swallow. 2004. Property rights, collective action and poverty: the role of organizations for poverty reduction. Presented at The Commons in an Age of Global Transition: Challenges, Risks and Opportunities, the Tenth Conference of the International Association for the Study of Common Property, Oaxaca, Mexico, August 9-13. Douthwaite, B. 2002. Enabling innovation: A practical guide to understanding and fostering technological change. London, England: Zed Books. Douthwaite, B., B.S. Alvarez, S. Cook, R. Davies, P. George, J. Howell, R. Mackay and J. Rubiano. 2007. Participatory impact pathways analysis: A practical application of program theory in research-for- development. Canadian Journal of Program Evaluation 22(2): 127-159. Eade, D. 1996. Development and social diversity: A development in practice reader, UK and Ireland :Oxfam [online], Available: http://www.developmentinpractice.org/readers/socdiv/SocDiv%20text.pdf#page=86 46 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Fujisaka, S. and Claros, E. 2007. Impacts of the CPWF/Escalas in the Rio Coello watershed. Cali, Colombia, CIAT (Duplicated) Johnson, N., J. García, E. Mwangi, A. Moreno, A. Peralta and S. Granados. 2006. Watershed management and poverty alleviation in the Colombian Andes. CIAT annual report. Cali, Colombia: CIAT. Ostrom, E. 2005. Understanding organizational diversity. Princeton: Princeton University Press. Peralta, A., J.A. García and N. Johnson. 2006. Dinámica y definición de pobreza en los Andes colombianos: Enfoques participativos versus enfoques objetivos. Desarrollo y sociedad (58): 209-243. Rodríguez, H. and J. Rubiano. 2005. Aspectos biofísicos y socio-económicos de la cuenca del río Coello en el departamento del Tolima – Colombia. Cajamarca. Corporación Semillas de Agua: Proyecto de conservación y desarrollo en la cuenca del Río Anaime. Ibagué, Colombia: WWF. Samuelson, P. 1954. The pure theory of economic expenditure. Review of Economics and Statistics 36: 387-389. Sarmiento, A., A. Cifuentes, C. González and J. Coronado, eds. 2006. Los municipios colombianos hacia los objetivos de desarrollo del milenio: Salud, educación y reducción de la pobreza. Bogotá, Colombia: Departamento Nacional de Planeación (DNP), Programa Nacional de Desarrollo Humano (PDH), Programa de las Naciones Unidas para el Desarrollo (UNDP) and Cooperación República Federal Alemana-República de Colombia (GTZ). Semillas de Agua. 2007. Report of the conversatorio preparation workshop. March. (Duplicated) Swallow, B., N. Johnson, R. Meinzen-Dick and A. Knox. 2006. The challenges of inclusive cross-scale collective action in watersheds. Water International 31(3):361-376. World Wild Foundation (WWF). 2007. La Cuenca del Río Coello sedienta de protección. Cali, Colombia: WWF, p.5. CPWF Working Paper - Impact Assessment Series No. 06 47 2011.04.22.CPWF WP-IAS-08.draftv3 Appendix 1. Most Significant Change Story Source: De Leon, M.C.; Douthwaite, B. 2007. Most significant change stories from the Challenge Program on Water and Food (CPWF). CPWF Working Paper 03. The CGIAR, Challenge Program on Water and Food, Colombo, Sri Lanka. Pp. 26-27 Classification: Partnership Project / Theme / Basin: PN20 / Theme 2 / Andes Date when the change occurred: 2006 Place where the change occurred: Andes Basin The Story The main intervention in the two sites in Colombia is the “conversatorio,” which is a legal mechanism through which communities hold authorities accountable. Its success depends on the extent to which the community is united, technically prepared, and capable of interacting with representatives of the organizations. The project is adapting a process for preparation of local communities on all of these fronts in order to address watershed issues. The process is led in each of the two sites by local NGOs, supported by a national NGO and the research organizations. In one watershed, the NGO mainly focused on the lake at the bottom of the watershed, while in the other watershed an NGO from the páramo of the uppermost part. Bringing these two together, through the support of the national NGO, has led to a strong collaboration and to new perspectives on the importance of linking upper and lower parts of watersheds. In addition to their links with each other, the wetland NGO now works in upper areas and the páramo NGO now has contacts with the irrigation districts of the lower part of its watershed. At least in Fúquene, this is also reflected in changes in the way communities see things. In a prioritization exercise to determine what topics would be addressed in the “conversatorio,” fisher communities gave priority to problems faced by upstream communities because they recognized that by working with these communities to solve their problems of unsustainable agricultural expansion, they would be indirectly solving their own problems of water contamination. This is in spite of the fact that a fisheries biologist with whom they worked closely was pushing them to give priority to downstream fish and water-quality monitoring systems! The realization that upstream issues were important also spurred the downstream NGO to try to influence policymakers to take action in upstream areas. One area of issues is land use regulations in parámos.  The NGO is supporting the idea of environmental service payments for adopting sustainable practices in appropriate areas. Another area of issues is water treatment. None of the water treatment plants in the rural communities is working and this is a major source of pollution downstream. 48 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 In aother site in Coello, Tolima, there was very little contact between the upper and the lower parts. Through this project and the intervention of CIAT’s rice project, a contact was made. Someone from the rice growers’ association participated in a “watershed expedition” that involved about 30 persons from different parts of the watershed visiting it together. As a result, they became aware of the threats to their water supply due to upstream land use practices, and are now active participants in the basin dialogues coordinated by the NGO. Why is the story significant? It shows new relationships and changes in attitudes that should continue beyond the life of the project. What were the critical factors that led to the change? Opportunity to focus on something beyond their original geographical and technical areas of expertise. What were the constraints? The two local NGOs competed for time and attention from the national one. In some ways this brought them closer since but the national NGO does favor one over the other which is always a problem. What are the future implications for action (e.g., future research), if any? Presumably, both will continue to use a watershed perspective within their work. One thing I wonder about is how the communities will feel about the linkages they discovered. For example, the fishers see that their problems will be solved upstream. But will they support drastic upstream solutions like banning all agriculture at the expense of upstream welfare? It will be interesting to watch how the alliances among stakeholder groups will play out over time. CPWF Working Paper - Impact Assessment Series No. 06 49 2011.04.22.CPWF WP-IAS-08.draftv3 Appendix 2. Agreements reached during the CAC meeting Organizations Type of No. Summary of the agreement involved agreement 01 CORTOLIMA Conservation Prioritization of the Coello watershed in the Plan for Regional Development. Support ‘clean production’ projects in the watershed. Purchase of land for conservation and support to projects of soil conservation. Communities can participate in the watershed council which will be regulated by MAVDT and included in the PAT. A research agreement for the establishment of an observatory of the watershed. A project proposal of incentives for conservation in the region. Reforestation of the local protected areas and their inclusion in the national system of protected areas. 02 CORTOLIMA Resource Concessions for exploitation of construction materials from the river management (sand and stone). concessions Projects oriented to water conservation, management of soil erosion and better practices for soil conservation. Meet with INGEOMINAS to revise and plan visits to the extraction sites of construction materials in the watershed. 03 CORTOLIMA Resource Make progress in the process of monitoring of the current irrigation management concessions, giving priority to water for human consumption above concessions other uses of water. Verify if USOCOELLO has a legal concession in the Gualanday stream. Supervise if USOCOELLO changed the course of the Gualanday stream. 04 CORTOLIMA Resource Revise the management plan for fishing in the watershed in management coordination with USOCOELLO, INCODER and the CAC follow- concessions up committee. 05 CORTOLIMA Resource Hand in the report of the final process to CEMEX and the strategies management of monitoring of the environmental problems caused by this enterprise. concessions 06 CORTOLIMA Systems of Support and facilitate the participation of the communities in different production projects of ‘clean’ production. Include as a task the reduction of the use of agrochemicals in the Coello watershed and articulate this task in the PAT. 50 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Organizations Type of No. Summary of the agreement involved agreement 07 CORMAGDALENA Agreement with the Institute of Meteorology, Hydrology and Environmental Studies (IDEAM) to implement a monitoring network of the Magdalena River to know the quality of water in this river and its tributaries. Agreement with the Tolima Provincial Government to develop reforestation projects along the Magdalena River. Support for the development of an effective strategy to train productive sectors in achieving clean production. 08 Provincial Conservation Assign resources for purchase of land for conservation. Government, Oversee the different legal and administrative processes for land Agriculture Secretary purchase in coordination with the municipalities and CORTOLIMA. of Tolima 09 Provincial Production In agreement with the APACRA association of agroecological Government systems producers, commercialization needs will be supported, as long as the stipulated conditions are met. There will be a meeting on Monday, May 14 at 2.00 p.m. for this purpose. Ratify the agreement of the food safety plan by the end of May in the Coello municipality. Continue support for the rural food safety program with the provision of 150 million pesos. 10 Provincial Conservation The office of agricultural development is committed to channel Government resources to the purchase of areas of conservation interest, assigning 50 million pesos for land purchases in the Coello River Basin. Oversee the legal procedures for the purchase of areas of conservation interest, and come to agreements with Cortolima to purchase these lands. 11 Provincial Conservation Meeting with the follow-up committee on Friday, May 18 to define Government strengthening mechanisms for the Conversatorio agreements. 12 USOCOELLO Conservation Look for advice from Cortolima and Semillas de Agua for the management of the purchased lands, future land purchasing and participatory management; the suggestions should be implemented. Development of a study of timber species in the Coello River Basin with Agrobursátil and Semillas de Agua. 13 USOCOELLO Resource Monitoring of the assigned water flow by the concession and define management whether the 30% of protected flow is being respected. concessions Visit the Gualanday creek to observe the estuary and determine whether there are irregularities, with Cortolima, the Coello Local government and the CAC. Preventive management of floodgates, as long as the schemes are supported with real-time monitoring, with the cooperation of the Dindalito community leaders, to avoid flooding in the rainy season. Visit the conservation office of Usocoello with representatives of the Dindalito community to plan dredging and maintenance of drainage channels affecting the community during rainy season. Continue dredging and maintenance works in accordance with the conservation and budget plans of USOCOELLO. CPWF Working Paper - Impact Assessment Series No. 06 51 2011.04.22.CPWF WP-IAS-08.draftv3 Organizations Type of No. Summary of the agreement involved agreement 14 USOCOELLO Systems of Revise the technical viability of the dam redesign, attending to the production CORTOLIMA suggestions regarding the technical adequacy. Review of the flow reestablishment viability in accordance with the INCODER technical proposal. Leave 30% of water free for the flow, as established by the concession. 15 Municipality Coello Conservation Negotiate land purchases in the micro-basin areas of Gualanday and Chagualá, in agreement with the community and Semillas de Agua to identify these lands and, through JAC, hire for their maintenance. Allocate 100 million pesos for land purchases and management (equivalent to 1% of the budget). May 17 -18: meeting with the JACs to draft the “forest guarding” proposal. 16 Coello Municipality Potable water Study of, and investment for, permanent water analysis, and to implement a chlorine gas or other system of improvement of the urban water quality. Contract for buying and installing water tanks for the Chagualá zone and socialization meetings with the community. Make the headwaters water consumable and build treatment plants in the rural areas. Review of the water scarcity in the abovementioned areas to optimize the functioning of existing water tanks. Work on the concession of the ECOPETROL treatment plant to make available regional plants and headwaters to the community of Gualanday. Open a space for community participation in the design proposal for the slow filtering treatment plant in the areas without water treatment plants. 17 Cajamarca Conservation Make available 1% of the municipal budget for land purchases in Municipality the Anaime upriver basin and negotiate the availability of further resources. 18 Cajamarca Systems of Implement the pesticide- and agrochemical-free integrated Municipality production management agreement in Cajamarca, especially for La Cucuana. Adequately implement the integrated plant management agreement and continue with the Semillas de Agua and ICA agreement regarding clean management and cultivation of arracacha (Arracacia xanthorriza). Co-develop a plan of clean production based on the APACRA experience; transportation subsidies and the necessary guarantees will be offered to ensure the promulgation of clean production mechanisms. 19 Ibague Municipality Conservation Financial and technical support for processes of reforestation in this municipality. 20 Municipal Council of Potable water Project of drinking water for this municipality with the participation San Luis of the communitarian groups. 52 Impact assessment: Do Conversatorios Generate Collective Action? 2011.04.22.CPWF WP-IAS-08.draftv3 Organizations Type of No. Summary of the agreement involved agreement 21 Municipal Council of Conservation Agreement Project to create the Cajamarca Municipal System of San Luis Protected Areas (SIMA, acronym in Spanish). May and June - presented the Agreement Project to create the SIMAP, taking into account the community’s participation in the management and administration of natural resources, looking for management alternatives. The municipality is registered in the Departmental Water Plan and through this mechanism will promote natural resource management. Remain in observance of Art. 65 de la ley 99 de 1993. 22 Municipal Council of Conservation Creation of the SIMA. Cajamarca 23 Municipal Council of Potable water Communitarian meetings to discuss and prioritize different projects. Cajamarca Make political control to the development of projects for the improvement of the quality of water in Cajamarca and generate spaces of civil society participation. 24 INCODER Conservation Elaborate the baseline for the fishing management plan and the general and systems of guides of this plan. production Restock fish according to the necessities and technical concepts. Organize a technical committee in which USOCOELLO, CORTOLIMA and the follow-up committee can participate. 25 ICA Systems of Supervision and control on the distribution and selling of production agrochemical products in the towns of the watershed. Training activities in the use of pesticides and practices of management of agrochemicals. Confiscate agrochemical products that cannot be sold, are out of date and/or illegal. 26 University of Tolima Systems of Articulate the communities that participated in the CAC in the production consolidation of a proposal of the Farmers’ University, within the project ‘Proyección Social' of this university. Conduct a meeting of the Program 'Proyección Social' with the participation of the communities of the watershed. 27 Provincial Health Systems of Epidemiological watch in use and management of agrochemicals. Secretary production Support the ICA control that is part of the work package in agrochemicals. CPWF Working Paper - Impact Assessment Series No. 06 53 2011.04.22.CPWF WP-IAS-08.draftv3 IMPACT ASSESSMENT SERIES Impact Assessment Series (IA) IA 01 Stories from the field: a most significant change synthesis. Larry Harrington 2009 IA 02 Most significant change stories from the Challenge Program on Water and Food (CPWF). Cristina de Leon, Boru Douthwaite and Sophie Alvarez 2009 IA 03 Geographical extrapolation domain analysis: scaling up watershed management research projects, a toolkit to guide implementation. Jorge Rubiano and Victor Soto 2009 IA 04 Improving knowledge for targeting interventions: willingness of individuals to participate and calcula- tion of institutional environment indices. Jorge Rubiano and James Garcia International Center for Tropical Agriculture Cali, Colombia 2009 IA 05 Aerobic Rice - responding to water scarcity An impact assessment of the ‘Developing a System of Temperate and Tropical Aerobic Rice (STAR) in Asia’ project. Deborah Templeton and Ruvicyn Bayot 2011 IA 06 Citizen participation in managing water Do Conversatorios Generate Collective Action? An Outcome Evaluation of the CPWF Project: Sustaining Collective Action Linking Economic and Ecological Scales in Upper Watersheds (SCALES/PN20). Diana Marcela Córdoba and Douglas White 2011 IA 07 Managing water and land at the interface between fresh and saline environments - an impact evaluation. Bronwen Mcdonald 2011 IA 08 Strengthening CPWF project evaluations: Assessing research-for-development impact. John Mayne 2011 IA 09 Strengthening CPWF project evaluations: Review of the CPWF small grants initiative. Jonathan Woolley 2011 IA 10 Resilience of small farm households through research partnership: A review of evidence from CPWF projects. Jonathan Woolley and Boru Douthwaite 2011 About CPWF The Challenge Program on Water and Food was launched in 2002 as a reform initiative of the CGIAR, the Consultative Group on International Agricultural Research. CPWF aims to increase the resilience of social and ecological systems through better water management for food production (crops, fisheries and livestock). CPWF does this through an innovative research and development approach that brings together a broad range of scientists, development specialists, policy makers and communities to address the challenges of food security, poverty and water scarcity. CPWF is currently working in six river basins globally: Andes, Ganges, Limpopo, Mekong, Nile and Volta. About this Impact Assessment A central challenge for effective watershed management is improving the welfare of residents who live in upper catchments while providing adequate environmental goods and services to people and areas downstream. A CPWF project, Sustaining Collective Action Linking Economic and Ecological Scales in Upper Watersheds (SCALES), addressed this challenge in three sites: Nyando, Kenya; Fuquene, Colombia; and, Coello, Colombia. The objective of this review was to evaluate the impact of The Conversatorio of Acción Ciudadana (CAC) process. The Conversatorio of Acción Ciudadana (CAC) served as the collective action mechanism to promote civil society participation in public policy decisions. Evaluation results show that the CAC process has the potential to become an international public good/method that can (a) facilitate community access to knowledge, technology and skills, and (b) enable them to participate in decision-making processes in managing water and other natural resources. Mailing address: CGIAR Challenge Program on Water and Food P.O. Box 2075 127 Sunil Mawatha, Pelawatta, Battaramulla, Sri Lanka Tel +94 11 288 0143 Fax +94 11 278 4083 Email: cpwfsecretariat@cgiar.org www.waterandfood.org CGIAR