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Report on the cross-scalar interactionsand compatibilities governing sustainable development and
ecosystem service management of the Guiana Shield
Report on the cross-scalar interactions and compatibilities governing
sustainable development and ecosystem service management of the Guiana Shield
November 2012
Report on the cross-scalar interactions and compatibilities governing sustainable development and ecosystem service management of the Guiana Shield
Authors: Andrea Berardi, Jay Mistry, Céline Tschirhart, John Abraham and Elisa BignanteCover design: Géraud de VilleCover photo: Claudia Nuzzo
Published by The Open University, November 2012
Copyright: Creative Commons Non Commercial Non Derivative LicenceYou are free to share (copy, distribute and transmit the work) under the following conditions:Attribution — You must attribute the work in the manner specified by the author or licensor (but not in any way that suggests that they endorse you or your use of the work).Noncommercial — You may not use this work for commercial purposes.No Derivative Works — You may not alter, transform, or build upon this work.
Report published by The Open University in the context of Project COBRA (www.projectcobra.org), supported by a three year grant from the European Commission Seventh Framework Programme.
The findings offered in this report are based on a comprehensive review of de-tailed international and national reports and case study materials developed by indigenous communities.
At the local scale, the process of collaborative discovery was brought about through innovative recording technologies – participatory video and photostories – where participants themselves were able to report on their own perspectives and solutions.
www.projectcobra.org
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Contents
Executive summary……………………………………………………………………………… 4
1. Introduction…………………………………………………………………………………….. 7
2. Objectives and Participants……………………………………………………………. 12
3. Research Methodology………………………………………………………………….. 15
3.1. An approach fit for a complex research context……………………………………15 3.2. The system viability approach……………………………………………………………… 22 3.3. Developing indicators of system viability………………………………………………28
3.4. Participatory action research for stakeholder engagement, capacity building and making change………………………………………………………………………..33
3.5. Visual communication for community engagement…………………………….. 35 3.6. How have we used the system viability approach within COBRA?.......... 36
4. Results…………………………………………………………………………………………… 38
4.1. Indicators of system viability at community level………………………………….38 4.2. Indicators of system viability at the regional level…………………………………49
4.3. Indicators of system viability of international environment and development initiatives……………………………………………………………………………….56
Conclusion to the section…………………………………………………………………………….59
5. Cross‐scalar analysis………………………………………………………………………. 61
5.1. Introduction to cross‐scalar analysis approach……………………………………..61 5.2. Method and Results…………………………………………………………………………….. 61 6. Discussion………………………………………………………………………………………. 71
What have we learnt about community, regional and international policy viability?.......................................................................................................... 71
7. Conclusion……………………………………………………………………………………… 80
Literature…………………………………………………………………………………………… 83
Appendix 1: Participatory Action Research: September 2011‐November 2012…. 88
How the International/Guiana Shield policy analysis unfolded…………………… 89 How the National/regional policy analysis unfolded…………………………………… 95 How the National/regional policy analysis unfolded…………………………………… 95
How the review of established local governance structures, capacities and ecosystem services in the case study communities unfolded……………………… 99
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Executive summary
This report outlines the use of participatory action research, visual methodologies
and a system viability approach to enable the development of a shared cross‐scalar
and interdisciplinary understanding of the current situation within the Guiana Shield
with regards to how some indigenous communities are solving, on their own terms,
emerging social and environmental challenges, and how national and international
policies are supporting and/or undermining these initiatives.
This cross‐scalar analysis compares developments at three distinct scales: the
international policy environment; the regional and national context with regards to
Guiana Shield countries; and the local realities within two case study communities
(Tumucumaque, Brazil, and North Rupununi, Guyana).
The analysis uses a 'system viability' framework, which explores six distinct ways any
system, be it a community, a nation or a policy, can maintain its survival, and how
this affects other interdependent systems.
The investigative process underpinning this report is highly participative and
collaborative – the methodological approach stimulated co‐learning amongst project
participants through extensive discussions and facilitation. At the local scale, the
process of collaborative discovery was brought about through innovative recording
technologies – participatory video and photostories – where participants themselves
were able to report on their own perspectives and solutions.
The findings offered in this report are based on a comprehensive review of detailed
international and national reports and case study materials developed by indigenous
communities. The COBRA Project has undergone a year process of collecting
information and case material through intensive engagement with project partners
and local community members. Project staff have worked to document and analyse
many aspects of local viability such as institutional frameworks and governance
systems, key activities and innovations, biodiversity management, socioeconomic
impacts, policy impacts, financial and social sustainability and the role of
partnerships. This has resulted in an extensive list of indicators at the different
levels, which was analysed to identify cross‐scalar differences and similarities. From
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this, five key themes have emerged that identify common areas of interest for
determining the healthy functioning of the systems at various levels of organisation:
land rights and resource use rights; governance; partnerships and cooperation;
lifestyle; and cultural identity.
Within the context of these five themes, the results of our cross scalar analysis has
identified tensions between two distinct systems: the interests of communities, at
one level; and the interests of stakeholders promoting international initiatives, at
another level. Communities do not fit neatly into any international policy and it is
clear that for the viability of international policies, there are very few that directly
address the interests of community viability. However, the system viability approach
allows a much more sophisticated analysis of conflicts and/or synergies between
interests at different levels.
It is hoped that the application of system viability to a cross‐scalar analysis of
community, regional social‐ecological system and policy viability , may offer a means
by which local communities, regional, national and international initiatives might be
able to better integrate into the new incentive based approaches in current
international environment and development frameworks. In being able to
incorporate the full range and complexity of factors and how these may support
and/or undermine other nested systems, system viability has worked well at
community level to explore the full spectrum of issues pertaining to their survival. It
is clear that environmental policies, including those dealing with PES, are not
addressing the full interests of communities, and may therefore not create the
desired impacts.
In conclusion, the system viability approach, participatory action research and visual
methodologies can be used as a learning opportunity for a range of stakeholders
operating at different levels. Our methodological framework has allowed a disparate
variety of stakeholders to work together and learn about how their experiences,
understandings and values can contribute towards deriving a wide selection of
indicators which can then be analysed and compared simultaneously. This enables a
helicopter 'big picture view' of the entire nested hierarchy of systems, and it is
possible to explore how these influence each other in unpredictable, non‐linear,
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emergent ways. This offers a real opportunity to move beyond the impasse of state‐
centric interventions and, through the use of visual and participatory techniques,
provide a practical framework beyond the 'ivory tower' academic environment
within which system viability approaches are currently applied.
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1. Introduction
This report is a key deliverable of the ‘Community Owned Best Practice in Resource
Adaptive management’ (COBRA) Project – an initiative that was created to better
understand the cross‐scalar and interdisciplinary impacts of emerging global policies
at the local level in a region of the world known as the Guiana Shield (Figure 1).
Figure 1: Map showing the delimitation of the Guiana Shield (source: Conservation International)
This region of South America covers an area of 2.5 million square kilometres, five
times the size of Spain, extending from Colombia in the west to Brazil in the east. It
includes the watersheds of the Orinoco and Amazon rivers, and contains 10‐15
percent of the world’s fresh water reserves, a valuable resource for both power
generation and extractive industries. It is part of the world's largest contiguous block
of tropical forest, with the highest percent of forest cover and lowest rate of
deforestation on the planet, capturing and storing vast amounts of carbon from the
atmosphere. It is home to an extremely rich diversity of plants and animals, many of
which are endemic to the region. In addition, the region is inhabited by hundreds of
thriving indigenous communities, whose knowledge and skills are indispensable for
effective conservation of the region and are therefore a great asset to the world.
Given this context, the Guiana Shield has been a focus of evolving environmental
policies, such as Payment for Ecosystem Services (PES) schemes, as tools with which
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to incorporate developing countries into global multilateral environmental
agreements (Hall 2012). Traditional investigations into the impact of emerging
international policies are limited in their ability to provide a framework that can take
into account the multifaceted needs and realities of all stakeholders at multiple
scales – local, regional, national and international. Using a systems viability
approach, we aim in this report to explore the feasibility of applying a new
framework which meets the needs of the most marginalised and vulnerable
stakeholders: the indigenous communities.
Current thinking in ecosystem service management has linked natural and social
systems into integrated social‐ecological systems (Berkes and Folke, 1998, Berkes et
al., 2003), whereby there is an explicit and intimate interdependence between the
two systems. These interactions over social and ecological boundaries create a
disparate range of nested socio‐ecological systems (Berkes et al., 2003). This implies
that effective management and governance of natural resources requires an
understanding of the multiple, networked and dynamic interrelationships between
social‐ecological systems at different scales (Bache and Flinders, 2004; Pierre and
Peters, 2009). Yet, to date many development and environmental policies and
actions have supported a move towards a supposedly predictable and idealised
stable state (Scoones et al., 2007), a command‐and‐control approach which lacks the
ability to manage and adapt to surprises and rapid change. In addition, these
management solutions/policy interventions have come from higher‐scale structures
e.g. national governments, which are not always compatible with the realities and
perspectives of smaller‐scale units e.g. isolated indigenous communities and their
associated natural resources. Even at the community scale, issues emerge with
regards to how distinct groupings e.g. women, youth, the disabled and the elderly,
are engaged in the development process. The challenge of future policy evolution,
therefore, is to link more explicitly SES at different scales with governance
approaches that are reflexive in the way that they deal with multiple perspectives,
interests and values of stakeholders, as well as surprises and change (Smith and
Stirling, 2006; Voss et al., 2006).
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The COBRA project recognises that community‐owned solutions to ecosystem
service management do not exist in a vacuum. Communities do not only have to
deal with local issues, but also have to operate within a regional, national and
international context which is constantly evolving. Linking and analysing governance
of natural resources at different scales requires the development of explicit
integrated and dynamic models of the social‐ecological systems that communities
find themselves in. Yet few models currently used in development policy and
practice provide a fully integrative approach which look at the potential synergies
and conflicts across social, economic, technological and ecological domains at
different scales of organisation (see Carpenter et al., 2009, Wunder et al., 2008).
Crucially, the most marginalised groups of society have rarely had the opportunity to
directly decide on, and contribute to, model development (Peskett et al., 2008). This
is vital not only for making the connections among technological, economic,
ecological and social structures and processes and aspects of monetary and non‐
monetary measures of human well‐being as experienced by these groups, but also
for quantifying tradeoffs and developing appropriate management actions and
policy interventions in increasingly dynamic and unpredictable scenarios (Cowling et
al., 2009). The integrative model building process therefore needs to involve all
stakeholders, but particularly the most marginalised sectors of society, right from
conceptualisation, with a clear disaggregation of marginalised sub‐groups (Blom et
al., 2010). This is especially significant as the new funding initiatives emerging in the
Guiana Shield region, from Brazilian/Chinese investment to global climate change
mitigation and adaptation financing, have so far placed limited emphasis on
reducing inequality. Addressing these issues, this project has applied an innovative
systems based model which links social‐ecological systems at different scales, and
uses participatory action research to stimulate pro‐poor interventions through the
way the research is carried out and practical initiatives are implemented.
This report thus focuses on how using a system viability approach has enabled the
development of a shared cross‐scalar and interdisciplinary understanding of the
current situation within the Guiana Shield with regards to how some indigenous
communities are solving, on their own terms, emerging social and environmental
10
challenges, and how national and international policies are supporting and/or
undermining these initiatives.
This cross‐scalar analysis compares developments at three distinct scales: the
international policy environment; the regional and national context with regards to
Guiana Shield countries; and the local realities within two case study communities
(Tumucumaque, Brazil, and North Rupununi, Guyana).
The analysis uses a 'system viability' framework, which explores six distinct ways any
system, be it a community, a nation or a policy, can maintain its survival, and how
this affects other interdependent systems.
The investigative process promoted in this report is highly participative and
collaborative – the methodological approach was not directed in a top‐down
manner, but enabled through extensive discussions and facilitation to help stimulate
co‐learning. At the local scale, the process of collaborative discovery was brought
about through innovative recording technologies – participatory video and
photostories – where participants themselves were able to report on their own
perspectives and solutions. This constructivist approach, we believe, allows the
exploration and acknowledgement of representations, subjectivities and issues of
power, while at the same time allows the emergence of unexpected and
unpredictable, yet creative outcomes and understandings.
The findings offered in this report are based on a comprehensive review of detailed
international and national reports and case study materials developed by indigenous
communities. The COBRA Project has undergone a year process of collecting
information and case material through intensive engagement with project partners
and local community members, in the latter with a specific eye to elucidating the
ingredients of local viability. Project staff have worked to document and analyse
many aspects of local viability such as institutional frameworks and governance
systems, key activities and innovations, biodiversity management, socioeconomic
impacts, policy impacts, financial and social sustainability and the role of
partnerships. As such, it is impossible in a report such as the one presented here to
capture the rich detail of each community story. Examples are provided here to
illustrate some of the outputs of community engagement, but cannot substitute for
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a thorough review of the material. This is available on the COBRA website,
specifically the Media Gate (www.projectcobra.org), which provides a treasure trove
of data and narrative visual material on how local communities expressed their
evolving lives, landscapes and economies.
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2. Objectives and Participants
To effectively analyse the impacts of emerging global policies at the local level on
indigenous communities in the Guiana Shield, a key objective of the project is to:
"develop a shared cross‐scalar and interdisciplinary understanding of the current
situation ".
This forms part of Workpackage 2 (see http://projectcobra.org/research for project
structure). This overall objective is broken down into a number of constituents
including:
1. An analysis of the state‐of‐play with regards to national and international
(multi‐lateral, bi‐lateral, European etc.) sustainable development and
ecosystem services management policies and strategies.
2. An analysis of the state‐of‐play with regards to the role of and implications
on CSOs, nationally and internationally, of policy initiatives and institutional
capacity pertaining to sustainable development, ecosystem services and their
management.
3. An evaluation of the current compatibility of international and national
policies and governance processes with local scale social‐ecological realities.
4. An assessment of the effectiveness of an innovative systems viability
approach for evaluating the impact of different development financing and
other transformations, as experienced by local community groups.
Workpackage 2 required the participation of all COBRA project partners right from
the start of the project in September 2011 (see http://projectcobra.org/organisation
for list of all partners), with considerable efforts from the community staff within the
case study areas. The workpackage was led by an academic partner, Dr. Andrea
Berardi of the Open University (UK), whose expertise lies in systems thinking and
practice. Work began with an introduction to the system viability analytical
framework to all partners in order to provide guidance on the 'exploratory
approach', and at the community level, training was provided on visual techniques
for capturing and editing the information collected following this approach. Other
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COBRA research staff played key roles to help facilitate and build capacity with local
community researchers. A major component of Workpackage 2 was the
coordination of the individual capacities of each partner institution into a coherent
and integrated strategy. At the same time, a participatory action research approach
was used to adapt the research strategy in order to take into account partner
capacities, their capacity building requirements, and logistical issues. The following
list outlines the key contributors to undertaking the tasks:
• The Open University (Dr. Andrea Berardi): overall coordinator for
workpackage tasks; building capacity for system viability analysis. Also tasked
with coordinating and integrating the various outputs from CSO/community
contributors into the final reports.
• Royal Holloway (Dr. Jayalaxshmi Mistry, Dr Céline Tschirhart, John Abraham,
Laurence Byrne): building capacity for visual techniques used at community
level, with specific expertise in the participatory video technique. Also tasked
with supporting integration of various CSOs/community contributions into
the final reports.
• University of Torino (Dr. Elisa Bignante): building capacity for visual
techniques use at community level, with specific expertise in the photostory
technique.
• Institute for Environmental Security (Wouter Veening, Ron Kingham, Geraud
de Ville): lead partner in exploratory analysis of international/Guiana Shield
policy analysis.
• IUCN‐NL (Rob Glastra, Caspar Verwer): lead partner in international/Guiana
Shield policy analysis using system viability approach.
• ECAM (Vasco van Roosmalen, Frederico Schlottfeldt, Wesley Pacheco):
national (Brazil)/regional (northern Amazon) policy analysis using system
viability approach; lead coordinator for facilitating community activities
within Tumucumaque indigenous communities.
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• Iwokrama (Isabella Bovolo, Odacy Davis, Deirdre Jafferally): national
(Guyana)/regional (Rupununi) policy analysis using system viability approach;
lead coordinator for facilitating community activities within North Rupununi
indigenous communities.
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3. Research Methodology
3.1. An approach fit for a complex research context
Since the 1990s two major changes have taken place in the way policy makers think
about global issues. New ‘incentive based’ development models have begun to
challenge the older ideas of 'command‐and‐control' regulatory law‐making and
direct aid to support basic government services. These new initiatives take the
responsibility to create positive social change from government institutions and put
them in the hands of private actors (such as corporations) within an economic
market. Areas of responsibility include everything from health, education, economic
growth and the environment. While supporters of these initiatives claim that they
have created better efficiencies (Yunus 2009; Bornstein 2007; de Soto 2003), critics
argue that they more often decrease access and security for the most marginalised
and powerless communities (Davis 2007).
The implementation of economic Structural Adjustment policies in the 1980s and the
creation of the World Trade Organization in the 1990s were of great significance to
the global economy (Bajpai 1990; Nalrikar 2005). These institutions enabled the
emergence of export‐oriented and extractive industries in developing countries on
the condition that their governments cut back on the provision of services and
focused instead on creating market‐based growth. On the one hand, these policies
have created economic growth through the development of industries as varied as
palm oil production and gold mining. On the other, transferring the responsibility for
social and economic security to private actors has produced mixed results. The
overall legacy of Structural Adjustment and the WTO remains a point of some
controversy (Peet 2009), especially in developing country contexts, where increased
growth has come at the price of increased inequality and negative impacts on
environmental and social issues (Chandrashekar and Ghosh 2002).
The second major change that has taken place is an increased awareness of the
environmental impacts of economic growth. Since many developing countries
remain amongst the most vulnerable to the effects of climate change, they have also
tried to balance efforts to increase their share of global trade with the new
awareness of the environmental impacts of growth. International initiatives, such as
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Multilateral Environmental Agreements (MEAs), have been an especially significant
forum for these innovations, given the impacts of climate change and their uneven
consequences in the global south. Again, responsibility for this has increasingly been
placed in the hands of private actors through incentive‐based schemes (Castree
2008; Murat, Arsel and Büscher 2012). Initiatives such as the Payment for Ecosystem
Services (PES), including the UN‐led Reducing Emissions from Deforestation and
Forest Degradation (REDD+), hold significant promise but more work needs to be
done in order to fully understand their social impacts. For example, there are
concerns that PES initiatives may actually diminish the power of local communities
to manage natural resources on which they depend, ignore diverse value systems
and potentially lead to unequal distribution of benefits (McAfee 2012). Given the
mixed legacy of previous market‐based, fund‐based and fiscal schemes,, it is
important to develop a full picture of the effects of these new approaches.
These changes among policy makers have been accompanied by new methodological
developments in the natural and social sciences. Complexity theory emerged from
the recognition that Newtonian reductionism was not able to account for many
observed processes in nature. Spearheaded by developments in the physical
sciences , natural phenomena began to less resemble a regular, fixed, closed,
aggregate clockworks mechanism than discontinuous levels of activity which
behaved and interacted in unpredictable, spontaneous ways and together possessed
characteristics that could not be understood by breaking down the activity into
individual, separate components. The new conceptual framework created fresh ways
of characterising natural phenomena consisting of 'emergent properties', 'open
systems' and 'non‐linearity' (Bouquet and Curtis 2011).
The development of non‐linear frameworks allowed for seemingly random and
chaotic phenomena to be understood so that what might have previously been
observed as random sequences and disjointed levels of activity could now be seen as
the result of underlying principles (Gleick 2011). Small local level changes could set
off a sequence of events which aggregate into large‐scale macro effects ‐ the so‐
called butterfly‐effect. For the social sciences this enabled a greater awareness of
what might have formerly been considered peripheral, insignificant inputs. If a small
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local level community facing the prospect of imminent environmental catastrophe
was ignored by policy makers, the outcomes of habitat loss and displacement would
be felt in the resulting social instability on a larger scale.
Part of the difficulty in situating developments of international environmental
initiatives within a theoretical context is that current approaches towards these
initiatives fail to properly recognize multiplicity of actors who have a stake in
environmental issues. Indeed, failures in the functioning of many of these initiatives–
their inability to ensure participation or even compliance – suggest the possibility of
structural problems within current policy frameworks themselves. The multiplicity of
factors that are involved give rise to what has been termed ‘wicked’ problems –
problems which resist solutions due to the inability to fully identify the inputs and
their mutual interactions that have a bearing on the outcome (Rittel and Webber
1973). This requires nothing less than a complete revision in approach.
PES schemes are of particular concern. These initiatives have received considerable
enthusiasm for the potential to create a viable means of preserving ecological
resources from exploitation. However, criticisms include concerns about the
potential impacts of the commodification of nature and a greater uncertainty as to
the full effects of such tools (Mistry, 2012). At the same time, recent work on
ecosystems service management recognizes the deep links between local level
ecological and socio‐cultural systems and socio‐ecological systems at higher scales.
Together, these create a series of 'nested' social‐ecological systems (Berkes et al.,
2003). 'Nested' systems are integrated wholes which are themselves part of a larger
system of other similar nested systems. Key to any system of environmental
management or governance is the ability to appreciate and understand the
complexity of the web of relationships among the various levels or 'scales' (Bache
and Flinders, 2004; Pierre and Peters, 2009). This conceptualisation is
complementary to the Mobius web scheme of international relations (Rosenau
2000), especially in the manner that actors include the full range of human
experience, and social and ecological systems. Taking a nested systems approach,
therefore, provides a natural avenue to incorporate considerations of the inherent
complexity of the situation. The key question is whether or not the existing
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frameworks applied by these international initiatives are able to recognize the
complexity of disparate social, cultural, political and ecological links, and respond
rapidly to unexpected developments on the ground. The development of tools that
can be reflexive towards information and challenges at various socio‐economic
scales, is therefore crucial to the future of the environment (Smith and Stirling, 2006;
Voss et al., 2006).
Systems theory is a large interdisciplinary body of knowledge which has provided
some of the founding concepts of complexity theory. Systems theory investigates the
behaviour of mutually connected actors in a web of relationships and the resulting
emergent impact of their interactions. System theory provides an intricate scheme
through which to understand these relationships. In summary, a system is simply a
collection of elements engaged in mutual relationships that together demonstrate
an emergent phenomenon of interest to an observer (Bossel 2007). Systems thinking
and practice, or the 'systems approach', is characterised by a collection of
techniques, methods and methodologies which enable users to reveal and explore
system components and their relationships, the resulting emergent properties, and
the perspectives through which these understandings are elaborated.
Although systems and complexity theories share many key concepts, a fundamental
distinction is the explicit recognition within systems thinking and practice of distinct
units which can be differentiated from the background environment to create
'systems'. Complexity theory, on the other hand, is ambiguous about the existence
of differentiating boundaries. There is also a fundamental difference in approach, in
that Complexity theorists argue that systems cannot be designed from the 'top‐
down', but instead, emerge from the interaction of basic components through
simple rules. On the other hand, Systems theorists have elaborated a range of
models to interpret complex situations, and ultimately, to identify points of leverage
within the perceived system in order to improve the situation. The approach taken
within the COBRA project is firmly within the Systems theory domain.
Constructivist developments in systems thinking and practice recognise that the
development of systems models are highly dependent on subjective perceptions and
experiences, and the authors of such systems models ought to be explicit in
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documenting how these models have come about, and the values and experiences
associated with the model building (Checkland 1999). The difference between our
constructivist and the dominant 'systematic' investigative practices are summarised
by Table 1.
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Table 1: Comparison of systematic and systemic approaches.
SYSTEMATIC SYSTEMIC
Communication is written Communication is visual
Analytical: 'the devil is in the detail' e.g. 'what sort
of disease does this person have?'
Synthetic: 'seeing the big picture' e.g. 'what sort of person in what sort of environment has this sort of
disease?'
Sequential, linear, mechanistic, systematic
Ecological, mutual causality, co‐arising
Focus on components: 'the whole is equal to the sum of its
parts'
Focus on emergent properties: 'the whole is greater than the sum of its parts'
Rational, objective, clinical Intuitive, subjective, emotive
Root metaphor: 'the world is like a machine'
Root metaphor: 'the world is like an ecosystem'
Categorising and labelling: 'think like a box'
Exploring relationships: 'think like a web'
Duality: 'black or white'; 'there is only one right
answer'
Complementarity: 'black and white'; 'there is no right/wrong
answer'
The environment/context is perceived to be stable, known and controllable
The environment is perceived to be complex, dynamic and unpredictable
Expert led Participatory
Knowledge is specialised, fragmented and discipline specific
Knowledge is multi and interdisciplinary
Individualistic and hierarchical organisational principles
Egalitarian organisational principles
Competitive ethos: 'survival of the fittest'
Co‐operative ethos: 'survival through symbiotic relationships'
Goal oriented: 'target culture': outputs and deliverables
Balancing multiple factors: process and ethics
Perfectionist Pragmatic, action learning
Short‐term, narrow view: 'remedial solutions'
Long‐term, extensive view: 'preventative design'
Focus on distinctions: 'Independence'
Focus on commonalities: 'interdependence'
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By taking a predominantly systemic approach, without totally disregarding elements
of a systematic approach, we have the ability to engage a range of stakeholders in
identifying, categorising and labelling distinct systems, which allows the attribution
of emergent properties, and purposeful, self‐regulating behaviour to recognisable
units. This enables the systems practitioner to focus attention and provide significant
descriptive material on the system in focus, without losing the insights available
from the complexity sciences.1
Systems thinking and practice is particularly concerned with the way in which
systems can self‐regulate, adapt to new situations, survive and coexist. The
application of systems thinking to investigating the impact of international initiatives
such as PES on communities seems natural given that social‐ecological systems
consist of multiple nested entities in a web of relationships that are self regulating
and adapting. Local social ecological systems in turn form a key part of the global
system, in which natural and socio‐political entities are nested together. The
continued existence of healthy nested systems therefore depends on the way in
which the socio‐political systems that exist within them have corresponding system
attributes. The application of a cross‐scalar analysis across systems, from the local
level, to the regional/national level, to the international level, is also key to
understanding the web of relationships within the systems framework. Rejecting the
state‐centric view in return for examining the interaction of factors at various scales,
it becomes possible to trace the overlapping relationships of actors within a hybrid
framework that resembles Rosenau's Mobius web approach. However, such a hybrid
structure needs to also include considerations of power, which is an additional value
of the systems approach as it enables an analysis of how nested systems compete
and/or cooperate.
1 Of particular significance to the analysis in this report, is the recognition that any adaptive, living
system, including those created by human societies, has a tendency to promote its own survival and
preservation. This also includes institutional and policy systems which often loose track of their
original mission in order to maintain their viability at all costs.
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3.2. The system viability approach
Central to the COBRA project is the concept of 'system viability' (Bossel, 1999).
Although the COBRA project adopt a 'constructivist' systemic approach, one distinct
departure from Constructivism is that system models are not created entirely as a
bottom‐up process of stakeholder engagement. Instead, a 'system viability'
framework is proposed which determines what aspects of a situation should be
investigated. On the other hand, a preliminary 'systems model' is not provided to
start off with, bringing our particular approach in line with a constructivist stance.
Reiterating a definition already provided above, but in a slightly different way, a
'system' is a term used for any collection of components that work together in order
to achieve an outcome which the components alone would not be able to achieve.
One could describe a community as a system where different individuals work
together in order to maintain the 'community' viability. But, like any system, a
community does not operate in a vacuum. Each individual within a community could
be considered as a distinct system containing a series of essential characteristics
(e.g. entrepreneurial, leadership and/or communication skills, together with
biophysical characteristics determining health) which promote the individual's own
effectiveness and viability. Individuals thus work with other system components in
order to create systems at higher scales, such as communities and institutions.
Although less tangible, these greater systems have special characteristics that
guarantee their own viability (e.g. accumulation of resources during times of plenty
which are then used at times of scarcity). Crucially each system level can operate to
sustain or damage the viability of systems at different levels. Hence, an individual
with dysfunctional behaviour can severely undermine the viability of the community
if not dealt with appropriately. In turn, higher organisational scales, such as
communities, can engage in dysfunctional behaviour (e.g. armed conflict) which can
significantly reduce the viability of individuals.
The strength of the systems viability approach in guiding the identification and
assessment of community‐owned solutions is that it allows communities to
investigate different practices with respect to their impact and resilience when
confronted with challenges at different scales. For example, how do distinct
23
community‐owned solutions affect particular community groups (youth, women, the
elderly, the disabled etc.)? How effective and resilient are various solutions with
respect to local, national and international phenomena (environmental e.g. floods,
social e.g. unemployment, or factors that are a combination of both e.g. fluctuating
oil prices, health)? The approach was successfully applied by Mistry et al. (2010) in a
natural resource management project integrating biodiversity conservation with
local livelihoods in Guyana.
All systems are subject to change, either within their internal structures and/or as a
result of the dynamics of the greater systems within which they are nested ‐ the
system's 'environment'. It is therefore essential to understand how a system is
reacting, or is going to react, to change, in order to maintain its health and viability.
Bossel (1992, 1999) proposes six fundamental properties, or conditions, within
which systems environments can present themselves:
• normal environmental state: the environment which a system most
commonly experiences. This can be characterised by stability or a recurring
pattern of predictable change;
• resource scarcity: this occurs when key limiting resources required for a
system's survival are not immediately available when and where needed;
• variety: this is when the environment is characterised by a rich diversity of
properties which can vary both over time and space;
• variability: here, the environment fluctuates beyond the normal
environmental state, sometimes in random, unpredictable directions.
However, the changes are rarely permanent and the probabilities of a return
to the normal environmental state are high;
• change: in this situation, the environment significantly and permanently
departs from the normal environmental state, to create a totally different
state, which can then settle into a new 'normal' state, or can continue
changing.
• other systems: the environment may contain other systems whose behaviour
might have a direct effect on the system. The case of living systems, these
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system‐to‐system relationships may include predation, parasitism, symbiosis
and/or competition.
Every system must therefore have characteristics that can cope with these six
distinct environmental conditions. It is clear that characteristics required for coping
with one condition may not be appropriate for others. Thus, a key aspect of the
systems viability approach is that it recognises that the healthy survival of any
system at any scale requires attention to a number of essential properties (adapted
by Mistry et al., 2010 from Bossel 1999, 2001):
‐ ability to secure resources for basic existence in the 'normal environmental state";
‐ ability to make the best use of limiting resources through ideal performance in an
environment of resource scarcity;
‐ ability to be flexible in an environment where there is a high variety;
‐ ability to cope with variability by resisting;
‐ ability to adapt to inevitable change;
‐ ability to coexist with interdependent systems.
In many cases, there are tensions between these system properties. All of these six
'survival' characteristics of a system require resources to be sustained. Thus, there is
often competition for system resources to meet the requirements of these six
properties. One can visualise this as the properties pulling the system in six different
directions. For example, in some cases securing resources for basic existence means
that there are less resources for dealing with other systems within the environment.
Optimising a system so that it can perform ideally with limited resources can reduce
a system's flexibility to make the best use of an environment with high variety.
Resisting change can take away resources from the system's ability to evolve into a
different form. Ideally, a system would have the ability to predict the direction it's
environment is moving towards, and allocate the right balance of resources to the
six different properties. Often, the system either has no predictive ability or the
system's future environment is unpredictable. In this case, the best strategy is to
evenly distribute resources so that all six properties are functioning adequately.
25
A system viability analysis also recognises that the situation is in constant flux. In
essence, a system is constantly reacting to changes in its environment. We can draw
on the Red Queen Hypothesis here. This term is commonly used metaphorically and
is based on the Red Queen's race in Lewis Carroll's 'Through the Looking‐Glass'. In
this book, the Red Queen and Alice need to constantly run in order to remain in the
same place:
"Well, in our country," said Alice, still panting a little, "you'd generally get to
somewhere else — if you run very fast for a long time, as we've been doing."
"A slow sort of country!" said the Queen. "Now, here, you see, it takes all the
running you can do, to keep in the same place. If you want to get somewhere else,
you must run at least twice as fast as that!" (Carroll, 1960, p.345)
Van Valen (1973, p.1) proposed to use this excerpt as a principle:
“In reference to an evolutionary system, continuing adaptation is needed in order
for a species to maintain its relative fitness amongst the systems being co‐evolved
with.”
Within the context of the COBRA Project, we argue that this principle not only
applies to species, but also applies to any living system. Hence, we can recast the
relationship between orientors and its environment according to Table 2.
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Table 2. The relationship between system viability orientors and its environment, used to guide the
COBRA Project
Orientor Environmental behaviour Orientor response
Existence Speed of approach of danger Speed of escape from danger
Ideal performance Rate of erosion of resource
availability
Rate of increase in resource
efficiency
Flexibility Rate of appearance of new
challenges
Rate of increase in spectrum of
possible responses
Resistance Rate of increase of threats Rate of installation of
protective measures
Adaptability Rate of irreversible changes Rate of structural change
Coexistence Rate of appearance of new
systems
Rate of change of interaction
and communication
System viability orientors can be adapted to investigate the viability of systems at
different scales of organisation and to compare impact on viability across scales.
Indeed, system viability orientors have been used to analyse the viability of family
units, businesses, regional plans, agricultural systems, ecosystems and nations
(Muller and Leupelt, 1998, Bossel, 1999; 2001; 2007; Mistry et al., 2010). To note
that these distinct system viability properties present significant overlaps with the
definitions of socio‐ecological 'resilience' ‐‐ a concept that is gaining increasing
popularity (e.g. Longstaff, 2009; Pelling, 2010; Sallu et al., 2010). Indeed, one could
argue that systems need to be resilient in order to be viable. However, the term
'resilience', although attractive to many NGOs and academics, continues to present
difficulties in precisely articulating how its characteristics can be measured in
practice (Carpenter et al., 2001; Gallopin, 2006).
Our challenge is to investigate whether the clear and unambiguous conceptual
nature through which system viability orientors are defined, could be used for
analysing viability across organisational scales and disciplinary boundaries, and
whether the system viability concepts can be used to facilitate the identification and
collection of indicators for evaluating the suitability of community‐owned solutions.
27
We will also investigate whether participants are able to identify trade‐offs between
system viability orientors, something which is significantly more difficult to
operationalise when adopting other frameworks which point to simplistically clear
solutions, such as the resilience model.
Our hypothesis is that the system viability approach will allow distinct stakeholder
groups to build and compare assessments which can identify how the interests of
different groups, with regards to different development financing, are nested, and
how feedbacks between different scales affect individual and overall system
viability. Of crucial significance is whether we would be able to detect the
perspective of different stakeholders, even within communities of poor people (e.g.
women, the elderly, youth, the disabled, and ethnic minorities), and their distinctive
associations with a disparate range of structures and services (Blom et al., 2010).
This approach is in line with a fractal, cross scalar investigation where stakeholders
and their structures/services create distinctive and/or overlapping sub‐system units
that operate within larger systems. Our system viability approach therefore has the
potential to be used to integrate a nested set of groupings ‐ for example, from
ecosystems to local Amerindian women’s groups to individual Amerindian
settlements, to regional tribal NGOs, to national Amerindian organisations, to
national policymakers. This would be a significant departure from the typical
establishment of strong boundaries separating different scales of organisation and
different disciplines, such as the socio‐economic from the ecological, and the
monetary from the non‐monetary. Thus, the aim of the conceptual modelling is the
characterisation of distinct social‐ecological sub‐system units and how their own
viability (as determined by the emergence of new financing mechanisms, resource
availability and access, values, competencies in a range of physical and social
technologies, official and unofficial powers), interact to create emergent win‐lose,
lose‐lose, or win‐win situations that undermine or sustain the viability of these
nested systems.
Of course, the explicit identification of system viability characteristics within each
stakeholder group could inevitably give rise to potential for conflict as, like
cancerous growths, different groups will see the activities of other stakeholders,
28
and/or emergence of new threats, as potentially undermining their own viability.
However, the detailed analysis would also provides stakeholder groups with the
opportunity to identify synergistic actions which could benefit the viability of socio‐
ecological systems at a range of scales. The system viability approach could
therefore provide an opportunity to compare and contrast the impact of a range of
developments across stakeholder groups, from the emergence of, for example,
REDD+ financing, the spread of the narcotics trade, the growing influence of
Chinese/ Brazilian investments, the impacts of climate change and the potential
devastating impacts of viral epidemics.
In a wide‐ranging review of sustainability indices, Reed et al. (2006) single out the
system viability approach as one of the most holistic and comprehensive to‐date. A
strength of the system viability approach may include the integration of monetary
and non‐monetary indices of viability while being able to prepare stakeholders to
evaluate the impacts of dynamic and unpredictable changes in their environment
across scales. On the flipside, the application of a system viability approach has, to
date, been hampered by the highly abstract nature of its concepts and a lack of
practical and accessible examples. Because of the difficulties in application, the
approach has only been used so far by academic practitioners in a distinctly non‐
participatory way. There are therefore justified criticisms stating that there is a need
for the system viability approach to be more participatory and inclusive (Reed et al,
2005). These are challenges that the COBRA project has tried to address directly
through the use of visual methodologies and a Participatory Action Research
approach described in Section 3.4.
3.3. Developing indicators of system viability
The term ‘indicator’ is used to describe the information you need to evaluate the
state of your system of interest ‐ is it doing what it's supposed to be doing?
For mechanical systems, the task of identifying indicators for system viability is
relatively simple. Take for example a car. On a car's dashboard, an information
system presents all the key indicators of car performance – speed, engine
29
revolutions per minute, fuel level, engine temperature – and various icons which
light up if certain vital car components malfunction.
An example of a simplified set of indicators developed to check the viability of a
living system is the sequence of basic tests a doctor does the moment you walk into
his or her surgery with a serious illness. They check your temperature, breathing,
pulse and weight‐to‐height ratio. This will give the doctor immediate information on
your viability. Further checks are then required to identify the cause of your ill‐
health, according to a series of models they have, attributing symptoms to diseases.
Therefore, an indicator identifies a measurable structure (such as height‐to‐weight
ratio), or a process (such as heartbeat) that can be used to describe the relative
status of a particular aspect of a system. An indicator is used to simplify, record,
analyse and communicate the status of a particular aspect of a system by depicting
issues in less complex terms or in a single meaningful message. For example, body
temperature of 40 °C equals life‐threatening viral or bacterial infection.
A good indicator alerts you to a problem before changes become irreversible and
helps you recognise the areas to focus on in order to work on the problem. In the
COBRA Project, one of the challenges was to identify indicators of community
viability. Table 3 below presents examples of possible indicators for the viability of a
family, which could also be applied to communities.
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Table 3. Viability indicators for a family system.
Orientor Definition Indicators for the viability of a family
Existence The basic requirements for survival. Availability of shelter, clothing, food,
water, sanitation, life expectancy.
Effectiveness The ability to use limiting resources. Work hours necessary for life support,
efficiency of resource use.
Freedom of
action
The ability to cope with variations
within its surroundings.
Income level, job opportunities,
health, mobility.
Security The ability to withstand change. Safe neighbourhood, savings,
insurance, social security scheme.
Adaptability The ability to evolve. Education and training, flexibility,
cultural norms.
Co‐existence The ability to survive and thrive
amongst other competing and/or
cooperating systems.
Social skills, compatibility of language
and culture.
The strength of the system viability approach is its ability to cut across disciplinary
boundaries, identify trade‐offs between indicators, and work across different scales.
In the example above, the viability of a family includes environmental, economic,
technological, social, political and psychological aspects. Trade‐offs can be clearly
identified, where, for example, at the individual level, a focus on 'freedom of action',
by maximising income levels, may reduce time available for education and training,
and thus reduce the individual's capacity to adapt to future challenges. On the other
hand, these same indicators may have different implications if one focuses on the
community, rather than the individual, level. In this case, there may be synergies
between income levels and education. By having some community members focus
on maximising income, it may be possible to use the surplus income for the
education of younger community members. The key strength of the system viability
approach is that it allows people to identify where to allocate scarce resources in
order to maximise viability both in the present and in the future.
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Table 4, developed by Reed et al (2006), presents a selection of frameworks used to
identify sustainability indicators. Reed et al (2006) differentiate between those
frameworks which are 'bottom‐up' and those which are 'top‐down'. This, in essence,
describes the level of stakeholder participation in deciding which indicators are
selected. The system viability framework is defined as a 'top‐down' approach.
However, the system viability approach provides practitioners with total freedom
with regards to which disciplines are considered and which indicators are proposed.
As opposed to other indicator frameworks used within the sustainable development
field, such as those based on the Pressure‐State‐Response model, there are no
predetermined disciplinary themes. The only obligation is to apply a 360° awareness
of all factors affecting viability through engagement with the defining characteristics
of each system orientor.
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Table 4. Sustainability indicator frameworks (adapted from: Reed et al; 2006)
Selected examples Brief description
Bottom–up
Soft Systems Analysis (Checkland, 1981)
Builds on systems thinking and experiential learning to develop indicators as part of a participatory learning process
Sustainable Livelihoods Analysis (Scoones, 1998)
Develops indicators of livelihood sustainability that can assess and monitor changes in natural, physical, human, social and financial capital.
The Natural Step (TNS, 2004)
Develops indicators to represent four conditions for a sustainable society: limit extraction of substances from the Earth's crust: limit concentrations of substances produced by society: limit degradation by physical means: and promote people's capacity to meet their needs).
Top–Down
Panarchy Theory and Adaptive Management (Gunderson and Holling, 2002)
Based on a model that assesses how systems respond to disturbance, determined by the following categories: wealth, connectivity, diversity. Panarchy theory suggests that wealthy, connected and simple systems are most vulnerable to disturbances.
System Viability (Bossel, 2001)
Develops indicators to represent system “orientators” (existence, resistance, flexibility, adaptability, ideal performance and coexistence) to assess system viability and performance,
Pressure‐State‐Response (PSR, DSR and DPSIR) (OECD, 1993)
Identifies environmental indicators based on human pressures on the environment, the environmental states this leads to and societal responses to change for a series of environmental themes. Later versions replaced pressure with driving forces (which can be both positive and negative, unlike pressures which are negative) (DSR) and included environmental impacts (DPSIR).
Framework for Evaluating Sustainable Land Management (Dumanski et al., 1991)
A systematic procedure for developing indicators and thresholds of sustainability to maintain environmental, economic and social opportunities with present and future generations while maintaining and enhancing the quality of the land.
Well‐being Assessment (Prescott‐Allen, 2001)
Uses four indices to measure wellbeing along the following things: human well‐being, ecosystem well‐being, combined ecosystem and human well‐being, and a fourth theme quantifying the impact of improvements in human well‐being on ecosystem health.
Thematic Indicator Development (UNCSD, 2001)
Identifies indicators in each of the following sectors or themes: environmental, economic, social and institutional, often subdividing these into policy.
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3.4. Participatory action research for stakeholder engagement, capacity building and making change
Being more inclusive and taking a bottom‐up approach by involving those
conventionally ‘researched’ in some or all stages of research is the keystone of
‘participation’ (Pain, 2004). The COBRA Project proposes an alternative to the top‐
down model of engaging community end‐users as 'sources of information' and
'receptors of management prescriptions'. There is limited evidence of the
effectiveness of such approaches for valuable and timely decision‐making in dealing
with wicked problems that ultimately results in long lasting beneficial impacts for
the most marginalised sectors of society (Sidaway, 1992; Simon et al., 2003; Mistry
et al., 2009). More significantly, traditional research recommendations are slow to
implement in a timeframe when we need to rapidly mitigate and adapt to socio‐
economic and environmental change.
The COBRA Project uses a Participatory Action Research (PAR) methodology to
engage a range of community end‐users in the research process right from the start
(Kindon et al., 2007; McIntyre, 2007). This also builds the social capital of the
poorest sectors of society and other stakeholders through an exchange of scientific,
traditional and community‐based management and knowledge systems. To note
that our PAR approach, in explicitly including communities within deliberations, does
not exclude other stakeholders, such as national policymakers, from the research
process. Instead, we are adopting the 'subsidiarity principle', in that the decisions
are made where the problems are, and where the knowledge and ability to deal with
them reside (Marshall, 2008). Subsidiarity means that each relevant stakeholder
group is given the responsibility and the means to engage directly with its own
issues within the range of its abilities and potential. Only if conditions occur that
cannot be handled by the community groups because, for example, the groups do
not have the training or experience or finance or political influence, would we
engage the next level up in decision‐making scale. We believe that this is consistent
with promoting community‐owned solutions to complex, intractable problems.
Our PAR methodology is underlined by a highly accessible and straightforward
'learning cycle' or adaptive approach (Reed and Peters, 2004) that is evidence‐based.
The cycle is simplified into four steps of planning, acting, observing and evaluating;
34
the sequence is not set in stone, steps can happen simultaneously and there is
continuous assessment and reflection. Planning is about goal‐setting, which takes
place according to stakeholder needs and aspirations, as well as the perceived risks
and opportunities presented and developed through a process of negotiation and/or
consensus‐building as distinct participants compare and contrast their system
viability analyses. Background information is collected to help set baselines to
determine whether the goals are achievable and then this information is evaluated
according to subsequent actions. These actions are planned in order to support
positive change or reverse negative change, and are put into action by allocating
responsibilities and resources. Changes that are taking place through these actions
are observed and evaluated on with respect to whether they are in accordance with
the agreed plans, including goals and measures of performance.
The cyclic nature of the PAR process helps responsiveness and rigour. Early cycles
are used to help decide how to conduct the later cycles and in the later cycles the
interpretations developed in the early cycles can be tested, challenged and refined.
In the COBRA Project we encourage the use of short, multiple cycles of PAR to allow
for greater responsiveness and rigour to be achieved. According to the subsidiarity
principle, it is the community groups which are being given greater support in
implementing PAR and being encouraged to use the approach frequently and
intensively.
Having stated our intention to apply PAR, there are inherent tensions stemming
from the fact that our original research proposal submitted to the European
Commission had to be written in such a way as to present clear, predictable
deliverables, providing limited opportunities for adaptability to local conditions and
challenges, emergence of unintended benefits, and the need for an extended period
of engagement in order to build lasting capacity. This tension was also apparent in
another European Commission funded project:
" An issue for an inclusive and learning process ……is its ability to work
effectively within a project structure which tends to be top‐down and
focused on outputs before the project is begun. There is a tendency in
conventional 'blueprint' project processes to require exact clarity on
35
outputs before projects, prior to inception. The result is typically a set of
documents and plans agreed between all contracting partners that
specify outcomes, how they are to be achieved and ways in which
achievements are to be assessed. In an era of accountability and stress on
value for money by governments, this is readily understandable.
However, this exactitude can tend to militate against local people setting
and changing agendas. These issues will be shown to have had
consequences throughout the project." (Bell & Morse, 2003, pp. 69‐70)
Our results will explore how we mediated between the rigid and inflexible
requirements of the funding body, requiring a 'systematic' approach, and how we
use a 'systemic' approach to cope with the unpredictable events that unfolded in the
'real world' which had significant impacts on how our research partners actually
carried out their work.
3.5. Visual communication for community engagement
As Gumucio‐Dagron (2009) states “communication is participation” (p. 460). Central
to our PAR methodology is communication in a participatory way, firstly to ensure
that all stakeholders, but particularly the local communities in the project, have a
familiar means of communication, secondly to ensure that poor and marginalised
voices are heard, and thirdly to allow for clear and transparent record‐keeping so
that evidence based decision‐making and dissemination can occur.
A previous pilot trial use of Participatory Video (PV) with indigenous groups in the
Guiana Shield region (Mistry and Berardi, 2012) highlighted how video can give
marginalised people the space and control to discover and disseminate their own
information system and build their own capacities in managing and disseminating
information. Participatory Photography (PP) is a process which allows people to
express themselves and “tell their stories” through pictures and words (Bignante,
2010). There are several participatory photography approaches. One of them is the
photostory which is based on the principle of asking participants of a project/activity
to take pictures (on a particular subject, theme, event or in order to answer a
specific question) and to use these pictures, combining them with words, to express
36
their own ideas on the subject investigated. Both PV and PP are excellent tools to
bring about empowerment and full awareness of issues by equipping community‐
groups with tools to capture and present monitoring results and stakeholders’
perspectives, while providing a means of rapid communication and dialogue whilst
encouraging self reflection and local action (Lunch & Lunch, 2006; Petit et al., 2009).
This is in addition to putting forward options in responding to problems and building
consensus, all drawn from self reflection, capacity building and research ownership.
The role of PV and PP outputs is central to the COBRA Project as a research
methodology and for the dissemination of existing technologies, practices and
knowledge in general. Using PV and PP in the COBRA Project goes beyond just
presenting data in a different way. Building a film or a photostory can be a tool itself
in the process of gathering information within the project: the way a person or a
community decides to tell his/her visual story, choosing what to include, what to
exclude, what to show, what to say and how, reveals a lot of thoughts going on with
themselves and stimulates discussion within the community.
3.6. How have we used the system viability approach within COBRA?
Over the first year of the COBRA Project, the civil society organisation (CSO) project
partners and indigenous communities identified indicators of policy and community
viability respectively. The analysis was structured using the six system viability
'orientors' outlined above. In order to do this in an accessible way, communities
have recorded examples of these indicators using video and photographs through
participatory methods. COBRA's CSO partners have also undertaken extensive
studies of policies at various levels of organisation, identifying how the policies
themselves are attempting to remain viable. The solutions identified by the
communities have then been compared against the behaviour and impact of these
policies.
A simplified outline of our participatory action research process is presented in
Appendix 1. Our actual journal of the process exceeds over 100 pages, so the
content of the simplified outline emphasises key issues and decisions that
determined the research strategy. Our account of the PAR process attempts to be
37
explicit with regards to how project participants developed their understandings and
practice within the first phase of the COBRA project as it unfolded. The authors of
this report would like to reiterate here that any model of system viability is highly
dependent on subjective perceptions and experiences, and the creators of such
systems models ought to be explicit in documenting how these models have come
about, and the values and experiences associated with the model building.
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4. Results
The following section expands on the content of the briefings published on the
COBRA website, as these are an excellent basis for summarising the extensive
results. The results are presented according to the distinct areas of investigation: the
viability of communities in the North Rupununi and Tumucumaque; the viability of
the North Rupununi and Tumucumaque socio‐ecological regional system as a whole;
and the viability of key international initiatives addressing environment and
development issues.
It needs to be emphasised that each level of analysis applies the 'subsidiarity
principle' as outlined in the methodology section. In other words, the perspective
presented for each level stems from the views of the stakeholders associated with
the COBRA project who play a key role at that particular level. So, for example, the
investigation into community viability emerges out of indicators identified by the
communities themselves. The regional analyses emerge out of indicators identified
by regional CSOs involved in the COBRA Project (Iwokrama and ECAM). The analysis
of international initiatives emerges out of background material compiled by EIS and
further developed into indicators by IUCN‐NL.
4.1. Indicators of system viability at community level
Viability of North Rupununi communities
In Guyana, researchers from the North Rupununi collected indicators of viability for
three selected communities: Apoteri, Fair View and Rupertee.
Existence within a stable environment: access to land and river
Communities of the North Rupununi all agree that their existence relies on access to
land, which is closely linked to having a land title. Land encloses all the elements
they need to meet their basic needs:
39
‐ Forests, used for hunting, gathering fruits and medicinal plants, extracting wood for domestic use (firewood, construction wood for homes and canoes);
‐ Farmland to grow their staples. More specifically, cultivating cassava is of high importance as it is a major component of their diets. Many cassava by‐products are essential in everyday life, like cassava bread, cassava farine, cassava drinks.
Rivers are not considered as part of the land per se, as waterways cannot be part of
private land. However, they are shown as essential for fishing, domestic use and
transportation.
Resistance within a variable environment: keeping traditions, protecting the
environment
To keep things as they are and be able to resist change, two main themes emerged:
‐ Maintaining and passing on traditional practices and culture: in order to keep their identity, communities of the North Rupununi find important and have developed programmes and projects to transmit traditional practices and culture to youth. This involves simple daily tasks like processing cassava, but also building traditional weapons like bows and arrows, knowing how to weave cotton, speaking the native language and knowing dances, songs and stories.
‐ Protection of the natural environment is important in order to keep things as they are. To achieve this, having conservation areas, community rules for sustainable use of resources, having and using strong protective laws at national and local scales are key strategies.
It must be highlighted that communities feel that one feeds into the other:
maintaining traditional practices also ensure that the environment is used in a
sustainable way and not overused.
Flexibility within a diverse environment: developing more options for food and
health
Having leeway to face unexpected changes is reached through farming techniques,
but also by maximising options in terms of access to healthcare, food and income. To
make sure communities are flexible in terms of food, some mentioned farming
techniques: moving to higher grounds where soils are more productive, planting new
varieties of cassava that are more resistant and productive, cultivating a wide variety
40
of crops to avoid being dependant on one crop, having two farms to avoid “putting
all the eggs in one basket”... All these are examples of strategies developed to be
flexible. Moreover, having a job, having monetary income, enables the communities
to buy food from shops, which greatly expands their flexibility in terms of food, but
also in many other domains. It means they are not totally dependent on natural
resources.
In terms of health, the three communities have the choice of access to three types of
health resources: local traditional practitioners, community health posts and health
workers, medical centres and hospitals in towns and cities. Indeed, if one health
resource is not working, they can resort to another one, and even resort to one or
the other according to the type of health issue they are dealing with.
Adaptability within a changing environment: all that is non‐native
New mediums of transport (bicycles, motorcycles, cars, lorries), new mediums of
communication (radio, television, computers, internet), new material for homes,
new food, new music, new water facilities, solar panels... All these have been chosen
as indicators of the North Rupununi communities’ adaptability: they show how they
are adapting to a changing world, by adopting non‐indigenous tools. By knowing and
using these tools, the North Rupununi communities say they can keep up to speed
and interact with the global world, as well as improve or support their day to day
life.
Co‐existence with other systems: benefitting from partnerships at regional and
national levels
Co‐existence is about living side‐by‐side with other systems, it’s about interaction.
These other systems identified by the communities were usually the North Rupununi
District Development Board (NRDDB), the Iwokrama International Centre for
Rainforest Conservation and Development (IIC), the Government, and neighbour
communities. Indicators of their level of interaction with these different partners
and stakeholders are the number of meetings, but also funding, development
projects, management plans, law enforcement, services (schools, health posts ...).
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Ideal Performance within a resource‐poor environment: efficient use of titled land
Ideal performance is about making the most of scarce resources. Although land was
not necessarily felt as a scarce resource per se, the fact that it is geographically
limited means it has to be used sustainably, for their Existence as well as for
generating income for the community. Thus, community management plans and
projects for the sustainable use of resources were chosen as important things
communities were doing to be efficient. However, in order to be efficient, some
communities also acknowledged the importance of having a good leader, having
training, having a dynamic and cohesive community with a balanced age structure.
Keeping the youth in the community was underlined as important in certain
communities.
Viability of Tumucumaque communities
In Tumucumaque, a local team of 8 researchers, each from a different community of
the territory, met in the main village of Missão Tiriyó in April 2012 to select locally‐
owned indicators of viability and to translate them visually. This section provides an
overview of the team’s findings in the Indigenous Territory of Tumucumaque.
Existence within a stable environment: a strong community in a healthy
environment
The basic needs of the Tiriryó and Kaxuyana communities of Tumucumaque are an
interesting blend of physical and social elements of the environment. The team of
local researchers show in their films that forests and clean rivers play an essential
role to meet the very basic needs: food and water. Rivers and forests provide fish,
cayman, fruits, deer or turtle (as shown in the video). Clean rivers are important for
domestic use (drinking water or to prepare food), but the video also shows that
rivers play an important role for recreation, so for the social life of the community.
However, in terms of food, the most important staple is cassava. Again, the video
not only shows key cassava by‐products, like cassava farine or cassava bread. From
cassava is also produced a drink called sakura, which is consumed daily but also plays
42
a major social role in the community’s social life, being at the centre of all
celebrations. Finally, the existence of the community is felt to rely greatly on good
leadership, and fights are presented as an indicator of the quality of the leadership:
“with bad leadership quarrels arise”.
Resistance within a variable environment: identity and solidarity
Tiriyó and Kaxuyana communities resist change by keeping united and through
solidary. Thus, they resist by bringing the people together for celebrations, by
communicating in their own language, by carrying out daily tasks in a group, for
instance fishing and hunting, working in the fields or building homes. Again,
leadership is shown as an important indicator: to deal with community issues (within
a changing world), leaders have to be able to meet and communicate with one
another.
Flexibility within a diverse environment: an expansion of options with “non‐native
options”
In Tumucumaque, flexibility is reached in three main areas: food, health and
transports. The intoduction of non‐native food in the indigenous territory, and its
commercialisation in small shops or by certain people (mainly identified as “whites”),
gives more choice and options when food isn’t (or can’t be) extracted from the
environment. Access to a diversity of health services also expands possibilities of
getting treated. Facing a health problem, they now show how they have the choice
between traditional medicine (plants and traditional practitioners), community
health posts, and calling the Casa de Saúde Indígena (Indigenous Health Home) in
the local capital, Macapá. In case of emergency, this governmental institute is
contacted by radio in order to send a plane to evacuate the patient. Finally, the
introduction of new mediums of transport in Tumucumaque (bicycles, motorcycles,
cars, tractors, boat engines) also expands mobility for cultivating, hunting or fishing,
as it enables to go further and quicker if necessary.
43
Adaptability within a changing environment: non‐native objects, non‐native
institutions
Adaptability is understood as all the new non‐native equipment and institutions that
the local community has integrated or is in the process of integrating in its day to day
life. Tumucumaque indicators of adaptability are for instance the use of a
communication radio, computers or TV; new mediums of transport; all kind of
objects like cooking pots, brush cutters, motorised cassava‐grating machines,
generators, firearms, etc. Gasoline and diesel are shown as one key indicator of
adaptability, without which most of these elements wouldn’t function. Finally, in
order to adapt to a changing world, to communicate with it, to understand it,
church, school and health posts play an important role as mediators.
Ideal Performance within a resource‐poor environment: making the most of non‐
native equipment
In Tumucumaque, ideal performance is intimately related to Adaptability. All the
new non‐native equipment the local community has adapted to, that enable to carry
out traditional tasks but quicker or further away, are presented as inidcators of ideal
performance. The non‐native equipment enables the community to be more
efficient at all these tasks. Further collaborative research will be carried out to
understand how the spare time or the extra production that results from this
efficiency is used by the local community.
Co‐existence with other systems: inter‐community collaboration, non‐native
stakeholders in Tumucumaque
Interaction between the different Tumucumaque communities was identified as a
crucial indicator of co‐existence with other system. Relations with stakeholders like
the Franciscan fathers in Tumucumaque territory, or the close‐by military base was
also mentioned. The plane seemed to embody the relations with stakeholders
outside of Tumucumaque territory but further discussions will have to be led to
identify them.
44
The actual indicators identified by the three communities in the North Rupununi and
by the community researchers in Tumucumaque have been mapped out in the
following spray diagrams (Figures 2 to 5)
45
Figure 2: Spray diagram of Apoteri Local Indicators
46
Figure 3: Spray diagram of Fairview Local Indicators
47
Figure 4: Spray diagram of Rupertee Local Indicators
48
Figure 5: Spray diagram of Tumucumaque Local Indicators
49
The identification of community viability indicators emphasise the distinct
perspectives of what communities are doing to survive. Although there are great
similarities between the four investigations, it must be highlighted that each
community also identified a very specific set of indicators that say a lot about their
particular situation, context and needs. Thus, within the community viability set of
indicators, some can definitely be extrapolated to the whole of the Guiana Shield,
but local specificities must always be looked for: one single model cannot be applied
blindly to all contexts. With the communities’ indicators in place, it is now possible to
investigate whether systems at regional/national/international level will undermine
and/or support community viability.
4.2. Indicators of system viability at the regional level
Viability of the North Rupununi socio‐ecological regional system
This investigation emerged out of a recent study analysing the viability of an
international conservation and development project in the North Rupununi region,
and how this project, in turn, effects and is affected by the viability of the region and
the country of Guyana as a whole. The focus is very much on the social system, as the
natural component is currently perceived to be in a pristine state.
Existence
The existence of the North Rupununi social ecological system is significantly
jeopardised by the limited number of skilled people in the region. The inadequate
provision and standards of education and skills training in Guyana means that there
is limited potential for the sustainable implementation of programmes such as
REDD+. Although there is 100% and 65% enrolment at primary and secondary school
levels respectively, the percentage of teachers having received training provision is
only 57% (in 2004). The problem is heightened in interior regions such as the North
Rupununi, where student to trained teacher ratios are 111 for primary schools and
51 for secondary schools (Ministry of Education 1999‐2000).
50
Resistance
Our analysis shows that resistance i.e. the ability of the North Rupununi socio‐
ecological system to withstand external pressures, has by far the lowest score out of
all the viability categories. Indicator data shows that community participation is
weakened by the limited decision‐making controls conferred by the national
government. Land tenure is currently limited to the immediate vicinities of
community settlements, rather than over traditional land use areas, and the serious
socio‐economic situation restricts communtiy support for activities which are not
directly related to fulfilling their immediate survival. This position reduces the
confidence of communities to internally support natural resource management
initiatives, which require long‐term commitments for long‐term benefits. The
Amerindian act of 2006 is committed to increasing Amerindian land tenure, but
limited progress has been achieved to date in the North Rupununi. The proportion of
land area set aside for conservation is one of the lowest in South America (World
Resources Institute 2005) although recent legislation (Protected Areas Act 2011) has
designated the Kanuku Mountains as a protected area. The North Rupununi
wetlands still do not have any official biodiversity protection designation even
though it has one of the highest wetland biodiversity levels ever found in the Guiana
Shield.
Flexibility
The flexibility of the North Rupununi socio‐ecological system was limited by the
overall health status and susceptibility to disease of the population. For example,
malaria is endemic to the North Rupununi and is a key factor regularly affecting local
communities. In addition, showing initiative and the ability to think critically are
necessary skills for maximising the amount of flexibility in order to achieve
established goals. This situation is mirrored within the wider Guyanese context,
where the overall capacity of the population to engage in critique of the established
order and put into place better alternatives has been actively suppressed, first by the
51
colonial powers, then by dictatorship, and most recently, a focus on race politics to
the exclusion of all other civic priorities (Mistry et al. 2009). Flexibility is also
restricted by inadequate governance. Data for Guyana from the World Bank’s
Governance Matters 2007 Report highlights that for all governance indicators, from
voice and accountability to corruption, either there has been no real change from
1996 to 2006, or that the governance situation has actually worsened.
Adaptability
Adaptability within the North Rupununi socio‐ecological system is highly dependent
on individuals passing through several stages of training, from primary all the way to
higher education. One particular initiative in the region, the Bina Hill Institute, is
beginning to have an impact on postsecondary school capacity building, but its
effectiveness is limited by lack of funds and teaching capacity.
Ideal performance
Although ideal performance was deemed as the least important of all the viability
categories, it scored the highest from our analysis. This was because the two
indicators of motivation, level of participation within sustainability initiatives and
contribution to the development of new initiatives, scored highly, principally thanks
to several incredibly motivated and determined individuals in the region.
Coexistence
although coexistence was not part of the original study, the communities of the
North Rupununi are probably the most advanced of inland communities with regards
to engaging in collaborative partnerships with national and international NGOs. In
any one year, there are a number of initiatives being rolled out in the region in
support of development, conservation and/or health. The role of Iwokrama has been
especially instrumental in facilitating these partnerships. The global economic
recession has placed significant pressures on national and international funding,
52
although the North Rupununi communities are well‐placed for capturing any
international interest in Guyana.
Viability of the Tumucumaque socio‐ecological regional system
This investigation provided an overview of Brazilian national and regional
policies and interventions with regard to the role of indigenous lands on
environmental services and sustainable development, while also describing
characteristics internal to the Tumucumaque region which has enabled its survival as
an integrated cultural and ecological system over hundreds, if not thousands, of
years.
Existence: basic requirements for survival.
The existence orientor focuses on the historical account of how the indigenous
communities ended up settling in the Tumucumaque region. In essence, the
Tumucumaque region has enabled the existence of its unique socio‐ecological
system because it acts as a "refuge" – an inaccessible and isolated territory away
from the coast and navigable rivers which were rapidly colonised by European
settlers. Thus, the indigenous communities were able to "exist" in this region as a
result of the protection bestowed upon it by the inaccessible territory. 'Ease of
access to the region by nonindigenous people', measured in terms of cost and/or
time, therefore represents an indicator that originally enabled, and may still allow,
the continuing existence of the indigenous community. In addition, the
Tumucumaque region is still in an extremely pristine state and has a low population
density which allows communities to rely on traditional livelihood practices. Access
to various natural resources for food, shelter and other essential uses is also
proposed as an indicator of existence. Increasing contact with non‐indigenous
communities has added to the health problems already experienced within the
unforgiving rainforest environment. The presence and quality of health/medical
services could therefore be another indicator allowing the continuing existence of
53
the indigenous community. In recent years, the natural protection bestowed by the
region's isolation and inaccessibility has been reduced as a result of increasing legal
and illegal development in the region. Representation of indigenous peoples within
an external platform is also seen as a mechanism through which communities can
promote their continuing existence. Hence, the percentage of territory under
official protection and the establishment of indigenous associations can therefore
serve as additional indicators of existence. Finally, NGO initiatives, such as cultural
mapping and ranger courses, were seen as building capacity within the community
for facing up to emerging challenges. The number of NGO led initiatives could
therefore be a final indicator for promoting community existence.
Ideal performance: the ability to use limiting resources efficiently.
Indigenous communities are increasingly challenged when trying to sustain a
traditional livelihood near the relatively high density "assistant centres" established
by missionaries and government institutions. Because a Western lifestyle, with
associated consumption patterns, is difficult to achieve in such an isolated region,
communities are still heavily reliant on traditional practices. However, a sedentary,
semiurban lifestyle is causing many problems in that local resources such as fish,
game and fertile soils, are rapidly becoming exhausted. The significant reduction in
mortality rates (back in 1997 only 3% of the indigenous population of Tumucumaque
was above 60 years of age) has resulted in an average 4% yearly growth rate of the
population. There are concerns that a high population density cannot be sustained
within a region which is highly isolated from the rest of the world. The indicator
proposed for ideal performance is therefore based on achieving a low and
sustainable population density. Another indicator associated with ideal
performance' is the availability of natural resources and their accessibility to the
population.
54
Flexibility: the ability to cope with variety.
This section provides an account of the incredible flexibility inherent within a
traditional indigenous community. Communities have strong kinship ties through a
tradition of intermarriages – the memory of these ties lasts through generations and
allows families to maintain a network of support over time and space. This is
especially important since traditional settlements have a very low "shelflife" –
traditional villages have an average life span of about 5 to 10 years, moving on when
local resources start to run low. An indicator of flexibility could therefore be the
strength of family ties. The great diversity of natural resource use is also highlighted
as a source of flexibility. Food provision can be sourced through traditional slash and
burn agriculture, fishing, hunting and gathering of non‐timber forest products such
as honey. However, where traditional natural resources are in scarce supply as a
result of high density, sedentary living around "assistance" centres, there has been
an attempt to introduce more modern livelihood practices, including more intensive
agriculture and animal rearing (with mixed success). The number of resources, both
traditional and modern, commonly used could therefore be an indicator of
flexibility. Strength of cultural and traditional practices as well as ties to the forest
within the younger generations could represent other potential indicators.
Resistance: the ability to withstand change.
Here, a significant focus is given to developments being put in place in order to avoid
disturbing the current stability as a result of increasing threats from mining,
deforestation, mega infrastructure projects and encroaching non‐indigenous
settlement/natural resource use. The analysis looks beyond the Tumucumaque
region and instead focuses on the implementation of sustainable development
policies as a counter measure to historical policies of opening up the Amazonian
region to economic exploitation. Indicators of resistance therefore include the
number of preservation and protection policies as a counterbalance to the number
of development policies.
55
Adaptability: the ability to change and evolve.
The exploration of adaptability revolves around an extensive description of initiatives
aimed at helping to transform the indigenous worldview to champion a
'conservation' paradigm. Historically, the relative isolation of indigenous
communities meant that they could continue with their traditional understanding in
order to meet their needs. However, increasing contact with the nonindigenous
reality, and the associated pressures for exploiting the region's natural resources,
has meant that these indigenous communities have now been encouraged to
become sustainability champions. Thus, there are a wide range of initiatives, from
the training of indigenous rangers to the production of cultural maps, which are
aimed at building capacity within the indigenous community to show the outside
world that they are capable managers of a pristine environment. The idea of
'Amerindians as Conservation Champions' has been promoted by a number of civic
society organisations and Amerindian associations through a series of meetings and
conferences, to culminate in a new federal policy – the National Policy on Land and
Environmental Management and Indigenous Lands (PNGATI).The success of the
PNGATI policy initiative can therefore be a key indicator of the adaptability
orientor. Also, the numbers of indigenous peoples trained in, and carrying out,
environmental management, health and education is an associated indicator.
Coexistence: the ability to survive and thrive amongst other competing and/or
cooperating systems.
From an initial treatment by state policy of indigenous peoples as 'nonhuman', to a
long period of attempted 'assimilation', to a recent period of 'paternalistic
assistance', we now have a currently evolving situation where autonomous rights
and self‐determination are being demanded. Within the frame of "coexistence", we
see a progression from a situation where indigenous people were simply not
considered as a “system” in coexistence with other social systems, to a situation
where there is now an attempt to create a strong system identity which can
compete against the interests of other social systems within the Amazonian and
Brazilian context. We are now in a situation where there is an increasing attempt to
56
promote indigenous policies, to have indigenous interests represented within
political decision‐making and development projects. An indicator for the co‐
existence orientor could therefore be the strength of indigenous identity and
representation within regional, national and international deliberations. In more
practical terms, another indicator could be the number of indigenous peoples able
to bridge the divide between traditional lifestyles and outside practices
4.3. Indicators of system viability of international environment and development initiatives
A key aspect of this analysis was to develop a classification of international policies in
order to narrow down the field of investigation. A decision was undertaken to
investigate three distinct areas:
1. Multilateral and bilateral environmental agreements such as the Convention on
Biological Diversity (CBD), UN Framework Convention on Climate Change (UNFCCC),
UN Convention to Combat Desertification (CCD) and the RAMSAR Convention on
Wetlands of International Importance;
2. Multilateral and bilateral trade agreements such as the Convention on the
International Trade in Endangered Species of flora and fauna (CITES), the Extractive
Industries Transparency Initiative (EITI) and the US Lacy Act;
3. Voluntary market agreements, such as the Forest Stewardship Council (FSC)
timber certification scheme, the Alliance for Responsible Mining (ARM), the Better
Sugar Initiative (BSI) and the Roundtable on Sustainable Palm Oil (RSPO).
This three‐way classification takes a different approach to that developed within a
report written for the Ecosystem Services for Poverty Alleviation programme which
carried out a situation analysis for the Andean/Amazon region (ESPA‐AA 2008). This
report divides "management options mechanisms" into three broad categories:
enabling; incentivising; and disincentivising (see Figure 6). Within this ESPA‐AA
classification scheme, not all of the policies and initiatives listed above necessarily
map into the same categories. Both Payments for Ecosystem Services (e.g. REDD+)
57
and certification (e.g. FSC) schemes could be classified as "incentivising". EITI, on the
other hand, is on its way to becoming a "disincentivising" mechanism if the
transparency standard is applied more routinely. The CBD‐ABS, on the other hand,
could be considered an "enabling" mechanism by actively recognising property rights
(including "intellectual property rights") of indigenous communities.
These differences in approach may enable an investigation into the way someone
from an International CSO perspective views the situation. The differentiation of
policies/initiatives as environmental, trade regulation and voluntary market
mechanisms may imply the distinctive processes through which these have emerged.
For example, one could identify environmental/conservation CSOs as champions of
environmental initiatives, governments as champions of trade regulation, and
industry as champions of voluntary market mechanisms. This is not to say that the
various interest groups had limited stakes in all of the above initiatives. In fact, there
is significant evidence of strong lobbying, either for or against, by a wide range of
interest groups, in nearly all of the initiatives listed above.
58
Figure 6. Basic management option mechanisms for affecting human behaviour: enablement, incentives, and disincentives (source: ESPA‐AA 2008, p 61).
Having classified various initiatives and policies according to the three categories, a
further decision was made to focus specifically on just one or two examples per
category. The policies and initiatives analysed were: REDD+, the Convention on
Biological Diversity Nagoya Protocol on Access and Benefit Sharing, the Extractive
Industries Transparency Initiative, and the Forest Stewardship Council certification
scheme. The results of these analyses, including system viability indicators for each
of these frameworks, can be seen in Appendix 2.
59
Conclusion to the section
The above account provides the baseline data for the cross scalar analysis. As we had
set out in our original proposal, one of the primary objectives of the project was to
build capacity within various project partners to undertake a system viability
analysis. This was challenging as there was limited capacity for engaging with a
rather abstract conceptual model which also lacked in a range of accessible
examples. It would have clearly been easier for the academic with expertise in
system viability analysis to identify, a priori, a range of indicators for each scale of
analysis, and then work with partners to refine the indicator selection and identify
the data to support the indicators. Figure 7 was in fact produced by a member of the
academic team in order to explore their own perception of community viability
within the Guiana Shield.
Figure 7. Indicators of Community Viability.
However, the diagram was never shared with research participants as this would
have, once again, imposed a particular Western, academic perspective on the
situation. Instead, though significantly more challenging, communities and CSO
partners were asked to identify the indicators themselves. This is clearly a works in
60
progress, as capacity for system viability analysis is still being built and research
partners are still grappling with both the theory and the practicalities of data capture
(whether through video/photography or an investigation of the literature).
61
5. Cross‐scalar analysis
5.1. Introduction to cross‐scalar analysis approach
Having compiled the reports and multimedia material from project partners and
communities, the aim of this stage of the analysis was to identify common themes
across the three scales of analysis, so that a comparative investigation could be
carried out between what distinct partners felt was important for the various
systems being studied. By comparing across themes relevant to all scales of analysis,
it would then be possible to identify whether there were synergies and/or conflicts
between the interests of various systems: local communities; regional socio‐
ecological systems; and international policies.
5.2. Method and Results
The exercise began by identifying 415 system viability indicators proposed by
participants across the three scales: 147 at the international level, 80 at the regional
level, and 268 at the local, community level. However, as can be seen from the
individual system viability indicators above, each level of analysis ‐ community,
regional, international ‐ focused on more than one system. At the international level,
four policy frameworks were investigated through a collaboration of researchers
from two international CSOs. The policy frameworks analysed were: REDD+, the
Convention on Biological Diversity Nagoya Protocol on Access and Benefit Sharing,
the Extractive Industries Transparency Initiative, and the Forest Stewardship Council
certification scheme. At the regional level, two 'social‐ecological' regions were
analysed: the North Rupununi region of Guiana, and the Tumucumaque region of
northern Para State, Brazil (undertaken by national‐level CSOs). At the community
level, four communities were investigate: three village communities within the North
Rupununi, and one village community within Tumucumaque (coordinated through
local level indigenous CSOs).
Table 5 below provides examples from each scale of analysis.
62
Table 5. Examples of indicators and the associated orientors identified by participants from each scale
of analysis.
Orientor: REDD+ viability indicator
example
North Rupununi SES viability
indicator example
Village viability indicator
example
Existence Availability of financial
support to REDD+ in the
Guiana Shield
Critical mass of sustainable
management facilitators
Access to titled land to
extract needed resources
and maintain subsistence
living‐yield of thatching
leaves
Resistance Potential competition of
existing or new
commodities from land‐
based production
systems in the Guiana
Shield
Area of the indigenous titled
land in the North Rupununi
Ability to maintain
traditional practices and
culture‐percentage of local
food consumed on a
weekly basis
Flexibility Autonomy of local forest
management authorities
responsible for
implementing REDD+
Evidence of autonomy in
decision‐making within
sustainable management
initiatives
Availability of different
health options –
traditional/modern
Adaptability Possibilities to evaluate
and adapt the processes
and methods to
implement REDD+
initiatives
Evidence of stakeholder use of
adaptive approach to evaluate
and change sustainable
management goals, principles,
process and methods
Availability of modern
transport modes
Ideal performance Use of appropriate
existing systems to build
upon for REDD+
facilitation
Level of knowledge on social‐
ecological health
Availability of good
leadership
Coexistence Number of implemented
programmes aiming at
forest conservation and
protection of indigenous
territories
Number and capacity of NGOs
and governmental agencies
supporting integrated
conservation and development
in Guyana
Number of
partnerships/projects with
NGOs
The first stage of analysis involved the organisation of indicators by academic
researchers in the COBRA project. A visual mapping exercise was carried out to
organise all 415 indicators according to emergent themes. The approach adopted for
63
the visual mapping exercise was inspired by Grounded Theory (Charmaz 2006) where
no a priori hypothesis was in place before the mapping exercise took place. All
indicators were formatted according to the structure presented in Table 5, printed
out and cut into individual pieces of paper. Mapping commenced with community‐
level indicators, where indicators sharing similar themes were grouped together.
This was followed by regional indicators (Figure 9), and then international level
policy indicators were included. The aim was to arrive at a coherent set of cross‐
scalar themes which could be easily identified by a non‐academic audience. For
further details on the actual diagramming technique used for presenting the results,
the '‘Systems Map’, see http://systems.open.ac.uk/materials/T552/ .
64
Figure 8. Systems Map of indicators of Community Viability
65
Figure 9. Systems Map of viability of regional social‐ecological system
66
The 'Grounded Theory' process and 'Systems Map' technique had already been
tested with a significant number of project partners during the February 2012
Brussels meeting, where indicators from other studies had been used for
experimenting with a diagrammatic basis to a cross scalar analysis. Ideally, we would
have found an opportunity to carry out this exercise with all project partners.
However, when all project partners did meet in August 2012, the short timeframe
only allowed the individual studies to be presented, so the exercise was only carried
out by academic researchers from The Open University and Royal Holloway.
The resulting emergent themes were:
1) Land Rights. Indicators in this theme focused on securing access to territory in
order to maintain traditional land‐use practices (subsistence farming, fishing,
hunting, building materials and access to medicinal plants) and the ability to exploit
future income generating possibilities (timber and payments for ecosystem services).
Support for this theme was evident at all scales of policy formation. All scales
included indicators which recognised the importance of indigenous land rights for
maintaining community survival, regional socio‐ecological viability and the effective
functioning of policies.
Orientors that came through strongly in this theme included existence and
resistance. Community level indicators clearly signalled access to land and
waterways as crucial components determining their existence within a stable
environment. These indicators showed highly specific measures, such as the
potential to collect thatching leaves within a certain time period/effort. Regional
level indicators also included indicators emphasising the need for indigenous land
rights in order to allow the regional socio‐ecological system to resist temporary
change emerging from other nested systems. Finally, the international policy analysis
also included land rights as a key indicator that would contribute towards the
effective existence of a policy within a stable environment.
Analysis across this theme shows that there are many synergies between level
indicators. Thus supporting community viability by allocating land rights would also
sustain the regional socio‐ecological system, while facilitating the implementation of
international policies. Threshold criteria however showed that uncertainties in
67
indigenous land rights allocations and lack of protection from threats such as illegal
gold mining, depleted the strength of the ‘existence' and 'resistance' orientors.
2) Governance. Here, leadership, solidarity, autonomy in decision‐making, and the
establishment and implementation of regulatory rules, were indicators which
contributed to the emergence of this theme. Once again, there were significant
indicator representations from all scales of analysis. The indicator selections by
various participants made it abundantly clear that they believed that good
governance is a key contributory factor to all human activity systems, from the
healthy functioning of communities to the effective implementation of policies. The
characteristic orientors in this theme were ideal performance and resistance. Good
leadership and community solidarity were identified as community level indicators
during times of variable pressures and resource scarcity. The control of corruption
and ineffective leadership were also indicators identified at regional and policy level
which determined viability. Once again, threshold analyses by participants suggested
that the 'ideal performance' and 'resistance' orientors manifested many weaknesses
as a result of corruption, poor leadership and lack of respect for customary and
official rules.
3) Partnerships. All indicators emphasising the need for cooperation amongst key
actors were included within this theme. Significant sub‐themes included the
generation of funding streams, and enabling capacity building opportunities.
Substantial indicator representations were present from all scales of analysis.
Indeed, this should come as no surprise as partnerships require involvement of
multiple scales of organisation. The co‐existence orientor dominated throughout.
Indicators at all levels focused on cooperation amongst indigenous associations,
national and international NGOs, governmental institutions, and international
bodies. Some communities in the North Rupununi reported satisfactory values on
meeting indicator thresholds around the theme of partnerships thanks to the
presence of strong partners, while the community in Tumucumaque expressed
severe disappointment with the difficulties in maintaining partnerships and a lack of
sustained results from these. Partnerships at the regional and international scales
68
showed mixed threshold results in that funding support for these collaborative
initiatives were rarely sustained and stable.
4) Lifestyle. This was a highly significant theme emerging primarily at the community
level which was characterised by the requirements for built infrastructure (roads,
modern housing), technologies (transportation, communication), health services
(medicines and medical equipment), livelihoods (paid employment, participation in
formal education) and access to modern consumer goods (clothing, televisions,
imported foods, entertainment). Indicators at the regional scale analysis were
relatively ambiguous in this area, identifying changes in lifestyle as threats to the
socio‐ecological system, rather than benefiting the communities. However, one
indicator emerging out of the Brazilian regional analysis suggested a very strong push
towards transforming traditional Amerindian lifestyles into an emerging narrative of
"ecological custodians", funded through national and international programs. In
essence, Amerindian communities would be actively encouraged to abandon their
subsistence "non‐engagement" approach with modern society, and instead take on
professional roles as "Park Rangers" and "Environmental Managers" in order to
protect, and be paid for, the global ecosystem services which are provided within
their territories. The international policy scale analysis primarily focused on capacity
building and information and communication technologies. In other words, the
potential for international policies to adapt depends on the capacities of individuals
within the policy systems and the availability of information and communication
technologies to facilitate the exchange of information. However, unregulated
"development" is also seen as a threat for regional and policy viability, as this may
accelerate the unsustainable exploitation of resources and overwhelm indigenous
peoples with nonindigenous immigration.
The dominant orientor was adaptability, with a few contributions from the flexibility
orientor. The direction of this "adaptability" was very clear at all levels of
organisation: away from traditional, inefficient and isolating approaches towards
modern, technologically enhanced lifestyles and working practices. Threshold
analyses indicated that communities felt the need for much higher levels of
investment on improving their lifestyles, while data on indicators at regional and
69
international scales raise alarm with regards to the level of potential investment for
infrastructure development within indigenous territories (as part of mega
infrastructure plans, including dam building, transnational roads and large‐scale
mining projects). For example, the Inter‐American Development Bank has one order
of magnitude more funds available for infrastructure development compared to
funds allocated to the preservation of ecosystem services.
Although the rhetoric of community, national and international conservation CSOs
emphasise the compatibility between traditional indigenous lifestyles and
national/international conservation initiatives, this analysis shows that, on the
ground, many communities may potentially support a much more rapid transition
towards a Western lifestyle to the detriment of conservation initiatives. It is
therefore imperative that policies such as REDD+ directly address the lifestyle needs
of communities, including infrastructure development, if they are not to be
undermined by the communities themselves.
5) Identity. This theme emerged strongly at the community and regional scales, but
was hardly represented at the international scale. Retaining indigenous traditional
practices (food preparation, celebrations) and language was seen as a key
component of community and regional socio‐ecological viability. However, the policy
analysis did not identify the preservation of indigenous identity as a requirement for
the long‐term viability of policies. The dominant orientor in this grouping was
resistance. Threshold analyses demonstrate that many communities were highly
concerned by the loss of traditional practices and cultures. A majority of young
people could no longer speak the indigenous language and did not want to
participate in strenuous, labour‐intensive traditional activities. Many communities
showed signs of mass emigration of youth to non‐indigenous settlements. At the
same time, indigenous communities were increasingly confronted by the physical
presence of non‐indigenous individuals (illegal gold miners, government officials,
teachers, health workers, conservation and development practitioners) and virtual
manifestations (DVDs of Hollywood films, access to Internet pornography). If
international conservation policies feel the need for the survival of distinct
70
indigenous cultures in order to achieve the objectives, then these need to be
explicitly considered within their objectives and practices.
71
6. Discussion
What have we learnt about community, regional and international policy viability?
Applying the System Viability approach at the community level, in a participatory,
visual way, revealed strong specificities, strengths, vulnerability, needs, and most of
all strategies to cope with their very specific context. Each of the communities
manifested themselves within distinct contexts, whether it is remoteness
(Tumucumaque, Apoteri), growing under the wing of a strong ally (Fair View), or
finding its place and identity in a relatively highly connected environment
(Rupertee). The participatory, visual approach, gave a voice to the communities to
express their vision of challenges and opportunities that each context provides
without being too quickly associated to a broader category (e.g. Amazon people,
indigenous communities, remote communities, rural communities). This very locally‐
owned set of indicators allows these communities to develop (or reinforce) a critical
framework of thinking on how to cope with their environment, allowing an
examination of the various tensions apparent between different orientors. It helped
communities to reflect on how they have been organising and reorganising their
everyday life due to environmental challenges and opportunities (climate change,
environmental policies impacting on their land, economic concessions to exploit
forest resources, the diffusion of ICT, new forms of transportation, food,
construction techniques and of new cultural habits more in general etc.), but also
how certain aspects of their livelihoods remain constant (such as traditional
practices). In so doing local communities were involved as active stakeholders,
responsible for identifying key indicators of their own viability rather than having
such an assessment imposed on them by foreign, external professionals. At the
community scale, the key is empowerment, by highlighting their own
resourcefulness and best‐practices, or engaging reflection on vulnerability. Viability
is thus presented as a process that is worked towards from the inside of their
systems, by the local communities themselves, almost as much (if not more) as from
the outside (national to international stakeholders). If national to international
stakeholders can’t necessarily cater for all specific contexts and every single village,
the communities are provided, within our project and through the participatory
72
process, with a holistic framework to consciously become key‐stakeholders of their
own viability.
However, we also found strong similarities between communities. The results show
that all communities share views and practices concerning their viability: securing
the access to land, and sustainably managing their resources using the rule of law,
but also by actively transmitting traditional practices to younger generations;
strengthening food and health security by developing farming techniques and
generating income, to afford buying food and access a wider range of health
services; integrating the equipment and tools from the global world to better
interact with it; developing partnerships with key stakeholders that will bring
benefits to the community (infrastructure and projects). These common indicators
reveal the shared challenges and opportunities across indigenous communities of
the Guiana Shield , regardless of the specific geographical context. A level of
aggregation does exist, following a bottom‐up process. This result opens great
perspectives in terms of planning for the sustainable development of this region.
Indeed, it means that with a bottom‐up approach, strong driving forces can be
identified. These are the driving forces regional, national and international policies
should focus on to implement sustainable development programmes. And these are
the indicators of viability stakeholders should maybe use to monitor the success of
their policies. For example, it may be that development projects focusing on food
diversity and income, give training and funding for the development of gardens to
grow fruits and vegetables, which would no doubt enhance food flexibility. However,
as we have seen, this type of projects might affect what local communities consider
not only as a key aspect of their Existence but also of their Resistance (as part of
their culture): cassava. As we also have seen, many regional, national and
international initiatives are welcomed by at least some members of local
communities, and therefore have a great influence over a community’s viability.
Communicating these perspectives to decision‐makers would significantly promote
the sustainability of any initiatives, as well as the viability of local communities.
73
An issue which emerged from the comparison of distinct orientors amongst the
emerging themes was that, although the community level indicators readily showed
clear associations between themes and orientors, the international policy analysis
did not clearly differentiate the different indicators allocated to each orientor, as
there seemed to be many overlaps ('level of commitment', 'level of support', 'priority
over other interests', 'willingness to participate' are terms used under all orientors).
However, this emerging theme of support/commitment implies that, for policies to
be viable, there needs to be commitment and support from a range of actors. As
such, policy viability is further enabled only through the participation of multiple
stakeholders or actors. How the communities themselves are incorporated into,
support and promote a policy will determine its impact on local communities. This
may demonstrate the relative ambiguity and 'fuzziness' of international policies as
they are constructed through repeated negotiations and compromises amongst a
wide range of conflicting parties. The difficulties in identifying distinct indicators
within the system viability orientor categories may be a symptom of the lack of
'maturity' of many international policies which would enable an autonomous, viable
system.
One COBRA participant made the following comment during an e‐mail exchange:
“Moments will come (and are already there) where international policies,
government policies and community and environmental interests meet and where
trade‐offs will occur, in some way or another. I guess COBRA will have to describe
these moments as sharply as possible and suggest ways for optimal responses by the
communities. It will be a very fine line between research and politics…”
Indeed, by avoiding a pseudo‐objective stance and adopting a bottom‐up process of
data generation, this report is explicit in representing the perspective of the various
COBRA project participants. In fact, there is no fine line between research and
politics – all research is political, whether researchers admit it or not (Robins, 2012).
By allowing the community perspective to strongly come through, there is a strong
call for "co‐operative differentiation". This term will now be explained.
In most rural parts of the developing world, local communities rely almost
exclusively on the quality, abundance and diversity of their local natural resources.
74
Yet the way in which these resources have been managed has not always been in
the hands of the people who depend on them. In fact, as a result of historical land
and resource use expropriation, many people at a local level are subject to policies
and practices set up by national governments and controlled by international
institutions through the lenses of ‘development’ and/or ‘conservation’. These have
been strongly influenced by international debates on environment and
development which help to shape global shared understandings of issues. These
common perceptions and discourses ‘construct meanings and relationships,
helping to define common sense and legitimate knowledge’ (Dryzek, 2005, p9).
Dominant global environmental discourses more often than not contribute to the
standardisation of problems, leading to the production of ‘blueprint’ solutions
which are consequently translated into policy without local adaptation (Roe, 1991;
Hajer, 1995; Bassett and Zuéli, 2000). This can determine the flow and quantity of
aid and funding, and promote the redistribution or entrenchment of power and
decision‐making. Power and politics are intimately bound within global and
consequently national and institutional discourses (e.g. Risbey, 2008) and play a
significant role in determining whose interests or knowledge are advanced or
whose are suppressed or oppressed.
There are several ways of differentiating environmental discourses (e.g. Adger et
al., 2001; Büscher and Whande, 2007), but they broadly fall into two distinct
discourses. The first points towards a dominant global environmental discourse
characterised by technocentrism and managerialism, linked to discourses of
modernisation and, more recently, neoliberalism. Here, the centralisation of
decision‐making powers through mutually supporting scientific institutions,
governments, multi‐national industrial corporations (whether state controlled
and/or private) and, recently, western conservation and development NGOs, are
promoted. This global process of centralisation has consistently undermined local
control over resource management regardless of political orientation, replacing it
with a homogenised, ubiquitous and hierarchical administrative structure which
increasingly de‐skills and disempowers local communities. The second broad
75
discourse emphasises an agenda of decentralisation through the promotion of
localised community‐based and ecologically compatible approaches to
environmental management, human rights and self determination (for example,
the Kenyan Green Belt Movement in the 1980s and the global Transition Towns
Network in the 2000s).
As Adger et al. (2001) point out, both discourses depend on the clear identification
of victims, villains and heroes. In the global environmental discourse, the local
communities are both victims and villains – on the one hand responsible for
desertification, deforestation and biodiversity loss resulting from their over‐
population and environmental mismanagement, and on the other hand victims
stuck in a debilitating cycle of environmental degradation and poverty. The
technical, scientific, policy making and enterprising institutions which bring
advanced technical know‐how and establish limits on exploitation through
financial incentives and/or punitive restrictions are the heroes. Solutions are
devised by experts at the international level through global conventions and
international bodies, such as the Intergovernmental Panel on Climate Change
(IPCC), Global Convention on Desertification and the Convention on Biological
Diversity.
The counter‐discourse, variously described as ‘populist’ or ‘grassroots’, turns the
situation on its head, identifying the centralising heroes as the villains who enslave
and subjugate the weak to channel resources towards powerful groups. They are
depicted differently (depending on the political persuasion) as either ‘capitalist
industrialists’ or ‘communist politbureau’. However, these ‘villains’ can also become
victims, as the governing, expert and accumulating classes can no longer grow rich
and powerful off the backs of disempowered communities and degraded
environments. At the same time, marginalised communities become the new heroes.
Through a process of bottom‐up and participatory engagement and, if deemed
necessary, direct action/civil disobedience, these communities are able to wrestle
back control of local resources and manage these sustainably and equitably. This
discourse questions established scientific ‘truths’ and replaces these by the lived
experiences of local communities.
76
Our cross scalar analysis has indeed identified tensions between two distinct
systems: the interests of communities, at one level; and the interests of stakeholders
promoting international initiatives, at another level. Communities do not fit neatly
into any international policy and it is clear that for the viability of international
policies, there are very few that directly address the interests of community viability.
However, the system viability approach allows a much more sophisticated analysis of
conflicts and/or synergies between interests at different levels. As opposed to the
rather simplistic discourse analysis that pits bottom‐up systems against top‐down
systems, with its associated victims and beneficiaries, the system viability approach
enables a significantly more nuanced investigation of specific aspects of each system,
and where the compatibilities and conflicts arise. Often, the conflict are more within
the systems themselves, as they are torn between investing in different orientors: to
adapt or resist? To be efficient or to be flexible? To look after one's own interests or
cooperate with others?
We see these tensions within the community system viability analysis: embrace
global technologies and infrastructures or maintain traditional lifestyles? We see
these tensions within regional and international initiatives: incentivise 'living
museums' where indigenous communities are encouraged to remain in a traditional
state in order to 'preserve' their unique cultures and associated ecosystems, or
encourage the entry of the global marketplace in the hope that environmental
externalities can be monetised and traded? At each level, each tension finds
synergies with other levels, while at the same time, the same systems also present
elements of opposition. A difficult balancing act presents itself, where distinct
systems mediate between their various orientors, attempting to maintain their own
viability, without necessarily overwhelming and/or undermining systems at other
levels.
Critique of the system viability approach
The system viability approach was clearly able to generate an incredibly rich and
varied exploration all levels of analysis. It encouraged participants to investigate
areas outside their own immediate interests and disciplines of expertise. The
77
bottom‐up process, where facilitators had to focus on explaining the abstract ideas
behind the various orientors, but were not allowed to use practical examples to help
with the explanations, resulted in many challenges, and participants took a long time
to engage with the process and some of the work remained incomplete (e.g. very
few indicators presented validating data and thresholds). At the regional and
international policy level of analysis, CSOs had major difficulties in engaging with
abstract, theoretical concepts, especially when practical examples were not
provided. This created a dilemma in the adoption of a bottom‐up approach. By
providing examples, it is probable that participants would incorporate these
examples as their own. However, engagement with CSOs and communities have
shown that participants will produce very different indicators to those proposed by
non‐indigenous experts. Through a bottom‐up process of indicator discovery, the
resulting work represented a true expression of what the participants themselves
understood to have an impact on the viability of their systems of interest. This
allowed a genuine engagement, especially at community level, with participants'
perspective.
To give one practical example of the bottom‐up process and its advantages, during a
training session with local community researchers, the facilitator – an academic ‐
provided an abstract definition for the "adaptability" orientor and asked participants
to propose indicators of community adaptability. It came as a total surprise to the
academic facilitator to see some participants include the presence of religious
institutions as indicators of adaptability. From the perspective of the academic,
religious institutions would have been represented as indicators of community
resistance since in his experience these institutions mostly represented conservative
attitudes. However, the academic soon realised through discussions with
participants that religious institutions within the Amerindian context represented a
new worldview and a link to the outside world since it was through missionaries that
modern clothing, medicines and technologies were being introduced. If the
academic had provided his own examples to explain the various system viability
orientors, then there is a high probability that such novel insights may not have been
gathered. Ultimately, community level investigations resulted in a very rich
78
exploration of what communities themselves felt was important to their present and
future survival.
As mentioned earlier, another significant problem was the identification of
thresholds. This usually involves identifying a value over which that particular
indicator is not considered to be performing adequately. This implies quantification.
However, it is clear that both communities and CSOs do not have ready access to
quantifiable information, with most judgements being made on moral, ethical,
experiential and intuitive grounds. A major challenge is finding ways of incorporating
these aspects into threshold assessments. Academic researchers are currently
exploring the use of qualitative judgements of indicator thresholds, and plan to
produce an enhanced methodology for system viability analysis.
Major lessons have been learnt on how capacity can be built in order for participants
to engage with the system viability approach. A new handbook will be produced
which will incorporate these lessons.
Critique of the use of visual methods for exploring system viability at community
level
System Viability is a complex conceptual framework to engage with, but the visual
approach proved to be engaging, fun, motivating and appropriate for involving local
community participants. The visual approach helped engage local communities in
the comprehension and subsequent discussion of the orientors. Images helped
connect orientors with people’s experience. Pictures in this way became the medium
to give concreteness to the various orientor indicators. For example, 'Existence' was
explored through presenting images of the forest and farmland and discussion
revolved around having access to land in order to meet basic needs. Picturing the
orientors made them “more tangible” and less theoretical and helped engage people
more effectively in the visual activity and in the discussion. Images therefore helped
focusing the reflection on specific elements and, once shot, constituted the basis to
elicit discussion in the communities. It also helped the researchers understand the
79
meaning behind each simplified indicator, through a range of images and fruitful
discussions.
However, this successful visual approach in terms of community engagement also
has limitations and challenges. First, using images allowed the collection of highly
qualitative data, but how to translate it into “usable” indicators? Translating
pictures, discussions and elements brought up by communities during discussions,
into viability indicators was not an easy task. It required an ongoing, extensive
engagement, that demands a significant amount of time and resources. Some
images captured a complex message, that needed somehow to be reduced into one
short indicator. For example, in Apoteri, the picture of young people playing cricket
was in fact the visual indicator of “creating opportunities for youth to stay in the
village because it is remote and young people are migrating...”. To pin the right
indicator down, for the use of the community as well as for planners and
researchers, participants needed to engage in long discussions. In order to clarify the
connection between image and indicator, local communities required extensive
consultation in order not to misrepresent their thoughts. This entails additional time,
and additional financial resources.
Second, an indicator must come with thresholds, in order to monitor in time and
space whether the situation is “good” or “bad”, whether the geographical system is
viable or not. It took the team of community researchers in Guyana up to a year to
identify a rich and great set of indicators according to each orientor. The task of
deciding on thresholds, in a visual way, for each of these indicators is extremely
challenging, is still ongoing , and links strongly to the debate on how to “measure
the immeasurable” (Bell & Morse, 2003).
80
7. Conclusion
It is hoped that the application of system viability to a cross‐scalar analysis of
community, regional social‐ecological system and REDD+ policy viability , may offer a
means by which local communities, regional, national and international initiatives
might be able to better integrate into the new incentive based approaches in current
international environment and development frameworks. In being able to
incorporate the full range and complexity of factors and how these may support
and/or undermine other nested systems, system viability has worked well at
community level to explore the full spectrum of issues pertaining to their survival. It
is clear that environmental policies, including those dealing with PES, are not
addressing the full interests of communities, and may therefore not create the
desired impacts.
The system viability approach can be used as a learning opportunity for a range of
stakeholders operating at different levels. The approach allows a disparate variety of
stakeholders to work together and learn about how their experiences,
understandings and values can contribute towards deriving a wide selection of
indicators which can then be analysed and compared simultaneously. This enables a
helicopter 'big picture view' of the entire nested hierarchy of systems, and it is
possible to explore how these influence each other in unpredictable, non‐linear,
emergent ways. This offers a real opportunity to move beyond the impasse of state‐
centric interventions and, through the use of visual and participatory techniques,
provide a practical framework beyond the 'ivory tower' academic environment
within which a system viability is currently applied.
First, the system viability approach demonstrates the crucial importance of
incorporating inputs from the local community level in the formation of regional,
national and global policies. It offers an immediate means of testing the real world
impact of policies formed at the various levels, while taking into account the multiple
factors associated with the implementation of those policies across scales. Looking
at the indicators of policy viability, it is challenging to identify how policies at the
international scale, in securing their own viability, are directly addressing a wide
81
range of community viability needs. Indeed, key results indicate that certain
community themes/indicators of paramount importance to community viability, are
not explicitly addressed by international policies e.g. food security, infrastructure
development, technological advancement, cultural change. This reiterates the
approach of post‐development theorists (Escobar 1995) who have emphasized the
need for decentralized, localized methods in creating positive change.
Secondly, the system viability approach demonstrates the complexity of problems
within scales. The local impact of the implementation of any policy at the
international or national level may be many‐faceted. While it may encourage the
capacity to adapt to some of the new realities brought about by global changes, it
might threaten the very existence of other aspects of communities. There is a
therefore real danger that these policies might limit community viability if they are
going to reduce access to resources and infrastructure development by, for example,
encouraging restrictive legislation or the designation of traditional indigenous
territories as protected areas excluding indigenous traditional practices. The
competition among various priorities, especially at the local community level,
therefore becomes clearly evident in the systems viability approach.
Finally, the system viability approach clearly demonstrates the ability to identify
successful approaches despite the multiplicity of factors at play across scales in the
implementation of policies such as PES. Where local, regional and international
initiatives directly promote community viability requirements by, for example,
helping communities secure extensive land rights so that they can sustain their
livelihoods, then we may very well see a win‐win strategy were both policies and
communities are sustained over the long‐term. Where local, regional and
international initiatives identify similar themes, policies can be enhanced to enable
consistent and positive effects at the local level. In situations where there is
discontinuity, the approach is able to identify where the weaknesses lie in order to
redirect resources.
Applying the system viability analysis within a cross scalar analysis of local, regional
and international interventions demonstrates an urgency in the need to revise the
82
approach to environment and development policy formation from agreements
among state actors to incorporate the full web of interacting state and non‐state
actors. Such a system would take into account the full complexity of the various
actors and their relationships at and between various scales through which they
adapt. Anything less will obscure an accurate evaluation of the strengths,
weaknesses and impacts of environment and development policies. The successful
implementation of international initiatives such as PES will ultimately depend on the
ability of such initiatives to enable the simultaneous enabling of capacity at all actor
levels and less on a top‐down facilitation by the international frameworks or states.
This will require international systems to be framed in a manner that can be
responsive to the competing risks that the implementation of policies will inevitably
bring about.
83
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Appendix 1: Participatory Action Research: September 2011‐November 2012
Taking into account the objectives, deliverables and tasks as originally outlined
within the proposal, the participants involved in the project, and the
theoretical/methodological context as outlined above, this is an account of how the
research was actually executed. The aim of this account is to demonstrate how the
participatory action research evolved over the September 2011‐November 2012
timeframe2, as the participants went through implicit cycles of planning, action,
observations and evaluations.
The first Project Management Board (PMB) meeting, undertaken at Royal Holloway
in September 2011, involved a training workshop for all project partners on the
system viability approach. This was led by Andrea Berardi of the Open University,
and a recording of the introductory presentation can be found here:
http://www.youtube.com/watch?v=D‐Fdo3usZV4
This introductory training was an opportunity for COBRA's CSO partners to develop
their capacities for carrying out 'system viability' project activities and to initiate
dissemination of the approach into in‐country (Brazil/Guyana) CSOs and
communities.
The initial training was then followed by a proposed plan to differentiate tasks into
three main areas: the international policy analysis; the national/regional policy
analysis; and the community capacity building/fieldwork. This plan was based on the
material contained in the original COBRA proposal as outlined in Section 2 above.
2 To note that both ECAM and Iwokrama encountered delays in hiring community staff at the start of the project. IUCN‐NL also experienced staff turnover halfway through the execution of Work Package 2. However, the participatory action research approach allowed a high level of adaptability with regards to the execution of tasks, and in many cases, it was possible for these, and other issues, to be compensated for thanks to the flexible intervention of all project participants.
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How the International/Guiana Shield policy analysis unfolded
Following the September 2011 start‐up meeting, a preliminary outline describing
individual responsibilities and deadlines for achieving WP 2.1 tasks by the December
2012 deadline was uploaded onto the COBRA project online Content Management
System (COBRA CMS). The information below provides an example of the task
schedule and responsibilities. Three key publications outlining the system viability
approach were also uploaded onto the COBRA CMS:
Bossel, H. (2001) Assessing viability and sustainability: a systems‐based approach for
deriving comprehensive indicator sets. Conservation Ecology, Vol 5, No 2.
[online] URL: http://www.consecol.org/vol5/iss2/art12/
Mistry, J., Berardi, A., Simpson, M., Davis, O., and Haynes, L. (2010) Using a systems
viability approach to evaluate integrated conservation and development
projects: assessing the impact of the North Rupununi Adaptive Management.
The Geographical Journal, Vol. 176, No. 3, pp. 241–252,
Bossel H 1999 Indicators for Sustainable Development‐Theory, Method, Applications.
A report to the Balaton Group. IISD International Institute for Sustainable
Development, Winnipeg, Manitoba, Canada.
The Bossel (2001) paper was selected because it represented an excellent summary
of the system viability approach, while the Bossel (1999) report provided an in‐depth
explanation of the theory and practice of indicator development. Participants were
specially directed to Table 9 within the report (p.91) which provides a 'compact set
of indicators of sustainable development for global regions'. The Mistry et al. (2010)
paper provided an example of system viability indicator development within a
Guiana Shield context, demonstrating an example of cross scalar analysis.
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Figure 10. Task schedule and responsibilities as outlined within the COBRA project Content Management System
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Following the provision of a task schedule and background reading material, the
research participants involved in undertaking the policy analysis engaged in a series
of e‐mail exchanges in order to clarify the task. What follows is an edited sequence
capturing the essence of these exchanges, with responses from Dr. Andrea Berardi.
1) What are the boundaries of the system we are working on ? What should we
particularly focus our attention on? We were wondering if we should focus on
possible indicators of the viability of international and national policies with
regards only to the ecosystem services and sustainable development aimed at
indigenous communities (of the Guiana Shield) ?
Response: To start off with, the focus will indeed be on indigenous
communities. So, the investigation will focus on policies affecting these
areas. However, this will not exclude policies that have an impact on areas
other than indigenous territories. For example, biodiversity conservation.
The key is to assess the policy/economic/ecological environment within
which the indigenous communities are nested. It's all about correspondence:
how do national/regional policies match with what is going on within
indigenous communities.
2) How do we develop these indicators? Should we concentrate on the
orientors and on the indicators suggested by Bossel on the Balaton report
(Table 9)?
Response: The Table 9 of the Balaton report is a stepping stone but we don't
necessarily need to stick to it. It is a source of inspiration of the type of
indicators we can try to look for in order to assess the "health"/viability of
these policies. We might very well come up with different/new/original
indicators! But it's easier to start off with those.
3) Who does what?
Response: IES, ECA and IIW are invited to carry out their policy review with
regards to sustainable development/ecosystem services/indigenous
communities. Meanwhile, I will carry out a review of scientific bibliography
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on this topic. Once this task done, we will get all the information together
and think all together about the optimum set of indicators and in what
category of orientors they are. I will receive your reports, read them, and
initiate a discussion on the indicators you have come up with in order to
produce the final report.
4) Deadlines?
Response: As the final report is for December, it was suggested that your
reports would be done by the 20th of November. It would then give us a
month to reflect all together on the appropriate indicators.
A subsequent query posed the following dilemma:
“I am struggling with translating what I know about the relevant policies and
developments in terms of the Balaton Report Table 9 Indicators”
This resulted in further clarification on the system viability orientors
"So, recapping on the definition for system viability orientors:
1. Existence – this is about the minimal level of resource (e.g. human,
financial, political capital, natural capital etc) that a particular policy would
need for it to be viable;
2. Coexistence – the properties that allow a particular policy not to
undermine other systems which may in the end "feedback" to reduce its own
viability.
N.b. there is sometimes a tension between existence and coexistence
indicators e.g. securing too many resources for existence may take resources
away from other systems which will sustain the system in the long run.
3. Resistance – the ability for the practices in policy delivery to remain
unaffected in the face of external pressures/change. So, the question I would
ask myself here is "which indicators would measure the ability of a policy to
continue delivering even when under pressure?"
4. Adaptability – the ability for a policy to change its practices i.e. doing
things differently in order to achieve the same overarching goal.
N.b. there is sometimes a tension between resistance and adaptability. The
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tactics involved in resisting change can often undermine a system's capacity
to adapt (and vice versa).
5. Ideal performance – the ability for a policy to deliver on its objectives with
minimal resource inputs.
6. Flexibility – the ability for a policy to have a range of options in order to
achieve its objectives.
N.b. once again, there is potentially a tension here. Keeping a range of
options "alive" is often not very efficient."
Even with these clarifications and additional support through a number of Skype
meetings, research participants continued to have problems in engaging with the
system viability approach. Although preliminary drafts were submitted in November
2011, these were far from being complete. Indeed, although lots of background
information on the context of the Guiana Shield had been provided, no indicators on
the viability of policies had yet been put forward. A few CSO partners expressed
doubts on the usefulness of identifying indicators of policy viability, and instead
proposed a need to focus entirely on exploring the context within which
communities are affected by policies directly, without an investigation into policy
viability. With the need to progress with the research using a participatory action
research approach, this strategy was supported.
Given the difficulties in research partners had with engaging with indicator
development, a meeting was convened in Brussels on the 16th‐17th of February
2012. During this meeting, a workshop on "Indicators of Sustainability and System
Viability" was carried out. The objective of the exercise in Brussels was to devise a
framework through which our partners could progress with their various reports.
The aim was to produce a step‐by‐step set of instructions which research
participants could then apply to improve their reports and included:
a) a clarification of the scales that partner reports were dealing with (local, regional,
national, international);
b) an identification of the disciplines relevant to each scale;
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c) an incentive to propose a number of indicators relevant for each discipline at each
scale;
d) an assessment of how each of these indicators promoted one or more system
viability orientors.
As the report produced in the exercise indicates (REF), CSO and academic partners
were able to engage with a wide number of indicators and mapped these onto the
six system viability orientors. Some approaches, however, were more efficient than
others. With this practical exploration of tangible indicators and how these relate to
distinct themes/system viability orientors, it was hoped that the CSO partners would
now have the capacity to engage with indicator development.
Unfortunately, progress was hindered by one of the CSO partners losing a key
individual which, at that moment, had taken a strong role in the analysis. However,
after a brief delay, a replacement was identified, and by April 10, 2012, the new staff
member was placed in charge of developing the indicator sets.
A brief exchange of e‐mails between Dr Andrea Berardi and this new staff member
established the willingness to undertake the original remit for Task 2.1, and a
commitment was made to carry out a system viability analysis of actual policies.
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How the National/regional policy analysis unfolded
Just like the international level analysis, the first few months involved a clarification
of the working process. The following is an e‐mail from Dr Andrea Berardi explaining
how research participants ought to engage with the indicator selection and system
viability analysis:
"First of all, I would be slightly concerned if we (Royal Holloway/OU) came up
with the system viability indicators ourselves. We don't know much about
the context and it would be a shame not to make the best use of our
partners in Brazil and Guyana. I really think that our partners in Brazil and
Guyana should have a first stab at coming up with something. I appreciate
that Table 9 in the Balaton Report has quite a few indicators that may not be
relevant. However, by the simple fact of referring people to the report, it
might encourage our partners to engage with the system viability framework
and hopefully come up with better indicators. If instead, we came up with
our own list, it's possible that our partners may feel obliged to use it even
though it does not represent the situation on the ground. Jay and I have
plenty of experience of top‐down prescriptions, and it's never worked very
well in the past. On the other hand, we certainly need to help facilitate the
process. We also have experience of bottom‐up processes not working very
well either as people feel cast adrift. I think the best approach is to let our
partners get on with the work but keep in constant e‐mail/skype/physical
contact to see how things are going and to provide any help/clarifications
if/when needed.
So, what are the indicators?
I know that for many of you the definition of “indicator” is probably clear but
we might not have a shared understanding of the term. That is why I am
starting this conversation, so that we can virtually build a strong and
common understanding of the tasks we have to accomplish for December.
I will start by expressing my point of view here, and we can all contribute to
this discussion in order to reach our conclusions.
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I consider that the system that we are all studying here is the Guyanese
ecosystem (and in ecosystem I include physical and human spheres of the
environment). We need to find how the ecosystems of the Guyana Shield can
be protected in a sustainable way. Within this project, we focus on 2 case‐
studies: the North Rupununi region in Guyana and the Tumucumaque Park in
Brazil.
So we can say that we want to establish a diagnosis of the viability of these 2
ecosystems, by using the systems viability approach. Once the diagnosis is
done, we want to identify the weak links that need to be worked on in order
to ensure their viability.
So we can compare the Guyana Shield ecosystem to a fragile patient. It might
sound a bit pompous to consider ourselves as doctors but let’s just say we
are the team of doctors with a tricky patient. In order to assess the health of
a patient and establish a diagnosis, doctors follow a set of steps (blood
pressure, heart beat, temperature, reflexes, sight, audition, etc…), which put
together are a set of indicators that enable to tell if the patient is in good
health, or not. If the patient is not in good health, it may not be viable. The
challenge at this point for the doctor is to understand what, in the
environment (damp home?) or in the habits of the patient (stress at work?),
has led to this health level.
Within our project, we want to diagnose the health and viability of the
Guiana Shield system, by taking into account the whole processes that lead
to the particular situation we are going to encounter in Rupununi and
Tumucumaque. That is why we are studying the political environment in
which these communities are nested. If we only study the communities we
will have a very restricted understanding of the situation in such a globalised
world. That’s the very specific task of Work Package 2.
International policies, national policies and even municipal policies all
potentially play a significant role, but we have to find out how …
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Indicators by essence indicate something, point at something and contain
information about the object they are pointing at. The indicators have to be
indicators of something. The way I see it, within WP2, we have to find
indicators of the “health” of these different policies. On their health and
viability can depend the health and viability of the Guiana Shield system. But
we have to find ways of measuring this health and viability. That’s the role of
the indicators.
What do these policies need to exist? I would say great funding (could an
indicator be the budget?), and solid data for establishing feedback of the
achieved projects, to judge their effectiveness.
What do these policies need to be resistant to unwanted change? For
example, how could we assess if they are resistant to the global economic
crisis ? At the conference Jay and I attended a month ago, it was question of
turning to the private sector to get extra funding. Do they have this leeway ?
Are these policies flexible ? Can they adapt to change ? etc etc.
Thus, the way I see it, we have to identify objective indicators of the health
and viability of these policies."
As a result of these clarification exchanges, it was decided by both Brazilian and
Guyanese CSO partners to involve a specialist for the execution of the analysis. The
following terms of reference specifies what was agreed with ECAM in Brazil (an
equivalent document was produced with Iwokrama in Guyana):
Terms of Reference (WP2)
Products: Two reports using a systems viability approach to develop a
summary of the established national and regional policy frameworks with
regards to role of indigenous lands in sustainable development and
ecosystem services.
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Local level Tumucumaque – systematizing the information available on
Tumucumaque from existing reports and contextualizing them within the
required policy frameworks.
National/Regional Level – At the regional level, for the states of Amapa and
Para with the option to include other states which touch on the Calha Norte
region, using the SEMA‐PA CONBIO and state REDD/PSA policy as basis
On the national level using the PNGATI, GEF Indigena, national climate
change policy framework and experience, biodiversity conservation policies
Recommending that the reports be structured according to the categories
suggested by the COBRA project. It is recommended that the interested
parties read the entire Balaton Report on Indicators for Sustainable
development as a basis for this report as well as other supporting project
information.
Report length combined total should be 20,000 words maximum without
annexes. These reports will be included in a combined final report that will
include other regional and international reports as well as an international
analysis to the EU.
The reports need to be completed for review by the 20th of November with
final versions including any requested revisions due by 20th of December.
Exactly like the International CSOs, the Brazilian and Guyanese CSOs produced first
drafts which included extensive descriptive text but limited engagement with the
system viability orientors and corresponding indicators. However, subsequent drafts
did show a marked improvement.
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How the review of established local governance structures, capacities and ecosystem
services in the case study communities unfolded.
While staff were being hired at the community level, project researchers, Drs Jay
Mistry, Elisa Bignante and Céline Tschirhart and project intern Claudia Nuzzo, started
work on the development of a community handbook. The aim of the handbook3 was
to aid the facilitation of training at the community level on key project concepts,
namely system viability, participatory action research and participatory
video/photography. One of the key challenges in the development of the handbook
was the language used ‐ most of the concepts had to be explained in simplified
terms and phrases. This may have taken away meaning, so it was decided to focus
on games as a core activity that would enable the deconstruction of some of the
project’s concepts. For example, knowing the importance of food as part of
indigenous culture and survival, a simple game of the ‘viable meal’ was developed,
as a way of working through the different system orientors.
The handbook was developed in English and then translated into Portuguese. In
addition, short project introductory videos were produced in both languages4 to
show at training events and to wider community members.
Table 6 outlines the key stages of the community research in the North Rupununi,
Guyana and Tumucumaque, Brazil. Community researchers were given initial
training on the project concepts and guidance on the information to be collected.
Then, through a series of participatory action research cycles, where reflections on
progress and needs were identified as research was carried out, community
researchers were directly supported by other project researchers to help achieve
their objectives.
3 This community handbook is also the basis of a key deliverable of the project, a practitioner’s manual which will be delivered by….. and uploaded to the COBRA website. 4 Note that another version in the Tiriyo language was also produced specifically for the Tumucumaque communities.
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Table 6. Key stages of participatory action research at community level.
Dates North Rupununi research Tumucumaque research
October – November 2011 Training event facilitated by Dr Andrea Berardi (OU). Introduction to key concepts of project through use of community handbook to Iwokrama and NRDDB project staff.
Training event facilitated by Dr Jay Mistry (RHUL), Frederico Schlottfeldt (ECAM), Arlison Kleber and David Tiriyo (APITIKATXI). Introduction to key concepts of project through use of community handbook to APITIKATXI community researchers.
December 2011 – March 2012 Community researchers work on identifying and filming/photographing indicators of community viability and screening results to the wider community for feedback.
Community researchers work on identifying and filming/photographing indicators of community viability.
January 2012 Project intern, Claudia Nuzzo, provides additional training on photography.
April 2012 Dr Elisa Bignante (POLITO) provides additional training on visual methods, gives advice and helps to facilitate community research.
Dr Celine Tschirhart (RHUL), Geraud de Ville (IES) and Evandro Bernardo (APITIKATXI) provide additional training on visual methods, and give advice and help to facilitate community research.
May 2012 Community researchers continue working on consolidating indicators and thresholds through community engagement and screenings.
Community researchers continue working on consolidating indicators and thresholds through community engagement.
June 2012 Community videos and photostories completed and submitted to EC and project website.
Community videos and photostories completed and submitted to EC and project website.
A visual consent form was developed by the community researchers in the Guyanese
component of the research. In addition, all researchers, both at community and
academic levels, kept diaries that recorded activities and reflections on practice.
These were extremely rich sources of information which helped to inform the
practices, achievements and challenges of working at the community level.
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Once the video and photographic materials were submitted to the project, these
were analysed by project researchers through a process of coding individual
segments/photos based on visual and audio content. The NVivo qualitative software
was used for this process. Coding then led to the development of spray diagrams of
indicators illustrating parent‐child relationships. In Guyana, these diagrams were
then presented to the community researchers and through in‐depth discussions, the
representations of indicators and their relationships were adapted and refined
where necessary. Final spray diagrams of indicators were then presented back in
community consultations to the three villages for final agreement and comments.
Community engagement experiences in Guyana
October to November 2011
Excerpt from research diary of Dr Andrea Berardi (OU):
“I started with the name game, which didn’t go according to plan (forgot to tell
people to review the films straight away and almost towards the end we realised
that the microphone jack wasn’t plugged in properly, and that a few people where
pressing the record button the wrong way round i.e. it was filming when they were
passing the camera around). But, as always, mistakes can be used as learning
opportunities and everybody realised the need to review materials as soon as it is
captured. Then I introduced the project and that went really well – I used Claudia’s
pictures5 which everybody really liked and understood. We then brainstormed the
meal game and then I got them to do some filming on another game I invented – the
“sick patient” (the basic idea is to use the system viability orientors to determine the
health of a person). That worked really well – in that people were able to produce
some work that made sense – and there were some extremely funny moments.
Mapping the material filmed/photographed onto the viability orientors was a bit
5 Project intern Claudia Nuzzo developed simple flower‐people pictures to illustrate the different system viability
orientors. These are in the Community Handbook.
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challenging, but this is to be expected at such an early stage of the training. In the
afternoon, we reviewed the “sick patient” film/photostory. I then finished off with
the next day’s plan. One slight headache we’ve got is that one of the videocamera’s
batteries seems to have burnt itself out during the filming. It’s extremely hot out
here and the batteries get overheated quickly when equipment is used continuously.
We may need to recommend a time limit for equipment use (e.g. 15 minutes, with
15 minutes break) in order to reduce the chances of battery burn‐out.
Activities [on second day] started with a slight modification of the storyboard
technique, and I got everybody to divide a flipchart sheet into six quadrants. In each
quadrants, I got people to draw examples of the six system viability orientors and
then to talk through their drawings. This took about two hours but it was worth it.
There were absolutely brilliant examples and associated drawings (which I have now
collected – we can use some of these for the manual/videos/photostories). These
drawings were then the basis of a brainstorm of indicator classes under each
orientor category. Some very interesting and original indicators were proposed. I’ve
now got these down and they can be used as our first baseline when engaging with
communities. The rest of the second day, and most of the third day, was spent
producing videos and photos stories for each orientor. There was also an interview
with Sydney6 introducing the Cobra project to communities. This material can now
serve as the basis for our first video/photo story deliverable. The final event of the
training involved some feedback on the three days”.
December 2011 – March 2012
Using the visual material collected during the training, the system viability training
video and photostory were completed and then taken out during a community
engagement visit to all sixteen communities of the North Rupununi. It became
apparent during these visits that not all villages were interested in working with the
project and that the time needed to intensively engage with many villages would be
6 Referring to Sydney Allicock, former chairman of the NRDDB and also member of COBRA’s Advisory Committee.
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prohibitive to the process of participatory video and photography. Therefore, out of
the initial visit to all villagers, three villages were selected (with approval of the
NRDDB) for more intense involvement in system viability indicator selection. These
were Rupertee, Apoteri and Fairview. At the same time, a visual consent form was
developed. The community researchers, guided by the Iwokrama research assistant,
then set about visiting the villages to discuss, film and photograph community
viability indicators. In shorter cycles of participatory action research, the community
researchers reviewed the visual materials, edited them into films and photostories,
and then returned to the villages to screen the drafts and gauge feedback. These
comments and extra material arising from community screenings were then
incorporated into the films and photostories to produce more representative
versions.
The following is an excerpt from the group research diary of NRDDB community
researchers (Lakeram Haynes, Bertie Xavier, Ryan Benjamin, Rebecca Xavier, Grace
Albert) and Iwokrama research assistant (Deirdre Jafferally):
“We first focused on the history of the community and spoke with the elders. We
tried group discussions but not many people turned up as they were working in their
farms so we decided to go for smaller group interviews. We integrated video
screenings with discussions which worked well as people came to see the video of
the elders for 15mins and then Ryan facilitated the discussions. Problem is that
every time we visited the community it is not the same people that turn up each
time so you need to start again. People that have turned up before, tend to
dominate and then repeat the examples that have been heard before. More
informal discussions can get round this problem as the big group discussions mean
that everyone hears the same examples. Small informal discussions get people
talking more about stories. However, the big groups are a good way to introduce the
project but then break into smaller groups to make sure that ‘gaffing’ occurs.
Another thing that worked well was doing activities in an informal way with people
as this allowed more issues and discussions to come out. Otherwise people get
scared of the video cameras and being filmed. People were worried that the videos
and pictures were going to be sold and they were worried about how they were
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going to be used. Grace reassured people that they were not going to use the
pictures and talked through the consent form and then the people understood”.
January 2012
Excerpt from group research diary of NRDDB community researchers (Lakeram
Haynes, Bertie Xavier, Ryan Benjamin, Rebecca Xavier, Grace Albert) and Iwokrama
research assistant (Deirdre Jafferally):
“Claudia [Nuzzo – project intern] came in January and we went to Rewa, Apoteri and
Crashwater and she did some photostory training. She taught photographic skills
and photostory techniques. Framing and lighting a picture and camera functions was
useful skills we all learnt. Rebecca and Grace had already had training in video work.
Claudia gave them all a better understanding of how to use photographs to tell a
story rather than relying on the text alone. Her view was to try and just use
photographs – this caused a discussion in the team because some felt more text was
needed whilst others said they should just use photographs – this caused confusion.
In the end a compromise was reached, particularly to explain difficult concepts such
as system viability – both photos and text should be used – a middle ground”.
April 2012
During the visit of Dr Elisa Bignante (POLITO), she facilitated discussions of the
indicators collected by the community researchers and helped them critically reflect
on their participatory practices. This led to the community researchers handing over
the camera to other community members, which provided greater depth of
information. This is outlined in the following excerpt from the research diary of Dr
Elisa Bignante:
“I would also like to have the local team and people from villages to experience
other approaches to participatory visual activities where community members get
more involved in the PP and PV. Of course there are financial costs, time limits,
people not wanting to participate, the equipment being at risk if given to village
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members, etc. Team members would very much like to be more participative, they
have been telling me that they felt they are controlling too much of the participatory
video process and would like to engage more with local people.
In this direction I’m thinking of a participatory activity with photostory to carry on
this week in Rupertee and next week in Fairview where village members will take
themselves the pictures, explain the meaning of the photographs taken to the
researchers and build themselves their photostories. Let’s see how it goes, from
previous experiences in Africa this kind of approach can be very interesting both for
communities and for researchers, and it is not time consuming if well planned.
I think this activity could be important both for villagers to get more directly involved
in the visual activities and for the research team to experiment how to carry on
participatory photography in a more “participative” way. They were very positive
about doing this, I’m thinking of having a short training tomorrow trying to build a
pilot photostory among us so that everyone is ready to carry on the activity in the
villages”.
May – June 2012
Over this period, the community researchers continued working on the development
of the films and photostories (one of each per village) and undertook another round
of screenings in the villages. An excerpt from the community researchers diary
concludes:
“In June we went back to the three communities to do final screenings for their
approval to go out and to have threshold discussions. The trips were for one day,
discussions about thresholds occurred during the day and then the screenings
occurred in the evening. The same people turned up for the screening at Fairview, a
few more at Rupertee and the same at Apoteri. The final edits were done of the films
after this and then they were sent out to Jay”.
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Community engagement experiences in Brazil
One of the key differences between the community researchers in Guyana and Brazil
is that the researchers in Guyana have had a longer experience of engagement with
research projects and were better able to and are more confident in
articulating/expressing their views and opinions. In Tumucumaque, the lack of prior
projects meant that the community researchers were truly ‘beginners’. In addition,
the Tumucumaque researchers were relatively isolated (they could only be reached
via a plane journey of three hours) and there was no means of communication apart
from two‐way radio. In the North Rupununi, although the Internet was intermittent,
the researchers were able to communicate with the wider project team and also
easily access guidance from Iwokrama.
As such, the participatory action research process was quite different in
Tumucumaque, in terms of the level of researcher understanding and capacity, and
the level of wider community engagement (villages are located large distances from
each other). In addition, support from ECAM was limited due to the constraints of
communication and costs of flying into the indigenous territory. Nevertheless,
Tumucumaque researchers were extremely positive, enthusiastic and quick to learn
new skills and concepts.
October – November 2011
Excerpt from the research diary of Dr Jay Mistry (RHUL):
“All the participants had already arrived, so we spent the first day afternoon
introducing ourselves through the video (where everyone got to work out how the
video works, record and play back footage) and to discuss the project and its
objectives. We used a short video about COBRA that I had produced in Portuguese
and Tiriyo as the basis of this discussion. We also screened this video in the evening
to the whole community (the community meeting house was the location of the
training, screenings and meals).
Over the next six days we worked through a range of exercises that combined
learning about the COBRA project, specifically the system viability approach, and
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video, photographic camera and computer use. As outlined in the COBRA
Community Handbook, we played the meal game (aimed at finding out the viability
of a traditional meal/food) in which participants identified different aspects of the
viability of Cashari, a fermented cassava based drink which is consumed in huge
amounts for breakfast, lunch and dinner! The participants were divided into two
groups and each group produced a short film and photostory about Cashari.
We then used Claudia’s system viability drawings as a basis of identifying community
viability with the participants. This worked well – probably the one everyone found
most difficult to grasp was Flexibility. This was used to draw up a list of basic
indicators for each viability category. Participants then used this list to film and take
photographs of examples around the village. In cases where certain indicators were
not present in the village, participants role‐played/acted out scenes to illustrate their
indicators. Again they worked in two groups and each produced a short film and
photostory on community survival.
The final activity involved a journalist style film getting village opinions on ‘how is life
in the village?’. This was to convey the idea of thresholds. Participants interviewed
different groups of village members (e.g. men, women, elderly) and then produced a
short film.
Each night after dinner, the participants presented their work to the whole
community. These screenings allowed the community to view what the participants
had been doing, see themselves and others on screen, allowed participants to
explain their films/photostories and get responses from the community.
On the final day we spent some time testing their knowledge on the concepts
through simple oral questions and technical skills at using the cameras and
computers. We also had an in‐depth discussion with the participants around making
an action plan on the next stage of the research. This involved the composition of
the research teams, the logistics of the research work, the areas in which they would
film and take photos and issues around footage/photo security and reporting of
activities. In the evening with the community, all participants were individually
commended and presented with COBRA certificates”.
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December 2011 – March 2012
During this period, Tumucumaque researchers worked on filming and photographing
the indicators that had been identified from the initial training workshop. The group
of ten researchers were divided into two teams: the first group was based in the
village of Missão Tiriyo and was led by Aventino Tiriyo – here they worked in the
twenty or so villages that make up the Missão. The second group was led by
Leonardo Tiriyo. He was based in St. Antonio and started work there in December,
and then from January was to travel along the river to the other villages, picking up
other community researchers and collecting information in each village. This group
was to finish in the village of Kuxaré, where they were supposed to work together to
edit their information into films and photostories. Although the first team
successfully carried out the research, the second team had an unfortunate incident
while travelling along the river and their equipment was damaged. Some of the
visual material was recovered, but much of the footage was lost. Nevertheless, the
second group were able to meet with the first group in Missão and complete some
editing/screening work.
Reporting of activities was carried out through two‐way radio by the team leaders,
Aventino Tiriyo and Leonardo Tiriyo. They reported to Arlinson Kleber (ECAM) who
was based in Macapa, outlining project activities, issues and state of the equipment.
It was also agreed that as films and photostories were drafted, they would be sent to
Arlinson Kleber in Macapa by plane for checking and providing feedback. This
depended on when and where air transportation arrived in the Tumucumaque
territory.
April 2012
A visit to Missão Tiriyo by Dr Celine Tschirhart (RHUL), Geraud de Ville (IES) and
Evandro Bernardi (APITIKATXI) was aimed at helping the community researchers
consolidate the material they had collected to date and to facilitate the organisation
of this material into system viability categories and corresponding visual outputs.
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What became clear through this visit was the strong lack of capacity of many of the
researchers and the need to continue training in the core project concepts. As
highlighted in this excerpt from research diaries of Dr Celine Tschirhart (RHUL) and
Geraud de Ville (IES):
“Action research was at the core of our work in Tumucumaque. Not knowing the
level of knowledge of the local staff, we had to constantly evaluate our approach and
change strategies to make the most of our time on the field. For instance, we would
encourage them to start in the morning with the editing of footage taken the day
before but then realise after a couple of hours that only a small fraction of the group
was actually working and that the message shown in the edited video lacked
structure. We would then start the afternoon with an animated session on scene‐
making, using drawings to make sure everyone participates and use the results to
correct the work done in the morning”.
Engaging the wider community in Missão Tiriyo, for example in screenings, was also
challenging and it seemed that this was a result of ‘local politics’ within the village
and between the village and APITIKATXI. Nevertheless, films on system viability were
completed – compared to Guyana, in Tumucumaque the researchers found it easier
to represent the viability according to each single orientor i.e. a visual output per
orientor.
May – June 2012
Community researchers continued filming and completing the visual outputs. It was
apparent that the two team leaders were clearly facilitating the process, as highlight
in this excerpt from the research diaries of Dr Celine Tschirhart (RHUL) and Geraud
de Ville (IES):
“Aventino [Nakai Kaxuyana Tiriyo]: Definitely a leader and the most computer savvy.
As the only one who spoke good Portuguese, he facilitated a lot the communication
between us and the group. He impresses us by his understanding of the 'bigger
picture', that is the objectives of the project and certain elements of system viability.
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By himself, he is able to capture footage, transfer and edit it in a final movie. He
speaks with ease in public and is (too?) often the group's voice.
Leonardo [Nautünpö Tiriyo]: As the second team leader he has a very different
character. He is quiet and serious and wants to take things forward but is sadly
handicapped by his low level of Portuguese and very limited understanding of
computers. Despite this, he tries to pull the group towards achieving its objectives”.
By the end of June, completed films and photostories were submitted to the EC and
uploaded onto the Cobra website.
The findings offered in this report are based on a comprehensive review of de-tailed international and national reports and case study materials developed by indigenous communities.
At the local scale, the process of collaborative discovery was brought about through innovative recording technologies – participatory video and photostories – where participants themselves were able to report on their own perspectives and solutions.
www.projectcobra.org