Sustainable Development Working Paper No. 20 Indigenous Peoples Development Series Lessons of Indigenous Development in Latin America The Proceedings of a World Bank Workshop on Indigenous Peoples Development September 2004 ---------------------- Edited by: Shelton H. Davis Jorge E. Uquillas Melanie A. Eltz The World Bank Latin America and the Caribbean Region Environmentally and Socially Sustainable Development Department Lessons of Indigenous Development in Latin America The Proceedings of a World Bank Workshop on Indigenous Peoples Development September 2004 Edited by: Shelton H. Davis Jorge E. Uquillas Melanie A. Eltz The World Bank Latin America and the Caribbean Region Environmentally and Socially Sustainable Development Department Shelton H. Davis is the former Sector Manager for Social Development in the Environmentally and Socially Sustainable Development Department (LCSES) of the World Bank's Latin America and Caribbean Regional Vice Presidency. Jorge E. Uquillas is a Senior Sociologist in the Environmentally and Socially Sustainable Development Department (LCSES) of the World Bank's Latin America and Caribbean Regional Vice Presidency. Melanie A. Eltz, a graduate student from the Monterey Institute of International Studies (MIIS), worked on this report during a six-month internship in the Environmentally and Socially Sustainable Development Department (LCSES) of the World Bank's Latin America and Caribbean Regional Vice Presidency. The editors are grateful to the following participants in the February 27, 2004 workshop: Josefina Stubbs and Tania Carrasco who served as moderators; all the authors of this volume for their valuable contributions, suggestions, and comments; Anne Deruyttere, Carlos Perafan, and Carlos Viteri of the Inter-American Development Bank and Kevin Healy of the Inter-American Foundation who participated in the workshop. We also want to thank Elaine W. Patterson (Regional Learning Coordinator) and David Gray (Global Distance Learning Network) for their financial support for the workshop and initial editing of this document. We also want to extend our thanks to Janice Molina for final editing and publication of this volume. Finally, a special acknowledgement is due to John Redwood (LCSES Director) for his ongoing support of our work on indigenous peoples issues. The findings, interpretations, and conclusions in this document are those of the authors, and should not be attributed to the World Bank, its affiliated organizations, members of its Board of Executive Directors or the countries they represent. Additional copies may be obtained from Jorge E. Uquillas, or from Grissel Prieto (gprieto@worldbank.org, or tel. 202-473-6346). Cover photos: Background: Contemporary Aymara Indian aguayo - Bolivia (J. Molina, World Bank) Center: Maya woman ­ Guatemala (World Bank) Upper left: Mother and child - Ecuador (X. Traa-Valarezo, World Bank) Upper right: Woman ­ Ecuador (X. Traa-Valarezo, World Bank) Lower left: Two men attending workshop ­ Bolivia (World Bank) Lower right: Girl learning to write ­ Ecuador (X. Traa-Valarezo, World Bank) ii Contents Introduction and Overview S. Davis, J. Uquillas, and M. Eltz....................................................................1 The Quest and Practice of Indigenous Development J. Uquillas and M. Eltz...............................................................................9 Indigenous Peoples, Development with Identity, and the Inter-American Development Bank: Challenges and Opportunities A. Deruyttere.........................................................................................23 Fostering Change for Brazilian Indigenous People during the Past Decade: The Pilot Program's Indigenous Lands Project (PPTAL) J. Lisansky............................................................................................31 Community Management for the Sustainable Use of Forests: Conservation and Sustainable Management of Forest Resources in Mexico (PROCYMAF) M. Reed, C. González, and G. Segura.............................................................45 The Indigenous and Afro-Ecuadoran Peoples Development Project (PRODEPINE I) J. Uquillas............................................................................................53 Indigenous Communities Development Project in Argentina S. Cesilini, I. Tomadin, and M. Eltz...............................................................63 Indigenous Peoples Natural Resources Management and Biodiversity Conservation: The Matavén Forest's Conservation and Sustainable Development, Colombia J. Ruiz.................................................................................................71 Social Management: Colombia Jepirachi Wind Farm A. Sandoval, J. Aramburu, and J. Zuluaga.......................................................81 Mainstreaming Gender in Indigenous Projects and Projects Affecting Indigenous Peoples in the World Bank Portfolio: The PROGENIAL Experience A. Törnqvist...........................................................................................85 Gender and Development Projects in Indigenous Communities C. Viteri...............................................................................................91 Microcredit and Social Capital among Indigenous Women in the Andean Countries C. Tene................................................................................................93 Indigenous Peoples and Gender in Guatemala Y. Avila................................................................................................97 iii Foreword During the last decade, the World Bank has steadily increased its attention to indigenous peoples of Latin America, as a result of its poverty alleviation mandate and its indigenous peoples policy. The Latin America Region of the World Bank has both improved compliance with the safeguard provisions of its indigenous peoples policy and adopted a proactive approach toward the promotion of indigenous peoples development. In addition, the Bank has carried out an effective capacity building program, working with indigenous organizations and indigenous affairs agencies in twelve countries of the Region (including a tripartite dialogue among indigenous peoples, oil companies, and governments in the Andean countries); it has supported the preparation of national indigenous peoples profiles in Mexico and Central America as well as studies of the legal and policy framework on indigenous peoples and on the life strategies of urban indigenous residents in Peru, Mexico, and Ecuador; and it has invested in specific projects targeting indigenous peoples and other ethnic groups in Mexico, Guatemala, Ecuador, Bolivia, Brazil, and Argentina. At the closing of the United Nation's Decade of Indigenous People, the World Bank is proud to present this volume on the "Lessons of Indigenous Development in Latin America," based on the experiences of different projects and programs targeting indigenous peoples. We hope that the results presented in this volume will help the World Bank and other international cooperation agencies improve the design and implementation of projects involving indigenous peoples around the world. John Redwood Department Director Environmentally and Socially Sustainable Development Latin America and the Caribbean Region The World Bank iv Introduction and Overview Shelton H. Davis, Jorge E. Uquillas, and Melanie A. Eltz World Bank, Washington, D.C. World Bank policies on indigenous peoples ponents within World Bank­financed pro- evolved during the late 1970s and the 1980s jects to address the needs of indigenous in response to many projects in developing peoples. By 1987, the World Bank had be- countries that were planned and imple- gun linking its indigenous peoples and reset- mented with little or no concern for their tlement policies to its new environmental impacts on indigenous peoples or the deli- policies. Soon after, the World Bank's Envi- cate forest and mountainous ecologies where ronmental Assessment Policy (OD 4.01) was many of these peoples live. International approved and the first indigenous peoples investments that resulted in human rights specialists were contracted to work in the violations against indigenous peoples, envi- World Bank. ronmental degradation, and lack of territorial recognition of indigenous communities pro- Four years later, in 1991, the World Bank voked political responses and led to pressure approved a new Indigenous Peoples Policy being placed on development organizations (OD 4.20). Indigenous specialists developed to formulate special policies to safeguard the this policy in close collaboration with spe- interests of indigenous peoples, their cul- cialists in the International Labor Organiza- tures, and their environments. The World tion (ILO), using ILO Convention 169 as a Bank became the first multilateral develop- framework. OD 4.20 extended the definition ment bank to introduce an Indigenous Peo- of indigenous peoples to include a much ples Policy and currently over two decades wider array of peoples than those indicated of experience attempting to implement both in OMS 2.34 and who maintain social and its original and current policy. During this cultural identities distinct from those of the period, the World Bank's Indigenous Peo- national societies in which they live. It also ples Policy and programs have continued to highlighted the fact that most indigenous evolve, reflecting a continuous learning peoples have close attachments to their an- process on the part of Bank staff in relation cestral lands and, if their lands are not rec- to indigenous peoples, their struggles for ognized and adequately protected, they are cultural recognition and survival, and their often susceptible to being disadvantaged in demands for greater participation in the the development process. OD 4.20 also processes of local, regional, and national highlights the need for the "informed par- decisionmaking and development. ticipation" of indigenous peoples in devel- opment decisionmaking rather than only on In 1982, the World Bank's formal policy on strengthening government indigenous agen- indigenous peoples was first adopted as Op- cies. The policy requires that all World erational Manual Statement (OMS) 2.34. Bank­financed projects affecting indigenous The policy focused on numerous areas in- peoples contain special Indigenous Peoples cluding: (a) the recognition and protection of Development Plans (IPDPs) to ensure that indigenous peoples' land rights; (b) the pro- indigenous peoples participate in and benefit vision of health, education, and other ser- from World Bank­financed operations vices to indigenous peoples; (c) the (Uquillas and Davis 1997). strengthening of government agencies re- sponsible for protecting indigenous lands While the implementation of OD 4.20 has and providing services to indigenous peo- been mixed and highly dependent on the ples; and (d) the preparation of special com- legislative and other frameworks of the 1 2 LCR Sustainable Development Working Paper No. 20 countries where World Bank­financed pro- nous Peoples and Development." The objec- jects are being introduced, in 1995 special- tives of this workshop were to: (a) create a ists working in the Bank's Latin American space for dialogue and exchange among and Caribbean Region began to develop a World Bank and Inter-American Develop- new strategic approach to Indigenous Peo- ment Bank (IDB) staff working on projects ples Development. This approach included: with indigenous peoples in the Latin Amer- (a) conducting analytical and empirical stud- ica and Caribbean Region; (b) discuss les- ies on indigenous poverty and social exclu- sons learned from World Bank­ and IDB­ sion, including the preparation of a number financed community development, natural of country-level indigenous profiles; (b) in- resources management, and biodiversity vesting in the strengthening of indigenous conservation projects involving indigenous peoples' human capital by increasing in- peoples; (c) discuss experiences in commu- vestments in indigenous education, health, nity­based development projects with indige- and social protection; (c) strengthening the nous peoples financed by other institutions social capital of indigenous organizations such as the Inter-American Foundation; and and communities through the introduction of (d) use the results of the workshop to improve a special grant program for the capacity the performance of World Bank­financed de- strengthening of indigenous organizations; velopment projects with indigenous peoples. (d) linking indigenous land regularization and territorial protection with natural resources The participants in the workshop included management and biodiversity conservation, World Bank and IDB staff who manage and especially through greater participation of in- work on Indigenous Peoples Development, digenous peoples in projects financed by the community development, land tenure, human new Global Environment Facility (GEF); and development, natural resources management, (e) promoting greater protection of indigenous biodiversity conservation, and energy and in- peoples' cultural heritage, languages, and frastructure projects in the Latin America and identities, particularly through the introduc- Caribbean Region, including both headquar- tion of a new generation of indigenous in- ters and resident mission staff. Invitations to vestment projects based on the notion of the workshop were also extended to a select development with identity (Davis 2002; and group of World Bank staff working on pro- Uquillas and Van Niewkoop 2003). jects with indigenous or tribal peoples in other regions and to persons within the In its new strategic approach to indigenous World Bank doing analytical and other work development, the Latin American and Car- on indigenous peoples issues, especially in ibbean Region also began to focus more at- relation to poverty reduction and human de- tention on the participation of indigenous velopment. Video facilities were available women in Bank­financed projects; to incor- for resident mission staff who wished to par- porate indigenous knowledge and culture ticipate in the workshop but were unable to more systematically into project designs; to travel to Washington. establish more culturally appropriate monitoring and evaluation indicators; and to The workshop was organized around a series link indigenous development projects with of panels, each of which had a moderator projects in other sectors such as human and dealt with a specific theme or type of development, infrastructure, rural project. The idea of each panel was to identify development, and finance, and with national the lessons learned: positive achievements and poverty reduction strategies and programs. challenges in improving the results of project interventions as measured against the spe- On February 27, 2004, the Social Develop- cific preferences and needs of indigenous ment Unit of the World Bank's Latin Ameri- peoples, their organizations and communi- can and Caribbean Region (LCSEO) held a ties. There was also a general facilitator for learning workshop entitled, "Indigenous the workshop who helped maintain the focus Lessons of Indigenous Development in Latin America 3 in each panel discussion and attempted to The Quest and Practice of Indigenous De- summarize the lessons learned and chal- velopment, by Jorge E. Uquillas and Melanie lenges identified for future projects with A. Eltz, analyzes changes in the definition of indigenous peoples. indigenous peoples (IP) and their role in modern societies, as well as the different The workshop was deemed to be very suc- conceptual approaches toward Indigenous cessful. Participants were asked to submit a Peoples Development that have been short document describing the project that adopted as a consequence of these changes. they discussed at the workshop, highlighting It reviews the main lessons learned from the its objectives and main activities, the proc- practice of indigenous development at the esses of preparation and implementation, the community and the national levels. The pa- challenges faced, the lessons learned, and per provides a historical overview of the any recommendations they might have for concepts of ethnodevelopment or development future projects with indigenous peoples of a with identity. In general, ethnodevelopment is similar type. Consolidating the documents more likely to occur when indigenous peoples into a single volume has enabled the partici- have access to basic resources for their social pants to share with others the wealth of reproduction, including food security and basic knowledge that was evident at the workshop health; have achieved a high degree of social and to further disseminate this information. organization and political mobilization; have been able to preserve their cultural identities The present volume includes several docu- (particularly their own languages); have built ments submitted by World Bank and IDB strong linkages with outside institutions; and staff who participated in the workshop. The have production patterns that allow for both volume opens with two general articles on subsistence and earning cash incomes. In the current strategies for dealing with In- order for these resources to be obtained, a digenous Peoples Development in Latin favorable policy environment is a key factor. America on the part of the World Bank and The article also highlights the World Bank's IDB. These are followed by several project indigenous policies and the challenges faced case studies including descriptions of an by development agencies in promoting and Indigenous Land Regularization Project in implementing projects which have an eth- Brazil, a Community Forestry Management nodevelopment focus. Project in Mexico, an Indigenous Peoples and Afro-descendant Population Develop- Based on a summary diagnostic of the situa- ment Project in Ecuador, an Indigenous tion of indigenous peoples in Latin America, Learning and Innovation Loan (LIL) in Ar- Anne Deruyterre's article, Indigenous Peo- gentina, a GEF­Funded Indigenous Peoples ples, Development with Identity, and the Forestry Management and Biodiversity Con- Inter-American Development Bank: Chal- servation Project in the Colombian Amazon, lenges and Opportunities, describes the a Wind Energy Project on the lands of the mandate and recent developments at the In- Wayúu Indians in Northeastern Colombia, ter-American Development Bank (IDB) with and three experiences that incorporate gen- regard to indigenous peoples. The IDB is der considerations into Indigenous Peoples currently preparing a Strategic Framework Development Projects in Central America on Indigenous Development as well as an and the Andean region. Operational Policy on Indigenous Peoples to strengthen the IDB's role in promoting "de- The remainder of this Introduction provides velopment with identity" of indigenous peo- a brief overview of each of the general arti- ples and to safeguard the individual and col- cles and project case studies contained in the lective rights of indigenous peoples in the report: projects and programs it finances. These new strategic and policy instruments aim at mainstreaming indigenous peoples issues 4 LCR Sustainable Development Working Paper No. 20 across all IDB activities, drawing upon the process, objectives, characteristics, costs and lessons learned in the decade since the IDB lessons learned from this project in Mexico. first adopted a mandate to proactively seek PROCYMAF was implemented as a pilot out projects and approaches to benefit in- project aimed at strengthening awareness of digenous peoples. Based upon the lessons the economic, social, and environmental learned since the 1994 mandate on indige- problems facing the community forestry sec- nous peoples issues, the Policy and Strategic tor, most of which is comprised of indige- Framework will enhance and systematize nous ejidos or communities. Its objectives best practices and serve as an important ref- were essential to optimizing the use and erence point for all future IDB activities re- conservation of forests and diversifying the garding indigenous peoples. options available to the indigenous and peasant groups who own these forests. The Fostering Change for Brazilian Indigenous preparation of PROCYMAF was highly par- People during the Past Decade: In her arti- ticipatory and indicated a clear commitment cle on the G-7 Pilot Program's Indigenous on the part of the Mexican government to Lands Project (PPTAL) in Brazil, Judith develop a new generation of community­ Lisansky provides a description of how the based forestry projects. This short excerpt PPTAL project came about, as well as back- from the full project report includes a list of ground on how it was negotiated during its activities that took place in the communities preparation. She also describes some of the served by the PROCYMAF Project from more contentious issues encountered by the 1998 through 2003 and their results. It dis- PPTAL and how they were addressed. The cusses ten lessons learned during the first article explains the project's basic components, stage of the project and how these contrib- its unusual "open design" and procedural issues uted to a new and highly innovative model pertaining to regularizing indigenous lands, in which community development processes including a discussion of the implications of led to more sustainable forest use. the passage of a new decree (Decree 1775) in January 1996 that revised the process of The Indigenous and Afro-Ecuadoran Peo- indigenous land regularization one month ples Development Project I (PRODEPINE after the project was approved. The article I), by Jorge E. Uquillas, describes another also focuses on the accomplishments of the highly innovative project that was financed, PPTAL project, particularly in terms of land this time, by the World Bank and the Inter- regularization, institutional impacts on the national Fund for Agricultural Development National Indian Foundation (FUNAI), and (WB PRODEPINE 1998-2004). PRODEPINE the nature of indigenous peoples participa- I was part of an experimental initiative, started tion. It also examines some of the implica- in 1993 in Latin America and designed to tions of these accomplishments, as well as build pro-poor forms of social capital and some of the outstanding challenges for the promote ethnodevelopment. The project rep- future. resented an effort to operationalize such concepts as ethnodevelopment, social and The excerpt from the Community Manage- human capital, and community-driven de- ment for the Sustainable Use of Forests: velopment in order to address old realities PROCYMAF Final Report1 highlights the and new needs of indigenous communities in Ecuador. It was an effort to mobilize local resources and to direct additional resources 1 Ing. Manual A. Reed Segovia, Ing. Carlos to the poorest segment of the Ecuadoran ru- González Vicente, and Dr. Gerardo Segura ral population, to be managed in accordance Warnholtz. Final Report, Community Manage- with their own visions of their problems and ment for the Sustainable use of Forests: Conser- vation Project and Sustainable Management of solutions. The article summarizes the key Forest Resources in Mexico (PROCYMAF). lessons learned from the PRODEPINE I Mexico, December 2003. Project. These lessons include the validity of Lessons of Indigenous Development in Latin America 5 the assumption that collaboration and part- by environmental specialist Juan Pablo Ruíz nership with indigenous organizations and includes a brief summary of the eight biodi- communities produce results, and the impor- versity and natural resources management tance of clearly defining roles, resolving projects financed by the World Bank and conflict in a timely fashion, ensuring par- GEF in Colombia. The three­year GEF­ ticipation, building self-development, funded MSP in Matavén is a clear example strengthening human and social capital, and of the new participatory approach to project diversifying sources of income. Along with design and execution that is increasingly lessons learned by World Bank staff, the being incorporated into GEF biodiversity article also includes observations from an conservation projects in Colombia and other external evaluator for the project who has countries. Matavén's success was based provided advice for a second phase based on largely on the ability to build upon ongoing an analysis of a select number of subprojects and previous efforts involving indigenous implemented in the first phase. Since the communities. Project outcomes would not drafting of this article, the PRODEPINE II have been achieved without prior advances project has been approved by the World in Colombian legislation or a long history of Bank's Board of Executive Directors. joint collaboration between Colombian NGOs and indigenous communities. The Sandra Cesilini's article, Lessons Learned article argues that supporting indigenous from the Indigenous Communities Develop- culture and organizations is the best route to ment (ICD) Project in Argentina, examines conserving forest cover in resguardos or the progress of the Indigenous Community recognized indigenous lands. Development (ICD) Learning and Innova- tion Loan (LIL). The ICD project began in The article, Promotion of Renewable Energy 1997 with a grant from the World Bank to Address Global Climate Change: Promot- through the Regional Institutional Develop- ing Socially Sustainable Development to ment Fund (IDF). The main objective of the Address the Quality of Life of the Local ICD project is to establish the basis for Community, is a collaborative effort by a community development and the protection Bank Task Team Leader, Walter Vergara, and management of natural resources in the and Colombian specialists Ana M. lands of indigenous communities in three Sandoval, Jaime E. Aramburo, and Julio E. areas of Argentina. It includes the social and Zuluaga, who review the Jepirachi wind cultural strengthening of indigenous com- farm, located in the northeast region of Co- munities in these areas and the enhancement lombia's Atlantic coast. The article focuses of indigenous peoples' capacities to sustain- on a social development program which was ably manage the natural resources within developed with the local community of their communities. The project seeks to de- Wayúu indigenous people residing at the velop "models" from which to extract les- proposed location of the project, and fi- sons, focusing on a future extension of the nanced with revenues from Carbon Finance. program to other indigenous areas. The arti- cle summarizes the three pilot areas and the During the preparation phase, the project three components through which the project developed an extensive consultation process is being implemented as well as seven key which included national, regional and local lessons learned. governmental institutions concerned with indigenous peoples, and traditional authori- The Global Environmental Facility (GEF)­ ties and communities of Rancherías Kasi- funded Conservation and Sustainable De- wolin, Arutkajui, and Media Luna. The article velopment of the Matavén Forest Project is a briefly discusses the project's sociocultural Medium-Sized Project (MSP). The Indige- impacts and social management aspects, and nous Peoples Natural Resources Manage- concludes with several lessons learned from ment and Biodiversity Conservation article 6 LCR Sustainable Development Working Paper No. 20 the project's preparation and early stages of dor took the initiative to study the role that implementation. financial credit can play in strengthening indigenous women's organizations. In Les- Annika Törnqvist's document, Main- sons Learned in Microcredit and Social streaming Gender in Indigenous Projects Capital among Indigenous Women in the and Projects Affecting Indigenous Peoples Andean Area, Carmen Tene, a Quichua- In The Bank Portfolio - The PROGENIAL speaking indigenous consultant for the Experience, summarizes the process of and World Bank based in Ecuador, discusses preliminary findings from using a model of how this microcredit program strengthens Gender Technical Facilities (GTFs) to ad- social capital and contributes to improving dress gender issues in selected Bank­ the social and economic levels of indigenous financed indigenous development projects women and their families. Nine indigenous and projects affecting indigenous peoples in organizations were linked to the credit pro- the Latin America and Caribbean Region. gram in Peru, Ecuador, and Bolivia. The The results of mainstreaming gender in such article discusses the specific experiences in projects indicate that: (a) it is feasible to ad- each country and the lessons learned from dress gender issues in specific indigenous the study. It concludes with suggestions for projects even though they may be perceived future indigenous women's projects in the as being induced from the outside and not Andean region. applicable to different cultural contexts; (b) it is important to address gender and indige- As part of its general project supervision nous issues in regular sector projects that efforts and to ensure the application of its affect indigenous peoples, since Bank­ gender and indigenous peoples policies, financed projects often introduce changes in since 2003 the World Bank has implemented the organization, health, literacy, and devel- an Indigenous Peoples and Gender Program opment of indigenous peoples and their in Guatemala. The article, Indigenous Peo- communities; and (c) addressing gender is- ples and Gender in Guatemala, by Irma sues in project operations can have a posi- Yolanda Avila, a Mayan-speaking consultant tive effect on project outcomes. at the Bank's Resident Mission in Guatemala City, highlights that there are different ways to Gender and Development Projects in In- approach working with indigenous peoples, digenous Communities, by Carlos Viteri of particularly indigenous women. For exam- the Inter-American Development Bank, also ple, one can address social capital and em- highlights the important role of gender is- powerment processes through the State's sues in Indigenous Peoples Development vision and public administration manage- projects. Viteri's article argues that indige- ment and economic opportunities, or simply nous women face "triple discrimination" by apply World Bank social safeguard policies. being indigenous, female, and poor. How- The author focuses on the most important ever, the roles of indigenous women are findings, lessons learned, and general rec- changing in response to the present and fu- ommendations for projects under implemen- ture demands of indigenous communities. tation and for future projects financed by the Indigenous women's participation needs to World Bank in Guatemala. be consolidated in many important spheres such as education, the economy, health, and In summary, numerous lessons have been leadership. This article lists criteria that learned from these projects' experiences should be taken into account in considering with indigenous peoples in Latin America. gender issues in indigenous development Most importantly, the World Bank and other projects. partner agencies such as the Inter-American Development Bank are still in the process of With the financial support of the Norwegian preparing and implementing projects that Trust Fund, the World Bank Office in Ecua- take into account indigenous peoples' cul- Lessons of Indigenous Development in Latin America 7 tures, identities, rights, and values. This of past and present initiatives, drawing upon learning process can only be successful to the important lessons of Indigenous Peoples the degree that it maintains an ongoing and Development that we have learned from the open dialogue with indigenous peoples and recent past and making them the basis for their organizations as well as with the various the work of our institutions with indigenous government counterparts of projects financed peoples in the future. by international cooperation agencies. It is our hope that this dialogue will continue and eventually form the basis for the scaling up REFERENCES Shelton H. Davis, "Indigenous Peoples, Poverty and Participatory Development: The Experience of the World Bank in Latin America, " in Rachel Sieder (editor), Multiculturalism in Latin America: Indige- nous Rights, Diversity and Democracy, London, Palgrave MacMillan, 2002, pp. 227-251. Uquillas, Jorge and Shelton H. Davis, "El Banco Mundial y los Pueblos Indígenas de América Latina," in Lidia van de Fliert (editor), Guía Para Pueblos Indígenas: Sobre Políticas, Proyectos, Asistencia Fi- nanciera y Técnica de Organizaciones Internacionales Gubermentales y no Gubermentales en Améri- ca Latina, México, Comisión Nacional de Derechos Humanos, 1997, pp. 83-100. Uquillas, Jorge and Martien Van Nieuwkoop, "Social Capital as a Factor of Indigenous Development in Ecuador," Latin America and Caribbean Region, Sustainable Development Working Paper No. 15, September 2003. 8 LCR Sustainable Development Working Paper No. 20 The Quest and Practice of Indigenous Development Jorge E. Uquillas and Melanie A. Eltz World Bank, Washington, D.C. I. Introduction level and at the national level. It also high- lights the significance of the World Bank's Indigenous Peoples (IP) comprise a rela- Indigenous Peoples Policy and the chal- tively large and important portion of the lenges faced by development agencies such world's population. Their heritage, ways of as the World Bank in regard to what has life, stewardship of this planet, and cosmo- come to be known as ethnodevelopment. logical insights are an invaluable treasure house for all of humanity. Today, many IP are still excluded from society and often de- II. The Quest for Indigenous prived of their rights as equal citizens of the Development nation-states of which they are a part. Nev- ertheless, they are determined to preserve, The quest for indigenous development has develop, and transmit to future generations evolved over time. Historically, political their social and cultural values. Their con- boundaries, often established by former co- tinued existence as peoples is closely con- lonial powers in America, Africa, and else- nected to their ability to influence their own where, did not adequately recognize ethnic fate and to live in accordance with their own differences. The centripetal forces of nation cultural patterns, social institutions, and le- building and the focus on social and cultural gal systems. integration tended to minimize differentia- tion. However, when people realized the During the past decade or two, the interna- drawbacks of integration, internal conflicts tional development community has come to between ethnic groups attempting to reassert recognize the desires of IP to protect their their differences emerged. This occurred in cultural identities Likewise, increasing rec- the former Yugoslavia, other former Soviet ognition is being given to the principle of IP states, and in many African countries. determining their own pace and paths of de- velopment. Social and cultural diversity is in After independence in the early 19th century, the interest of society and is not an obstacle Latin American countries inherited an am- to national development or economic stabil- biguous attitude toward their IP. On the one ity. Similarly, there is growing recognition hand, there were strong tendencies on the that dignity is found in all cultures, and that part of the elites of these new nations to ne- there should be equal access to the factors gate their Indian ancestry and to exclude IP that promote development and to the bene- from active participation in the affairs of the fits of development. state. On the other hand, significant sectors of society recognized the mistreatment of This paper analyzes changes in the defini- Indians and sought ways to end their oppres- tion of IP and their role in modern society, sion and ameliorate their socioeconomic along with the different conceptual ap- situation. The latter trend was accentuated in proaches toward the development of IP that the mid-20th century, when attempts to ad- have been adopted as a consequence of these dress the "Indian problem" in Latin America changes. It reviews the main lessons learned had given way to efforts to promote the in- from the practice of indigenous development tegration and assimilation of indigenous both at the community and/or grassroots communities (Mires, 1995). 9 10 LCR Sustainable Development Working Paper No. 20 Earlier advances made in the worldwide tection of indigenous populations, the im- recognition of indigenous peoples rights provement of their living and working con- ditions, and their progressive integration into An important landmark for IP in Latin their respective national societies.2 ILO America was the First Indigenist Congress Convention 107 addresses the fact that indi- in Patzcuaro, Mexico in 1941. The Pan viduals belonging to indigenous communi- American Union organized this intergov- ties are often the victims of prejudices, ernmental meeting which eventually led to which has led to their gross exploitation in the creation of the Inter-American Indigenist the labor market. A lack of appropriate edu- Institute (III), also located in Mexico. The cation and vocational training, as well as a Patzcuaro Congress signaled a realization of massive discrimination by the ruling elites in the inequalities that affected IP and a con- the states where they lived, led to a histori- certed effort on behalf of countries in the cal process of conquest, penetration, and region to work toward ameliorating their social exclusion of traditional indigenous situation. The concept of indigenism and the societies. There was a gradual destruction of reaffirmation of public policies for the inte- the material and spiritual basis for the main- gration of IP into mainstream society trace tenance of indigenous societies, including their origins to this date. The basic objec- the expropriation of their traditional lands tives of the III were to assist in coordinating and natural resources. the Indian affairs policies of the member States and to promote research and training The formulation of a conceptual of individuals engaged in the development framework for Indigenous Peoples of indigenous communities. The III provided Development a forum for government representatives to discuss approaches to address the challenges The Patzcuaro Congress and ILO Conven- facing indigenous communities in the tion 107 both recognized the need to assist Americas.1 indigenous populations. This praxis of inte- gration led to the creation of public and At the global level, International Labor Or- semiprivate institutions that promoted indi- ganization (ILO) Convention 107, the prede- genism through recognition of the rights of cessor of ILO Convention 169, is of major IP to land, community development, and significance. Though the ILO had been efforts at improving their health and educa- involved in the plight of indigenous and tion levels, using modern technologies and tribal peoples as far back as the early 1920s, methods while disregarding the traditional it was the adoption of Convention 107 in alternatives which were considered back- 1957 that marked a turning point in the ward. attempt to codify rights for indigenous and tribal peoples in international law. The aim With a greater social consciousness and de- of Convention 107 was the adoption of bate among social scientists, religious lead- general international standards for the pro- ers, public officials, and indigenous leaders, 2Under ILO Convention 107 governments must 1 Governments who are members of the III ad- undertake measures not only to protect but also dress the key problems that affect indigenous to progressively integrate their indigenous popu- populations and respect their jurisdiction. There lations into the wider society. Consequently, one is a mutual respect for the inherent rights of in- of the major weaknesses of this document were digenous populations and cooperation among the assumptions--signs of the era when it was participating governments. Participants agree to written--that integration into the larger society meet at least every four years and recognize the was the only possible future for indigenous peo- executive council, executive director, and direc- ples and that all decisions regarding development tor. Finally, each participating government must were the concern of the State rather than the establish a National Indigenist Institute. people most affected. Lessons of Indigenous Development in Latin America 11 the application of public indigenist policies ognition of their lands and territories for lo- based upon the philosophy of "integration" cal autonomy, governance, and self- began to be questioned. In Latin America, a determination; and, (d) self-manage their historical turning point was the meeting of a own processes of economic and social de- group of distinguished anthropologists in velopment. Barbados in January 1971. They discussed the situation of IP, indigenist organizations, New meetings and new declarations by the and the role of anthropologists in the proc- Barbados Group also occurred at the end of esses of national development. This critical the 20th century. The theorists of ethnode- self-analysis produced the Declaration of velopment countered some of the more con- Barbados. frontational postures that advocated fast and radical changes in indigenous societies. The Declaration of Barbados marked the Nevertheless, the basic premises have re- formal beginning of the transnational in- mained; thus, today ethnodevelopment digenous rights movement. It provided a builds upon the positive qualities of indige- critical perspective on indigenist policies nous cultures and societies to promote local because they had failed to improve the eco- employment and growth. Such qualities in- nomic well-being of IP and the policies were clude a strong sense of ethnic identity a strong force of assimilation, acculturation, among IP, close attachments to ancestral and in some cases "ethnocide." It was at this land, and the capacity to mobilize labor, point that a conceptual framework of eth- capital, and other resources to achieve nodevelopment was formulated, with the shared goals. These dynamics are recog- aim of creating an alternative to the concept nized as fundamental to the ways in which of integration and assimilation.3 IP define their own processes of develop- ment and interactions with other segments of As originally conceptualized by the initial society. theorists, ethnodevelopment is essentially the autonomous capacity of culturally- In 1984, the United Nations established the differentiated societies to control their own Working Group on Indigenous Populations processes of change. The basic conditions (WGIP) in recognition of the distinct status for ethnodevelopment are that IP: (a) and particular needs of IP. One of the most strengthen their own cultures; (b) assert their important tasks of the WGIP is to develop a ethnic identities as peoples; (c) obtain rec- Draft Declaration on the Rights of Indige- nous Peoples (DDRIP), which will, if adopted, provide the strongest statement to 3 The Declaration recognized that there were date of international commitment to the interventions to "protect" indigenous populations rights of IP. The DDRIP breaks new ground as well as massacres and forced migrations from in its acknowledgement of indigenous rights their homelands. For example, the "Indian poli- cies" of the Latin American states were often and what governments should do to protect explicitly directed toward the destruction of abo- and promote them. It represents almost 10 riginal culture. These policies were employed to years of work by the WGIP. The Declaration manipulate and control Indian populations in would have considerable moral force and order to consolidate the status of existing social would give IP and governments important groups and classes, and diminish the possibility standards toward which they can aspire. that Indian society could free itself from colonial While the process might seem painstakingly domination and settle its own future. According slow, this is not unusual for an international to the Declaration, when non-indigenous peoples instrument. represent indigenous populations or assume leadership positions, a new colonial situation is established. This is yet another expropriation of The process of developing the DDRIP has indigenous populations' inalienable right to de- been important in itself. It has been an termine their own future. awareness-raising process both for indige- 12 LCR Sustainable Development Working Paper No. 20 nous leaders and representatives of national Declarations for the Rights of Indigenous governments, and it involves the discussion Peoples, formulated separately by the OAS of concepts, changes in community atti- and the UN. It is also significant that most tudes, and an overall greater understanding Latin America countries with high propor- of the rights and preferences of IP. The right tions of IP have recognized that they are to self-determination, which is the pillar multiethnic nations and have ratified ILO upon which all other provisions of the Convention 169. DDRIP rest, is central to indigenous aspira- tions. Overall, the reinterpretation of IP and their role in the nation-state led to later efforts In 1989, the ILO adopted Convention 169, a that promote indigenous development and comprehensive instrument covering a range recognition of indigenous peoples rights. of issues pertaining to indigenous and tribal This was accomplished through a variety of peoples, including land rights, access to initiatives such as changes in national con- natural resources, health, education, voca- stitutions and other legal and policy frame- tional training, conditions of employment, works aimed at the recognition of the rights and contacts across borders. Convention 169 of IP and the improvement of their socio- applies to IP4 in independent countries economic conditions. Key initiatives such as whose social, cultural, and economic condi- the Patzcuaro Congress, ILO Convention tions distinguish them from other sectors of 107, the Barbados Declaration, and ILO the national community. It also applies to Convention 169 have contributed to what is peoples in independent countries who are known today as ethnodevelopment. Most regarded as "indigenous" on account of their importantly, ethnodevelopment is not an descent from the populations that inhabited isolated concept that evolved overnight, and the country or geographical location at the it continues to evolve. time of conquest or colonization (Tomei, 1994). Indigenous peoples were invited to the Bar- bados II Conference and several subsequent Since the introduction of ILO Convention international meetings. Since the 1980s, 169, international development agencies however, they began organizing national and have started supporting indigenous devel- international meetings of their own and dis- opment in a more explicit and concrete way. cussed common positions to deal with the The best demonstrations of this are the Draft accumulated effects of oppression, exploita- tion and discrimination. The events intensi- fied around the celebration in 1992 of the 4 The UN has defined indigenous according to 500 years of European intervention in Latin the widely accepted definition by José Martínez- America and the discovery and conquest of Cobo, the Special Rapporteur to the Subcommis- the New World and of its original peoples. sion on Prevention of Discrimination and Protec- tion of Minorities. Cobo states that: Indigenous For several decades, development strategies communities, peoples and nations are those and theories focused on economic progress which having a historical continuity with pre- and were implicitly or explicitly based on invasion and pre-colonial societies that devel- the concept that the less developed countries oped on their territories, consider themselves were divided into a backward, pre-industrial, distinct from other sectors of societies now pre- traditional sector and a more dynamic, modern vailing in those territories, or parts of them. They and Western-oriented industrialized sector. form at present non-dominant sectors of society and are determined to preserve, develop, and transmit to future generations their ancestral ter- ritories, and their ethnic identity, as the basis of their continued existence as peoples, in accor- dance with their own cultural patterns, social institutions and legal systems. Lessons of Indigenous Development in Latin America 13 Box 1: Government Responsibilities under ILO Convention 169 Article 2: 1. Governments shall have the responsibility for developing, with the participation of the [Box 1: Government Responsibilities under ILO Convention 169] peoples concerned, coordinated and systematic action to protect the rights of these peoples and to guarantee respect for their integrity. 2. Such action shall include measures for: (a) Ensuring that members of these peoples benefit on an equal footing from the rights and opportunities which national laws and regulations grant to other members of the population; (b) Promoting the full realization of the social, economic, and cultural rights of these peoples with respect for their social and cultural identity, their customs and traditions, and their institutions; (c) Assisting the members of the peoples concerned to eliminate socioeconomic gaps that may exist between indigenous and other members of the national community, in a manner compatible with their aspirations and ways of life. Article 2 clearly states that self-identification as indigenous or tribal shall be regarded as a fundamental criterion for determining the groups to which the provisions of this Convention apply. Likewise, Article 8 establishes that "before applying the national legislation to inter- ested peoples they must take into consideration appropriately the custom and customary law." The process of development was understood some recent formulations have tended to as the physical and economic expansion of the establish a difference between them. Thus, modern sector. IP as part of the pre- training materials prepared for an Indige- industrial or "backward" sector of society nous Leadership Training Program in the lost their sociocultural autonomy and eco- Andean Region, being implemented collabo- nomic independence and thus became a ratively by the World Bank and the Fondo marginalized group within society. In nu- Indígena (Maldonado 2004, Pacari 2004) list merous cases, they had to make way, even some of the basic elements of development literally in the form of displacement by large with identity as follows: infrastructure projects like highways and dams, for development in the form of pro- · A focus on quality of life rather than grams designed by others. Following many economic growth; international conferences, in 1987 the World · Primacy of common or collective Commission on Environment and Develop- rather than the individual interests; ment or Brundtland Commission redefined · Emphasis on solidarity, social cohe- "sustainable development" as "development sion, collaboration; that meets the needs of the present without · Redistribution rather than accumula- compromising the ability of future genera- tion of wealth; tions to meet their own needs" (Voss 2004). · Forms of collective action (labor exchange, exchange of goods). In the recent past, the concept of development with identity was considered synonymous with that of ethnodevelopment. However, 14 LCR Sustainable Development Working Paper No. 20 III. The Practice of Indigenous Problems related to the legal framework Development necessary for development contributed to the failure of 75 percent of the cases identi- Lessons learned from community fied as unsuccessful, and security over land development and natural resources contributed to the fail- ure of 63 percent of the unsuccessful cases. Beyond explicit broad declarations and theo- The most common thread that bound to- retical discussions, indigenous communities gether successful cases of development, on have implemented a grassroots-based model the other hand, was the presence or creation of development in some parts of the world of indigenous organizations both at the local with a combination of their own resources level and multicommunity level as a mecha- and the cooperation of religious organiza- nism for representing IP in the development tions, volunteers, and local governments, as process and the management of develop- well as with the support of multilateral and ment initiatives. Lack of such involvement bilateral cooperation agencies. One of the led to the failure of 63 percent of the unsuccess- major lessons of the past decade is the recog- ful cases, whereas 71 percent of the successful nition by international development agencies cases attributed their success to the involve- that IP need to be provided with enabling con- ment of local- and macro-level indigenous ditions, technical skills, and financial re- organizations. sources to participate actively in the planning and implementation of their own develop- Although all indigenous communities are ment. When IP are in the position to make different and projects vary, globally applicable their own decisions, economic benefits spin lessons can be learned. In general, develop- off into the wider community. ment is more likely to occur when IP have: access to basic resources for their social repro- In a joint endeavor by the World Bank and duction, including food security and basic the University of Pittsburgh (Roper et al health; achieved a high degree of social or- 1997), a report was published in 1997 in an ganization and political mobilization; have effort to synthesize some of the lessons that been able to preserve their cultural identities can be learned from a review of literature on (particularly their own languages); built development directed toward IP in Latin strong linkages with outside institutions; and America. In-depth information was obtained production patterns that allow both subsis- from 42 specific cases of indigenous devel- tence and the earning of cash incomes. In opment in Latin America. This served as the order for these resources to be obtained, a basic source of data for the analysis and favorable policy environment is undoubtedly generation of theoretical propositions. a key factor (Partridge and Uquillas 1996). The cases represented information from a Lessons learned in World Bank­financed large number of countries, involved a wide projects variety of development interventions, and included projects carried out among rela- The World Bank aims to promote IP tively isolated lowland indigenous groups as development in a manner that ensures that well as in indigenous peasant communities. the development process fosters full respect Of the 42 cases, 28 were considered basically for their dignity, human rights, and cultural successful, 8 were viewed as unsuccessful or uniqueness. The Bank's relationship with IP only nominally successful, and 6 were un- in the 21st century has moved past the mod- clear in relation to outcomes. est "do no harm" objective of its earlier poli- cies a generation ago. Beyond the safeguard Lessons of Indigenous Development in Latin America 15 Indigenous Peoples Policy (OD 4.20), the Development policies and programs, Bank is committed to a wide variety of in- through analytical work as a pre-investment digenous development activities to meet the in order to better understand IP; and third, serious development challenges facing IP, as financing specific operations in the areas of outlined above. To adequately respond to education, health, rural development, natural those challenges, the Bank's program is resource management, biodiversity conser- based on a long-term perspective that recog- vation, and cultural heritage which address nizes the complexity of the situations faced the needs and include the active participa- by IP in each country and the challenges in tion of indigenous peoples. bringing about change in historic attitudes, practices and behaviors. The World Bank continues to recognize the importance of capacity building. The main In a time of increasing resource scarcity, the objective of the World Bank's Indigenous greatest challenge for development agencies Capacity Building Program in Latin Amer- is to learn to build on the strengths of exist- ica is to strengthen IP organizations and in- ing social and cultural organizations. There- crease their options for ethnodevelopment fore, the World Bank, its Borrower coun- through training. The program's strategy is tries, and its indigenous partners must work to work with indigenous organizations and to protect indigenous communities' wealth willing national governments to help IP of social, biological, and cultural diversity, build their own capacity for identifying while expanding the livelihood options of IP needs, selecting development priorities, and and their access to health care, education, formulating strategies and proposals that and security. The wisdom and experience of could be implemented with a combination of IP have survived for many generations and it their own resources and outside help. The is the Bank's aim to help ensure that they program has had positive results in both remain for generations to come. The World Guatemala and Colombia. Several factors Bank recognizes that IP hold a special place helped ensure that objectives were achieved: in the world due to their unique circum- intercultural and interethnic communication stances, heritage, and history. The identities, took place in both countries; indigenous par- cultures, lands, and resources of IP are ticipation was higher than expected; and uniquely intertwined and especially vulner- both the participants and trainers were en- able to changes caused by development pro- thusiastic and committed (Uquillas and grams. The World Bank has funded very Aparicio 2000). successful projects directly affecting indige- nous communities, by facilitating empow- By the year 2004, the World Bank had al- erment, self-management, control over natu- ready financed, alone and with the collabo- ral resources, and much more. ration of other partners, several operations targeting IP, including a Community For- Indigenous Peoples have been included in a estry Development Project in Mexico, a wide variety of Bank projects in many Bank Land Demarcation Project in Brazil, a Social sectors and in all of the Bank's regions of Protection Project (Nuestras Raíces) in operations. The Bank's strategic approach Honduras, and three Learning and Innova- incorporates three fundamental elements: tion Loans (LILs) in Argentina, Bolivia and first, capacity building by strengthening self- Peru. Many of the lessons learned were de- managed sustainable development of in- rived from one of its most successful projects, digenous leaders and their organizations; the Ecuador Indigenous and Afro- second, creating a learning partnership Ecuadoran Peoples Development Project among indigenous organizations, national (PRODEPINE I). governments, and international donor agen- cies in order to share experiences and best PRODEPINE I was the World Bank's first practices in the area of Indigenous Peoples stand-alone investment operation that focused 16 LCR Sustainable Development Working Paper No. 20 exclusively on IP and Afro-descendant A review of 170 projects still under implemen- populations. In general, PRODEPINE I tation, 140 of which were approved after 1998, produced a qualitative change in many of found that OD 4.20 has been applied in over the Afro-Ecuadoran and indigenous com- 60 percent of Bank­financed projects that af- munities, building increasing self- fect indigenous peoples and in 90 percent of confidence in their abilities to improve their projects that could have an adverse impact future. The project helped encourage the de- on IP. On a regional basis, there is consider- mocratic inclusion of Afro-Ecuadoran and able improvement in the Latin America and indigenous peoples in the state, and the par- Caribbean and East Asia regions, with OD ticipatory approach used has proven to be an 4.20 being applied in more than 85 percent important vehicle for decentralization and of projects that affect IP. Overall, the review social empowerment for these communities. found that application of OD 4.20 has posi- tively influenced Bank assistance in many Not all projects have been as successful as countries in focusing on the marginalized PRODEPINE I. Many projects have faced poor. difficult challenges, but there are equally important lessons to be learned from these However, the OED report also highlighted projects. Similarly, numerous international that OD 4.20 had not been applied in a con- NGOs are critical of several World Bank­ sistent manner. This is partially due to the financed projects. These NGOs are continu- technical difficulty in identifying IP when ally monitoring World Bank policies and operating outside the legal framework of a particularly the implementation and applica- borrowing country. Nor did OED find a tion of OD 4.20. clear understanding in Bank documents or practice of the term "project that affects IP" In January 2003, the World Bank's Opera- which triggers the application of OD 4.20, tional Evaluation Department (OED) pub- i.e., whether it refers to direct or indirect lished an independent desk review that as- effects, as well as whether it refers to both sessed how the World Bank had imple- positive and/or adverse effects. Only 47 per- mented OD 4.20 worldwide.5 The evaluation cent of the task team leaders felt that OD reviewed 234 projects appraised after Janu- 4.20 was critical in ensuring that that IP re- ary 1992 and closed before May 2001. It ceive equitable benefits under Bank assis- found that OD 4.20 had influenced the de- tance. Finally, the evaluation showed that sign of Bank­financed projects. Overall, confusion remains in understanding OD 4.20 projects that applied OD 4.20 had better rat- and its requirements and some task team ings for project outcomes than those that did leaders stated that they lack adequate re- not, perhaps because the quality of stakeholder sources to implement OD 4.20.6 participation was higher in the former. At the project-level, OD 4.20 was applied in 55 of the 89 projects that could have affected IP. Twenty-nine of the 55 had IPDPs; the other 6OED recommends that the Bank clarify the 23 projects had only one of the measures intent, scope, and requirements of the Opera- required by OD 4.20. tional Policy (OP). The OP should also clearly delineate the extent of the Bank's safeguard re- According to the OED report (World Bank sponsibilities; identify indigenous and tribal 2003), there has been significant progress in groups in a manner consistent with the country's implementation of OD 4.20 in recent years. legal framework; engage the borrower in discus- sions on how the Bank can best assist the coun- try in providing culturally appropriate assistance 5 Since this policy was issued, nearly 100 WB­ to indigenous peoples; and design regional and financed projects have been identified as affect- subregional strategies to implement the OP due ing indigenous peoples in the Latin America and to significant differences in circumstances faced Caribbean Region (Davis 2002). by Bank staff in implementing the policy. Lessons of Indigenous Development in Latin America 17 Experiences of other international strengthen technical and budget manage- donors ment capacities so that IP can achieve autonomous management; and to utilize While large development projects financed technology based on what is used locally, by multilateral cooperation agencies gener- valuing and improving traditional knowledge. ally follow the official development para- PRAIA also recognized the importance of digm, there is ample room for adaptations training as a foundation for sustainability, util- and interpretations within specific opera- izing the talent and capabilities of both male tions. Similarly, at the national level, the and female indigenous leaders. There also lack of a well developed policy toward IP remains the need to strengthen the ability of has allowed experimentation and innovation. national and local governments to enforce Thus, while governments in the region have laws and develop appropriate legislation for not formally adopted policies of indigenous IP (IFAD 2003). development, in practice some of them have supported development efforts that give IP The International Fund for Agricultural De- secure access to land and natural resources, velopment learned from PRAIA that cooperation maintain solidarity and ethnic identity, foster between IP and international actors demands that social organization and mobilization, and both parties make an effort to understand each empower IP communities. other when faced with different ways of think- ing. In particular, cooperation demands greater The International Fund for Agricultural De- flexibility from donors in their implementation velopment (IFAD), among other projects conditions. As mentioned earlier, all indige- targeting IP, funded the Regional Program nous communities are different and projects in Support of Indigenous Peoples of the vary, making flexibility necessary to achieve Amazon Basin (PRAIA), an initiative aimed successful outcomes. at helping to create appropriate conditions and opportunities required for the survival, Finally, the Inter-American Development cultural defense, and strengthening of IP in Bank (IDB) has also developed a strategy to the Amazon region. After Phase II ended in address IP and globalization. According to March 2003, PRAIA's experiences were the IDB, many IP are promoting a compre- summarized in a book entitled, "Listen- hensive development model that addresses ing...learning...working together PRAIA: 10 challenges such as integration and globaliza- years accompanying the indigenous peoples tion of markets and reduction of their poverty of the Amazon," with the aim of not repeat- levels, while simultaneously maintaining their ing mistakes and building learning paths in ethnic and cultural identities. This model is the Amazon region, where IP are demanding based on three reinforcing elements what belongs to them. (Deruyttere 2004): Many lessons were learned from Phases I (1) Strengthening the traditional subsis- and II of PRAIA, such as the need to support tence economy: protect territories and economic initiatives with cultural compo- natural resources while improving pro- nents and to recognize the traditional cul- ductivity levels in order to achieve food tural knowledge of IP; to recognize IP as security and provide the space for cul- beneficiaries and partners in a different form tural and ethnic reproduction. of development; to acknowledge capacity building as a key element for enabling IP to (2) Reducing segregation and discrimina- interact directly (without intermediaries) tion in labor markets and in the sale of among themselves and with international products: increase the capacity of IP to cooperation agencies, national and local au- compete under equal conditions with thorities, private institutions, and national other groups in society through: im- and international market agents; to proved access to education, financial 18 LCR Sustainable Development Working Paper No. 20 services, labor regulations, and reduced tance of recovering and reinforcing cultural ethnic, racial, cultural, or linguistic dis- traits of traditional communities such as so- crimination. cial solidarity, communal work, and mecha- nisms for the redistribution of wealth. (3) Using the comparative advantages of the cultural, social, and natural heritage Economic indicators have historically meas- of IP: coordinate knowledge and ances- ured development, but there are many fac- tral practices with a focus on business and tors that cannot be quantified when working efficient marketing and production tech- with indigenous communities. Accordingly, nologies, and seek niches for quality prod- poverty cannot be defined only by modern ucts and services in high demand (ethno- economic criteria, such as using the value of tourism, medicinal plants, management of a set basket of goods or monetary income. protected areas, craftsmanship, and for- Limiting the definition of poverty to these estry, among others). criteria can leave the impression that IP are not modern, progressing populations but In conclusion, important lessons have been rather are going "backward." On the con- generated by large projects financed by in- trary, when working with IP and develop- ternational donors such as the World Bank, ment with identity, new criteria must be IFAD, and IDB. Analysis of some key ex- adopted. It is essential to recognize that: periences in Latin America shows that some basic conditions are necessary in order for · the concept of reciprocity exists indigenous development to take place. among IP communities; · IP work communally when placing value on goods; IV. Elements of a Revised Concep- · IP often refrain from accumulating tual Framework for Indigenous goods; Development · IP are often in harmony with the natural environment. While some academics and practitioners were rejecting the model of development Taking these factors into consideration runs based on integrationist principles, the inter- counter to modern definitions of economic national standards on human rights were prosperity as equaling personal economic improved with the adoption of ILO Conven- growth and accumulation. IP are accustomed tion 169. Convention 169 abandoned the to distributing wealth so that the community concept of integration, instead favoring rec- benefits as a whole. This is not conducive to ognition of cultural diversity and advocating individual accumulation of wealth for indigenous peoples' rights to maintain a (Maldonado 2004). separate identity from "national culture," and rights to land tenure and use, self- In reformulating a theory of indigenous de- determination, and informed consent, among velopment, several important aspects must others. be included: the issues of poverty and social exclusion affecting IP must be addressed; The theory of ethnodevelopment was formu- their essential human rights and collective lated as a response to well entrenched poli- rights must be recognized; their need to sat- cies of integration and cultural assimilation, isfy their basic needs and their ability to ac- and orthodox models of development that cess the goods and services available to placed excessive emphasis upon economic other groups in their national societies must growth. However, there have been recent be acknowledged. attempts to formulate a concept of develop- ment with identity that stresses the impor- Lessons of Indigenous Development in Latin America 19 First, there are preconditions necessary be- self-management of a particular detail; in- fore multilateral institutions can fully sup- stead it implies self-management of a total port the economic development of IP at the transformation that extends to every aspect community level. It is essential to work of life. Finally, social capital has been iden- within national policy frameworks that rec- tified as an integral component of social and ognize the existence of IP, including their economic development on both micro and collective land rights, human rights policies, macro levels. Social capital refers to the in- and their unique linguistic and cultural char- stitutions, relationships, networks, and acteristics. National and international policy norms that shape the quality and quantity of frameworks must also provide IP with a cer- a society's social interactions. The key to tain degree of autonomy in terms of their addressing social capital is participation: participation in local development planning local participation in project design, imple- and decisionmaking processes. These public mentation, and evaluation ensures that pro- policy instruments must be in place in order jects and policies make sense within the lo- to further develop key independent variables cal context and fosters the support and own- leading to ethnodevelopment. ership necessary to sustain the project once development workers have left. One of the main issues for the self- determination of IP is the entitlement and Partly as a response to the above learning, management of their ancestral lands and some of the most important roles of the World natural resources. For IP, land is not seen as Bank have been in supporting capacity building property that can be bought and sold as a processes among IP and organizations, creating commodity but rather it is Mother Earth, dialogue with national governments about their sacred and communal. When their land is indigenous policies and programs, and cooper- gone, so is the basis for their existence as ating with other international agencies such as distinct peoples. Today, IP struggle to pro- the ILO, IFAD, IDB, and Fondo Indígena. tect their lands and their resources from market forces that often ignore them. When secure tenure to communal territories exists, V. Conclusion development is easier to achieve. In conclusion, there is a changing national Project designs should systematically incor- and international context regarding indige- porate participatory mechanisms tailored to nous rights and development in general, the specific political demands and social and which is leaving behind indigenist or integra- cultural contexts of indigenous organizations tionist policies in favor of policies of social and communities. This would enable indige- inclusion in a context of cultural diversity and nous representatives to participate on an the promotion of ethnodevelopment and/or equal footing with government agencies in development with identity. Ethnodevelopment the preparation, management, and evaluation is essentially the autonomous capacity of cul- of project activities. Likewise, strong social turally differentiated societies to control organization enables indigenous communi- their own process of change. The original ties to mobilize and act. Multilateral institu- key elements of the theory of ethnodevel- tions must invest heavily in strengthening opment are: the need for IP to strengthen the capacity of indigenous organizations and their own cultures, assert their ethnic iden- communities to plan and manage their own tity as peoples, and obtain recognition of development initiatives. their lands and territory for self- determination; and the need to self-manage Another key element in achieving sustain- their development process. able ethnodevelopment is auto-gestión, a means of community driven self- management. Auto-gestión does not mean 20 LCR Sustainable Development Working Paper No. 20 There are important lessons to be learned ganizations, such as the World Bank, are not from the practice of indigenous development in a position to directly influence results; at the community and grassroots level that this is the Borrower's responsibility. As has been taking place for over half a century mentioned numerous times, no two projects around the world. Important lessons are also are identical, and it has been noted that being produced by large projects financed small projects often require the same effort by international donors such as the World as large projects from local governments and Bank, IFAD, and IDB. Analysis of some key donors. Another weakness is found among experiences in Latin America show that in counterparts and executing agencies, such as order for indigenous development to be suc- the national indigenous affairs agencies cessful, some new conditions are necessary, which are often unstable and weak institu- in addition to the original key elements, such tions. Moreover, despite advances in legisla- as the necessity of building social capital in tion, the application and enforcement of communities, and enabling both subsistence laws and rights that affect indigenous com- and cash incomes. Indigenous communities munities remain inadequate. Finally, one of must go beyond simply revitalizing their the greatest challenges is that indigenous cultures to a focus on interculturality. It is development cannot be isolated from the important to go beyond the assertion of ethnic globalization process. Today's political identity, which can lead to confrontations, to economy directly affects IP around the active participation in the public policymaking world. process. Most importantly, methodologies addressing indigenous development must be In summary, the lessons still being distilled flexible and tailored to individual cases. from both successes and failures need to be analyzed systematically in order to develop While there are some successful cases of a better conceptual approach to indigenous indigenous development, there are others peoples' problems of poverty and social ex- facing serious challenges that are at risk of clusion, and to improve the practical imple- failing. We must learn from their weaknesses. mentation of indigenous development. For example, local governments often give low priority to projects for IP. Funding or- Lessons of Indigenous Development in Latin America 21 References Davis, Shelton H. 2002. "Indigenous Peoples, Poverty and Participatory Development: The Experience of the World Bank in Latin America," in Rachel Sieder (editor), Multiculturalism in Latin America: In- digenous Rights, Diversity and Democracy, London, Palgrave MacMillan, pp. 227-251. Deruyttere, Anne. 2004. Inter-American Development Bank, IADB home page. http://www.iadb.org/sds/doc/Ind.pdf Accessed February 9. International Fund for Agricultural Development (IFAD). 2003. "Listening...learning...working together PRAIA: 10 years accompanying the indigenous peoples of the Amazon," Bolivia. International Labor Organization, ILO Convention (No. 169) Concerning Indigenous and Tribal Peoples in Independent Countries, Office of the High Commission for Human Rights. Maldonado, L. 2004. Desarrollo con Identidad: Draft module for the Andean Indigenous Capacity Build- ing Program, World Bank, Fondo Indígena. Mires, J. 1992. El Discurso de la Indianidad. Quito: Abya Yala. Pacari, N. 2004. Derechos Indígenas. Draft module for the Andean Indigenous Capacity Building Program, World Bank, Fondo Indígena. Partridge, W. and J. Uquillas. 1996. "Including the Excluded: Ethnodevelopment in Latin America," The World Bank, Latin America and the Caribbean Technical Department. Roper, J. M., J. Frechione, and B. DeWalt. 1997."Indigenous People and Development in Latin America: A Literature Survey and Recommendations," Center for Latin American Studies, University of Pitts- burgh, Latin American Monograph & Document Series 12. Tomei, Manuela. 1994. "Indigenous and Tribal Peoples and the ILO," The Development Policies Branch, International Labor Office, Geneva. Uquillas, Jorge and Teresa Aparicio Gabara. 2000. "Strengthening Indigenous Organizations: The World Bank's Indigenous Capacity Building Program in Latin America," Latin America and Caribbean Re- gion, Sustainable Development Working Paper No. 10. Uquillas, Jorge and Martien Van Nieuwkoop. 2003. "Social Capital as a Factor of Indigenous Development in Ecuador," Latin America and Caribbean Region, Sustainable Development Working Paper No. 15. Voss, A. 2004. "Energy supply and sustainable development," University of Stuttgart. http://elib.uni-stuttgart.de/opus/volltexte/2001/748/pdf/Voss_Vortrag_Paris.pdf Accessed April 15. World Bank. 1991. Operational Directive 4.20 on Indigenous Peoples. ------. 2003. Implementation of Operational Directive 4.20 on Indigenous Peoples: An Independent Desk Review, OED Report No. 25332, Operations Evaluation Department, The World Bank Group, January 10. Indigenous Peoples, Development with Identity and the Inter-American Development Bank: Challenges and Opportunities Anne Deruyttere Inter-American Development Bank, Washington, D.C. Introduction Indigenous Peoples in Latin America Based on a summary diagnostic of the situa- tion of indigenous peoples in Latin America, There is no single definition of indigenous this paper proceeds to describe the mandate peoples, given the heterogeneity among the and recent developments at the Inter- more than 400 ethnic and linguistic groups American Development Bank (IDB) with in the region and the different concepts used regard to indigenous peoples. The IDB is in legislation and census instruments of currently preparing a Strategic Framework various countries. However, there is an in- on Indigenous Development as well as an creasing convergence among national and Operational Policy on Indigenous Peoples, international legal frameworks toward rec- to strengthen IDB's role in promoting "devel- ognizing indigenous peoples as descendants opment with identity" of indigenous peoples of cultures pre-existing the colonization era, and to safeguard the individual and collective occupying territories before the conquest rights of indigenous peoples in the projects and, regardless of their current legal status, and programs it is financing. These new pol- maintaining some or all of their social, eco- icy instruments aim at mainstreaming in- nomic, political and cultural institutions. digenous issues across all IDB activities, The self-identification criterion is a very drawing on the lessons learned in the decade important dimension of this definition.1 since the IDB first adopted a mandate to proactively seek out projects and approaches Even though official data in many countries to benefit indigenous peoples. Based on the are not very reliable­despite significant im- lessons learned since the 1994 mandate on provements in the targeting capacity and indigenous issues, the Policy and Strategic quality of census instruments and household Framework will enhance and systematize surveys­indigenous peoples undoubtedly best practices and serve as an important ref- represent a large percentage of the popula- erence point for all IDB activities regarding tion in Latin America. Most sources estimate indigenous peoples in years to come. A the total number of indigenous peoples at broad consultation process currently under- between 40 and 50 million, or approxi- way that will conclude by the beginning of mately 10 percent of the total population of 2005 will ensure that all stakeholders, but the region. In Bolivia, Guatemala and Peru, especially indigenous peoples, are involved the indigenous population constitutes half or in drafting these important documents. 1Based on ILO 169 Convention on Indigenous and Tribal Peoples in Independent Countries, adopted in 1989 and ratified by 13 Latin Ameri- can countries, and the draft Inter-American Dec- laration on Indigenous Rights, prepared by the OAS. 23 24 LCR Sustainable Development Working Paper No. 20 more of the total population, and has high indigenous values such as the quality of the rates of demographic growth. In recent natural environment, the degree of legal land years, the conventional typology that drew a security and the importance of social capital distinction between indigenous groups in the and cultural heritage within indigenous highlands areas and those in the tropical communities and organizations. rainforests has expanded to take into account rapid urbanization processes in many coun- There is also a high degree of correlation tries such as Chile, Bolivia, or Mexico, in- between the location of indigenous lands creasing indigenous emigration to other and territories and high biodiversity and pro- countries, as well as internal displacement of tected areas. In the last few decades, there refugees caused by violence and conflicts. have been significant improvements in na- Another important consideration in the con- tional normative and institutional frameworks text of increasing regional integration is the inspired by new international legal instru- number of indigenous peoples living in bor- ments, and promoted by ever stronger indige- der areas, occupying territories that span nous organizations that seek participation in more than one country. their countries' democratization processes. However, despite increasing recognition of Well known for the richness of their civiliza- indigenous rights to traditional lands and tion and natural resource endowment in the territories, indigenous economies are vulner- pre-Columbian era, indigenous peoples have able to the pressures created by advancing suffered and continue to suffer from the ex- agricultural frontiers, hydrocarbon extraction, propriation of their ancestral lands, and from forestry, mining, as well as the roads and marginalization and impoverishment. IDB energy infrastructure created as part of the and World Bank studies, as well as poverty growing integration processes among coun- maps in different countries, show a high cor- tries that particularly impact indigenous ter- relation between ethnicity and poverty levels ritories straddling national borders. when measured with conventional indica- tors. The data also show that indigenous women are among the poorest and most The IDB and Indigenous Peoples marginalized groups in society. There has been some improvement in access to health, Since 1994, the Inter-American Develop- education and basic infrastructure, as well as ment Bank has formally recognized the cor- improvement in educational achievement, relation between ethnicity and poverty, and mortality rates and nutrition, as well as basic the importance of indigenous cultural and services coverage. However, these im- natural heritage for development, while provements are much less than those experi- promoting the systematic inclusion of in- enced by other sectors of the population. In digenous issues in its polices and projects.2 other words, the gap between indigenous This proactive approach complements ear- and non-indigenous groups in access to ba- lier, more reactive approaches to mitigate sic services has increased over the last few potential negative impacts on vulnerable decades. On the other hand, there is a grow- indigenous groups of infrastructure projects ing recognition by large sectors of the in- in fragile ecosystems. Therefore, IDB activi- digenous movement that conventional pov- ties have moved toward increasing the visi- erty indicators do not reflect indigenous views of what constitutes well-being and 2 Board of Governors, Report On the Eighth development. Many indigenous leaders are General Increase in the Resources of the Inter- advocating the need to complement conven- American Development Bank, AB-1704, August tional indicators with those that integrate 1994, p. 22. Lessons of Indigenous Development in Latin America 25 bility of indigenous peoples and promoting tations for IDB action in order to specifi- their participation in projects and programs cally target indigenous peoples. in an effort to better meet the needs and de- mands of indigenous peoples. This process parallels the increasing visibility of indige- Lessons Learned from the IDB's nous peoples in their own countries and in Experience with Indigenous the international arena, which is having a Peoples great impact on the definition of legal and institutional frameworks that address in- Until the mid-1980s, IDB support for in- digenous rights. digenous development was limited to rela- tively small specific projects (particularly Indigenous peoples are endowed with im- through the "small projects program" to portant territorial, natural, cultural and social support productive activities). Since then, as resources. Their rights over these resources a result of its experience in infrastructure are increasingly recognized, thus facilitating projects with high impact on vulnerable in- their potential for sustainable development. digenous peoples in tropical forests, the IDB At the same time, their cultural, linguistic started to systematically address the potential and traditional knowledge heritage is being negative impacts of its projects on indigenous dynamically revitalized and increasingly communities, as part of its environmental and recognized as a source of cultural diversity social quality control procedures. In 1990, the and as an important asset to Latin American IDB approved internal procedures-- societies. The recognition of this cultural "Strategies and Procedures for Sociocultural diversity is increasingly linked to the proc- issues relating to the Environment"--in an ess of strengthening democratic institutions effort to prevent, mitigate or compensate and of reducing poverty and inequality. negative impacts on indigenous communi- However, despite these improvements, in- ties. Starting in 1994, with the adoption of digenous peoples still experience high levels its Eighth Replenishment of IDB Resources of material poverty, exclusion and discrimi- Mandate, a more proactive approach was nation in labor markets, deterioration of developed to complement the earlier reactive their natural habitat and lack of access to approach. This new Mandate specifically ad- appropriate social and financial services. dressed the challenges and opportunities of participatory development, recognized the rich Based on a diagnostic assessment of the natural and cultural heritage of indigenous specific demands, limitations and opportuni- peoples and called for systematic and ties of indigenous peoples, and based on the socioculturally appropriate inclusion of indige- lessons learned from the IDB and other in- nous issues in regular IDB operations, through stitutions' experience, the IDB is currently targeted components and specific methodo- preparing a new strategic framework and logical approaches (AB-1704, p.22). In 2001, operational policy on indigenous peoples the adoption of a Plan of Action on Social within the framework of recent international Inclusion, which includes indigenous peo- mandates (Millennium Development Goals, ples as one of its target groups, reaffirmed the Quebec, Durban, and Johannesburg the previous mandate with more specific and Summits, etc.) endorsed by the IDB and re- quantifiable objectives and actions. Another flected in its new institutional strategy important development was the preparation adopted by its Board of Directors in 2003. in 2003 of the strategic framework for citi- The strategic framework and operational zen participation in IDB activities, which policy intend to expand these strategic orien- emphasizes the need for specific measures to ensure indigenous participation throughout 26 LCR Sustainable Development Working Paper No. 20 the IDB project cycle and consultation ac- These IDB experiences are consistent with tivities. those of other institutions that are gradually mainstreaming participatory and local de- As part of the preparation of the new Strategic velopment approaches, as documented in the Framework on Indigenous Development, periodic meetings of the "Interagency Group SDS/IND is currently engaged in a systematic for Indigenous Development" created in the analysis of IDB projects involving indigenous early 1990s by the IDB and the World Bank. peoples approved since 1990. A preliminary However, one of the main bottlenecks in analysis of this information shows a gradual further developing these innovative ap- and significant increase in the number of proaches continues to be the limited role of operations that include indigenous peoples the state in promoting indigenous develop- as beneficiaries or target groups, implicitly ment and meeting the needs and demands of or explicitly. This analysis, although limited indigenous peoples, despite the significant by a lack of solid information on results, strengthening of indigenous peoples' organiza- impact and other evaluation criteria, con- tional capacity and their increasing participa- firms that there has been improvement in the tion in national policy forums and political design of some IDB projects, especially processes. when consultation and participation proc- esses were incorporated in project design or Strategic Approaches for IDB when indigenous experts were part of the Action on Indigenous Peoples project team. Despite these improvements, Development there are still many weaknesses in terms of access of indigenous peoples to project The objectives of the new Strategic Frame- benefits and quality of project services. The work for Indigenous Development currently limited results of sector-focused projects under preparation are to: (a) define strategic (health, education, rural electricity, water, goals and priority areas; and (b) guide IDB microenterprise development, etc.) in reach- programming and operations, through the ing indigenous communities, together with definition of action guidelines and specific increasing indigenous demands for integral support mechanisms in order to mainstream and participatory approaches, have led to "development with identity"3 of indigenous demand-driven projects such as social invest- peoples in the context of the institutional ment and watershed management projects. strategies approved by the Board of Direc- The relatively marginal impact of these pro- tors in 2002 and 2003. Development with jects and their concentration on low-impact identity of indigenous peoples calls for a small-scale infrastructure works, fostered the holistic approach to reduce material poverty, emergence of a new generation of locally inequality and marginalization, increase access to driven integrated community development socioeconomic development opportunities, and projects, where the active role of indigenous communities and organizations in design, 3 participatory planning and decentralized The term "development with identity" originated in Bolivia in the early 1990s. Other execution tends to strengthen local capaci- concepts also used include ethno-development, ties and ownership by the target groups, thus self-development or endogenous development. enhancing the potential for long-term sus- These terms, however, do not reflect clearly the tainability. However, these innovative pro- need to participate in national fora to reduce dis- jects are still in their initial execution phases crimination, nor do they refer to the need to promote intercultural spaces. In any event, the and there is not yet solid documented evi- concept "development with identity" will be one dence of their results and impact. of the issues covered in the consultation process that is underway. Lessons of Indigenous Development in Latin America 27 strengthen identity, cultural heritage, territories arts, handicrafts, forest products, organic and natural resources, and social organiza- produce, ethnopharmacology, and other tion. The concept of development with iden- products and services based on ancestral tity is based on the premise that sustainable knowledge, indigenous peoples are improv- development requires prominent participa- ing their livelihoods while strengthening tion of beneficiaries and respect for their their natural, cultural and social assets. fundamental rights, and that development of indigenous peoples creates benefits for society Based on this strategic approach, IDB actions as a whole. will be defined in the following priority areas: The strategic framework proposes three principles for prioritizing IDB action, and Increase the visibility of indigenous helps systematize actions that are specifi- peoples and their specificity. In order cally focused on indigenous development in to ensure mainstreaming of indigenous the seven Institutional Strategies of the IDB issues in development agendas, diagnos- (poverty reduction, sustainable economic tic assessments and poverty reduction growth, social development, integration and strategies should include indigenous competitiveness, modernization of the state, concepts on poverty and well-being, in addition to the conventional definitions and environment) and in their Implementa- and indicators, as well as analyses of the tion Action Plans. This strategic approach specific determinants of indigenous pov- entails promoting development with identity erty and corresponding baseline data. for indigenous peoples, especially in poverty Census and household data should reduction and social inclusion projects, by include variables and indicators that systematically considering the emerging provide public policy makers with the vision of indigenous development based on necessary knowledge on location, three inter-related principles: (a) strengthen demographic characteristics and eco- indigenous territories and self-management nomic and social development indicators, of indigenous economies and their natural to improve the targeting of development environment, as the basis for sociocultural programs toward indigenous peoples, in- identity and to improve security in crisis cluding a gender perspective. In national situations; (b) reduce marginalization and and regional policies and programs, it is discrimination in the national and global necessary to promote recognition of in- digenous peoples as a differentiated group arena to facilitate better access to develop- within civil society, in the same way as it ment opportunities and promote indigenous is being recognized in national legal management capacities; and (c) enhance the frameworks. In project design and potential of indigenous peoples' comparative analysis it is necessary to promote the advantages based on their natural, cultural development and use of sociocultural and social capital to improve the well-being analysis and participatory methodolo- of their communities. Taking advantage of gies that recognize the specific nature of market niches that respond to increased de- indigenous development and therefore mand for products and services such as eco- promote policies and local institutions or ethnotourism, environmental services, that reflect this. 28 LCR Sustainable Development Working Paper No. 20 Traditional Intercultural Economía Market Economy Economy intercultural Economy Strengthen Territories Develop Market Niches Discrimination land tenure · ethnoturism · labor markets · management of heritage · product markets productivity · management of Indigenous enterprises technology protected areas · forestry Alternative financing · art, handicrafts · trade mechanisms · medicinal plants · transport · environmental services Education, training digenous peoples to access social ser- Enhance indigenous capacity for vices and participate on a level playing managing development. In the IDB's field in the economic arena, it is necessary programming process, it is necessary to to reduce or eliminate access barriers and strengthen emerging tendencies to sup- increase the cultural adaptation of social port projects that address indigenous services (education, health and housing), demands and also incorporate integral decrease segmentation and discrimina- perspectives that enhance local indige- tion in labor markets and facilitate access nous capacities for planning, manage- to financial services, including alternative ment, execution and monitoring and financial services to complement con- evaluation of development projects, with ventional credit mechanisms. This proc- socioculturally pertinent external sup- ess should include consideration of local port. This approach aims to overcome policies that promote savings and in- public existentialist policies by strength- vestment within indigenous communi- ening indigenous capacities for dialogue ties, programs that facilitate the identifi- and negotiation with the government, cation and development of economic promoting ownership and self-esteem in opportunities where these communities the target population, and allowing for a have comparative advantages and re- territorially integrated development sources, such as ethno-tourism, arts, process. At the same time, IDB actions handicrafts, forest products, organic should focus on strengthening govern- produce, ethno-pharmacology and other ments' capacity to adequately meet the ancestral knowledge; as well as provi- needs and demands of indigenous peo- sion of goods and services based on sus- ples. tainable exploitation of natural resources in their territories and areas of influence, Improve access and quality of social including hydrocarbon and mining re- and financial services. In order for in- sources. Lessons of Indigenous Development in Latin America 29 Promote rights, legal norms and legal judicial frameworks and policies that security. Given the importance of in- promote "development with identity," digenous ancestral lands and natural re- facilitate conflict resolution, promote a sources, their increasing recognition in culture of respect, and generate less dis- international legislation, and their grad- criminatory and more equitable develop- ual integration into national legal ment for indigenous peoples and society frameworks, it is important to support in general. and promote the application of legal Promote the expansion of IDB opera- frameworks that recognize indigenous tions and technical cooperation projects peoples' rights, especially in the area of that promote integral and culturally ap- property and/or land use and natural re- propriate development for indigenous sources, and especially in projects aimed peoples and communities, with an empha- at rural development, creation of pro- sis on local capacity building, planning tected areas, or land and natural resource and socioeconomic development, includ- management. It is equally important to ing entrepreneurial development. promote actions that strengthen and ap- ply labor and financial market regula- Strengthen IDB standards and opera- tions that help eliminate discrimination tional guidelines with respect to pro- and obstacles to full and equal participa- jects with potentially negative impacts tion of indigenous peoples. Project (especially on vulnerable populations), components or design approaches that to guarantee the protection of indige- promote the articulation of specific nous rights and interests. An operational policy in this area should be considered. rights and norms in areas such as intercul- tural bilingual education, intercultural Further cross-cutting and sociocul- health, and indigenous constitutional tural integration of indigenous needs rights, need to be included in education, and demands in sectoral projects that health and judicial reform projects. An- support production, environmental man- other issue of increasing importance is in- agement, basic infrastructure (electric- tellectual property rights. For projects ity, water and sanitation, local roads) that do not specifically target indigenous and basic services (education, health and communities but have the potential to housing) to increase access and improve impact them negatively, it is important the quality of these services, and to fos- to strengthen IDB instruments to prevent ter a stronger sense of cultural belonging or mitigate negative impacts, while en- in urban and rural areas. suring participation of stakeholders in decision-making. Concluding Remarks In implementing these strategic approaches, the Strategic Framework and its accompany- The IDB Board of Directors in the Profiles ing Action Plan will include the following approved in March 2004 endorsed these instruments: concepts and approaches. Although they may undergo some changes and be further Support to strengthen intercultural developed and operationalized, they reflect dialogue and consensus-building at the the vision and priorities which the IDB will national and international levels among use to strengthen its policies and programs indigenous peoples, the private sector, toward indigenous peoples in the years to governments, and other sectors of civil come. The IDB is inviting interested parties society, to contribute to the adoption of to comment on and contribute to this process 30 LCR Sustainable Development Working Paper No. 20 by sending inputs in electronic format or by participating in the many consultation meet- ings scheduled during 2004. Further infor- Anne Deruyttere is Chief of the Indigenous mation can be obtained at the IDB website: Peoples and Community Development Unit, The www.iadb.org/sds/ind. Inter-American Development Bank (IDB). Lessons of Indigenous Development in Latin America31 Fostering Change for Brazilian Indigenous People during the Past Decade: The Pilot Program's Indigenous Lands Project (PPTAL) Judith Lisansky World Bank, Washington, D.C. Introduction ple and modernizing the National Indian Foundation (FUNAI). This chapter analyzes some of the effects of the Pilot Program to Conserve the Brazilian It would be an error to overstate either the Rain Forest Indigenous Lands Project progress made in the past decade or the pro- (PPTAL)1 on Brazilian indigenous policies ject's role in advances. Numerous issues and institutions over the past decade, and pertaining to indigenous people remain un- highlights some of the challenges for the resolved in Brazil, including the need for an years ahead. My contention is that by com- improved legal framework for the use and bining new and improved methods with management of natural resources in indigenous more effective indigenous participation and lands; ongoing needs to protect indigenous partnerships, this internationally financed lands from encroachment, invasions and project has made a major contribution to- illegal use; and the unrealized goal of improv- ward securing the 20 percent of Brazilian ing collaboration between environmental Amazon territory claimed by indigenous agencies and indigenous people, embodied in people and has also contributed to empower- the recent National System of Conservation ing indigenous people, altering the national Units (SNUC) legislation (Law Number dialogue and perception of indigenous peo- 9.985, July 18, 2000). Yet if the changes that have occurred over the past decade are 1 The Pilot Program to Conserve the Brazilian viewed in the light of the predominantly Rain Forest is a joint undertaking of the Brazil- tragic and destructive 500-year history of ian government, Brazil's civil society and the indigenous people in Brazil with respect to international community that seeks to find ways their treatment by the national society, or to conserve the tropical rain forests of Brazil. It is financed by the G-7 countries, the European even just against the backdrop of the twenti- Union, the Netherlands and Spain as well as by eth century, the past decade appears rather Brazilian counterpart funds. For more informa- remarkable. tion, please consult the website www.worldbank.org/rfpp. The Indigenous Lands To mention only a few changes that will be Project (PPTAL) aims to improve the conserva- discussed at length below, first, with respect tion of natural resources in indigenous areas and increase the well being of indigenous people by to securing indigenous lands, only 37 per- regularizing indigenous lands in the Brazilian cent of all known indigenous lands in Brazil Amazon and improving the protection of indige- (526 areas) were demarcated and/or regis- nous populations and areas. The project is sup- tered in 1990 (just before the project began ported by Germany (KfW and GTZ), the Rain to be prepared), whereas today 64 percent of Forest Trust (RFT) and Brazilian counterpart the known 580 areas are demarcated and/or funds. For more information and analyses of various aspects of the project, as well as case registered. In the past, indigenous "parks" or studies, see the excellent two-volume collection "reserves" were declared by the President of articles, Demarcando Terras Indígenas I and II without consultation or indigenous people (Gramkow, 2001; Kasburg and Gramkow, 1999). 31 32 LCR Sustainable Development Working Paper No. 20 were consulted primarily by an anthropolo- ess of indigenous land regularization one gist during identification, whereas today month after the project was approved. The indigenous people participate more actively third section focuses on the accomplish- in almost all phases of identification and ments of the PPTAL project--particularly in demarcation. In the past, FUNAI was pre- terms of land regularization, impacts on dominantly a paternalistic agency with an FUNAI and on indigenous participation-- operating model based on tutelage of indige- and examines some of their implications. nous people who were viewed as minors to The final section summarizes some of the whom the agency should provide assistance, challenges for the future. whereas today this view is being replaced, albeit slowly, by a sense of partnership. Brief Historical Overview It should be stated at the outset that it would be an exaggeration to attribute these changes Various scholars estimate that before European entirely to the PPTAL project. Rather, one contact in 1500, the indigenous population of must view the project as having been Brazil was probably somewhere between three uniquely positioned to take advantage of to eight million people. But as a result of con- openings in the overall political climate in tinuous colonization of territory, economic Brazil with respect to its tropical forests and forces, enslavement, land expropriation, the inhabitants of these forests. The project warfare, disease and assimilation, Brazil's has helped to catalyze changes, leading the aboriginal population was largely deci- way in certain areas such as land regulariza- mated. The brutality and devastating impact tion methods, but always building upon of the first 300 years are extensively docu- changes occurring in the broader political mented in John Hemming's (1978) Red context and among indigenous people them- Gold: The Conquest of the Brazilian Indi- selves in Brazil. ans. Darcy Ribeiro's (1970) landmark Os índios e civilização documented the extinc- The first section of the chapter will provide tion of some eighty different indigenous an overview of the history of indigenous groups between 1900 and 1957. Other his- people in Brazil with an emphasis on what torical information and more recent accounts has occurred in the Brazilian Amazon region of adverse impacts of contact and national since the turn of the 20th century. It briefly policies can be found in Shelton Davis summarizes the history of the national society's (1977), Victims of the Miracle: Development attitude toward indigenous people, focusing and the Indians of Brazil; Alcida R. Ramos particularly on the indigenous agencies and (1984) Frontier Expansion and Indigenous policies and rather ineffectual progress in secur- People in the Brazilian Amazon; Mercio P. ing and protecting indigenous lands. The sec- Gomes (2000) Indians and Brazil; and nu- ond section provides the context for how the merous other publications. PPTAL project came about, as well as back- ground on how it was negotiated during its In 1910, Brazil established the Indian Pro- preparation, some of the more contentious tection Service (SPI), which was charged issues and how they were addressed. It ex- with the mission of protecting the indige- plains the project's basic components, its nous population. By the 1950s, however, unusual "open design" and procedural issues Brazil's indigenous population appears to pertaining to regularizing indigenous lands. have reached its nadir when it is estimated This includes a discussion of the implica- that there were only about 200,000 indigenous tions of the passage of a new decree (Decree people left in the country, with approximately 1775) in January 1996 that revised the proc- two-thirds in the Amazon region. SPI was Lessons of Indigenous Development in Latin America 33 disbanded in 1967 when massive corruption hopes to demonstrate, there has been signifi- in the agency was exposed, and the Brazilian cant progress in regularizing indigenous Indian Foundation (FUNAI) was created in lands in the Amazon, as well as changes in 1968. However, both agencies shared the and debate about national policies on Brazil- dominant national view of indigenous peo- ian indigenous people. There are definite ple as exotic but somehow childlike people signs that the relationship between the State who were so different and uncivilized that and the aboriginal inhabitants of Brazil is they needed assistance to become more like changing in some important and fundamen- everyone else, that is, more like non-Indians. tal ways, which give cause for some cau- Furthermore, although Brazilian legislation tious optimism for the future. and constitutions since 1910 recognized the rights of indigenous people to exist on their own lands, there was a deep-seated national How the PPTAL Project Came ambivalence toward acknowledging indigenous About lands, especially as the number of indigenous people dwindled. Lack of comprehension about At the 1990 summit meeting of the Group of aboriginal cultures and the land-extensive Seven (G­7) industrial countries in Houston, livelihood adaptations caused many to ques- Texas, German Chancellor Helmut Kohl tion why so few "deserved" so much land or called for a pilot program to reduce the rate should "stand in the way" of national devel- of deforestation of Brazil's rain forests. Sev- opment, particularly in the Amazon region. eral months later representatives of the Bra- In view of Brazil's general policies favoring zilian government, the World Bank, and the integration and assimilation of indigenous European Commission worked together to people into national society, the relative lack outline a program. Approved in December of progress in protecting or securing indige- 1991, it became the Pilot Program to Con- nous rights and lands, and renewed national serve the Brazilian Rain Forest, to which the policies and programs to integrate and de- G­7 countries, the European Commission, velop the Amazon from the 1960s onward, and the Netherlands initially pledged some most observers over the past few decades US$250 million. The goal was to create a predicted only the grimmest of futures for new model of international partnership fo- Brazil's remaining indigenous people. cused on environmental issues of global concern. The objectives were to help: (i) Nonetheless, in the last 30 to 40 years, de- demonstrate that sustainable development spite previous negative trends, "the Indians and conservation of the environment can be have been experiencing a new, unexpected, pursued at the same time in tropical rain for- and extraordinary development that we may ests; (ii) preserve the rain forests' biological unabashedly call `the Indian demographic diversity; (iii) reduce the rain forests' contribu- turn-around'" (Gomes 2000:2). Today, the tion to the world's emissions of greenhouse estimated indigenous population of Brazil is gases; and (iv) set an example of international approximately 370,000. It is too early to tell cooperation between industrial and developing fully what this means, but it is a highly countries on global environmental issues. promising development. In addition, since the 1970s there has been continuing growth The Pilot Program included five thematic of a pan-Indian movement in Brazil and a areas for financing. The first theme was Ex- proliferation of various types of indigenous perimentation and Demonstration, and nongovernmental organizations, from local sought to promote practical experiences by to national in scope and representation. Par- local communities and governments in con- ticularly in the past decade, as this chapter servation, sustainable development and envi- 34 LCR Sustainable Development Working Paper No. 20 ronmental education initiatives. The second In 1988, Brazil adopted a new constitution theme, Conservation, promoted improved that stipulated that all indigenous lands in management of a wide variety of protected the country would be demarcated by Octo- areas such as parks, national forests, extractive ber 1993. However, despite this ambitious reserves and indigenous lands. The third was goal, less than 40 percent of the country's Institutional Strengthening, the fourth was Sci- indigenous areas had been demarcated by entific Research and the fifth was Learning the deadline. Numerous experts agreed that and Disseminating Lessons.2 given the location of the majority of Brazil's remaining indigenous people in the Amazon Today it seems commonplace that indige- region, together with the frontier expansion nous lands were included in the Pilot Pro- occurring there ever more intensely over the gram, but the acceptance of international previous few decades, the most urgent prior- financing for work on indigenous issues in ity was to work on guaranteeing indigenous Brazil was not a foregone conclusion at the people their lands. With respect to the Pilot time. The Brazilian government had long Program's focus on protecting the rain for- been reluctant to accept international financ- ests, one of the most salient facts about in- ing for indigenous activities because indige- digenous people was that they had long used nous issues were seen as sensitive domestic the forest ecosystem without causing major concerns that could easily generate interna- environmental damage. Their specialized tional criticism and controversy. Inter- knowledge and stewardship of natural re- national financing brings with it things that sources are considered by many scientists to could easily be construed as international be exemplary and could provide a founda- interference. In addition, the World Bank tion for the development of more sustainable had been asked to coordinate the program approaches to rain forest use and manage- and the Bank had in 1991 adopted its land- ment. Furthermore, satellite maps of the mark Indigenous Peoples Policy, Opera- Amazon region clearly show that existing tional Directive 4.20 (World Bank 1991). indigenous lands contain some of the most This policy emphasizes respect for cultural pristine and undisturbed forests in the re- diversity and self-determination by indige- gion. Hence, a consensus emerged about the nous groups, with considerable attention to importance and urgency of securing indige- land tenure and natural resource issues, in- nous lands for indigenous people in the digenous rights and participation. It contains Amazon region and the design of the PPTAL guidelines to be followed for any activity stemmed from this priority. affecting indigenous people with which the Bank is involved. This policy required the For regularizing or legalizing indigenous Pilot Program's proposed project with Bra- lands, Brazil already had a relatively com- zilian indigenous people to be screened and prehensive legal framework that stipulated monitored for compliance with the Bank the steps to be taken. In addition, Article 231 policy. Hence, the first important hurdle was of the Brazilian constitution states that in- to include an indigenous project in the Pilot digenous people have primary, inherent, and Program at all, and that Brazil agreed to this unalterable rights to the lands they (i) per- was a significant development. manently inhabit and (ii) use for productive activity, and which are necessary for (iii) the preservation of the natural resources on which they depend, and (iv) their cultural 2Further information about Pilot Program studies and physical well-being. Regularization of and publications can be found at: indigenous land in Brazil is the official rec- www.worldbank.org/rfpp. ognition (by the State) and demarcation of Lessons of Indigenous Development in Latin America 35 the areas where pre-existing rights of in- that the anthropologists who worked on digenous people pertain. In Brazil, indige- identification were unpaid volunteers, often nous lands are the property of the State; busy with multiple activities and hence often however, the regularization process recog- delayed, sometimes for years, in delivering nizes and formalizes indigenous rights and the essential identification reports necessary specifically guarantees perpetual usufruct by for delimitation. The project design team indigenous people of their lands. While theo- proposed to professionalize this function, retically these rights are not strictly dependent and PPTAL contracts members of the identi- on land regularization for their legitimacy, in fication team and pays them for their ser- practice it becomes vitally important that the vices. A second issue that was discussed at State regularize indigenous lands. length focused on the need for environ- mental diagnostics of indigenous lands, es- Full regularization consists of three main pecially during identification, to ensure a steps: (i) identification and delimitation, (ii) complete understanding of the indigenous physical demarcation, and (iii) regulariza- people's relationship to their environment, tion which refers to land registration and a including, for example, areas only used sea- final Presidential Decree. The responsibility sonally or areas vital to the ecosystem such for regularizing indigenous lands rests with as headwaters. Since environmental diag- FUNAI, although its parent agency, the Min- nostics were not part of the traditional iden- istry of Justice, has the power to issue, or tification procedures, funds were set aside in not, the portaria declaratória which is a PPTAL to develop an appropriate methodol- crucial step between the identification and ogy, train environmental specialists and in- delimitation stage and the actual demarca- clude them in future identification teams. A tion. The portaria declaratória is a pub- third issue that received attention was the lished decree in which the State recognizes traditional method of demarcating indige- the legitimacy of the identification and de- nous lands by cutting a wide swath in the limitation, and hence is essential prior to any forest along the borders, which is expensive demarcation. Interestingly, during project to do in remote areas and must be main- preparation when timing was calculated for tained due to forest regrowth. It was agreed each task of each stage, only the issuing of that the PPTAL would commission a study the portaria declaratória had no timeframe on alternative methods of demarcation that and no deadline. It also was apparent that would be tested subsequently in the project. this was a point at which political pressure could be applied to slow down or stop the Three other issues were raised during project process, and in fact many indigenous lands preparation for which satisfactory answers had been identified but never demarcated were not agreed at the time: (i) indigenous because a portaria declaratória was not is- participation and empowerment; (ii) protec- sued, sometimes even after many years. tion of indigenous lands; and (iii) natural During preparation of the PPTAL, the issue resource use and management. The first and of putting a time limit on the issuing of the second were particularly interrelated. Essen- portaria declaratória came up repeatedly, tially the regularization method traditionally but the government was unwilling to change followed by FUNAI was to send outsiders to the rules of the game at that time. carry out the various steps of the regulariza- tion. While an anthropologist was required During preparation of the PPTAL the details to be part of the identification team, this did of how all the regularization tasks were car- not ensure that the indigenous people ried out were discussed and examined with participated fully in the process or in the an eye to improving them. One issue was subsequent demarcation. Usually, firms spe- 36 LCR Sustainable Development Working Paper No. 20 cialized in demarcation were hired to do areas and conflicts between conservation this. Indigenous people might or might not units (under Brazil's environment agency be consulted by the firms and were occa- IBAMA as well as state and municipal envi- sionally hired as manual laborers. Conse- ronmental agencies) and indigenous lands. quently, there were cases where indigenous During project preparation, an NGO special- lands were created but the aboriginal inhabi- ized in indigenous rights, NDI (Núcleo de tants were not even fully aware of the new Direitos Indígenas, which later joined sev- borders of their land as recognized by the eral other organizations to form the Socio- State. With respect to protection of the in- environment Institute, ISA), carried out a digenous lands, based on available data it series of studies of existing pertinent legisla- was obvious that FUNAI did not have the tion and regulations (NDI, 1993, 1994). police power, the budget or personnel to Numerous issues were shown to be unclear stop encroachment, and that other collabo- or ambiguous due to inconsistencies be- rating agencies (e.g., forest police) often did tween different Brazilian laws such as the not carry out the functions. The small pro- Constitution of 1988, the Estatuto do Índio ject design team in FUNAI, in conjunction (the Indian Law of 1973), the Forest Code of with the German donors (KfW and GTZ) 1965 and others. There was an underlying and the Bank­in line with OD 4.20­were assumption in the legal framework that the oriented toward fundamentally altering regu- usufruct granted to indigenous people left larization and protection activities to ensure them frozen in time insofar as it was ex- the full participation of indigenous people in pected they would primarily subsist in their order to encourage territorial control by the areas but never commercially exploit natural indigenous people. resources. Usufruct did not extend to subsoil rights, which are held by the State. The rules However, in the early 1990s the Brazilian and regulations for third-party concessions, government, already uneasy about the in- for example, for mineral rights and timber volvement of international donors and agen- harvesting, were not fully clear. In addition, cies in indigenous affairs, clearly expressed in certain cases environmental conservation its reservations about actions or language units overlap with indigenous areas; this that might imply sovereignty of indigenous raises unanswered questions about how to areas. At one point the World Bank received resolve possible conflicts between indige- an official communication from the gov- nous use and conservation principles. Fur- ernment requesting, for example, that it use ther compounding the difficulty was the the term in English "indigenous people" problematic relationship between FUNAI rather than "indigenous peoples" because and IBAMA that continues to this day. the latter implied sovereignty. Hence, in pro- ject documentation the emphasis on participa- Although the use and management of natural tion was relatively light and the term "territorial resources in indigenous lands was the heart control" was not used. Instead the project of the project, given the complexity of the proposed a series of studies of new method- issues involving legislative inconsistencies ologies that would subsequently be tested and multiple agencies the project faced limi- under the project. So the project "opened the tations on what could be addressed. It there- door" to more participatory and locally fore allocated funds for relevant studies and based activities without forcing the issue or pilots, one for environmental diagnostics attempting to predefine changes. during identifications, and one for develop- ing a methodology for ethno-ecological The third issue was related to the legal as- studies in indigenous lands. This was a pects of natural resource use in indigenous compromise solution at best, as will be dis- Lessons of Indigenous Development in Latin America 37 cussed later in the section on challenges Last, it is highly pertinent to note that in ahead. January 1996, only one month after the ap- proval and signature of the PPTAL (in Decem- PPTAL included four components.3 The first ber 1995), Brazil adopted new legislation to and largest was Regularization of Indige- revamp the process of indigenous land regu- nous Lands and included all the steps toward larization. This was Decree 1775, which regularizing indigenous lands in the Ama- replaced the previous set of rules and regula- zon. The second component, entitled Sur- tions, Decree 22. Most domestic and interna- veillance and Protection of Indigenous Ar- tional NGOs concerned with indigenous issues eas, was left somewhat open but oriented in Brazil protested the new decree, largely toward assisting indigenous people in devel- because of the addition of a civil administra- oping protection activities for their lands tive grievance procedure and a 90-day period (and not toward financing governmental po- of contention for non-Indians to challenge the licing actions). The third component was identification and delimitation of indigenous Studies and Capacity Building, and the lands (judicial grievance procedures already fourth was Support to Project Management. were and continue to be available). The pri- The total project costs were estimated at al- mary concerns were the retroactive nature of most US$21 million of which the multido- the decree and the possibility that already nor Rain Forest Trust Fund would provide delimited indigenous lands, as well as new US$2.1 million, Germany would provide ones, might be reduced in size if non-Indian US$16.6 million (DM 30 million at the claims were upheld. The World Bank, hav- time) through the German Development ing signed a Grant Agreement predicated on Bank (KfW), and the Government of Brazil Decree 22, carried out its own legal review would provide counterpart financing of of Decree 1775 and found that it did not ne- US$2.2 million or 10 percent. In addition, gate the project's legal contract insofar as Germany pledged to provide technical coop- the basic elements of regularization were eration through its Technical Cooperation consistent from one decree to the next. The Agency (GTZ). German Government went further and is- sued an official position that it would not One of the most relevant aspects of the finance any indigenous lands in the PPTAL PPTAL design was its designation as an that had been reduced in size due to the new "open project" insofar as it was agreed that contention procedure. So far, the vast major- its initially formulated land regularization ity of claims and grievances against existing targets could be reviewed and revised on the indigenous lands have been dismissed and basis of the annual priority list of indigenous the primacy of indigenous rights upheld. In lands (which is based on a system of priori- the few cases where the Ministry of Justice tization reflecting degrees of vulnerability used the new decree to mandate alterations and threats described in the Project Memo- in an indigenous area (Raposo Serra do Sol randum of the Director, Annex 2, 1995). If was the most notable case but not included funding permitted, more indigenous lands in the PPTAL), these have also been subse- could be added to the original project quently challenged. targets. As will be described later, this open aspect of the project has allowed its scope to The positive aspects of Decree 1775 were expand considerably over time. somewhat overlooked in the storm of con- cern over the new grievance procedure. The most important new aspects of Decree 1775 were the addition of an environmental diag- 3For further details, see World Bank (1995). nostic to the identification procedures, and 38 LCR Sustainable Development Working Paper No. 20 the stipulation of a set timeframe for the lays. Over the years there have been highly Ministry of Justice to issue the portaria de- productive periods, and other times when claratória for newly identified areas. This myriad problems combined to slow the Decree essentially opened the door for the work. Problems and challenges have in- revision and improvement of FUNAI's pro- cluded securing the right experts to work on cedural manuals for all stages of indigenous identifications, getting teams into the field in land regularization. Most importantly, the a timely manner, delays in completing re- new decree created an opportune moment ports and evaluations, numerous problems for the PPTAL to promote studies and pilots with contracting due to complex Brazilian for improving indigenous land regulariza- rules which occasionally change, and the tion. perpetual problem of organizing work in remote locations and timing it with seasonal conditions. The PPTAL works closely with Accomplishments and Effects of the FUNAI Land Department which, while the PPTAL Project one of the best departments in FUNAI, still suffers from some of the agency's institu- Land Regularization. Since 1996, the tional weaknesses, falling victim to bureau- PPTAL has identified 9.5 million hectares of cratic, budgetary, and contracting problems, indigenous lands and demarcated 34 million and one year even temporarily losing 80 hectares in the Amazon region of Brazil. percent of its staff. Sometimes local con- Altogether (including all steps), the project flicts have affected the project; for example, has contributed to advancing regularization neighboring ranchers used scare tactics to of 45.4 million hectares, an area slightly lar- stop the work of an identification team in an ger than Germany, Belgium and the Nether- area of Rondônia. In addition, more partici- lands combined. More than 90 percent of the patory methodologies have been tested, and original targets of 55 identifications and 58 have sometimes required more field time demarcations have been completed. In line than traditional methods. with the open nature of the project, the tar- gets have been reviewed and expanded annu- Nonetheless, the overall progress accom- ally and currently stand at 101 identifications plished by the PPTAL in regularizing in- and 157 demarcations, more than double the digenous lands in the Amazon region is original targets, and of these new targets 45 astounding. Given the previous decades of percent (45 indigenous lands) have been slow progress, the leap forward during the identified and 38 percent (59 indigenous past seven years points to a number of posi- lands) have been demarcated. Significant tive factors, including the project itself with portions of the 59 indigenous lands demar- its additional budgetary resources, high do- cated have already completed the final steps mestic and international visibility and a of land registry and finalization by Presiden- dedicated team to push ahead; a far more tial Decree. The project had been due to receptive domestic political climate than has close in 2000 but because the work program ever been the case; general cooperation expanded, the project was extended to the within FUNAI itself; and the growing voice end of 2005. PPTAL has made an enor- of an indigenous constituency with stronger mously significant contribution to securing indigenous organizations that can success- approximately 20 percent of the Brazilian fully represent multiple ethnicities and dia- Amazon region as indigenous lands. logue with national society and government, for the first time in Brazilian history. Be- The land regularization progress has not cause of its relative success in meeting its been without problems, challenges and de- objectives, the PPTAL has even been dis- Lessons of Indigenous Development in Latin America 39 cussed periodically as a possible "model" ture--they provide a foundation and impor- for reorganizing FUNAI. tant inputs for later management. Improving Technical Standards and FUNAI. Over the years, the PPTAL, in close collabo- As noted earlier, the PPTAL commissioned ration with FUNAI's Land Department, has a series of studies designed to improve and financed the development of a sophisticated test new regularization procedures. These geo-referenced database (Geographic Infor- included the development of a methodology mation System or GIS) on the indigenous for rapid environmental diagnostics during lands in the project. The system is already the identification of indigenous lands, alter- functioning as an effective monitoring and natives to traditional demarcation methods, mapping tool. There are plans to extend the improved approaches to land tenure studies GIS database system agency-wide, so and resettlement issues pertaining to non- FUNAI will have a GIS on all indigenous Indian inhabitants of indigenous lands, lands in Brazil. This system will be an es- creation of a geo-referenced database on sential tool in the future for improved pro- indigenous lands, and participatory method- tection of indigenous lands and perhaps ologies. For example, the project developed someday, improved ethno-ecological man- a module for rapid environmental diagnostics agement plans for natural resources. and suggestions for how to integrate environ- mental specialists into identification teams that Not only has the PPTAL revised and field- are now standard procedures at FUNAI. The tested procedures, but as noted, these inno- study on demarcation alternatives led the vations are also being mainstreamed by way to alternative border marking methods FUNAI. The PPTAL has made important such as the planting of perennials, new types contributions to the revision of internal pro- of sign postings and the selection of only cedural manuals that needed to be updated certain border sections for clearing, which after the adoption of Decree 1775. Thus, the has also helped reduce the cost of demarca- PPTAL has contributed to raising the stan- tions. dards for all indigenous land regularization being carried out in Brazil. There may even The net result of PPTAL's work is that it has be spillover effects to other Latin American improved the existing technical standards countries, as various indigenous agencies for how land regularization is carried out. elsewhere have begun requesting study vis- For example, indigenous definitions of their its to FUNAI and the PPTAL. environment and their natural resource use patterns are included in the identification of Increasing Indigenous Autonomy and Terri- indigenous lands and often are fundamental torial Control. As explained above, the par- to justify the delimitation or selection of ticipatory and empowerment aspects of the borders for a given area. Without an envi- PPTAL were not unduly emphasized during ronmental assessment, an identification team project negotiations, in part because of gov- could easily overlook indigenous use of ernment concerns about the implications of natural resources in a given location, which ideas of indigenous sovereignty implicit in perhaps may only occur in one season of the the term "territorial control" and also be- year and not during the visit of the outside cause of the predominant organizational cul- team. While environmental diagnostics do ture of FUNAI which traditionally did not not substitute for natural resource manage- see the indigenous people as partners but ment plans for indigenous lands--which are rather as coitados ("poor things") requiring likely to be contemplated in the near fu- protection and assistance. As a result, the 40 LCR Sustainable Development Working Paper No. 20 PPTAL worked rather slowly to experiment ernmental organization Friends of the Earth, with participatory methodologies. installed 73 radio systems in 63 villages and 10 indigenous organizations. These radios The first experiments with more participatory have greatly improved communication approaches were undertaken with respect to among indigenous people and with the out- demarcations in which communities, indige- side, including FUNAI. Indigenous people nous and indigenist organizations partici- have reported how the radios help in a wide pated as partners. Most of the participatory variety of ways from planning meetings to demarcations were proposed and developed informing about illegal invaders. Other typi- by indigenous organizations together with cal protection activities supported by the the PPTAL. In these demarcations, of which PPTAL have included planning strategic the Indigenous Land Médio Rio Negro is an locations for agricultural plots, casas de outstanding example, more communities apoio or sometimes even new villages near were mobilized and the process strengthened boundaries or in more vulnerable areas of the indigenous organizations themselves. In the indigenous land. There is evidence that a number of cases, indigenous participation these activities have contributed to indige- allowed the correction of boundary errors. nous awareness of the importance and need Some engineering firms and some parts of to protect their lands and natural resources. FUNAI were initially reluctant about par- ticipatory demarcations, but over time the The third area where the PPTAL has sup- approach has become more commonplace. ported greater indigenous participation is Although the long-term implications of high identifications, a crucial stage during which indigenous involvement with the demarca- the boundaries of an indigenous land are tion of their lands is not yet known, the determined. This work is at an earlier stage, short-term benefits include empowerment of but it includes attention to improved guide- indigenous communities, greater dissemina- lines for identification teams and proposals tion of information about the land and natu- for more time in the field. ral resources and the need to protect them, as well as increased quality of the demarca- Another significant achievement is that over tion work. In addition, it has been observed time indigenous people have gained a that when indigenous communities better greater voice in what and how the project understand the process of State recognition would do. For example, when the PPTAL of their lands, they become more vigilant in began it included what was at the time an trying to maintain and protect their territo- innovative approach: a project advisory ries. commission--composed of governmental and indigenous representatives--was formed to The second area where more participatory supervise and provide oversight for the pro- approaches were introduced was in the project ject. At the time, the government insisted component for surveillance and protection of that this project commission should be con- indigenous lands. Rather than to attempt to sultative only and should have no decisionmak- bolster the police powers of governmental ing powers. In 2001, the project commission agencies (previous efforts had been largely officially requested that it be upgraded to have unsuccessful), this component focused on decisionmaking power; for example, approv- "bottom-up" approaches such as local initia- ing (or not) the project's annual work plan, tives to help indigenous communities moni- priority list and protection activities to be tor and control their lands themselves. For financed. The government agreed. Another example, the PPTAL, in collaboration with example is that during the project's mid- indigenous organizations and the nongov- term review, indigenous representatives re- Lessons of Indigenous Development in Latin America 41 quested that a new subcomponent be added Brazil, Medici, launched the first major to strengthen indigenous organizations and Amazon development and colonization ef- provide training, technical assistance and fort, the National Integration Program capacity building. These new activities were (Plano de Integração Nacional, PIN), he subsequently incorporated into the project. vowed "to take a people without land to a land without people." Today the Amazon In summary, the PPTAL has helped to regu- region is home to 17 million people both larize a great many indigenous lands in the rural and urban, including indigenous peo- Amazon region, improve the way regulariza- ple, rubbertappers, nut gatherers, fishermen, tion is done, and empower indigenous peo- and small farmers as well as an increasing ple and organizations. It has contributed to number of agribusinesses such as soybean improving the technical standards and tech- production, cattle ranching, mining, hydroe- niques used by FUNAI and helped shift lectric enterprises, and other industries-- FUNAI's paradigm of working with indige- comprising a pattern of expanding economic nous people more toward a model of part- and demographic occupation and use of the nership. Despite these significant achieve- region's natural resources. ments, there are continuing challenges and difficulties. In particular, a major challenge Hence, it is not enough that the region's in- for the future is how indigenous lands can be digenous lands have been regularized. The protected more successfully against outside massive changes occurring in the region-- encroachment and how indigenous people even the recent efforts to expand the amount can use, manage, and conserve their natural of land in conservation units--will all affect resources but also allow for the sustainable the aboriginal population. Despite centuries development necessary for indigenous well- of indigenous populations living in relative being as cultures change, which they harmony with their natural environments, inevitably do. one cannot expect sociocultural systems to remain frozen in time. In other regions of Brazil and elsewhere in Central and South The Challenge for the Future America indigenous people in contact with expanding national societies have became It is evident that State recognition of indige- some of the poorest of the rural poor. If the nous lands is a necessary but not sufficient indigenous lands are not sufficiently pro- condition for improving the conservation tected from outside encroachment and inva- and sustainable development of natural re- sions, if new cash needs lead to exploitative sources in indigenous lands and increasing contracts with third parties who despoil the the well-being of indigenous people in the natural resources, if new ways to use and Amazon region. The Amazon region manage natural resources in indigenous encompasses about 5 million square kilome- lands that allow for sustainable development ters and 61 percent of the Brazilian national are not in place, the same process will occur territory, comprises 30 percent of the in the Amazon region, and in fact has world's remaining tropical forests and con- already begun. tains some of the greatest genetic diversity on the planet. Other chapters in this book As stated previously, the legal framework show clearly that the Amazon region is ceas- for use and management of natural resources ing to be a highly remote, sparsely popu- in Brazilian indigenous lands continues to be lated, underutilized frontier. In 1970, when a inconsistent and poorly applied. A revised major drought hit Brazil's densely populated and updated version of the Indian Law, northeastern region and the then President of which regulates a significant portion of natu- 42 LCR Sustainable Development Working Paper No. 20 ral resource use questions in indigenous methodology for ethnoecological studies in lands, has been under debate in Brazil for indigenous lands. Other nongovernmental the past decade but still has not been organizations, including the Socioenvironment adopted. In 2002, a FUNAI president was Institute (ISA), the Amazon Conservation dismissed, apparently for questioning the Team (ACT), and the Center for Indigenous interests of mining companies seeking to Work (Centro de Trabalho Indígena, CTI) exploit minerals in indigenous lands. As have also been working in this area and previously stated, the new National System made major contributions by collaborating of Conservation Units (SNUC) seeks to on specific projects with indigenous people, strengthen collaboration among environ- including sustainable timber extraction, mental agencies, FUNAI, and indigenous ethnomapping, and other initiatives. How- people, but so far this remains more a goal ever, far more needs to be done if Brazilian than a reality. indigenous lands are to be protected ade- quately and the natural resources sustainably The PPTAL has made an important start by managed and developed. This is the chal- supporting the development and testing of a lenge for the future. Judith Lisansky is Senior Anthropologist, The World Bank, Latin America and the Caribbean Region, Environmentally and Socially Sustain- able Development Unit. Lessons of Indigenous Development in Latin America 43 References Davis, Shelton H. Victims of the Miracle: Development and the Indians of Brazil, Cambridge University Press, Cambridge, 1977. Gomes, Mercio P. The Indians and Brazil. Translated by John W. Moon, University of Florida Press, Gainesville, FL 2000. Gramkow, Marcia Maria. Demarcando terras indigenas II: experiências e desafios de um projeto de par- ceria, FUNAI; PTTAL and GTZ, Brasília, 2002. FUNAI. PPTAL Annual Report for 2001, FUNAI, Brasília, 2001. Hemming, John. Red Gold: The Conquest of the Brazilian Indians, Harvard University Press, Cambridge, MA 1978. Kasburg, Carola and Gramkow, Marcia Maria. Demarcando terras indígenas: experiências e desafios de um projeto de parceria, FUNAI; PTTAL and GTZ, Brasília, 1999. Núcleo de Direitos Indígenas (NDI) "Indigenous Populations Legal Rights to Their Lands and Natural Resources: Part I and II,", Unpublished manuscript in World Bank project files, Washington, DC, Part I November 1993, Part II, September 1994. Ramos, Alcida R. "Frontier Expansion and Indigenous People in the Brazilian Amazon" In Frontier Ex- pansion in Amazonia, edited by Marianne Schmink and Charles H. Wood, University of Florida Press, Gainesville, FL, 1984. Sistema nacional de unidades de conservação (SNUC), Lei No. 9.985 de 18 de júlio de 2000, Government of Brazil, Brasília. World Bank. Operational Directive 4.20, Indigenous People, World Bank, Washington, DC, 1991. ---. Memorandum of the Director (MOD), Brazil: Indigenous Lands Project, Report No. 13048-BR, World Bank, Washington, DC, 1995. 44 LCR Sustainable Development Working Paper No. 20 Community Management for the Sustainable Use of Forests: Conservation and Sustainable Management of Forest Resources Project in Mexico (PROCYMAF) M. Segovia, C. González, and G. Segura SEMARNAP, Mexico City I. Process vantages, with a vision in which the dynamic stimulus to local development originates from PROCYMAF1 was an innovative pilot for the notion that permanent dialogue is essential sustainable forest development that resulted to development and to the long-term conser- from institutional cooperation between vation of forest resources. SEMARNAP (now SEMARNAT) and the World Bank. Its objectives were essential for This process ended with a loan agreement optimizing the use and conservation of for- signed by the World Bank and the govern- ests and for diversifying the options avail- ment of Mexico on May 2, 1997, for a able to the agrarian groups that own these US$15 million loan to finance part of the forests. project.3 The design of PROCYMAF began at the II. Objectives end of 1995 as a result of a collective effort by SEMARNAP and the World Bank. The The general objective of PROCYMAF was design process involved diagnosis and po- to support a sustainable development strat- litical consultation to define a mechanism egy to stimulate schemes for: (a) improved for encouraging communal forestry that use and conservation of natural resources by could provide income for ejidos2 and com- forest ejidos and communities; and (b) ex- munities. It also aimed to generate methodo- pansion of income options for the owners of logical, technical and operational instru- these ejidos and communities based upon ments to strengthen sectoral policy. the use of their resources. The preparation of PROCYMAF was clearly III. Characteristics and Design participatory and was evidence of an institu- tional commitment to develop a new genera- As noted earlier, PROCYMAF was imple- tion of projects. In the end, the project at- mented as a pilot project that aimed to tempted to replace the vision of development strengthen awareness of the economic, so- derived from a unilaterally designed "top- cial and environmental problems of the for- down" scheme that extends benefits or ad- est sector. This would be achieved through: (a) strengthening the technical competence 1 Excerpts from a report written by Ing. Manuel of ejidos and communities in managing their A. Reed Segovia, Ing. Carlos González Vicente, forest resources; (b) updating the knowledge and Dr. Gerardo Segura Warnholtz. Mexico, of the technicians and professionals who December 2003. offer services to these producers; and (c) 2 Ejidos are land-holding groups consisting of promoting activities and products other than either indigenous or non-indigenous members with rights to communal resources stipulated by law under which an individual family has rights 3The loan amount was US$15 million, to be to an individual plot of land allocated by com- repaid over 15 years, including a 5-year grace munal decision. period. 45 46 LCR Sustainable Development Working Paper No. 20 timber that would generate new income op- economic conditions, PROCYMAF's design tions among landowners based on the natu- characterized ejidos and forest communities ral resources of the forests. principally based on their level of organiza- tion to carry out or commercialize timber An integral part of PROCYMAF was a production. strategy to build awareness through the fol- lowing tasks: This (i) allowed the general characteristics and problems of each type of producer to be Promoting and discussing the proposed identified; (ii) recognized systematic needs project activities in participatory spaces for technical and training assistance to ad- at the regional level to stimulate active dress problems identified; (iii) defined the and democratic intervention of agrarian proposals to be supported by PROCYMAF groups interested in taking responsible by type of producer. In addition, the charac- actions. terization was used to define the percentage Technical assistance studies aimed at contribution that each type of beneficiary generating technical instruments to sup- who received PROCYMAF funding was port decisionmaking at the community required to make. level with respect to the management and conservation of natural resources. VI. Cost, Sources of Financing, Training for producers, technical and and Duration professional service providers and pub- lic servants to strengthen human capital The total cost of PROCYMAF was 141 mil- that will help improve community man- agement of forest resources. lion pesos.4 The World Bank contributed 80 Promoting use of non-timber forest percent of this amount. A little over 15 mil- products to help producers to identify lion pesos in local contributions were cov- and test income-generating alternatives ered from the budgetary resources of ejidos to timber based upon the use of forest and communities that benefited from the resources. project. Strengthening the normative and plan- ning functions of management activities The initial implementation period was 5 and forest conservation. years (1997-2001), but the closing date was extended to December 31, 2003 because IV. Beneficiaries budgetary allocations were less than ex- pected.5 The project targeted ejidos and agrarian communities that owned or held forest terri- VII. Summary of Activities and tories in the states of Chihuahua, Durango, Results Guerrero, Jalisco, Michoacán and Oaxaca. Other beneficiaries included technical and PROCYMAF served more than 600 forest professional service providers and the fed- agrarian groups in the original six states eral institutions involved in the forestry sector. 4 Originally, while PROCYMAF was being de- signed, the total estimated cost was US$23.6 V. Characterization of Beneficiary million (equivalent to approximately 180 million Producers pesos at the exchange rate of 7.5 in 1996), of which 70% was to be provided by the World Since the beneficiary producers lived in re- Bank. 5 The original closing date was December 31, gions with very diverse biophysical and 2001. socioeconomic conditions, PROCYMAF's Lessons of Indigenous Development in Latin America 47 considered (in Chihuahua, 31; Durango, 36; 1. Communal forestry, an efficient Guerrero, 90; Jalisco, 30; Michoacán, 110; instrument for sustainable rural and Oaxaca, 330), with a total population of development, generates important social 1,186,512 people. It also extended to the economic and environmental benefits. states of México, Zacatecas, Puebla, Ve- racruz and Chiapas and introduced produc The ejidos and communities have demonstrated ers to a vision of forest exploitation in which the capability of managing their resources in a responsible manner for the purpose of com- forest conservation is considered important. mercial production of forest products under The principal activities carried out under the a structure of collective ownership. The suc- project and the results during 1998-2003 are cess of this model is closely related to the summarized in the table below. existence of considerable levels of social capital (which is based upon traditional VIII. Main Lessons Learned forms of government); a minimal natural capital base (forest resources with commer- The first stage of PROCYMAF provides ten cial value) and technical and administrative lessons that make an invaluable contribution training (human capital) of producers. The to developing a model for promoting com- agrarian groups who have achieved major munity development processes for sustain- advancements in these areas have formed able use of the forest. forest enterprises based upon social rationality. COMPONENT/ACTIVITIES NUMBER OF ACTIVITIES Technical Assistance 1998 1999 2000 2001 2002 2003 TOTAL 1 Regional promotion forums 32 62 60 71 129 136 490 2 Technical assistance studies 64 84 60 58 93 99 458 3 Pre-evaluations and evaluations for forest certification 2 2 4* 5 11 24 4 Participatory rural evaluations 30 12 12 9 18 32 113 5 Producers training courses 48 36 46 139 172 152 593 6 Community-to-community seminars 6 12 0 10 10 11 59 7 Selection and orientation seminars for PSTyP** 2 1 3 2 3 4 15 8 Continuing education courses for PSTyP 5 4 8 12 12 17 58 9 Investment projects for PFNM*** 9 8 11 5 10 43 * Re-evaluation to renew certificates. ** PSTyP are Prestadores de Servicios Técnicos y Profesionales: Technical and Professional Service Providers *** Non-timber and timber, non-traditional forest producers. RESULTS/INDICATORS 1998 1999 2000 2001 2002 2003 TOTAL Ejidos and communities supported through technical assis- 1 47 68 52 56 82 83 249* tance studies 2 Forest area under improved management (ha) 60,623 70,129 35,363 23,255 42,622 39,739 271,731 3 Certified forest area (ha) 26,886 32,436 8,613 55,613 23,765 147,314 4 Area with communal territorial decree (ha) 84,197 33,340 128,158 120,547 169,443 535,685 5 Trained forest producers 1,183 1,014 2,340 2,675 3,645 2,188 13,045 6 Seminar Assistants to and from communities 249 279 317 391 250 275 1,761 7 Technical service providers inscribed in the registry 46 46 89 75 166 254 * The total does not correspond to the sum of values for each year and indicates the total number of ejidos and communities that received technical assistant support during 1998-2003 48 LCR Sustainable Development Working Paper No. 20 The more advanced ejidos and communities 3. Stimulating and strengthening technical have transitioned to more sustainable capacities among producers generates schemes for the use of their resources. They more autonomous and efficient self- have earned certification for their good for- management dynamics. est management, granted by external organi- zations that use international assessment Enhanced human capital in ejidos and com- criteria. Furthermore, investment has begun munities entails more solid processes of de- in the utilization of forest goods and services cisionmaking and higher levels of efficiency different from timber to diversify income in the management, transformation and options and implement more integral man- commercialization of forest products. Tech- agement schemes that focus on the ecosys- nical assistance and training, which gener- tem. In sum, these agrarian groups are con- ally are offered in situ, meet the specific tributing in a significant way to the conser- needs of authorities, technicians, operational vation of areas with high environmental personnel of social firms, and other mem- value and to the protection of biodiversity. bers of the community by expanding their knowledge, skills and abilities. Concretely, 2. Social capital is indispensable to the emergence of professionals and techni- encourage community forest development cians in forest management has enabled technical aspects of forest exploitation to be The extent to which a community or ejido is accomplished with less reliance on external able to manage its collectively owned forest consultants. This growth of human capital resources is closely related to the solidity of has stimulated increasingly autonomous and diverse types of social structures and link- legitimate community management. ages within the community as well as with public and private actors and civil society. The development of forest ejidos and com- munities requires human capital as well as Social capital involves the construction of social and natural capital. State institutions relationships of trust, solidarity, and coop- and other external agents can strengthen or eration. It also entails the creation of institu- reconstruct these types of capital through tions, rules, procedures, and networks of their support. However, this support can cooperation that facilitate collective actions have little impact unless the communities of mutual benefit tending to increasing pro- themselves also take the initiative. ductivity, reduce costs, and propel commu- nal economic development. 4. Community forest enterprises (EFC) promote productive behavior by ejidos and The PROCYMAF actions most relevant to communities. social capital focused on: (a) creating and strengthening permanent spheres of partici- Community forest enterprises (EFCs) have pation and consultation at the regional level; enabled producers to consolidate their produc- (b) recognizing and stimulating government tive initiatives and improve their operational organizations to work with agrarian groups; and management capabilities for exploiting, and (c) establishing a working relationship transforming, and commercializing forest of respect and trust with the authorities of timber and non-timber primary goods. The these groups during project implementation. EFCs are built on control of forest activity by ejidos and communities, are managed Lessons of Indigenous Development in Latin America 49 using traditional practices of government, tion and commercialization of timber and and follow a communal economic rationale non-timber products. These linkages among with respect to the generation and fair distri- producers speak of a new stage of maturity bution of social benefits. in communal forestry in Mexico, in which cooperation strategies are explored to access To ensure their viability, these enterprises scale economies and advance toward the have developed strategies that make them integration of regional production chains competitive in local and regional markets that permit agrarian groups to confront the but do not require them to renounce their challenges of the ever more specialized and social character. These strategies have been competitive global market. oriented toward diversifying income and investment options through vertical integra- 6. Productive diversification based upon tion that increases the overall value of the the exploitation of non-timber forest products, while attempting simultaneously products and services expands income to improve efficiency and competitiveness. options significantly, in addition to generating social and environmental 5. Technical and commercial inter- benefits. community relations contribute significantly to strengthening A considerable number of ejidos and forest community management and communities have begun to invest in diversi- developing a regional vision for fication. Essentially, the aim is to generate the use of forest resources. sources of income and employment espe- cially for members of the community Interactions among ejidos and communities (women and youths) who might otherwise with different levels of organization and ad- migrate to seek opportunities that are lacking vancement with respect to forest productive in their immediate surroundings. Successful activities stimulate and build trust among examples of this type of project include pro- producers who are beginning to encounter, duction of bottled spring water, exploitation or have encountered, obstacles in their busi- of diverse non-timber forest products such ness developments. With the creation of as pine resin, edible mushrooms, and me- regional spheres of consultation and par- dicinal herbs, and ecotourism. ticipation and in situ training schemes in which community members learn from one Diversification has occurred mainly in ejidos another through technical and commercial and communities where timber exploitation is exchanges, communities that are advanced the main economic activity and provides re- in particular aspects of forest activity have sources that can be invested in new produc- been able to share their experiences with tive ventures. However, the exploitation of others that are less advanced. These experi- non-timber forest goods and services has ences have an even greater educational effect also been an important productive alterna- when the communities involved share a so- tive in agrarian groups where forest timber cial vision for the exploitation of their natu- resources have a meager commercial value. ral resources and have similar biophysical and economic conditions. However, it is necessary to warn that diver- sification entails diverse risks due to the These exchanges have also led to the crea- producers' inexperience, lack of specialized tion of technical cooperation networks and technical assistance and appropriate tech- the construction of second-level alliances nology, and poorly developed markets for and organizations involved with the produc- many of the products. When the probabili- 50 LCR Sustainable Development Working Paper No. 20 ties of success of a new investment are uncer- lesson learned was that sector development tain, situations can arise that can endanger strategies can be strengthened at the com- solid investments including those directed to munity level by supporting only initiatives the production of timber. that emerge from the territory in question, where the target population is known, as 7. Individualized, integrated, and sustained well as its characteristics and the institutions attention to ejidos and communities propels through which its manages its contributions. and strengthens more sustainable and permanent communal forest development. Community development processes take time to mature. They should be allowed to One of PROCYMAF's most important contri- develop in a natural way, respecting the so- butions is its model of personalized, continu- cial dynamics and social rationality at every ing, and participatory support to producers. step. Trying to force changes to fulfill insti- The productive schemes are built on recogni- tutional goals is risky and could distort pro- tion and respect for local economic, social ductive self-management processes that take and biophysical conditions at the organiza- a long time to gel. tional level, and on the rationale, vision, and needs of each agrarian group with respect to 8. Technical and professional services are exploitation options for forest resources. decisive for forest sector development of ejidos and communities. The constant technical promotion and sup- port for the project in regional forums and Technical and professional services for for- other spaces for participation and consulta- est producers of ejidos and communities tion and in ejidos and community assemblies, have been oriented to timber exploitation together with individual efforts to disseminate and, in many cases, the role of specialists and analyze options for supporting and fol- has been undervalued. The project contrib- lowing up on productive initiatives, have uted to diversifying the supply and provision had an invaluable effect on strengthening of professional services. It enabled forest community institutions and fostering professionals and experts in other disciplines broader and more democratic social partici- to update, expand, and strengthen their tech- pation in decisionmaking. It has also con- nical skills in response to the specific needs tributed to building or reestablishing trust of producers. It sought more integrated ser- among agrarian groups toward government vices, using creativity and compromise to institutions that operate awareness programs prepare community development alterna- for the rural sector. tives. Traditionally, official policies and programs At the same time, forest producers' options directed to the forest sector have been based were expanding as they accessed a wider, on assumptions that ignore the logic of more competitive range of technical assis- community decisionmaking and have under- tance, covering technical areas as well as estimated the contribution that methodologi- social organization, management and con- cal, technical, and operational instruments servation of natural resources, commerciali- can make to forest sector development. The zation of products, and analysis of new mar- kets. Lessons of Indigenous Development in Latin America 51 9. The experiences of PROCYMAF have 10. The design of the project helped it strengthened and complemented the achieve its objectives. operation of other official programs and influenced the definition of sector The design of the project helped to improve awareness policies and strategies efficiency in the management of forest re- implemented by CONAFOR. sources and to identify and help meet the needs of producers. It has also been possible PROCYMAF proved to be especially valu- to ask producers to contribute resources in able in raising awareness of new strategies compensation for the support provided by and reaching many ejidos and community the project. forest producers in remote areas where the reach of other sector programs has been lim- The experience has demonstrated that de- ited. These producers have been helped to velopment of forest ejidos and communities identify and begin development processes is not linear and smooth. As a consequence that have enabled them to access and take of structural limitations in accessing mar- advantage of other CONAFOR programs as kets, a high percentage of producers cannot well. expand in scale, or find their productive al- ternatives limited to exploitation of non- In addition, PROCYMAF coordination with timber products. various different forest development pro- grams run by other federal and state gov- It is necessary to develop a flexible project ernment institutions has enabled investments design that complements the different insti- to be concentrated on the productive devel- tutional arrangements and levels of ad- opment projects identified with support from vancement of agrarian groups with respect the project. to their social capital and level of manage- ment of the use of forest resources. This could serve as a model for reorienting the support of government programs and for evaluating their impact on strengthening community institutions. 52 LCR Sustainable Development Working Paper No. 20 The Indigenous and Afro-Ecuadoran Peoples Development Project (PRODEPINE I) Jorge E. Uquillas World Bank, Washington, D.C. Background work. Two aspects of project organization helped greatly to sustain this commitment. First, The Indigenous and Afro-Ecuadoran Peoples at the strategic level of the project, a decision- Development Project (PRODEPINE I, 1998- making and conflict resolution mechanism ex- 2004), financed by the World Bank and the In- isted in which representatives of key project ternational Fund for Agricultural Development, stakeholders were all able to participate. Second, was part of an experimental initiative started in a third party--in this case the stable Task Team 1993 in Latin America, designed to build pro-poor of the Bank--acted as a broker, constantly forms of social capital and promote ethnodevel- reminding all involved of the project's agreed opment. The project represented an effort to opera- core principles, and played an important role in tionalize such concepts as "ethnodevelopment," consolidating the alliances that formed the "social and human capital," and "community- foundation of the project. driven development" to address old realities. It sought to mobilize local resources and to direct PRODEPINE invested in local capacity build- new resources to the poorest segment of the Ecua- ing, small-scale demand-driven rural subpro- doran rural population, to be managed in accor- jects, land tenure regularization, cultural heritage dance with their own visions of their problems and activities, and institutional strengthening of solutions. CODENPE, the official institution dealing with indigenous peoples.1 A combination of favorable It was the first time Ecuador borrowed resources factors led to the PRODEPINE's preparation in specifically for investments to benefit poor in- the mid-1990s. First, indigenous peoples' level digenous and Afro-Ecuadoran populations by of organization and capacity for social mobiliza- channeling resources directly through indige- tion had grown substantially. Second, in 1994 nous organizations, with the government playing the Government of Ecuador (GoE) created the only a minimal role. It was also the first time National Secretariat of Indigenous and Ethnic that indigenous federations and the Ecuadoran Minorities (SENAIME), and initiated a series of government implemented a project of "devel- contacts with donors to request support for opment with identity" or "ethnodevelopment." SENAIME and its proposed operations to bene- This vision was built on the positive qualities of fit indigenous peoples and Afro-Ecuadorans. indigenous cultures and societies--such as their Third, partly in anticipation of the United Na- sense of ethnic identity, close attachment to an- tions International Decade of the World's In- cestral land, and capacity to mobilize labor, capital, and other resources for shared goals--to 1 promote local employment and growth. The total project budget was $50 million: $25 mil- lion from the World Bank, $15 million from the International Fund for Agricultural Development, and Implementation of the project has required an $10 million from the Ecuadoran Government and explicit commitment to its technical focus from from beneficiary communities and organizations. all stakeholders involved, use of professional Project preparation began in early 1995; the project criteria in selecting project personnel, and was approved in early 1998 and became effective in recognition of social inclusion as the driving September 1998. Implementation was completed in April 2003. A second phase was prepared during principle for the project's participatory frame- 2003 and was approved in June 2004. 53 54 LCR Sustainable Development Working Paper No. 20 digenous People, in 1993 the World Bank started IFAD had a strong interest in starting a rural de- its own Indigenous Peoples Development Initia- velopment project targeting Afro-Ecuadorans in tive. Thus, the institution was relatively well the coastal province of Esmeraldas. Third, positioned to respond to requests such as that IFAD's experience in financing rural credit pro- from Ecuador. Fourth, the existence of a strong grams complemented the Bank's experience in ethnicity-poverty relationship as found by the financing matching grant funds. This enabled the Bank Poverty Assessment (1995) stressed the project to establish an integrated program of ru- need for a targeted poverty intervention focusing ral investments that could respond to a wide on Ecuador's indigenous and Afro-Ecuadoran range of demands from indigenous communities, population. The fact that other rural develop- covering both public-good and private-good ment projects proved to have difficulties reach- types of investments. Fourth, IFAD's more ing out to this population further emphasized the flexible stand on financing land purchases com- need for a new approach. plemented the Bank's in-house financing possibili- ties and widened the range of options for financing While the national indigenous organizations land regularization and conflict resolution pro- were legitimate representatives of the project's grams. Fifth, combining the Bank loan with intended beneficiary population, it was recog- lower-interest IFAD resources offered a more nized that their particular strength was in the attractive financial package and lessened the political and public policy arena. Given the pro- chance that the government would lose interest ject's orientation toward generating direct bene- in the project. fits for indigenous communities, it adopted a strategy of also working directly with second- One of the first challenges in the project was to tier indigenous organizations (these include a identify the indigenous peoples and Afro- broad range of organizations linking communi- Ecuadorans who were the intended beneficiaries. ties with the national federations), which are The two principal questions were: (a) whether usually based in small urban or rural towns acces- the mestizo population living in the same areas sible to their community-level member organiza- would be part of the project's target population; tions. Since second-tier organizations have a and (b) how to settle the politically contentious closer relationship with indigenous communi- issue of defining who is indigenous. To tackle these questions, the project adopted an approach ties, they are in a better position to know local that combined quantitative methods and geo- needs and demands, are inclined to focus on graphic location with the notion of self- providing services to their members rather than identification and community affiliation with sec- merely representing them politically, and in gen- ond-tier organizations. Census information on eral have a more pragmatic agenda. During im- indigenous and Afro-Ecuadoran population at the plementation, executing agencies included second- parroquia level was combined with data on pov- tier organizations, some third-tier organizations, erty (an index of unsatisfied basic needs), to ob- and even a few municipalities where indigenous tain figures on the level of poverty by ethnicity. mayors and councilors had been elected recently. Additional information was gathered in the field, particularly self-identification of communities as The project was the first of its kind; and the either indigenous or Afro-Ecuadoran, and mem- Bank recognized that it did not have compara- bership in a second-tier indigenous organization. tive advantage in all areas covered by the pro- This information was then represented in an in- ject. This made the International Fund for Agri- digenous poverty map. cultural Development (IFAD) a valuable and appropriate cofinancing partner. First, IFAD had The quantitative analysis gave an idea of which parroquias had a majority indigenous and Afro- two ongoing rural development projects that al- Ecuadoran population and which ones had a sig- ready worked closely with indigenous organiza- nificant minority presence of those groups. Once tions at the local and regional level. Second, Lessons of Indigenous Development in Latin America 55 the parroquias were known, it was possible to rocity and is strongly survival oriented. The identify the second-tier indigenous organizations challenge was to mobilize or build upon this that were operating in them. The project then type of relationship for development purposes formed an alliance with these organizations for and to work through more formal organizations implementation purposes, and accepted the that often require different types of collective membership eligibility criteria of the organiza- action and hierarchies. tion as the basis for targeting the intended bene- ficiary population in that particular parroquia. Depending on these locally defined criteria, the Therefore, besides language and their own sense project would include the mestizo population to of ethnic identity, the distinctive features of in- the extent that they were members of the sec- digenous peoples include solidarity and social ond-tier organizations. Through this analysis the unity (reflected in strong social organizations). project targeted about 815,000 people who were Other features include a well-defined geographi- members of indigenous and Afro-Ecuadoran cal concentration and attachment to ancestral communities in rural areas, and around 180 sec- lands, a rich cultural patrimony, and other cus- ond-tier organizations operating in the 288 par- toms and practices distinct from those of Ecua- roquias in which indigenous and Afro- dor's national society, which bears a strong Ecuadoran populations are concentrated.2 western influence (Salomon 1981). Some nega- tive traits are also embedded in indigenous cul- Building Assets ture such as political and religious factionalism and particular forms of gender inequality. Never- Social capital theless, the project aimed to mobilize this social capital as a platform for ethnodevelopment Social exclusion, economic deprivation, and po- (Nieuwkoop and Uquillas 2000). litical marginalization are sometimes perceived as the predominant characteristics of Ecuador's The ultimate aim of the project was to generate indigenous peoples. But as they often remind results and impacts that directly benefit indige- outsiders, indigenous peoples are also character- nous and Afro-Ecuadoran communities in Ecua- ized by strong positive attributes, particularly dor. In order to achieve this, the project financed their high level of social capital. Social capital is investments to improve the stock of human capi- manifested clearly at the level of the traditional tal, financial and physical capital, and environ- community through informal networks of recip- mental capital at the disposal of these communities. In the process, it expected to build social capital 2 The target population exhibits great cultural diver- in at least three different ways. First, the existing sity, especially among indigenous peoples. The most numerous of the indigenous people are the Quichua social capital would be complemented effectively speakers in the Sierra. They may be further subdi- by other forms of capital (i.e., strengthening pre- vided by ethnic predominance, including the Otavalo, existing water users associations). Second, when Carangui, Cayambi, and Quito in the northern region, social capital was weak, these additional re- and the Panzaleo, Puruha, Cañari, Salasaca, and sources--which in most cases were not individ- Saraguro in the south-central region. The next largest ual goods--promoted collective management group are the peoples of the Amazon region, includ- ing the Shuar, Achuar, and Quichua speakers of the and solidarity among members.3 Third, when the lowlands, and the Waorani, Cofán, and Siona- pre-existing social capital in traditional indige- Secoya. In the coastal region are found the Awá, Em- berá, Tsachila, and Chachi, and other peoples such as 3 John Durston, in his work in Guatemala, argues that the Huancavilca, Manteño, and Puna who have lost native communities have latent social capital, dis- their language but retain strong indigenous cultural rupted and repressed during the civil strife in that features. Afro-Ecuadorans live in both coastal and country, but which now can be resuscitated and built highland areas, although there is not as much diver- up in an atmosphere of trust with a combination of sity among subgroups as there is among the indige- physical and financial investments and organizational nous subgroups. assistance (see Durston, 1998). 56 LCR Sustainable Development Working Paper No. 20 nous communities was different from and not agreements with 27 universities and colleges to necessarily contiguous with the type needed in provide formal education at high school and col- modern administrative/economic and even social lege level to indigenous students supported by infrastructure management, the project stimu- the project. The project also supported students lated the gradual extension of the original social in disciplines that are particularly relevant for capital into new fields, levels, or types of coop- the modus operandi of the second-tier organiza- eration (e.g., women's solidarity credit associa- tions, including community development, an- tions, which have no equivalent in traditional thropology, and communications. Second-tier Andean communities). organizations proposed potential candidates for project support. Candidates were selected by the To ensure relevant use of these various types of project based on their previous educational capital, the project relied on participatory plan- achievements. In order to increase the probabil- ning as a mechanism to facilitate an effective ity that students would remain in their demand-driven approach and self-management communities and organizations after completing as a tool to retain a strong sense of project own- their education, the formal education program ership on the part of indigenous and Afro- placed heavy emphasis on distance learning. Ecuadoran organizations. Investments in various types of capital, coupled with the focus on par- In addition to the formal training programs, the ticipatory planning and self-management as the project supported short courses for professionals basic principles for the project's operational pro- working in executing agencies. Courses included cedures, formed the conceptual framework of a wide range of topics, most related to participa- the project. tory planning, project administration and man- agement, procurement, and technical issues. The project also supported a range of activities These courses emphasized learning by doing, that were specifically aimed at improving the and so they were organized in close relation to institutional capacity of second-tier organiza- the small-scale investment program financed by tions, particularly where social capital was not the project. The project also offered a limited strong. These activities included support for number of internships in its regional offices. building management capacity and technical These internships provided an opportunity for capacity with special emphasis on project prepa- young indigenous professionals to obtain expo- ration and management. The project also helped sure to the operational aspects of the project's organizations to obtain legal status if needed. To rural investment program that could be of use emphasize the focus on ethnodevelopment, the for their work in the second-tier organizations. project also supported activities that strength- ened the identity and cultural patrimony of in- By the end of 2002, 1,080 high school students digenous and Afro-Ecuadoran communities and (335 graduated) and 850 college students (67 their organizations. To make the investments of graduated) had received fellowships from the the project in human, environmental, financial, project, 77 persons had received courses in irri- and physical capital more effective, social capi- gation, soil conservation, agro-forestry, and tal needed to be taken into consideration in the other topics, and 496 young men and women orientation and design of these investments. had benefited from an internship program in agroecology (World Bank 2002). Human Capital Environmental Capital To increase the available pool of indigenous pro- fessionals both in quantitative and qualitative The project supported a land titling and regulari- terms in the long run, the project entered into zation program in collaboration with the Na- Lessons of Indigenous Development in Latin America 57 tional Agrarian Development Institute (INDA). health clinic, etc.). While these agro-business Given the sensitivity surrounding land property ventures might have been seen as private firms rights, the execution of this program was not in that should have been financed with credit, in- the hands of government officials but rather in digenous communities viewed them as public those of locally trained para-legales of indige- ventures, since the communities owned them nous and Afro-Ecuadoran communities. In col- and profits were used to finance public goods. laboration with CARE, the project supported a The project accepted the latter definition, and so training program that aimed to reach about 100 community enterprises were financed on a paralegals and to establish a professional net- matching grant basis. work for them. Given their local background and knowledge of participating communities and After about four years of implementation, organizations, paralegals were in a much better PRODEPINE had supported the preparation of position than outside government officials to 210 local development plans, 1,918 subproject effectively facilitate the resolution of land con- proposals and 830 preinvestment studies. It had flicts. The cooperation agreement between the also financed 654 small investment operations at project and INDA explicitly recognizes the over US$12 million, which had involved an es- integration of para-legales in INDA's timated total of $4.5 million in additional operational procedures for land titling and community contributions. As a special activity regularization. targeting indigenous women, 547 community By the end of 2002, about 122,685 ha of land banks have been created, benefiting 14,022 had been titled for 71 grassroots organizations members (World Bank 2002). and 97,312 ha were being processed. In addition, 160 paralegals had finished their training pro- Lessons Learned gram. Furthermore, 458 community irrigation systems were studied, corresponding to 2,647 Seven main lessons were learned, from the per- km and 37,194 users (World Bank 2002). spectives of the GoE implementing agencies. Financial and Physical Capital 1. Collaboration pays. The relationship among indigenous and Afro-Ecuadoran organiza- The project financed a substantive program of tions, the World Bank, the International small-scale rural investments identified through Fund for Agricultural Development, a participatory planning process at the commu- CODENPE, CODAE, and PRODEPINE has nity level. Investments with a public goods char- been one of learning from each other, mak- acter were financed through matching grants. ing it possible to understand clearly the differ- Investments with a private goods character were ent ways of thinking that orient the behavior of financed on a credit basis. The use of traditional each stakeholder. collective labor (minga) was accepted as the counterpart contribution of the communities for 2. Define roles clearly. The roles, functions and financing particular rural investments. Commu- relations among CODENPE, CODAE, and nity enterprises were also financed under the PRODEPINE were clearly defined in order project. These enterprises were typically some to avoid politicizing the project. CODENPE sort of small-scale agro-business venture owned and CODAE have a policymaking role, by the community and operated by community while PRODEPINE is the Technical Unit for members. After covering all relevant costs, in- the implementation of these policies, based cluding salaries of personnel, eventual profits on the following guidelines: (i) a participa- were ploughed back into the communities and tory approach to avoid the exclusion of invested in social infrastructure (e.g., school, beneficiaries and their representatives; (ii) 58 LCR Sustainable Development Working Paper No. 20 an agile structure and procedures to ensure 5. Build self-development. Some communities project efficiency and efficacy; and (iii) ac- are still trapped in a welfare approach to de- knowledgment of the different ways indige- velopment; the patronizing attitudes of the nous and Afro-Ecuadoran nationalities and State and certain local governments, private peoples are organized. In order to avoid con- companies, and NGOs do not help to over- flicts and better respond to the new legal and come paternalism. Four years of activities in institutional framework, it is necessary to PRODEPINE were not enough to build a define the scope and role of indigenous or- culture of development based on social par- ganizations in the reconstitution of nationalities ticipation, empowerment, and accountability. and peoples, and to work toward coordinating In addition, indigenous and Afro-Ecuadoran the different dynamics currently found in in- organizations need to develop prospective digenous and Afro-Ecuadoran organizations. analyses, gather the lessons learned, sys- tematize their experiences, and promote 3. Resolve conflicts quickly. PRODEPINE has reflection, analysis and research. However, not been exempt from internal conflicts, and PRODEPINE contributed locally to building in resolving them, we identified different an ethic of resource management and pro- types of conflicts. Several arose from a lack moted social participation and an intercul- of information and inadequate participation, tural approach. Now the challenge is to go communication, and debate. In this case, we from paternalism to empowerment, from promptly made room for dialogue and re- isolated or sectoral focuses to integral visions, flection. Other conflicts arose from non- and from small, single projects to investment fulfillment of established agreements and initiatives organized around long-term local consensus, in which case, we worked on de- development proposals. A second phase veloping a culture of fulfillment of duties (PRODEPINE II) aims to help achieve this and obligations. next step. 4. Ensure participation. The experience of the 6. Strengthen human and social capital. The PRODEPINE demonstrated a need to pro- technical focus of PRODEPINE contributed mote participatory planning of local devel- to the formation of human and social capital opment, in order to respond appropriately to by strengthening local capacities. The un- the country's decentralization and de- derstanding that communities gained of the concentration processes. The need is to train need to fulfill certain procedures and apply grassroots communities to organize their given methodologies in order to comply own research, systematically interpret their with technical requirements, ensure quality realities, propose the best solutions to their products and services and achieve the ex- problems, and actively participate in build- pected effects and impacts, disciplines local ing their own future and controlling their leaders and technicians and promotes a cul- own destinies. The project experiences show ture of planning, programming, and responsi- that indigenous and Afro-Ecuadoran com- bility on the job. The experiences generated by munities understand their problems well and PRODEPINE contributed significantly to the should participate in decisionmaking proc- formation and improvement of local social esses related to solving those problems. capital, and demonstrate the importance of PRODEPINE promoted stakeholder training institutional strengthening for improving and reflection, supporting them with instru- management capacity. This made it possible ments and enabling communities to jointly to include community demands on the build their assessments and analyses and to agenda of local governments, promote insti- identify rural development projects in a par- tutional alliances, and form networks aimed ticipatory fashion. to solve concrete development problems. Lessons of Indigenous Development in Latin America 59 7. Diversify sources of income. The survival ments should make it possible to fund opera- strategies of indigenous and Afro-Ecuadoran tional costs and recover investments by charging families combine various sources of income: tariffs for service use or other means that are agricultural activities, temporary labor, and socially accepted by the communities; (iii) with migration. The economic viability of rural regard to investments supporting production and areas is not solely related to traditional agri- community productive infrastructure, despite the cultural production and farm wage labor, but importance of social capital it is not possible to also relies on the formation of microenter- assign microenterprise roles to communities as a prises for production, promotion of different whole but rather to some groups within; (iv) rural services, and in general any sector there are several critical factors if productive where men and women participate in em- subprojects are to succeed: they must respond to ployment­ and income­generating activities. market demands, beneficiaries must assume In the Andean areas of Ecuador, the average risks, and users must be organized as micro- land parcel of indigenous families is less enterprises; and (v) ongoing training, the flow of than one hectare; so increasing agricultural information, and systematic field monitoring of productivity is not necessarily the most ap- local technicians are factors that enable qualita- propriate way to reduce poverty. The promo- tive improvements in the technical assistance of tion of food security through traditional executing agencies and prevent local NGOs or crops often draws attention away from crop technicians from interpreting community de- diversification, market opportunities, and in- mands "in their own way." creased income. We must understand that indigenous families with very little or no As a contrast to the vision of project "insiders," land are the poorest in rural environments, below are the observations of an external evalua- so aid should not be focused solely on pro- tor of the project who has provided advice for a jects to increase land productivity. Rather, it second phase, based on an analysis of selected is imperative to expand the concept of rural subprojects implemented during the first phase:4 development with a productive focus that takes rural-urban relations into account. Ideally, PRODEPINE's successes should Small to medium cities establish links with logically lead into other related projects in surrounding rural areas and promote opportu- an accumulative and progressive fashion. It nities for rural producers through the creation of is unclear from the statistical record of the centers that provide services or encourage trade first round of PRODEPINE projects in the and, in several cases, are where policy deci- different regions whether this kind of pro- sions are made that affect rural areas. gressive growth has occurred. The lessons learned during the four years of In the second phase of PRODEPINE, it is PRODEPINE­funded rural investments point to essential to build directly upon the founda- several conclusions: (i) the sustainability of so- tions already laid in the OSG communities. cial infrastructure investments--classrooms, The next phase can solidify the experience water for human consumption, electricity, rural gained by OSGs and their constituent mem- roads, childcare centers, or health centers--is bers and help institutionalize a "culture of ensured when operational personnel and/or sup- development" within local organizations. plies are included in the budgets of local public This would constitute an innovative break entities (offices of the Ministry of Education, the with past tradition where so many programs Ministry of Health and/or Municipalities); (ii) in simply die after their first years, and com- the case of community­operated infrastruc- ture--community centers, radio stations, solar energy, or irrigation--administrative arrange- 4 Doughty, Paul L. 2003. 60 LCR Sustainable Development Working Paper No. 20 munity­level projects are one-time, chance events. including the formation and strengthening of hu- man, environmental, and physical and financial The second phase can make it possible to capital. The exact specification of interventions grow a "culture of development" that opti- in these fields should take into account how they mizes experience and continues to increase interact with and complement existing forms of the shared values extant among the people social capital. Third, to ensure relevance of the and their communities. It is an opportunity activities financed under the project, its invest- for hope and promise to start becoming a re- ments should reflect priorities established in lo- ality, however modest, by demonstrating to cal development plans elaborated in a participa- people that the development accomplish- tory fashion. Fourth, to ensure ownership and ments of the first phase were not "one shot" ultimately the sustainability of the investments affairs. financed under the project, institutionalizing self-management should be a guiding principle Learning any culture requires repetitive ex- for project implementation (Doughty 2003). perience and consistent patterns of behavior that allow prediction with reasonable poten- The Forest Peoples Program (FPP), a NGO es- tial for attaining the outcomes expected and tablished in 1990 in England to support forest desired. It is cumulative experience that will peoples in their struggle to control the use of coalesce as a "culture of development" with their lands and resources, provides another out- a meaningful set of operational values and side perspective. FPP has been a strong critic of principles to support it, based upon repeated World Bank compliance with its indigenous experience, that validate the process. In ef- peoples policy, but recognizes that PRODEPINE fect, this kind of process would parallel the (in its early phase of implementation) had made "business culture" being developed among a promising start. A field review of the project the ranks of PRODEPINE's sponsoring carried out as part of a FPP study confirmed that agencies. This is a logical goal for the over- the project was bringing real, tangible benefits to all program with respect to the Indigenous target communities in health, education, and and Afro populations, if not all Ecuadorans. community irrigation schemes, where the efforts being made by the project managers are warmly Several design features of the project seem appreciated. Among key elements of the project particularly relevant for other operations of which Bank staff themselves highlight as con- this kind. First, the design should reflect the tributing to its success are: the project's relative capacity of indigenous peoples and ethnic or autonomy; shared decisionmaking which gives racial minorities to mobilize social capital communities and indigenous spokespersons and include efforts to consolidate and genuine involvement in project management; strengthen this capacity, including its cul- transparent procedures; and flexible operations. tural dimensions. Second, the design should The project's "ethnodevelopment" and "self- incorporate a range of complementary inputs, management" approach can be seen to work. Lessons of Indigenous Development in Latin America 61 References Ecuador. CODENPE/PRODEPINE. 2002. Project Closing Report, September 1998 ­ June. Doughty, Paul L. 2003. Ecuador's PRODEPINE Program and Projects, Final Report: Towards Deepening the Impact of Ecuador's PRODEPINE II Program, A Review of Programs, November-December. Griffiths ,T. and M. Colchester. 2000. Synthesis paper, Indigenous Peoples, Forests and the World Bank: Policies and Practice, Forest Peoples Program, Bank Information Center, draft discussion docu- ment, presented at a workshop on Indigenous Peoples, Forests and the World Bank, Washington DC, May. Van Nieuwkoop, M. and J. Uquillas. 2000. Defining Ethnodevelopment in Operational Terms, Latin Amer- ica and Caribbean Region, Sustainable Development Working Paper No. 6, January. Uquillas, J. and M. Van Nieuwkoop. 2003. Social Capital as a Factor of Indigenous Development in Ec- uador, Latin America and Caribbean Region, Sustainable Development Working Paper No. 15, September. 61 62 LCR Sustainable Development Working Paper No. 20 The Indigenous Communities Development Project in Argentina Sandra Cesilini, Isabel Tomadin, and Melanie A. Eltz World Bank, Buenos Aires and Washington, D.C. Situation of Indigenous Peoples in results are not yet known and the National Insti- Argentina tute of Statistics and Census (INDEC) is work- ing with representatives of indigenous communi- The indigenous peoples in Argentina continue to ties on a complementary census. be the most marginalized. Lacking official cen- sus data, nongovernmental organizations Legal and Political Framework of (NGOs) and indigenous organizations have es- Indigenous Peoples timated that the number of indigenous peoples is between 800,000 and 2,000,000. It is believed The 1994 Constitution of Argentina is a very that a very high percentage resides in rural set- important document that includes almost a tlements and in communities representing ap- dozen indigenous concepts in a single article. It proximately three to five percent of the country's offers a wide spectrum of securities by utilizing total population. These sources indicate that updated language referring to indigenous there are about 24 indigenous groups and more "peoples" as stated in Convention No. 169, Con- than 800 communities in the entire country. In cerning Indigenous and Tribal Peoples (1989), some provincial cities, there is a very high con- which Argentina ratified on July 2000. Moreover, centration of indigenous families due to urban it recognizes the "ethnic and cultural pre-existence" migration (CELS 2002: 5). of indigenous peoples with the collective right to their own identity. It also establishes the right to a The last National Census of Population, House- "bilingual and intercultural education" (Art. 75, hold and Housing of 2001 contained a specific clause 17). Indigenous peoples in Argentina pos- question on indigenous descent. However, the sess important rights over their lands, including Constitution of the Republic of Argentina, August 22, 1994 Article 75: Clause 17 ...recognizes the ethnic and cultural pre-existence of indigenous peoples in Argentina. ...guarantees respect for their own identities and the right to a bilingual and intercultural education; recognizes the legal entity of their communities, and the possession and collective ownership of the lands they traditionally occupy; and regulates handover of other [lands] suitable and sufficient for human development; none of these [lands] will be transferable, transmissible, or susceptible to liens or seizures. ...assures their participation in the management of their natural resources and other interests which affect them. The provinces can currently exercise these functions. http://www.constitution.org/cons/argentin.htm 63 64 LCR Sustainable Development Working Paper No. 20 acknowledgement of collective property owner- digenous communities, improvement of indige- ship and participation in the management of nous capacities for sustainable management, and natural resources. These collective land owner- capacity building within the communities. The ships are non-transferable and will increase with project works with all government levels and the State's handover of "other suitable and suffi- other actors involved in the pilot areas and in cient [lands] for human development" (Barié). activities with indigenous peoples outside the project. The project would develop "models," and extract lessons focusing on a future exten- Project Background sion of the program in other indigenous areas. Three pilot areas were selected: The Indigenous Communities Development (ICD) Project began in 1997 with a grant from · the Mapuche of Pulmarí IPA, in the the World Bank's Institutional Development Province of Neuquén, Fund (IDF). This grant was used for a program · the Diaguita-Calchaquí of Amaicha del to strengthen the capacity of organizations and Valle and Quilmes IPA, in the Province indigenous peoples in Argentina, including an of Tucumán; and emphasis on understanding programs financed · the Kolla of Finca Santiago IPA, in the by the World Bank. The program was carried out Province of Salta. between January 1997 and December 1998, and was the responsibility of the National Center of Community Organizations (NCCO), which was The Kolla Community in Finca part of the Secretariat of Social Development at Santiago the time. Finca Santiago (125,000 ha) is located in the One of the program's results was that indigenous Alto Bermejo basin in the Province of Salta. The organizations presented a series of initiatives population is concentrated in four communities: containing specific proposals for the sustainable Isla de Cañas, Río Cortaderas, Volcán Higueras development of communities with ownership of and Colanzulí. The indigenous peoples who in- their lands. habit Finca Santiago identify themselves as Kol- las, which Magrassi (1982) defines as a "gener- The World Bank pledged its technical and finan- alized denomination for the Puneños, their de- cial support for the project, and detailed design scendants, a few Quebradeños and even Vallis- work began in October 1998. The project sought tos, and every other population of Quechua- to establish an Indigenous Areas Pilot (IPA) to Aymara origin." The four communities targeted strengthen capacity to manage, use, and control in the project, who inhabit Finca Santiago, are the land and its natural resources, avoid capital- Kollas. They live a traditional Andean life with intensive activities, and promote activities based their cultural norms (such as the Pachamama or on the traditional culture of the indigenous mother earth cult), pastoral economy, potato and communities who inhabit the areas. corn agriculture, housing construction, tradi- tional medicine, musical instruments such as erques, quenas, and cajas, rituals and social Project Summary practices. They are descendants of the original inhabitants of the Northwest who established The main objective of the ICD project is to es- scattered settlements in the highlands of Puna tablish the basis for community development and Quebrada de Humahuaca during the XIX and for the protection and management of natural century and differentiated themselves from other resources in the lands of indigenous communities. mestizos in the area. The Kollas' incursions in It includes social and cultural strengthening of in- the Yungas lowlands may be very recent and Lessons of Indigenous Development in Latin America 65 related to the nomadic system of cattle manage- Tala Paso and Pichao, which are located in the ment. areas of the Amaicha del Valle. The project is implemented through three com- The Mapuche Communities in ponents: Pulmarí · Social and Cultural Strengthening of Indigenous Communities. This entails The indigenous peoples inhabiting Pulmarí iden- activities to strengthen the capacity for tify themselves as Mapuches, "people of the self-development and to promote earth," descendants of the Araucanians of south- activities closely linked to traditional ern Chile. Textbooks commonly refer to their knowledge and culture. lifestyle as part of the "plains culture." Six · Sustainable Use of Natural Resources. communities live within 110,000 hectares of The goal is to enable indigenous organi- zations to formulate natural resources land administered by the Pullmarí Inter-State management plans for indigenous areas Corporation in the Province of Neuquén, in the by funding environmental and sociocul- locality of Aluminé. Long ago, the Pehuenches tural analysis; assessment of resources; occupied the land in the southern plains of what soil, water. and forestry planning and it is now Argentine territory. "Pehuenches" is the management services; specific mecha- tribal name taken by the Araucanians, signifying nisms to reduce environmental risks; as that they were "people of the pine trees" (pe- well as preparation and execution of huén: pine tree; che: people) because they community subprojects (CSs) in the in- settled among the pine trees of Neuquén and the digenous areas. Araucaria pine kernel was their staple food · Project Management. This component (COPADE 1987; Martínez Sarasola 1992). is intended to guarantee the efficient management of the project at the central and local levels. The Diaguita/Calchaquí Communities in Quilmes de Amaicha del Valle The total cost of the project is US$5.8 million, including a US$5 million loan from the World The Diaguita/Calchaquíes Communities of Ama- Bank and US$0.8 million from the Argentine icha del Valle are located in the Tucumán por- government. This Learning and Innovation Loan tion of the Calchaquíes Valleys in the region of (LIL) originally had a three-year duration (2000- the Tafi Department, in the northwest of the 2003), and was extended by another year until Province of Tucumán. The Amaicha del Valle December 2004. community falls within the Rural District of Amaicha del Valle and part of the Rural District of Colalao del Valle. The members of the Amai- Status of Indigenous Communities cha and Quilmes communities targeted by the Development Project (ICD) in 2004 project are part of the "mountain culture" and descendants of the Santa María culture, which During its first years, the project encountered settled in Tucumán, Salta, and Catamarca around diverse difficulties and had disbursed less than the year 1000. The community is found within 8% of the US$ 5,800,000 available by the end of the limits established by the Cédula Real on 2003. Beginning in August 2003, the Ministry of 110,000 hectares recognized by the Diaguitas of Social Development decided to carefully follow Quilmes and is concentrated in five main settle- the project, a task that the Institutional Strength- ments: the Collado del Valle, Bañado, Anjuana, ening of International Financial Administration and Coordination Unit (Unidad de Coordinación Administrativa y Financiera Internacional, 66 LCR Sustainable Development Working Paper No. 20 UCAFI) of the United Nations Development Lessons Learned Program (UNDP) concentrated on. As a result of this technical assistance, the problems facing the 1. Capacity-building is a valuable project's performance and management compo- pre-investment nents were resolved by December 2003. The first community subprojects (CSs) were ap- Eight indigenous consultants were in charge of proved and loans were subsequently disbursed to assisting the INAI team and the World Bank in the indigenous organizations. the main aspects of project preparation. They arranged community meetings to discuss the The active participation of the Indigenous Con- options for sustainable development, gather in- sultative Council has enabled the project to con- formation, recommend courses of action, partici- tinue, especially with the change in government, pate in policy decisions, and act as a link between which brought about a change in the direction of the indigenous communities and the INAI­ Indigenous Communities Development. World Bank team. However, by March 2004, the project continued The previous training in project design, made to flounder, requiring strong intervention and possible through an IDF grant, aimed to follow-up by the Ministry through the UIFAC. strengthen the capacities of indigenous organiza- Among the main issues to be addressed was the tions to plan, administer, and participate in need to select a coordinator and sub-coordinator dialogue with the government. It created a group through competitive recruitment and to form a of indigenous leaders trained in World Bank and Project Execution Unit (PEU), staffed by government project processes. It promoted professionals with experience in management skilled participation in project design and in and organization of internationally­financed monitoring of the entire project cycle. projects or programs at the national level, to facilitate and accelerate the efficient execution 2. Weak institutions generate significant management problems of the ICD project. The Local Management Unit (LMU) needs to continue monitoring The institutions that deal with indigenous issues and following the project to ensure proper are generally weak and lack the political influ- execution of the CSs. ence necessary to complete high-level negotia- tions without intervention from other institu- This year the Ministry of Social Development, tions. An inadequate and overly optimistic insti- through the National Institute of Indigenous Af- tutional analysis was performed during project fairs (Instituto Nacional de Asuntos Indígenas, preparation and for a long time impeded finding INAI) and the Secretariat of Social Policy, has solutions to the bottlenecks generated by the the task of considering the essential contents of weak institutions. indigenous policies. This implies the important task of establishing regional and national meet- 3. The key role of provincial government ings of indigenous peoples to agree on common relations with indigenous peoples in a positions as well as areas for negotiation and federated country agreements with national government represen- tatives. It will also create an important stimulus Despite being a project in which debt is com- for investigating and preparing judicial and legal pletely assumed by the national government, the proposals, to be supported by the IDC, within federal government setup makes it necessary to the framework established by the national con- establish cooperation mechanisms with the prov- stitution. inces. This has not been accomplished in all cases and has undermined technical capacities at Lessons of Indigenous Development in Latin America 67 the local levels. Furthermore, tension between ported the project with its political, administra- the provinces and the communities has been ac- tive, and technical structure. However, there has centuated by the federal government's direct not been a similar commitment from intervention. However, it is important to all in- intermediate levels of the government. This digenous peoples that the country fulfill the raises questions for the World Bank about who relevant provisions in the Argentine constitution. the client is, and how to sensitize the relevant parts of the government about indigenous issues. 4. The Indigenous Areas Pilot (IAP) Projects Fortunately, there are strong signs that the Min- needed to respond flexibly as problems istry of Social Development is willing to make emerged the necessary changes to accelerate project im- plementation, which has been welcomed by the The areas were selected on the basis of existing beneficiary indigenous communities and the collective property ownership of land, without World Bank. objective, systematic analysis to determine the priority areas. In two out of three IAP projects, 7. The role of the communities' authorities legal problems complicated the project's initial execution. The selection criteria for the areas to It is important to back communities, so various be incorporated are being revised with GoA. mechanisms of support to community authorities Flexibility is necessary to enable the project to must be included in the project. This helps expand to new areas and to accelerate project guarantee the continuance of the project and execution. The institutional framework for the plays a key role in providing incentives for project has been redesigned by utilizing new social participation. tools and coordinating the IDC project with large national plans for feeding, productive, and infrastructure programs. 5. The project's scale influences the national government's commitment Compared with other large programs, such as the Head of Household (US$600 million), the small LIL credit of only US$6 million does not get attention from those executing it. It would be better to formulate larger and broader projects, Sandra Cesilini is a Senior Social Development and perhaps as part of an Adjusted Programmatic Civil Society Specialist, The World Bank, Argentina, Loan. Environmentally and Socially Sustainable Develop- ment Unit. 6. Lack of official project ownership Isabel Tomadin is a Consultant, The World Bank, Argentina, Environmentally and Socially Sustainable Development Unit. The communities involved, the relevant national Melanie Eltz is an Assistant, The World Bank, Latin and provincial indigenous organizations. and the America and the Caribbean Region. Environmentally World Bank have guaranteed the survival of the and Socially Sustainable Development Unit. project until now. The World Bank has sup- 68 LCR Sustainable Development Working Paper No. 20 Annex: The Main Actors Project Execution Unit (PEU) UIFAC's low level of involvement at the begin- ning of the project may be due to the low The Project Execution Unit (PEU) functions amount of funding for this project compared to within the National Institute of Indigenous Af- other projects in the MSD. One of the weak- fairs (NIIA), although the NIIA itself has little nesses is the lack of communication between the involvement in the project. The PEU is respon- PEU and UICAF. Positive aspects include its sible for the execution of the project, and is led decision to continue with the preparation of CSs by a director and sub-director. The PEU has a in the communities and the technical contribu- technical team of professionals in different the- tions made by its staff. matics along the lines of the project, recruited by the NIIA. The weaknesses of the PEU are: (i) its Consultative Council (CC) scarce knowledge of World Bank procedures; and (ii) leadership turnover--a director and sub- The Consultative Council (CC) could hold meet- director were in place from November 2002 to ings with the PEU, UICAF, or in the Indigenous July 2003, but an interim director and subdirec- Areas Pilot. To date, it still does not have inter- tor were appointed from October to December nal bylaws by which to function. The internal 2003. The PEU's strength lies in its knowledge elections of the local councils can modify the of indigenous affairs and in having made pro- term length of the CC members. The CC's gress with community work despite institutional strength is its members' high degree of commit- instability. ment to the project. International Financial Administration Local Operations Unit (LOU) and Coordination Unit (UIFAC) The Local Operations Units (LOUs) comprise The International Financial Administration and coordinators, promoters, administrators, and par- Coordination Unit (UIFAC) functions within the tially formed groups of technicians recruited Ministry of Social Development (MSD). It is under the Lending Agreement. A point of responsible for administrative and financial ac- strength is LOU members' high degree of com- tivities, and has at least two coordinators. The mitment. A weakness is the LOUs' poor knowledge of the procedures required by the gov- ernment and the World Bank. Lessons of Indigenous Development in Latin America 69 References Aborigines. http://www.tierradegauchos.com/Indios/ Barié, Cletus Gregor. 2003. "Pueblos Indígenas y derechos constitucionales en América Latina: un panorama," 2nd edition, Bolivia. Center of Legal and Social Studies (Centro de Estudios Legales y Sociales: CELS). 2002. Aborigine Communities in the Republic of Argentina, legislation. http://www.madryn.com/pm/endepa/ Constitution of Argentina. http://www.constitution.org/cons/argentin.htm National Institute of Statistics and Census (INDEC). 2003. Aborigine Communities of the Republic of Argentina, INCUP, Institute of Culture. Martínez Sarasola. 1992. Nuestros Paisanos los Indios. COPADE. 70 LCR Sustainable Development Working Paper No. 20 Indigenous Peoples Natural Resources Management and Biodiversity Conservation: The Matavén Forest's Conservation and Sustainable Development, Colombia Juan Pablo Ruiz World Bank, Bogota, Colombia Introduction (WWF/World Bank report 1996). The ecosystem map of Colombia identifies 65 ecosystem types Conservation and Sustainable Development of (Alexander von Humboldt Institute 1998). the Matavén Forest is a Global Environmental Facility (GEF) Medium-Sized Project (MSP). According to post-census studies by the National The project's executing agency is a Colombian Department of Statistics (DANE), in 1997 NGO named ETNOLLANO. In addition, an in- Colombia's indigenous population comprised digenous organization named ACATISEMA has 785,356 people belonging to 82 different ethnic been thoroughly involved throughout the pro- groups (National Development Plan 1998­ ject's execution. The World Bank is the imple- 2002). Most (83.9 percent) of these indigenous menting agency. peoples live in 534 reserves covering 29.8 mil- lion hectares (nearly 28 percent of the national The project's objective is to support indigenous territory). This cultural diversity provides a great communities in the Matavén Forest in managing wealth of traditional knowledge regarding natu- and conserving natural ecosystems, thereby im- ral resource use and sustainable management. proving their overall quality of life and preserving Furthermore, most indigenous reserves are cov- their natural and cultural heritage. The rationale ered by natural forests containing a significant behind this project is that conservation based on share of the country's biodiversity (World Bank relationships among personal health, nutrition, 2003). and natural resources is profitable to local com- munities and constitutes the only alternative to Colombian legislation includes several recent an extractive economy. The sustainable use of developments regarding indigenous lands, or natural ecosystems assures the local population's resguardos. According to the Constitution, res- future, health and well-being, while protecting guardos are held in perpetuity by indigenous globally significant biodiversity in the Matavén peoples and cannot be sold. These ancestral ter- Forest. ritories are considered to have always belonged to indigenous peoples. Legal recognition brings The Colombian Context with it the acknowledgment of collective indige- nous rights to the soil and forest resources con- Colombia is generally recognized as one of five tained within these territories (Article 330, Political "mega-diverse" nations in the world and has one Constitution). These indigenous territories have a of the highest concentrations of species per unit status equal to that of municipalities (Article area (Mittermeier 1998). The country is home to 357, Political Constitution) and as such are enti- about 15 percent of all known terrestrial species, tled to receive state payments (transferencias) including the largest number of species of birds for health, education, and social programs, and and amphibians in the world, and one of the to meet their local governance responsibilities largest numbers of vascular plants and verte- through the Sistema General de Participaciones brates. Colombia has 18 ecoregions, the second (Gaia 2004). highest of all countries in Latin America 71 72 LCR Sustainable Development Working Paper No. 20 The 1991 Political Constitution defined the po- GEF Portfolio and Indigenous litical-administrative and financial decentraliza- Participation tion of Colombia, including the division of the nation into departments, municipalities, indige- Colombia's outstanding social and natural en- nous territorial entities (ETIs,), provinces, and dowment is reflected in the country's current regions. The establishment of ETIs is to be regu- GEF portfolio which falls largely within the bio- lated by a legal process (Ley Orgánica), which diversity thematic area and includes initiatives has yet to be passed by Congress. Meanwhile, under four different Operational Programs (OP2, the law allows indigenous organizations known OP3, OP4, and OP12.) The various proposals, at as Associations of Traditional Indigenous Au- different stages of preparation and implementa- thorities (AATIs) to be conformed and legally tion, target key representations of the county's recognized (Gaia 2004). wide spectrum of ecosystems, geographical ar- eas, environmental and social issues, from the Decree 1088 of 1993 recognizes AATIs as "spe- Andean Páramo to the Amazon Forest, and from cial character" public entities, responsible for the the Pacific Coast to the Caribbean. Almost half political and administrative management of their of the projects work with or are closely related respective territories. Local communities select to indigenous communities. While GEF's range AATI members, who are usually elders. It is of initiatives is justified by the country's social their responsibility to define and implement, in and ecological diversity, its interventions call for collaboration with the communities, local plans a coherent and strategic approach that optimizes for sustainable development and environmental resource allocation, ensures synergies and com- management. The AATIs coordinate their pro- plementarities within the GEF biodiversity win- grams through inter-administrative agreements dow, and maintains coherence with national pri- with the regional and national governments, and orities, policies and plans. with state funding from transferencias. In some areas of the Colombian Amazon, AATIs have The Colombia GEF biodiversity projects share a acquired considerable experience over the last common vision and strategy whose main charac- decade, while in other regions they still have not teristics are: 1) conservation of globally impor- been conformed. tant biodiversity through the sustainable use of natural resources; 2) identification and removal In summary, indigenous peoples are required to of barriers to sustainable production systems, as define their own development land use plans, part of a strategy to prevent biodiversity loss; 3) which are reviewed by the Ministry of the Envi- local community and civil society participation ronment and then approved by the relevant au- in defining and executing the conservation strat- thority of each indigenous organization. These egy; 4) identification and implementation of a plans provide the framework for land use and broad range of protected area management cate- environmental planning and sustainable use of gories for a more comprehensive conservation natural resources in the resguardos, or ETIs, strategy, and 5) decentralized environmental based on their traditional knowledge. According management at the regional and local levels, as a to Law 388, all municipalities must define a ten­ necessary factor for the success of any biodiver- year plan regarding land use and environmental sity conservation strategy. planning (Plan de Ordenamiento Territorial, or POT). Lessons of Indigenous Development in Latin America 73 The World Bank biodiversity conservation and and Freshwater Ecosystems. The project started natural resource management portfolio in Co- in September 2000. lombia consists of eight projects. Six of the eight are under implementation and two are under 4. Capacity Building for the Implementation preparation. Summary project descriptions fol- of the Cartagena Protocol on Biosafety in Co- low. lombia. This is a medium-sized GEF, with the von Humboldt Institute as the executing agency. Under implementation: The project's development objective is to in- crease capacity building in biosafety in Colom- 1. Conservation and sustainable use of biodi- bia, within OP14, as part of other biosafety pilot versity in the Andes region. This full-sized projects. The project start-up was January 2004. GEF project is executed by the von Humboldt Institute (National Biodiversity Institute). The 5. Naya Biological Corridor in the Munchi- project's development objective is to increase que-Pinche Sector. This is a medium-sized conservation, knowledge, and sustainable use of GEF project with CIPAV as the executing globally important biodiversity in the Colom- agency. The project objective is to establish the bian Andes, within OP4­Mountain Ecosystems, Naya Biological Corridor in the Munchique- and OP3­Forests. The project started in Septem- Pinche sector of the Chocó bioregion through ber 2001. participatory methods, within OP3 and OP4. The project's rationale is the conservation and sus- 2. Regional (Nicaragua, Costa Rica, Colom- tainable use of biodiversity and the development bia) Integrated Silvo-Pastoral Approaches to of strategic land use planning in the Naya Corri- Ecosystem Management. This is a full-sized dor. The participation of stakeholders, including GEF project whose executing agencies are Nit- indigenous groups, is a cornerstone in the con- lapan (a Nicaraguan NGO), CATIE (Costa Rican servation and establishment of activities which Research Institution), and CIPAV (a Colombian encourage biodiversity-friendly agricultural pro- NGO). The project's objective is to improve duction. The project start-up was February 2004. ecosystem functioning in the three countries by developing intensified silvo-pastoral systems 6. Conservation and Sustainable Develop- that provide global ecological services and local ment of the Matavén Forest. This is a medium- socioeconomic benefits, within OP12. In Co- sized GEF project, executed by ETNOLLANO, lombia, the area selected for the project is "La a Colombian NGO. The project's objective is to Vieja" corridor in the departments of Quindío support the indigenous communities of the and Valle del Cauca which connects the pro- Matavén Forest in the sustainable management tected areas of Las Hermosas, Los Nevados, and and conservation of the natural ecosystems, Tatamá Natural Parks. The project start-up date thereby contributing to improved quality of life was August 2002. and preservation of their natural and cultural heritage. It falls under OP3­Forests, and the pro- 3. Caribbean Archipelago Biosphere Reserve: ject start-up was in June 2001. Regional Marine Protected Area System. The executing agency for this medium-sized GEF Under preparation: project is CORALINA (Regional Environmental Authority). The project's objective is to conserve 1. Strengthening of Indigenous People for the biodiversity and ensure sustainable use of Preservation and Sustainable Use of the Co- coastal and marine resources in the Archipelago, lombian Amazon Ecosystem. This full-sized while enhancing equitable benefit distribution GEF project, whose executing agency is Fun- for the community, within OP2­Coastal, Marine, dación GAIA, seeks to promote conservation of the Colombian Amazon's tropical forests by 74 LCR Sustainable Development Working Paper No. 20 supporting integrated management of natural Conservation and Sustainable resources in indigenous territories and strength- Development of the Matavén Forest: ening indigenous communities' capacity to pre- Principal Outcomes serve the traditional landscape of the Amazon forest ecosystem and its biodiversity. The project A major project achievement was obtaining the will support the preparation and implementation national government's recognition of indigenous of life plans by indigenous communities; these land rights over 904,236 hectares encompassing plans will define their long-term strategy to en- the central region of the Matavén Forest. This sure the conservation and sustainable use of bio- project is among the most important conservation diversity. (GEF PDF-B approval: March 2004.) initiatives led by indigenous groups, because it was linked to a comprehensive organizational and land 2. Conservation of Biodiversity in the Sierra governance process. As an important by-product of Nevada de Santa Marta. This is a full-sized the project, Matavén boasts its own association GEF project whose executing agency is the of indigenous authorities (ACATISEMA), which Fundación Prosierra Nevada de Santa Marta, a has been strengthened with a knowledge base Colombian NGO. This project's objective is to and the development of cartographic maps nec- conserve, restore, and promote sustainable use essary for the elaboration of land management of the mosaic of tropical ecosystems in the Si- plans. erra Nevada de Santa Marta, within OP4­ Mountain Ecosystems, and OP3­Forests. Another positive outcome was the increased participation of women. Currently, five of the 17 There is no geographical overlap among these board members in ACATISEMA are women rep- projects. However, there are interesting syner- resenting all of Matavén's zones and cultural gies among most of these projects, namely: Con- regions. The project has also provided training servation and Sustainable Development of the to help promote handmade crafts as an economi- Matavén Forest, Conservation of Biodiversity in cally and ecologically viable alternative for the the Sierra Nevada de Santa Marta, Community- Matavén communities. "Ethnic Matavén handi- Based Management for Conservation of the craft," made primarily by women, is currently Naya (Chocó), Strengthening of Indigenous well positioned in the national market, and the People for the Preservation and Sustainable Use high quality baskets have solid export potential. of the Colombian Amazon Ecosystem, Conser- vation and Sustainable Use of Biodiversity in the The project's principal outcomes include: Andes Region, and Integrated Silvo-Pastoral Approaches to Ecosystem Management. The 1. Biological and socioeconomic informa- first four projects work with indigenous com- tion submitted to the Colombian government munities and all six work on land management to support the creation of new resguardos or and sustainable use of biodiversity. A mecha- to enlarge original resguardos. nism for sharing experiences among projects has been incorporated into project design, and in- 2. Resolution 37-03 (July 2003) issued by cludes exchange program visits, and the creation INCORA (Colombian Land Reform Insti- of a network of communities working on the tute) to increase Matavén Forest resguardos same issues in different geographical areas. from 950,000 has to 1,850,000 has. 3. Ecological Zoning and Management Plan for the entire region covered by resguardos. Lessons of Indigenous Development in Latin America 75 4. The creation and consolidation of 3. IP lack trust in outsiders, especially the ACATISEMA, a local indigenous organiza- World Bank. tion for resguardo management and admini- stration. ACATISEMA includes sizeable During project start-up, it was necessary to ex- participation of women. plain the World Bank (WB) and its Safeguard Policies to the different stakeholders. The WB 5. The support of handmade craft production Team must design a strategy to gain enough con- and market development at national level. fidence from stakeholders to create a working relationship. Lessons Learned 4. Project sponsors must demonstrate that The principal lessons learned over three years of they will not appropriate traditional project execution are the following: knowledge. 1. Every project involves a relationship In Matavén we had to prove to IP that the Bank between IP and western society. was not going to appropriate traditional knowl- edge. We made clear that research about traditional In the Matavén project, indigenous health work- knowledge would be undertaken only after con- ers were the main link among the Project, the sulting with them and that the indigenous com- NGO, and the indigenous communities. The munity would decide which themes would be principal strategy was to integrate western medi- researched and which themes would be re- cal treatment with traditional medicine, which spected and not researched, according to their considers harmony with the environment and ancestral practices. Projects should support the other people as fundamental to personal well- consolidation of traditional culture as well as being. As a result of this process, health workers respect its wisdom regarding interaction with began to concern themselves with environmental modernity. conditions, land rights, and adequate land man- agement. This was the origin of the project pro- 5. Traditional customs regarding gender posal. Projects should be careful not to isolate should be respected. IP, but rather to find a harmonious relationship with them and their environment. Prior to the Matavén project, handmade craft production primarily involved women. The 2. Two critical success factors are land rights project strengthened this focus at the request of and IP land governance. the indigenous community. ACATISEMA sup- ported women's participation in their subproject Titling of indigenous lands was a key success and later in the management board of their asso- factor in the Matavén project, and was achieved ciation. This board currently has five women through cooperation between the association of among its 17 members. When IP propose gender indigenous leaders, ACATISEMA (Asociación de equality in a project, it should be supported. Cabildos y Autoridades Tradicionales Indígenas de However, gender equality should not be a pre- la Selva de Matavén) and a Colombian NGO requisite for donor involvement, since donors named ETNOLLANO. Current work is focused should respect indigenous cultures. on designing and implementing a plan regarding IP land administration. Support for indigenous 6. Working with IP institutions demands land management should be a core element of IP more time in the initial phases, but saves time projects, whether it involves obtaining legal land and effort in the long term. titles or focuses on effective management of in- digenous lands. 76 LCR Sustainable Development Working Paper No. 20 From the beginning, the Matavén project worked nally, roles can change over time, according to with indigenous health workers. However, when project circumstances and institutional develop- tackling issues such as land governance it was ment. necessary to work directly with indigenous au- thorities (captains, leaders, and traditional doc- IP organizations should be certain that no third tors), which led to the creation of ACATISEMA. party is assuming a role that they themselves This indigenous organization has consolidated have the capacity to fulfill. If this happens, they itself so that it participates directly in the admini- should discuss the issue with other project part- stration and execution of some of the project's ners in order to redefine roles and activities. As components and activities, through partnership indigenous organizations consolidate, NGOs with NGOs and other entities. Work performed should assume more limited roles. If the roles of with IP in the beginning stages facilitated project the two types of organizations are not comple- design and integrated the indigenous organiza- mentary, IP will doubt that NGOs and other or- tion in project execution. ganizations are truly representing their interests. Projects should try to share responsibilities 7. Demand-driven subprojects favor local among IP, NGOs and GO, and as much as possi- community ownership. ble make IP the recipients with NGOs as sup- porting partners, and not vice versa. The Matavén project has supported handmade craft production at the request of IP. This was 9. Protected Areas and Comanagement have not their only appeal; IP asked for support in affinities, but negative precedents exist cattle ranching, where ETNOLLANO had no between governments and indigenous experience and which was contrary to the organizations. project's objectives. In every case, supporting subprojects is an important yet sensitive issue In Matavén different possibilities regarding land that can easily generate internal ruptures within ownership were analyzed; indigenous organiza- indigenous organizations. Not all demand-driven tions opted for resguardos and not for a National subproject proposals need be supported. Natural Park that they would manage. In this manner, IP created the resguardos. The tradi- 8. NGO roles need to be clarified to create tional management focus on protected areas has effective teams with indigenous organizations. generated negative effects and conflictual situa- tions that must be acknowledged and changed. In the Matavén project, the NGO received the The Bank has good examples of positive syner- funding and wrote the proposal with indigenous gies between protected areas and comanagement health workers. One of first project activities that should be shared with indigenous partners in was to support ACATISEMA's creation and de- protected areas. velopment. Currently, ACATISEMA manages some of the financial resources and new pro- 10. Indigenous organizations should be jects. Decisions about the roles of NGOs and prepared for responsible financial indigenous organizations should follow four management. guidelines: (i) the role must be useful to the pro- ject; (ii) the organization that assumes the role Indigenous organizations tend to be inexperi- must be capable of meeting its requirements; enced in simultaneous management of power, (iii) said organization must be satisfied with the self-determination, and financial resources. This functions it will fulfill; and (iv) the remaining situation may require the presence of responsible organizations should agree that the role be third parties at the beginning of a project and as awarded to that specific entity and believe that a transitory process. During this project, the entity is capable of assuming the role. Fi- ETNOLLANO played a critical role in Lessons of Indigenous Development in Latin America 77 ACATISEMA's development and consolidation. Information sharing and dissemination is essen- ACATISEMA is leading the land planning and tial to project success. Systematic repetition is financial administration of recent projects. It part of the transmission process. Nothing may be should be recognized that a mixed team can assumed to be obvious. A specialist or a staff bring benefits to a project. member with experience on the subject must constantly reinforce good communication proc- 11. Bank staff should present the Safeguard esses. Many projects fail due to poor Policies to stakeholders from the beginning communication. and apply their principle of participation. 13. Stakeholders have different priorities; In Matavén the Safeguard Policies (SP) were respect differences and find synergies. explained, but the Bank team reacted to the con- cerns expressed by the indigenous community In the Matavén region, conservation was linked instead of being proactive. As a result of lessons to land titling, the community's physical health learned in Matavén, the SP were presented at the and land governance. As in its work with gov- beginning of the more recent project, "Venezuela ernments, the Bank's role is to give continuity to Indigenous-Institutional Partnership for Biodi- its projects with IP even during changes in lead- versity Conservation in the National Parks Sys- ership. When leaders change, it may be neces- tem." The results were positive for indigenous sary to renegotiate project priorities and make and governmental organizations and facilitated sure that the new leaders are satisfied with their the project's work with IP. participation in the project. Learning about the SP increases the trust that IP In Matavén, an inter-institutional group called have in the Bank; in turn, Bank principles of GIA (Grupo interinstitucional de apoyo al action become clear to all project partners. Gov- proceso Matavén,) was created, and became ernment agencies unwilling to commit to the SP critical to the coordination of activities. The must renounce Bank funding. It is important that links between IP development priorities and the Bank team introduce the SP and works under conservation efforts need to be made evident. their guidance, instead of seeing them as obsta- However, one cannot assume that IP are always cles to projects and avoiding their fulfillment. "conservation friendly," and their political The principle of participation is not equally agenda should be understood and not important to all stakeholders. Periodically, the underestimated or disregarded. Bank should verify whether all project partners believe that this principle is being met satisfacto- 14. IP project visits are more important than rily. theoretical discussions. 12. Miscommunication between stakeholders During the Matavén project, several indigenous is more frequent than assumed. leaders from ACATISEMA visited the Kuna (Kuna-Yala) region in Panama, meeting with the During the beginning stages of the Matavén pro- group's leaders and artisans. This allowed ject, Bank staff discussed the project proposal ACATISEMA leaders to understand how the with indigenous leaders. This was possible due Kunas managed their lands, and to learn about to the trust previously generated by the indige- their production and commercialization of han- nous health promoters and ETNOLLANO. The dicrafts. A year later, also with WB support, a initial discussion centered on the creation of a group of Kuna leaders and women artisans from reservation and its place in the larger project. the Mola Cooperative traveled to Matavén to Without previous agreement, it would have been learn about the enlargement and administration impossible to follow through with the project. of the group's reservation, as well as its work 78 LCR Sustainable Development Working Paper No. 20 work with handmade crafts. These experiences Conclusion widened the perspective of Matavén leaders regarding the project's possibilities and in- The GEF three-year MSP in Matavén is a clear creased their confidence in indigenous land gov- example of a participatory approach to project ernance. design and execution that increases stakeholder participation. Matavén's success was based Visits to projects that have been completed or largely on the ability to build upon ongoing and are in an advanced stage contribute to a stronger previous efforts. Project outcomes would not sense of trust in the WB, allowing partners to have been achieved without prior advances in see the Bank's proven results in other projects. Colombian legislation or a long history of joint The WB and GEF have not taken enough advan- collaboration between Colombian NGOs and tage of this potential. There should be indigenous communities. The project was simple mechanisms in the preparatory phases to support in its design and had clear objectives rather than these visits, focusing on land titling, traditional promoting a multiple and unattainable agenda. knowledge, property rights. and sustainable pro- duction systems, among other themes. Projects with indigenous groups possess particu- lar elements that must be taken into account. 15. Institutional arrangements require However, these projects also share several ele- sustainable financial support. ments with other conservation and sustainable use of natural resources projects that do not in- The Matavén project covered travel expenses volve indigenous groups. Several commonalities and provided some compensation for the time are worth highlighting: (i) local benefits and indigenous members spent away from working community participation are indispensable to the their lands. ETNOLLANO and ACATISEMA sustainability of a natural ecosystem conserva- agreed on the amount of these reimbursements. tion proposal; (ii) the links between local inter- ests and project goals (whether goals of the The most appropriate way to account for ex- funding agency or the dominant society) must be penses and perhaps even reimburse indigenous evident and strong, and while the two groups participation should be agreed on a case-by-case will not necessarily have the same goals, there basis. It is not clear whether indigenous partici- should be positive synergies between them; (iii) pation should be reimbursed and if so, what the respecting cultural differences means not impos- most effective way to do it is, as reimbursement ing institutional criteria (in this case, those of the may lead to tensions within the communities. World Bank) but rather designing a specific Most importantly, projects should not assume strategy to harmonize criteria and priorities that that indigenous organizations should or will arise from different cultural contexts. work without compensation. There are also lessons specific to indigenous 16. Bank and IP time concepts are different, community projects worth mentioning. First, but agreements can be reached. involving and empowering indigenous organiza- tions from the beginning stages of project imple- The Matavén project deadlines were met accord- mentation brings benefits to their socioeconomic ing to a timetable agreed on by all project part- well-being as well as to biodiversity conservation. ners. It should be clear to stakeholders that meet- Second, clear and consistent messages are ing deadlines is positive for a project, and that needed regarding the institutions to be involved moving deadlines forward should be clearly jus- in the projects and the interests of each organiza- tified. tion in participating in or financing each activity. Lessons of Indigenous Development in Latin America 79 Third, the allocation of roles and institutional Executing agencies should understand that their involvement is complex and dynamic. The pro- function is to be equal partners and facilitators. ject team must be willing to revise institutional arrangements and reassign roles periodically. In Teams should focus on training and strengthening this process, local NGOs with prior experience indigenous organizations so that they eventually in working with indigenous organizations can acquire the capabilities for responsible financial play a crucial role; NGOs must be flexible and management and long-term, sustainable land willing to gradually delegate more responsibili- governance. Helping to create self-reliant local ties to indigenous organizations. stakeholders makes the probabilities of project replicability and sustainability much greater. In conclusion, supporting indigenous culture and organizations is the best route to conserving for- est cover in resguardos or indigenous lands. Juan Pablo Ruiz is a Natural Resources Manage- ment Specialist, The World Bank, Colombia, Envi- ronmentally and Socially Sustainable Development Unit. 80 LCR Sustainable Development Working Paper No. 20 Jepirachi Project - Colombia Promotion of Renewable Energy to Address Global Climate Change; Promoting Socially Sustainable Development to Address the Quality of Life of the Local Community Ana María Sandoval Sastre, Walter Vergara, Jaime Eduardo Aramburo Penagos, and Julio Eduardo Zuluaga Usme Background The character of the Paramo ecosystem (high mountain range, typically with alti- The objective of the Jepirachi Carbon Offset tudes over 3500 meters) is also likely to be Project (JCP or Jepirachi Project) is to con- affected and the communication forecasts a tribute to the reduction of greenhouse gas 75-85 percent reduction in the Paramo's (GHG) emissions from the power sector in area. This change is of grave significance Colombia through the promotion of a 19.5 because of the role the Paramo plays in wa- MW wind­based electricity generation facil- ter regulation and storage in the Andes. ity. The project is expected to displace an estimated 1.168 million metric tons of car- Presently, market forces in Colombia bon dioxide equivalent (mtCO2e) over a strongly favor thermal power over renew- period of 21 years and will also support a able energy, resulting in a trend of increased social program that will contribute to im- carbon emissions per kWh generated. A provements in the welfare of the local in- greater number of thermal power projects is digenous community. likely to be developed in the short term as these are faster to implement and more Colombia has completed its first communi- competitive in terms of capital costs than cation to the United Nations Framework renewable energy projects. On average, Convention on Climate Change (UNFCCC), these capital costs are US$450-US$700 per including an assessment of the anticipated installed kW for natural gas or fuel oil sys- impacts of climate change and its vulner- tems, versus $1,000 per kW for wind power abilities to these impacts. In the context of systems. expected changes with potential impact on the energy sector, the communication con- On the other hand, Colombia is extremely cludes that a significant fraction of the terri- rich in wind resources, with a total potential tory will be affected by variations in the hy- estimated at about 5,000 MW. A recent drological system and rainfall patterns. In study has also confirmed a high degree of particular, there is a likelihood of an in- complementarity between hydro and the crease in the desertification rate in high wind resources which if properly developed mountain ecosystems (the source of many of would improve the resilience and robustness the headwaters of the nation's largest riv- of the power sector, making it less suscepti- ers). The process will be caused by reduc- ble to the impacts of drought or the effects tions in rainfall patterns, higher rates evapo- of the Southern Oscillation ("El Niño"). transpiration rates and the consequent drying While there are strong indications pointing of these ecosystems. The impact on the to this complementarity, it still needs to be overall hydro-generation capacity has yet to confirmed in the long-run through actual be estimated but is likely to result in a re- measurements and wind-powered genera- duction in the net flow of some rivers fed by tion. However, at the moment no wind- headwaters located in the Andes, in particu- based power generating plants are installed lar over the Western range of the Andes. in Colombia. Use of Carbon Finance can 81 82 LCR Sustainable Development Working Paper No. 20 contribute to the realization of wind power with the communities were carried out with potential in the country. translators. The consultation process was finalized in June 2002 with an agreement on In this context, a 19.5 Mw, wind-powered the Environmental Management Plan, which grid-connected, generation plant consisting includes the physical, biological, socioeco- of 15 individual 1.3 Mw wind turbines was nomic, and cultural programs described designed and built in the Guajira Depart- above. The Ministry of Interior, Department ment of Colombia, with contracted sales of of Indigenous Community Affairs, super- carbon emission reductions through the pro- vised the consultation process. totype carbon fund (PCF). The plant was located in the Wayúu territory. As part of The project was therefore aimed at: the contracted sales of carbon emission re- ductions, it was agreed that part of the reve- · Generating wind-based power (the first nues would be dedicated to support a social wind-power project at commercial level); development program, designed and agreed · reducing greenhouse gas emissions from with the Wayúu community in the project the power sector; and area. This agreement was one of the first of · building strong intercultural relation- this type and was later used by the World ships with indigenous peoples Bank as a template for the design of the Community Development Carbon Fund. EE.PP.M clearly established principles to guide its intervention with indigenous com- The wind-powered plant was inaugurated in munities, as follows: January 2004 and has since been operating at capacity with performance indicators that · Legitimacy: recognition of the status of surpass some of the design parameters. the traditional authorities of the various rancherías. · Inter-cultural understanding: adapta- Participation of the Wayúu Com- tion to the particularities of the Wayúu munity in Project Design and Im- culture, translation into Wayunaiki. plementation of the Project · Participation: in the decisionmaking process regarding previous studies (en- EE.PP.M developed an extensive consulta- vironmental, feasibility), location of the tion process from 1999 to 2002 with the project, and benefits for the communi- Wayúu community to design the social pro- ties. gram. This consultation process included · Continuity: over three years, without national, regional, and local governmental interruption. institutions concerned with indigenous peo- · Gradual: adaptation to times of the ples, and traditional authorities and commu- Wayúu communities. nities of the Kasiwolin, Arutkajui and Media · Responsibility: accomplishment of all Luna rancherías. The first consultation dealt commitments. with the installation of wind monitoring de- · Transparency: in the social manage- vices in 1999. The consultation process con- ment process and in commitments. tinued throughout all phases of the EIA. · Respect: Respect for cultural differ- Consultations were held on the methodology ences, based on prior knowledge of the and scope of the EIA as well as on the iden- Wayúu culture, acknowledging their tification of impacts and measures to man- forms of social organization, leadership age them. EE.PP.M carried out a total of 20 and representation, customs, sacred and formal consultation meetings with communi- important sites, time frames. ties and several meetings with governmental · Flexibility: adaptation to the particular institutions. All the consultation meetings conditions of the communities, such as Lessons of Indigenous Development in Latin America 83 schedules, rites and customs, economic During project construction the following activities. activities, impacts, and outputs were sought; all the outputs have already been obtained: The Social Program · Substantial increase in access to pota- The social program, which includes activi- ble water, with a significant impact on ties defined in consultation with the local health. Wayúu community, will be put in place over · Substantial increase in access to water the course of the first two years of project for animal consumption. construction and operation. The program · Improvement in health and education will not be restricted to the activities already services. outlined but will also establish the basis and · Improvement in housing and produc- provide support for the development of addi- tive assets. tional community development activities to · Job creation during construction of the be implemented over the duration of the pro- power plant. ject, on a sustainable basis, focusing on the · Community strengthening through areas of health, education, economic and training in indigenous rights and institutional development (see table below). preparation of cultural and productive The PCF will pay a premium on the value of projects to access legal transfers and emission reductions based on the social pro- PCF benefits. gram's outputs. Cost: US$480,000 Activity Outputs Impact Water Desalination Design and construction of a water desalinization unit to Substantial increase be located in the neighborhood of the wind facility. Facil- in local access to po- ity will be powered by wind energy. table water Volume Treated: 2 to 4 cubic meters per hour Water Quality: Potable Direct impact on health of local popu- lation Water Storage Construction of two water storage facilities (Juagueys) Substantial increase and rehabilitation of two existing facilities. in access to water School rehabilita- Expanded school facilities. Provision of equipment and Direct impact on ac- tion refurbishing of school dorms. cess to education Health Center re- Provision of equipment and facilities to the health center. Direct impact on habilitation Equipment will include solar-powered refrigeration. access to health services Rehabilitation of Fencing and upkeep of graveyard Religious and cul- graveyard tural priority Community To be defined as part of additional discussions with the Sustainability of so- strengthening Wayúu during the first two years of project operation and cial program. which will be implemented using emission reduction reve- nues. Additional Commu- To be defined as part of additional discussions with the Sustainability of so- nity Development Wayúu during the first two years of project operation and cial program and im- Projects which will be implemented using emission reduction provement of stan- revenues. dards of living Since inauguration, all community development · Global, national, and local benefits can be outputs have been achieved. achieved through one specific intervention. · The project design was used as the model for the newly approved Community Devel- During Project Operation (17 years): opment Carbon Fund, which now has a sub- scription of over US$100 million at the EE.PP.M and the communities designed the "In- World Bank. stitutional and Community Strengthening Plan" which focuses on the areas of health, education, economic and institutional development, and cultural strengthening. The projects will be Walter Vergara is Lead Engineer, Environmentally community driven and designed in a sustainable and Socially Sustainable Development Unit, Latin manner. America and the Caribbean Region, The World Bank. Cost: US$400,000 financed by the premium on Ana María Sandoval Sastre is an Anthropologist. Specialist in regional urban planning with experience the value of the emission reductions over 17 in environmental studies and social management in years. energy generation projects. Lessons Learned Jaime Eduardo Aramburo Penagos is a Forest Engineer/Economist. Specialist in regional urban · The construction of an infrastructure project planning with experience in environmental studies in an Indigenous Territory does not generate and energy generation projects. conflict per se. Julio Eduardo Zuluaga Usme is a Geological Engi- · Success is based on respect, transparency, neer. Specialist in contemporary social problems participation, intercultural understanding, with experience in technical and environmental stud- and the sharing of benefits. ies on energy generation projects. 84 Mainstreaming Gender in Indigenous Projects and Projects Affecting Indigenous Peoples in the World Bank Portfolio: The PROGENIAL Experience Annika Törnqvist World Bank, Washington, D.C. Box 1. Programa de Género e Innovación para América Latina - PROGENIAL The purpose of PROGENIAL is to help World Bank staff and project coordination units in achieving project objectives efficiently by addressing gender when implementing Bank­financed projects. Specifi- cally, the Gender Technical Facilities of PROGENIAL were created with the objective of: (a) offering timely technical support to executing agencies of Bank­financed projects on how to address gender issues in their projects through local consultants; (b) strengthening technical capacity of executing agency staff on gender within specific sectors; and (c) drawing lessons on the gender efficiency, equality, and equity impact of projects as well as identify- ing ways, and obstacles, to integrate gender into Bank projects. Background and poverty reduction perspectives, gender analysis is simply a tool to identify and address In 2000, the LAC gender team established a gender-differentiated needs and access to re- gender mainstreaming program for Latin Amer- sources in a more accurate and targeted way. ica called PROGENIAL, and set up in­country Gender Technical Facilities to respond to gender issues identified in the portfolio reviews of Bank operations in Central America and Ecuador.1 Box 2. Gender There is often a reluctance to address the gender While sex refers to the biological state of being male dimensions of indigenous peoples, as this is seen or female, gender refers to the socially defined aspects as "interfering with culture" or "imposing West- of being a man or a woman. Gender is a variable-- ern values." However, seen from socioeconomic like class, ethnicity, nationality, and religion--used to "identify and measure differences in the roles of men and women, the activities they undertake, the respon- 1 This was made possible through support by the sibilities they have, the opportunities and constraints Japanese and Swedish governments, as well as the they face, and ultimately, their well-being. Gender is Central America and Ecuador country management dynamic because men's and women's roles--as dic- units. Two separate PHRD grants provided funds tated by changing social and cultural norms and val- from the Japanese Government for gender main- ues--also vary over time." streaming through PROGENIAL: TF025834 in Ec- uador provided $157,000 for gender capacity build- (Moser, Törnqvist, van Bronkhorst 1998)1 ing in operations started implementation in February 2000 and terminated in December 2002. TF025966 in Central America provided $337,000 for gender main- streaming in operations in five countries and ended in May 2003. PROGENIAL continues in Central Amer- ica with the support of the Dutch government through a BNPP grant TF052221 ending in March 2005. 85 86 LCR Sustainable Development Working Paper No. 20 Implementation of the Program · Local Gender Consultants in country. 1. Gender Mainstreaming Approach The Bank hired local gender consultants (enlaces) to provide gender technical as- The gender mainstreaming approach in sistance to each project identified to par- PROGENIAL is based on the following four ticipate in PROGENIAL. Great interest principles: was generated by project task managers and project coordination units because · Men and women: The focus of the ap- PROGENIAL responds to demand for proach is on giving equal weight to male and integrating gender into operations rather female issues.2 than mandating gender actions. In the · Execution phase of projects: The approach case of Guatemala, a local consultant consisted of providing "gender know-how" was hired to mainstream both gender to in-country technical staff in the execution and indigenous issues in Bank­financed of projects, not developing institutional poli- operations. cies or carrying out research to prove the need for gender mainstreaming as is the case · PROGENIAL Project Counterparts. in many other international agencies, includ- The enlaces work with project counter- ing the World Bank. parts who are technicians in their field, · Moving away from gender specialists in but did not have previous gender exper- projects: The mainstreaming strategy im- tise. In addition, the approach builds on plies moving away from using a gender spe- ongoing activities and does not create cialist in any project, to involving a project parallel activities but rather integrates sector specialist who has gender knowledge gender into selected components of the (or could be trained in gender). projects. · Demand­driven gender approach. The approach is demand driven, which is differ- · Coordinating unit. International consult- ent from most top­down organizational gen- ants worked directly with task managers at der strategies. headquarters. A gender coordinator at Technical Assistance for Agriculture and Rural Development in Central America 2. PROGENIAL Mechanism (RUTA) supported the implementation of PROGENIAL in Central America. PROGENIAL'S technical set-up consists of three main units: Results PROGENIAL provided two types of technical 2 The longer history of Women in Development and support: (a) day-to-day general advice to Bank Gender in Development has accumulated knowledge counterparts provided by local gender consult- of women's gender issues such as women's status ants both in Ecuador and Central America3; and and condition, while information on men is limited. (b) specialized technical assistance based on Information on indigenous male issues is almost non- identified needs. This support provided two existent. Some issues suggested are: participation in types of results: first, improvements to the proc- and access to health and specifically reproductive ess of building the gender capacity of project health, occupational health, discrimination in the la- bor market, and alcoholism. Indigenous women's issues are related to participation in decisionmaking, 3 The first GTF was piloted in Ecuador, providing leadership, access to and control of resources, lan- gender technical assistance to 13 Bank­financed pro- guage preservation, and education. Both indigenous jects, and in Central America where a second GTF women and men are exposed to heavy gender­ provided technical assistance to 35 projects in El Sal- specific stereotyping and discrimination in the socie- vador, Guatemala, Honduras, Nicaragua, and Pa- ties they live in. nama. Lessons of Indigenous Development in Latin America 87 staff, and second, changes for both men and women beneficiaries in different sectors. Counterparts/ National gender staff from exe- consultants/ cuting agencies "Enlaces" TMs LAC Gender World Bank HQ/ RUTA 1. Gender Mainstreaming in Specific Indige- men);4 (iv) improved the participation of nous Peoples Projects female paralegals (from 13.5 percent in 2001 to 23.2 percent in 2002) who will PRODEPINE in Ecuador and Our Roots Pro- be able to assist women to better access gram (Nuestras Raíces) in Honduras are two land; (v) assisted in identifying and de- Bank­financed projects that address Indigenous veloping key gender indicators that will Peoples Development. The two projects under- feed into this system to be applied in took specific activities to address gender with PRODEPINE II; (vi) provided training the assistance of PROGENIAL: to the technical team; and (vii) assisted in developing public policy on gender · The Indigenous and Afro-Ecuadoran and nationality issues. Peoples Development Project (PRODEPINE), Ecuador. The Observations were made in Saquilisi in PRODEPINE project identified a gender Cotopaxi where savings clubs were op- gap in various project components and erating. The 41 women participating in undertook a series of interventions to in- the Caja Solidaria stated that they had crease women's participation. The project started out with $500 loans and had in- has: (i) supported research on gender and creased their loans to $3,000. They also ethnicity among the Shuar, Kichwa, and noted that they had increased their man- Afro-Ecuadoran nationalities; (ii) im- agement skills. In addition, the women proved the gender distribution of scholar- noted that they had increased their cash ship awards (e.g., an increase from 29 flow, which had allowed them to diver- percent to 40 percent in female recipi- sify smaller investments in seeds for ag- ents from 1998 to 2001 at the higher­ ricultural production and smaller domes- education level) and leadership positions tic animals. Moreover, because they are in indigenous and Afro-Ecuadoran or- located in an area where men migrate to ganizational structures; (iii) financed Quito for day­labor jobs, the women credit programs for women (originally noted that male migration had decreased through Cajas Solidarias which are be- by 20 percent as a result of participation ing converted to Bancos Comunitarios in saving clubs. Men stayed home to due to their success, with the latter pro- viding loans for larger amounts than the 4 Cajas Solidarias to both women and The average loan in the rural credit scheme was US$29 in 1999, rising to US$47 in 2001. 88 LCR Sustainable Development Working Paper No. 20 help with the children and to till the land has fed into the new loan, "Nuestras because it was more profitable to sup- Raices"8 which has a clear gender strat- port their spouses' small enterprises than egy for all of its project components. to migrate.5 2. Gender Mainstreaming in Projects affect- · Our Roots Program, Honduras. Our ing Indigenous Peoples Roots Program, under the administration of the fourth phase of the Honduran So- In Guatemala, based on the PROGENIAL cial Fund, was created to improve living model, a consultant was hired to cover both gen- conditions and promote social capital in der and indigenous issues in the Bank portfolio.9 indigenous and Afro-Honduran commu- As a result, both indigenous issues and gender nities by financing small­scale subpro- issues were addressed in the projects' implemen- jects and using the paid labor of com- tation phase. The following identifies a number munity members. The project had a of results in selected Bank­financed projects in strategy targeting 50 percent female and Guatemala: 50 percent male beneficiaries to partici- pate in project activities. Of the pro- · Land Fund Project, Guatemala. The gram's estimated 107,000 beneficiaries, project aims at: (a) establishing a pro- 42 percent were women.6 The impact of gram to facilitate beneficiaries' access to the indigenous women's increased par- land; (b) supporting beneficiaries' ac- ticipation influenced the selection of cess to technical assistance and produc- projects at the community level. In addi- tive subproject financing; and (c) im- tion, a microcredit program of Cajas proving the legal and institutional Rurales had a high rate of women's par- framework for land markets to work ticipation. The women reported a more efficiently.10 Generally speaking, change in their self-esteem, improved families are assigned a finca with the management skills, and acknowledgment understanding that they must repay the by the men in the community about their debt with income made from productive capacities to manage resources. The Ca- activities on the land. In the gender tech- jas Rurales have led to an increase in nical assistance provided, a gender as- the number of Community Banks (Ban- sessment was carried out to identify the cos Comunales) as a result of their suc- gender needs. The assessment identified cess in remote areas of the country. In that women did not access the same in- general, the experience has opened op- formation as men and thus did not know portunities for indigenous women to about their duties to repay the debt or participate more fully in accessing de- about access to agricultural extension velopment resources together with in- services.11 As a result, the project is un- digenous men in the context of the pro- ject.7 The gender experience of Our Roots Program in FHIS's fourth phase 8 See "World Bank Project Appraisal Document for Nuestras Raíces Project," approved in March 2004 5 Annika Törnqvist, Back-to-Office Report: Ecuador (Report No. 277771-HO). June 1-8, 2002. 9 The consultant was paid with funds from the Nor- 6 There is a variation in women's participation be- wegian and Japanese governments. tween ethnic groups, for example the women in the 10 World Bank, Project Appraisal Document on a Garífuna community play a leading role in their soci- proposed loan in the amount of US$23 million to ety, and many men migrate and work outside of the Republic of Guatemala for a Land Fund Project, De- community; therefore, this reflects a higher participa- cember 3, 1998. tion of women. 11This can be explained by the fact that women tend 7 ESA Consultores: "Evaluación del Programa to speak only one native language and no Spanish, "Nuestras Raíces" ­ Etapa IV. January 2003. and that women lack access to community decision- Lessons of Indigenous Development in Latin America 89 dertaking various activities to address and population groups in the country, gender imbalances. One is to develop a and contributes to participatory deci- gender extension manual for service sionmaking by strengthening the capac- providers so that they can address ity of community­based organizations women and men in the fincas when they and local governments to define prob- provide technical assistance to increase lems, prioritize needs, and plan and im- agricultural production. It is expected plement small­scale, community­based that the results of applying such gender subprojects. The project has used a meth- extension services will be available at odology entitled Programa de Organi- the end of 2004.12 zación y Capacitación Campesina (POCC) for consultations with local communi- · Land Administration Project, Gua- ties. In order to address the lack of fe- temala. The Land Administration Pro- male participation in decisionmaking ject made considerable effort to include processes, the methodology was revised individual land ownership by men and in 2001 to incorporate gender. In doing women, as well as to encourage joint so, the project recognized that men and ownership. In the process of addressing women have different needs and priori- gender, it was discovered that very few ties, given their different roles in soci- indigenous women applied to own land, ety. Since participation in community­ mainly due to a lack of information and based decisionmaking bodies often identification cards--a legal requirement tends to be dominated by men, women to register land. The project took action have less voice in terms of articulating to help women obtain their identification their needs. The POCC methodology cards as a first step in legal requirements was implemented in 70 percent of the so that they could apply for land owner- geographical areas where FIS was imple- ship. This has resulted in 25 percent of mented--mostly indigenous communities. the project beneficiaries being women As a result, the composition of community land owners. Gender results in the pro- representatives has been significantly al- ject include: 50 percent of the techni- tered, from almost 100 percent male to cians working in the project are women; 40 percent female and 60 percent male the technical staff have received gender and has resulted in the needs of women training and know how to analyze their and men being reflected in community work from a gender perspective; the priorities.14 "Escuela Catastral" training has incor- porated a gender module in the curricu- lum; and the registration process in the Conclusions field identifies the name of the benefici- ary to keep disaggregated gender data This paper has illustrated that through PRO- updated.13 GENIAL--a model of providing in-country gender technical assistance to Bank­financed · Social Investment Fund, Guatemala. projects--gender can be successfully addressed The Social Investment Fund (SIF) tar- in specific indigenous peoples projects and those gets its investments to the poorest areas affecting indigenous peoples. Preliminary results from Ecuador and Guatemala indicate that pro- viding gender technical assistance for capacity making structures where information is given about building can result in increased community par- community affairs. 12 ticipation in local development by both men and See: "PROGENIAL--Directorio de Experiencias sobre Género derivadas del Trabajo en los Proyectos women, and can redress inequalities in access to de las Carteras de Ecuador y Centroamérica." URL: http://www.ruta.org 13Ibid. 14Ibid. 90 LCR Sustainable Development Working Paper No. 20 land and rural extension services, as well as ting issues--gender and indigenous issues--on a credit. more systematic basis in Bank­financed opera- tions in Latin America and the Caribbean region. Based on the experience of PROGENIAL, it may be suggested that a revised model of a gen- der technical facility could address two crosscut- Annika Törnqvist is a Consultant, The World Bank, Poverty and Gender Group Latin America and the Caribbean Region, Environmentally and Socially Sustainable Development Unit. Lessons of Indigenous Development in Latin America 91 Gender and Development Projects in Indigenous Communities Carlos Viteri Gualinga Inter-American Development Bank Introduction: "Common Places" ment of collective rights guarantees a commitment to individual rights. That is, if Two main external perceptions are fre- an indigenous community does not have quently expressed in debates on the issue of guaranteed rights to its territory, the secu- gender in indigenous communities: (a) rity, welfare, and rights of families and "collective rights violate the individual individuals are seriously threatened. The rights of women;" and (b) "there is little or relationship between collective and individ- no participation by women in deci- ual rights can be seen as complementary sionmaking forums and organizations of rather than conflictual. indigenous peoples." Such perceptions may arise in part from the predominance of males c) The roles of women and men in indige- in the organizational spheres of indigenous nous society are based upon a particular peoples that interact with external entities. world vision. For example, in many indige- On the other hand, women's issues are not nous communities, the land has a symbolic considered a priority in indigenous demands female persona. Consequently, women are and/or agendas. in charge of establishing a dialogue with the land with respect to specific kinds of Beyond these perceptions, gender issues are agricultural production. Likewise, there are becoming increasingly important in knowledge fields that are inherently the do- indigenous communities. The widespread main of women. These gender roles may be "triple discrimination" by being indigenous, seen by other cultures as manifestations of being a woman, and being poor, is certainly inequality that places women at a disadvan- a real challenge within indigenous commu- tage. This is neither completely false nor nities. completely true, since some aspects of traditional roles imply participation and de- cisionmaking by women. However, the dy- Premises in Relation to Gender namics of new processes may place indige- and Indigenous Peoples nous women in roles of increasing importance that involve overwhelming numbers of tasks. Without undermining women's rights in The traditional roles are not necessarily dis- indigenous societies, it is necessary to pre- advantageous for indigenous women. How- sent some of the main premises that the in- ever, as change occurs, the roles of women digenous peoples themselves formulate in require adjustments that respond to the pre- relation to gender: sent and future demands of indigenous communities. For example, indigenous a) Faced with systemic vulnerability of women have the important role of reproduc- rights (including institutional rights), ing and transferring knowledge, which can defending the collective rights of the popula- be strengthened with high quality education. tion constitutes a priority, encompassing In earlier times, men had better access to protection of collective rights to territory, education in many communities. Presently, language, identity, organization, etc. access to education by indigenous women continues to improve. The same is true of b) On different occasions, indigenous or- leadership. It is necessary to consolidate and ganizations have indicated that the fulfill- encourage this process, which requires the 91 92 LCR Sustainable Development Working Paper No. 20 involvement of all entities in indigenous Criteria to Take into Account in communities. Development Projects d) Within this context, various criteria sug- · It is necessary to remember that indige- gested by indigenous women indicate that nous communities are not homogenous. women's individual needs should be seen Each community presents a diversity of within the framework of the family, com- gender situations and relations. munity, and territory, rather than in an ex- · Indigenous communities have their own clusive or excluding form, to maintain com- visions and concerns about gender is- plementarities and equilibrium between in- sues. dividual and collective rights and the link- · It is necessary to overcome the biased ages among individuals, families, communi- view that traditional cultural roles con- ties, and territories. flict with women's rights. On the con- trary, it is important to support e) Consequently, protecting women's improvements in women's participation rights as individual rights implies the inclu- that improve and innovate based on tra- sion of men. ditional roles. Within this context, women's participation can be and should be consolidated in many impor- Low Female Participation tant spheres including education, econ- omy, health, and leadership. The level of participation by indigenous · Within the processes of migration that women is closely related to their roles in characterize the present situation, it is society. Without doubt, participation by necessary to take into account that women is low from a quantitative perspec- women tend to migrate less than men. tive. However, women's participation in This has substantive implications for decisionmaking (for example, in an assem- development projects. bly) can have a strong effect on outcomes. · In regions in which there are situations The same is true within the domestic con- of external violence, the roles and rights text. But it is not the case in the spheres of of women change. representation where women still have lim- "Women's Empowerment" should not ited participation, with the exception of a · be a synonym for overwhelming women few communities where women have roles with additional responsibilities and of authority and/or leadership. roles. Within this context, it is fundamental that · Women are the key actors in indigenous peoples themselves take on the communication processes. It is neces- challenge of improving and changing sary to strengthen this role to build a se- women's participation, as is presently hap- cure basis of trust. pening, starting from the roles based on their · It is necessary to respect indigenous world vision, and considering new areas of communities' vision of gender and sup- participation as one crucial aspect in the port their processes for overcoming ine- process of self-determination. quality between men and women of different age groups. Carlos Viteri works in the Indigenous Peoples and Community Development Unit, The Inter- American Development Bank (IDB). Learning from the Experience of Indigenous Development in Latin America 93 93 Microcredit and Social Capital among Indigenous Women in the Andean Countries Carmen Tene World Bank, Quito Introduction nomic levels of women and their families. A study was carried out in Ecuador, Peru, and The Andean rural populations, especially the Bolivia, with the participation of nine in- indigenous communities, have experienced digenous organizations that were linked to historical deterioration in their economic, credit programs. social, and cultural situations. In the 1970s, Ecuador, Peru, and Bolivia undertook From the information obtained, it can be agricultural reforms which worsened living concluded that small credit funds have revi- conditions in rural areas and triggered rural­ talized local economies. The social and cul- urban migration in search of better opportu- tural capital of indigenous groups has made nities. credit programs viable, since this capital provides a structure of trust supervised by Within this context, there have been numer- strict social control and accountability over ous efforts during the last decade to over- the behavior of individuals. The credit pro- come the situation of poverty of the indige- grams have helped indigenous women to nous peoples in the Andean region and make become important catalysts for change at the rural development feasible. These efforts family level, in gender roles, and in the include microcredit programs, which were position of women in the community, by unsuccessful in improving living conditions initiating an interesting process of debate and poverty levels in Andean communities. and negotiation of equality and participation Important elements for the success of of women in the public scene and authority financial services, such as training, technical roles. Women have become the principal advice, and gender sensitivity, were absent protagonists in the fight against poverty in or were not sufficiently consistent with the Andean communities. reality of the indigenous sector to have a substantial impact on development. Indigenous Women's In this same field, the World Bank has seen Organizations and Credit in a need to develop programs based on a vi- Ecuador, Peru, and Bolivia sion of sustainable development of indigenous peoples. The program needs to promote the Ecuador participation and inclusion of Latin Amer- ica's 40 million indigenous people in the For decades in Ecuador, the National Bank development process, with the purpose of for Public Works (Banco Nacional de Fo- contributing to poverty reduction. With the mento) has directed credit funds toward the financial support of the Norwegian Trust development of the fishing and agricultural Fund, the World Bank Office in Ecuador sector. These funds have benefited the ma- took the initiative to study the role of credit jority of the rural population, but have bene- in strengthening indigenous women's or- fited indigenous families with indigenous ganizations, consolidating social capital, and heads of households to a much lesser extent. contributing to improved social and eco- The survey on living standards revealed that 93 94 LCR Sustainable Development Working Paper No. 20 only 3 percent of indigenous women had livian bank with services exclusively di- received personal credit and no indigenous rected to the microenterprise sector. women had received institutional credit.1 The organizations that participated in this Mariscal Sucre, San Alfonso de Chibuelo, study were: the Merkaymaya Community and Ñawparina Warmikuna Tantanakuy Bank, the Chonchocoro Mothers Club and (Women Organizing for Progress), the the Potopoto Garment Group. organizations targeted for study, were formed in the 1980s with the support of a non-governmental organization (NGO), the Conclusions and Lessons from church and State, respectively. the Study PRODEPINE's Cajas Solidarias (Solidarity Funds) supported these organizations at From an economic perspective, microcredit various levels. has facilitated changes in household econ- omy. From an emotional perspective, these Peru programs have contributed to boosting self- esteem among women by enabling them to Experiences of credit management by in- develop new capacities and skills. From a digenous women in rural Peru are extremely relational perspective of power within the scarce. The credit program La Chanchita is family, access to credit has brought the best known and was set up in response to indigenous women greater levels of partici- the fujishock2 of the 1990s. Most (80 per- pation and decisionmaking. Finally, from a cent) of the funds were used in urban areas community perspective, it is evident that and only 20 percent went to the rural sector. there is greater involvement by women in the activities of the community, in the roles The organizations that participated in the of secretaries, treasurers, and even as presi- study were: Virgen de la Candelaria Com- dents. munity Bank, Jatari Warmi (Women's Em- powerment) Cajas Solidarias and Jesús de The main conclusions about the credit pro- Nazareth Community Bank, most of which grams and their effects are: are new. Credit has contributed to indigenous Bolivia women having their own incomes and managing them directly. Of the three countries studied, Bolivia has Credit restores local capacities to gen- the largest indigenous population and the erate income in communities with largest coverage of rural credit programs. high poverty and male migration. However, experience in credit management Interpersonal relations change in is scarce among indigenous women. families and communities when PRODEM, the Foundation for Microenter- women become a new and important prise Promotion and Development, was cre- source of support for the family econ- ated in 1986. It promoted financial services omy. In turn, this leads to discussions and was so successful that it became the about equality. Solidarity Bank (Banco Solidario) in 1988. The group of women linked to the Since 1992, Sol Bank has been the only Bo- credit programs has overcome many different pressures as well as resis- tance from men and from other 1Camacho, M., "Estudio de impacto de las Cajas women. Solidarias del PRODEPINE," 2002. Women have demonstrated that they 2 Economic measures adopted by the Fujimori can manage money efficiently in in- Government. vestments and production. Lessons of Indigenous Development in Latin America 95 Credit programs do not offer enough Credit programs must include a way information about financial systems. to educate and inform people about High levels of illiteracy among mem- payment systems, with the objective bers of women's groups result in a of teaching what the payment of "in- small number of women taking direct terest" is and what "savings" are. control and/or managing the group's The experience in rural areas shows economic resources, and maintaining that women prefer to invest in crops or their positions year after year. in breeding small animals rather than The amount of credit facilitates or to deposit money in financial institu- constrains investments and the possi- tions. bilities for generating income. Small The programs must assure that credit amounts tend to be used for breeding is oriented toward stimulating work small animals and cultivating crops, and production and handling emer- while larger amounts are used for gencies, by establishing norms of agil- breeding cattle, horses, and mules and ity, interest, amounts, and time. for investments in agricultural tech- A strategy for covering risks and as- nology. Most women have invested in suring the recovery of money is for breeding small animals and cultivating larger organizational structures to crops in small parcels for family con- guarantee women's groups. sumption. It is essential to establish short- and In many cases, husbands supported medium-term plans for use of capital their wives' participation in the group funds by indigenous women's groups and their access to credit, seeing it as a and to complement these plans with way to facilitate work and boost the training programs that include read- family economy together. ing, writing, and basic mathematics. The credit programs are threatened by a lack of training for women in These observations and lessons generate a administration and leadership and in set of recommendations: developing investment proposals. Provide training in administrative management. Lessons Learned Create a program to reduce illiter- acy. In order to guarantee the sustainability Achieve sustainability of resources of the rural credit system, the design and organizations. of the financial technology must be Financial investments need to re- matched to the particular conditions of spond to particular conditions. production, commercialization, and Establish short- and medium-term rural services that the beneficiary plans to appropriate capital funds. group counts on. Take urban and rural realities into Financing methods and credit lan- account. guage should be adapted to Andean Guarantee the participation of in- families' cultural forms of savings. digenous peoples and of women in Families can be trained in the methods the World Bank's project portfolio. and details of formal financing institu- tions, assuring the appropriation of the system and its sustainability. The rural financing system requires a Carmen Tene is a Consultant, The World Bank, change of government financing poli- Ecuador, Environmentally and Socially Sustain- cies to improve the legal framework able Development Unit. and to legitimize mechanisms for credit operation. 96 LCR Sustainable Development Working Paper No. 20 Indigenous Peoples and Gender in Guatemala Yolanda Avila World Bank, Guatemala Introduction culture. Therefore leaders and organizations gave up Western customs and started Guatemala and its Sociocultural spreading a cultural and pure preservation Diversity ideology.3 Guatemala has a complex social and politi- During the civil war period, culture and in- cal history. Its Maya heritage has been in- digenous peoples in Guatemala were charac- creasingly visible in the last few years terized as obstacles to development, were thanks to the persistent work of indigenous considered inferior in all aspects, and were leaders, popular movements, and national subjected to ethnocide and exclusion. Later and international entities. on, governments started recognizing indige- nous cultures, and indigenous peoples be- The indigenous movement has been criti- came accepted as social players and as citi- cized for pointing out that culture and lan- zens with rights.4 Despite these broad ad- guage are basic elements in development. vances, government agendas are not doing But these aspects are crucial to a develop- enough, especially in the innermost region ment strategy at the local and community of Guatemala where structures and policies levels. are not inclusive. During the 1960s and until 1975, just before Since the negotiation of Peace Agree- the insurgency, policies of integration and ments--the Framework Agreement of 1994, acculturation were prevalent in the country and the Firm and Lasting Peace Agreement and were put into practice mainly through of 1996--and up to 2001, culture and in- education and other public services. The digenous rights issues were debated at every organized indigenous movement vindicated level of society and thus the government itself, but many people chose to integrate included IP in its agenda and stimulated dis- into society without concern for their iden- cussion in all areas. tity.1 Their greatest motivation was to im- prove their living conditions, even if it It is apparent that there is a greater incidence meant renouncing their customs and lan- of underdevelopment and inequality among guage and taking up elements that were for- the Maya peoples. They do not have the eign to their identity. means to participate and integrate harmoni- ously in society. They experience hunger, During the late 1970s and 80s, the indige- poverty and marginalization, and yet are nous population2 attempted to strengthen its asked to coexist harmoniously and to show tolerance in reaffirming their identity. Without a doubt, this asks too much of the 1 Exclusion and isolation took place in schools and universities, and defensiveness became routine. In the workplace, renouncing cultural expression was a subtle yet hurtful condition. 3The behavior of leaders, men and women alike, 2 At the time, they spoke of indigenous peoples, was based on cultural patterns, traditions, and but not of the Maya affirmation. The latter was customs. They developed actions based on strengthened only after the 1996 Peace Agree- traditional means of maintaining their culture. ment. 4Universal Declaration of Human Rights, 1948. 97 98 LCR Sustainable Development Working Paper No. 20 Maya population, given the disadvantages within and beyond the World they experience. Bank's scope. Intercultural relations involve reaffirming The Process of Monitoring World individual and collective identities,5 and Bank-financed Projects recognizing, accepting, and participating in a culturally diverse society. Intercultural In Guatemala, the World Bank supported the relations could be part of a social organiza- implementation of alternative projects under tion model, which would reaffirm the possi- the Peace Agreement Framework and in bility of harmonious coexistence. It would, compliance with its mandate of poverty re- in turn, have an effect on general human duction. This vision implies serving a high relations and on the implementation of pub- percentage of the rural and indigenous popu- lic policies that have intercultural perspec- lations. tives. Since 2003, the World Bank has imple- Ethnic and gender inequality still exist in mented an Indigenous Peoples and Gender Guatemala and have led to poverty, exclu- Program in Guatemala as part of its general sion, and sociocultural discrimination. These project supervision efforts, motivated by a gaps justify the need for innovative projects particular interest in ensuring the application that can help reduce poverty and establish of its gender and indigenous peoples poli- political and civic participation. The World cies. As part of this program, different Bank can facilitate technical assistance in phases were developed: (a) bibliographical Guatemala to assist indigenous peoples. and documentary reviews; (b) interviews; (c) field visits; (d) permanent communica- Given the above situation, there are two dif- tion with each project's key figures; (e) ferent scenarios for Guatemala: meetings with indigenous organizations; (f) continuous communication with Mayan a) Providing local technical assistance leaders and indigenous professionals; and for Bank­funded projects in Guate- (g) participation in supervision missions. mala in order to produce development plans that would en- A review of the project goals and objectives sure indigenous participation. Also, was carried out. Special emphasis was seeing to it that actions leading to in- placed on methodology, technical assistance, digenous peoples' self-management monitoring, and evaluation. This phase pro- are implemented and alternatives for vided a closer look at the current situation, their economic growth are created. procedures, recording the processes, impact, b) The need for comparative studies and outcomes of every part of the project, that bring together gender, produc- especially with regard to the approach and tive projects, and the organization of attention to the target population. men and women in indigenous communities. These studies would There were five important findings. (a) The include experiences in Guatemala methodology of the implemented projects was designed for a homogenous population, except for projects that included a training 5 and community organization program (FIS- The Maya peoples will again have to take up part of their history through daily practices, es- PDL) within their institutional framework. tablish strategies to incorporate themselves into (b) Out of seven projects in Guatemala, the globalization process, and strengthen their three were at the regional level and their activities at the local level. The Ladino people actions were carried out in the municipal will have to do the same but they are still far context; four had nationwide coverage; and from creating their own history. Lessons of Indigenous Development in Latin America 99 two had a development plan for indigenous Lessons Learned peoples. (c) Each project worked under the auspices of the public administration and the 1. It is extremely important to include the World Bank through a Project Coordinating concerns and demands of indigenous Unit.6 (d) In general, technical assistance peoples in the Country Assistance Strat- was key in determining the methodology for egy. intervention and provision of services. (e) 2. Providing indigenous peoples with in- The monitoring and evaluation processes formation is the best way to establish implemented varied across the projects. communication and disseminate infor- mation about the World Bank and its The greatest obstacle for the monitoring work in the country. process was the lack of a database or indica- 3. The concept of civil society has been tors with an ethnic or gender perspective. revisited, indicating that organizations Thus far, the outcomes have served as a ref- and indigenous peoples are also taking erence point to demonstrate the importance part in it; therefore, the World Bank of recording results in a systematic manner. must take into consideration their active It is very useful to recognize the added value participation. when the specific characteristics of the 4. One of the best ways to help sensitize population are taken into consideration. authorities is to point out the added value gained from addressing the needs Supervision missions and thematic supervi- of indigenous peoples, and to act as a sion reviews with task managers are valu- facilitator instead of imposing processes able actions and good learning experiences. on them. Usually, because of time constraints, a task 5. Public investments should recognize and manager's visit emphasizes technical and respect ethnic and linguistic characteris- financial aspects or focuses on concrete and tics. Development programs should urgent points such as political aspects. Task build human capacities without disrupt- managers have diverse criteria for giving ing people's identities or questioning attention to indigenous peoples. There are their values and principles. different ways to approach working with 6. When it is apparent that a high percent- indigenous peoples. One can address social age of a project's clients are indigenous capital and empowering processes, the peoples, all monitoring and evaluation State's vision and public administration should take them into consideration, and management, economic opportunities, or authorities should generate appropriate simply apply World Bank safeguard poli- public services. cies. The gender issue is seen in the same 7. There is proof that if a project does not light. Gender is usually interpreted as issues formally include a plan or strategy to at- relating to women's disadvantages. Gender tend to indigenous peoples, it will not is very rarely seen as a process of improving have the necessary technical, financial, men's and women's relations based on mu- and institutional conditions for indige- tual agreement that is also inclusive, equal, nous development. and democratic. 8. Clearly, World Bank loans to Guatemala can contribute significantly to the devel- opment of indigenous peoples. The goal is to monitor social projects, look into their economic, political, and social 6 potential, and incorporate these topics Indigenous men or women were rarely hired for decisionmaking tasks. This is evidence of the into discussions between the World limited view in addressing cultural diversity, and Bank and the government. highlights the importance of having staff who 9. The Indigenous Peoples and Gender understand local contexts. Program must have the resources needed 100 LCR Sustainable Development Working Paper No. 20 to carry out monitoring activities and to coverage and technical assistance, and maintain links with indigenous peoples must emphasize planned and developed because the latter rarely manage to es- actions and how these affect, either posi- tablish communication with the World tively or negatively, the lives of the men Bank. and women involved. 10. In order to improve the design and im- 5. Technical assistance affects the pact of loans and prove that the WB decisions and levels of participation of supports the development of indigenous those who are interested in subprojects; peoples, it is important to be aware of therefore it is extremely important for the project's structure and to have the multidisciplinary groups to recognize, task manager's full support. value, and respect the specific and di- 11. Applying Operational Directive 4.20 verse characteristics of the population.7 implies developing a monitoring process 6. It is important to systematically to ensure the quality and cultural appro- strengthen and monitor the evaluation priateness of services, in terms of atten- processes of each project, ensuring that tion and implementation of World they are participatory and become in- Bank­funded subprojects. struments of learning both for project implementing agencies and the benefici- ary population. General Recommendations 7. Positive results arise when project train- ing processes and designs take the con- Projects in the implementation stage: ditions of the groups into consideration: age, gender, ethnography, bilingualism, 1. Project implementation units must be education, experience, organization, etc. familiar with the contents of the indige- 8. A review of experiences outside of nous peoples policy. This information World Bank operations shows that de- will facilitate the incorporation of con- velopment for indigenous peoples is fea- crete actions that stem from projects and sible only when their world vision is plans linked to indigenous peoples' valued and respected. A project's suc- territories, needs, and interests. cess involves processes that are integral 2. Projects must place emphasis on hiring and not isolated or subjugated to models professional indigenous men and applied in other contexts. women as a way to respond to cultural 9. The World Bank must take part in the diversity, facilitate communication, and implementation of projects in order to attend to the needs of the population. guarantee the sustainability and quality These actions foster more inclusive in- of investments. Indicators suggest that tercultural coexistence and dialogue greater emphasis should be placed on among people. outcomes and impacts. 3. Although social capital is a component 10. The State and its entities must respond of development, the methodologies used to the preferences, interests, and view- must facilitate the active and direct par- points of youth. Projects that foster a ticipation of those who are implement- ing the project. Investments are sustain- able at the local level when the needs of 7Local potential implies carrying out an analysis participants are considered and priori- of the population before establishing procedures, tized. instruments and methods. This analysis must 4. Indicators with an ethnic perspective attend to the sociocultural conditions of the must be integrated in order to register population: bilingualism, leadership, available resources, organizational experience, traditional process and impact outcomes. The out- knowledge, forms of communication, decision- comes must reflect the achievements making mechanisms, use of natural resources, made beyond financial investments, etc. Lessons of Indigenous Development in Latin America 101 space for training and inclusion of any political affiliation; (vii) it is feasi- young men and women are recom- ble for civil society to manage resources mended. that will favor decentralization; and 11. Users and beneficiaries of projects in (viii) the geographical space allows so- Guatemala with national coverage and ciety to apply social audits on a World Bank funding are culturally, so- permanent basis. cially, and economically diverse and 3. In the political and financial arena, pub- thus must be given just, fair, and re- lic entities responsible for attending to spectful treatment. the country's indigenous peoples should 12. Project Coordinating Units should create be strengthened, emphasizing economic spaces for communication and dialogue development projects, credit access, le- with indigenous entities that are repre- gal certainty regarding land use and sented at the national and regional lev- management of natural resources, pro- els. moting and trading local craft work, de- veloping abilities, etc. 4. The World Bank should open the Future Projects needed space to: (i) participate and part- ner with indigenous leaders and entities; 1. Indigenous peoples must participate in (ii) create public awareness of its coun- the entire project cycle, from prepara- try assistance strategy; (iii) disclose the tion to implementation. list of Bank­funded projects; and (iv) 2. The World Bank must continue working share each initiative's setbacks and out- with municipalities. They can be the al- comes, based on the country's current ternate clients of operations for the fol- situation. lowing reasons: (i) municipalities are 5. Based on population statistics, future semiautonomous public entities; (ii) the projects must have specific plans to new municipal code allows for greater serve indigenous peoples. The interven- civil society participation in its opera- tion models must take into account local tions; (iii) based on their location and structures and direct participation of the the services they provide, these entities people in the implementation of the pro- represent the State at the local level; (iv) jects. In this respect, hiring local techni- their structure allows them to create ac- cal services is recommended. tions in support of integral development 6. Local and rural development projects actions along with government and non- must include young people as key play- government entities that work at the ers, in order to guarantee the immediate municipal level; (vi) at the regional sustainability and monitoring of invest- level, the municipalities are willing to ments. work in partnerships for control of the territory, border issues, markets, infra- structure, and the mass media, without Yolanda Avila is a Consultant, Environmentally and Socially Sustainable Development Unit, World Bank, Guatemala. 102 LCR Sustainable Development Working Paper No. 20