Making research relevant to policy-makers, development actors, and local communities: NCCR North-South report on effectiveness of research for development

Bridging the gap between research and policy is of growing importance in international development. The National Centre of Competence in Research (NCCR) North-South has rich experience in collaborating beyond academic boundaries to make their research relevant to various societal actors. This publication is the first to provide an overview of the effectiveness of NCCR North-South researchers’ efforts to interact with policy, practice, and local communities with a view to effecting a change in practices. A systematic assessment of researchers’ interactions with non-academic partners is presented, based on principles of monitoring and evaluation. On this basis, tools for collective learning and widespread adaptation are proposed. The report shows with what types of societal actors NCCR North-South researchers collaborate and analyses examples of how researchers conduct dialogue beyond academic boundaries, leading to specific outcomes. It also explains the frame conditions considered decisive for successful and sustainable policy dialogue and concludes with recommendations about how the NCCR North-South can increase the effectiveness of its research for development. The publication is a valuable source of inspiration for those interested in better understanding how to generate the multiple benefits of making science relevant to society.

Engaging Local Communities in Low Emissions Land-Use Planning: a Case Study from Laos

Reducing Emissions from Deforestation and Forest Degradation and enhancing forest carbon stocks (REDD+) is a performance-based payment mechanism currently being debated in international and national environmental policy and planning forums. As the mechanism is based on conditionality, payments must reflect land stewards’ level of compliance with carbon-efficient management practices. However, lack of clarity in land governance and carbon rights could undermine REDD+ implementation. Strategies are needed to avoid perverse incentives resulting from the commoditization of forest carbon stocks and, importantly, to identify and secure the rights of legitimate recipients of future REDD+ payments. We propose a landscape-level approach to address potential conflicts related to carbon tenure and REDD+ benefit sharing. We explore various land-tenure scenarios and their implications for carbon ownership in the context of a research site in northern Laos. Our case study shows that a combination of relevant scientific tools, knowledge, and participatory approaches can help avoid the marginalization of rural communities during the REDD+ process. The findings demonstrate that participatory land-use planning is an important step in ensuring that local communities are engaged in negotiating REDD+ schemes and that such negotiations are transparent. Local participation and agreements on land-use plans could provide a sound basis for developing efficient measurement, reporting, and verification systems for REDD+.

Climate change in mountain regions: how local communities adapt to extreme events

This paper examines how local communities adapt to climate change and how governance structures can foster or undermine adaptive capacity. Climate change policies, in general, and disaster risk management in mountain regions, in particular, are characterised by their multi-level and multi-sectoral nature during formulation and implementation. The involvement of numerous state and non-state actors at local to national levels produces a variety of networks of interaction and communication. The paper argues that the structure of these relational patterns is critical for understanding adaptive capacity. It thus proposes an expanded concept of adaptive capacity that incorporates (horizontal and vertical) actor integration and communication flow between these actors. The paper further advocates the use of formal social network analysis to assess these relational patterns. Preliminary results from research on adaptation to climate change in a Swiss mountain region vulnerable to floods and other natural hazards illustrate the conceptual and empirical significance of the main arguments.

Transformation of local medicinal knowledge in the Andean Highlands: Case studies from Peru and Bolivia

In the Andean highlands, indigenous environmental knowledge is currently undergoing major changes as a result of various external and internal factors. As in other parts of the world, an overall process of erosion of local knowledge can be observed. In response to this trend, some initiatives that adopt a biocultural approach aim at actively strengthening local identities and revalorizing indigenous environmental knowledge and practices, assuming that such practices can contribute to more sustainable management of biodiversity. However, these initiatives usually lack a sound research basis, as few studies have focused on the dynamics of indigenous environmental knowledge in the Andes and on its links with biodiversity management. Against this background, the general objective of this research project was to contribute to the understanding of the dynamics of indigenous environmental knowledge in the Andean highlands of Peru and Bolivia by investigating how local medicinal knowledge is socially differentiated within rural communities, how it is transformed, and which external and internal factors influence these transformation processes. The project adopted an actor-oriented perspective and emphasized the concept of knowledge dialogue by analyzing the integration of traditional and formal medicinal systems within family therapeutic strategies. It also aimed at grasping some of the links between the dynamics of medicinal knowledge and the types of land use systems and biodiversity management. Research was conducted in two case study areas of the Andes, both Quechua-speaking and situated in comparable agro-ecological production belts - Pitumarca District, Department of Cusco (Southern Peruvian Highlands) and the Tunari National Park, Department of Cochabamba (Bolivian inner-Andean valleys). In each case study area, the land use systems and strategies of 18 families from two rural communities, their environmental knowledge related to medicine and to the local therapeutic flora, and an appreciation of the dynamics of this knowledge were assessed. Data were collected through a combination of disciplinary and participatory action-research methods. It was mostly analyzed using qualitative methods, though some quantitative ethnobotanical methods were also used. In both case studies, traditional medicine still constitutes the preferred option for the families interviewed, independently of their age, education level, economic status, religion, or migration status. Surprisingly and contrary to general assertions among local NGOs and researchers, results show that there is a revival of Andean medicine within the younger generation, who have greater knowledge of medicinal plants than the previous one, value this knowledge as an important element of their way of life and relationship with “Mother Earth” (Pachamama), and, at least in the Bolivian case, prefer to consult the traditional healer rather than go to the health post. Migration to the urban centres and the Amazon lowlands, commonly thought to be an important factor of local medicinal knowledge loss, only affects people’s knowledge in the case of families who migrate over half of the year or permanently. Migration does not influence the knowledge of medicinal plants or the therapeutic strategies of families who migrate temporarily for shorter periods of time. Finally, economic status influences neither the status of people’s medicinal knowledge, nor families’ therapeutic strategies, even though the financial factor is often mentioned by practitioners and local people as the main reason for not using the formal health system. The influence of the formal health system on traditional medicinal knowledge varies in each case study area. In the Bolivian case, where it was only introduced in the 1990s and access to it is still very limited, the main impact was to give local communities access to contraceptive methods and to vaccination. In the Peruvian case, the formal system had a much greater impact on families’ health practices, due to local and national policies that, for instance, practically prohibit some traditional practices such as home birth. But in both cases, biomedicine is not considered capable of responding to cultural illnesses such as “fear” (susto), “bad air” (malviento), or “anger” (colerina). As a consequence, Andean farmers integrate the traditional medicinal system and the formal one within their multiple therapeutic strategies, reflecting an inter-ontological dialogue between different conceptions of health and illness. These findings reflect a more general trend in the Andes, where indigenous communities are currently actively revalorizing their knowledge and taking up traditional practices, thus strengthening their indigenous collective identities in a process of cultural resistance.

Valorization of agrobiodiversity products and strengthening of local identities in the Peruvian Andes: Experiences from the BioAndes Programme

In the Peruvian Andes, a long history of interaction between the local populations and their natural environment has led to extraordinary levels of agrobiodiversity. However, in sharp contrast with this biological wealth, Andean indigenous populations live under most precarious conditions. Moreover, natural resources are undergoing severe degradation processes and local knowledge about biodiversity management is under serious pressure. Against this background, the BioAndes Programme is developing initiatives based on a biocultural approach that aim at fostering biodiversity through the enhancement of cultural processes. On the basis of intercultural dialogue, joint learning and capacity development, and transdisciplinary action-research, indigenous communities, development practitioners, and researchers strive for the creation of innovative ways to contribute to more sustainable economic, socio-cultural, and political valorization of Andean biodiversity. Project activities are diverse and range from the cultivation, transformation, and commercialization of organic Andean fruits in San Marcos, Cajamarca Department, to the recuperation of natural dying techniques for alpaca wool and traditional weaving in Pitumarca, Cusco Department, and the promotion of responsible ecotourism in both regions. Based on the projects’ first two-years of experience, the following lessons learnt will be presented and discussed: 1. The economic valorization and commercialization of local products can be a powerful tool for the revival and innovation of eroded know-how; at the same time it contributes to the strengthening of local identities, in parallel with the empowerment of marginalized groups such as smallholders and women. 2. Such initiatives are only successful when they are embedded within activities that go beyond the focus on local products and seek the valorization of the entire natural and cultural landscape (e.g. through the promotion of agrotourism and local gastronomy, more sustainable management of local resources including the restoration of ecosystems, and the realization of inventories of local agrobiodiversity and the knowledge related to it). 3. The sustainability of these initiatives, which are often externally induced, is conditioned by the ability of local actors to acquire ownership of projects and access to the knowledge required to carry them out, which also means developing the personal and institutional capacities for handling the whole chain from production to commercialization. 4. The confrontation of different economic rationalities and their underlying worldviews that occur when local or indigenous people integrate into the market economy implies the need for a dialogical co-production of knowledge and collective action by local people, experts from NGOs, and political authorities in order to better control the conditions relating to the market economy. The valorization of local agrobiodiversity shows much potential for enhancing natural and cultural diversity in Southern countries, but only when local communities can participate in the shaping of the conditions under which this happens. Such activities should be designed in the mid- to long-term as part of social learning processes that are carefully embedded in the local context. Supporting institutions play a crucial role in these processes, but should see themselves only as facilitators, while ensuring that control and ownership remain with the local actors.

Promoting local innovation - a tool for sustainable rural development

Change, be it socio-cultural, political, institutional, technological, economic or ecological motivates local communities and farming families to mobilise and increase their innovation potential in order to create ways of life and production that match their own visions and priorities. In spite of the growing recognition of the potential of local innovations, they are hardly being integrated into development plans and projects; as a consequence, their diffusion within and between communities is limited. therefore interactive and participatory methods for supporting and strengthening the innovative potential of local actors are valuable inputs for sustainable rural development. the article presents an approach to promote local innovations.

How involved are they really? A comparative network analysis of the institutional drivers of local actor inclusion

Different socio-economic and environmental drivers lead local communities in mountain regions to adapt land use practices and engage in protection policies. The political system also has to develop new approaches to adapt to those drivers. Local actors are the target group of those policy approaches, and the question arises of if and how much those actors are consulted or even integrated into the design of local land use and protection policies. This article addresses this question by comparing seven different case studies in Swiss mountain regions. Through a formal social network analysis, the inclusion of local actors in collaborative policy networks is investigated and compared to the involvement of other stakeholders representing the next higher sub-national or national decisional levels. Results show that there is a significant difference (1) in how local actors are embedded compared to other stakeholders; and (2) between top-down versus bottom-up designed policy processes.

Large-scale land acquisitions in Peru: Land (re)-concentration, agrarian change and reactions from rural communities

More than 40 years after the agrarian reform, Peru is experiencing a renewed process of concentration of land ownership in the hands of large-scale investors, favoring the development of a sugar cane production cluster along the northern coast. The expansion of the agricultural frontier by means of large irrigation projects – originally developed to benefit medium- and small-scale farmers – is carried out today in order to be sold to large-scale investors for the production of export crops. In the region of Piura the increasing presence of large-scale biofuel investors puts substantial pressure on land and water resources, not only changing the use of and access to land for local communities, but also generating water shortages vis-à-vis the multiple water demands of local food producers. The changes in land relations and the agro-ecosystem, the altering food production regime as well as the increasing proletarization of smallholders, is driving many locals – even those which (initially) welcomed the investment – into resistance activities against the increasing control of land, water and other natural resources in the hands of agribusinesses. The aim of this presentation is to discuss the contemporary political, social and cultural dynamics of agrarian change along the northern Peruvian coast as well as the «reactions from below» emanating from campesino communities, landless laborers, brick producers, pastoralists as well as other marginalized groups. The different strategies, forms and practices of resistance with the goal of the «protection of the territory» shall be explored as well as the reasons for their rather scattered occurrence and the lack of alliances on the land issue. This input shall make a contribution to the on-going debate on individual and communal property rights and the question of what is best in terms of collective defense against land grabbing.

Unravelling the distinct strains of Tharu ancestry

The northern region of the Indian subcontinent is a vast landscape interlaced by diverse ecologies, e.g. the Gangetic plain and the Himalayas. A great number of ethnic groups are found there, displayed as a multitude of languages and cultures. The Tharu represent one of the largest and linguistically most diversified such groups, scattered across the Tarai region of Nepal and bordering Indian states. Their origins are uncertain. Hypotheses have been advanced about an Austroasiatic affinity, Tibeto-Burman origins, as well as aboriginal roots in the Tarai. Several Tharu groups speak a variety of Indo-Aryan languages, but have traditionally been described by ethnographers as representing an East Asian phenotype. Their ancestry and intra-population diversity had previously been tested only for haploid (mtDNA and Y-chromosome) markers in a small portion of the population. This study presents the first systematic genetic survey of the Tharu from both Nepal and the Indian states of Uttaranchal and Uttar Pradesh, using genome-wide SNPs and haploid (mtDNA and Y-chromosome) markers. The results suggest that the 'ethnic' construct of Tharu is likely to have lain in the Tarai region, with a reconstructible radiation to Uttaranchal and Uttar Pradesh. Despite extensive admixture with other local communities, Tharu sub-populations preserve strong genetic signatures that indicate a common ancestry.

Adaptation to Changes in the Coffee Value Chain and the Price of Coiffee among Coffee Producers in Two Villages in Kilimanjaro, Tanzania

Market liberalization in Tanzania has eroded the monopoly of the cooperative unions by allowing private coffee buyers (PCBs) to compete with them on equal footing. Similarly, farmers groups and primary societies are now allowed to sell coffee at auction. Thus, farmers have various options for selling their coffee. Similarly, the coffee industry has experienced large fluctuations in prices and stagnation in production. How do farmers react to these changes? Can and do farmers profit from different market conditions and sell to different traders at the lower end of the value chain, or do they remain with cooperatives or farmers groups? This study was conducted in Mruwia and Mshiri villages in Moshi Rural district. Whereas Mshiri village remains attached to the Kilimanjaro Native Cooperative Union (KNCU), Mruwia has detached from this organization and sells coffee independently. The sample (103) was randomly selected from the coffee farmers in the two villages. Data were collected through surveys, focus group discussions (FGDs), and socio-anthropological methods (participant-observation, biographies, and thematic interviews). Results indicate that the selection of whom to sell coffee depends largely on farmers’ dependence on coffee and prices, other benefits accrued, and whether the initial costs are covered by buyers. Additionally, most respondents did not sell coffee to PCBs. Thus, prices, the institutional infrastructure, and the structure of local communities were important when making decisions about how and with whom to trade.

How much management is enough? Stakeholder views on forest management in fire-prone areas in central Portugal

With the increasing pressure to improve the contribution of forests to help dealing with global changes, it is critical to understand the different perceptions of those involved in the forest. How do forest owners, managers and members of local communities who often depend on the forest, value it and what are the problems affecting the forests in terms of being able to meet these new challenges? In Portugal, this task has taken on an even greater priority as more than 90% of the forest is private and forest management relies on the individual decisions of thousands of forest owners. To understand stakeholder views on forest and forest management, a transversal social perception survey was implemented in the form of a case study of central Portugal which included decision-makers, local technicians, forest owners and the general public. The results show that there is a consensus on the main issues affecting forests and forest management. A shift from classic forest owners to the emergence of indifferent forest owners was observed, although this shift has not been recognized by the forest owners in the survey, who maintain the individual management of their properties.

Fortaleciéndo la soberanía alimentaria mediante la revalorización de saberes ecológicos locales: experiencia en los Andes bolivianos

Ethnobiology research contributes significantly to initiatives that aim to enhance food sovereignty among indigenous and/or traditional people. In Bolivia, one of the Latin-American countries that shows the highest poverty and undernourishment levels, the purpose of this research-action project was to enhance food sovereignty through the revitalization of the local ecological knowledge and to promote local technological innovation processes in the Andean community of Tallija-Confital. During a first step the endogenous knowledge and strategies related to food security and sovereignty were investigated, based on the principles and tools of the Revitalizing Participatory Research (RPR). In a second step local technical innovation processes were supported through a “knowledge dialogue” between exogenous and endogenous knowledge systems, focusing on the processing of the cañahua (Chenopodium pallidicaule Aellen) gluten. The research results demonstrate that Andean people have developed complex endogenous knowledge and strategies to adapt to socio-environmental changes that show a great potential to contribute to the enhancement of food sovereignty. Nevertheless, in the current globalized context that translates into new challenges for local communities, beyond the revitalization of local ecological knowledge, a dialogue between different knowledge systems can lead to important local technological innovation for the improvement of their well-being. Key words: food sovereignty, knowledge dialogue, endogenous development, technological innovation

Bridging Research and Development : Partnership Actions for Mitigating Syndromes (PAMS) in the Swiss National Centre of Competence (NCCR) North-South - Capitalising on Experience

Within the framework of Switzerland’s international NCCR North-South research programme, Partnership Actions for Mitigating Syndromes (PAMS) are a practice-oriented component with a transdisciplinary approach. By linking research and development practice, they bring together researchers, practitioners and local communities in a common effort to test and evaluate research findings in concrete development contexts. They provide unique insights into innovative approaches and opportunities for promoting sustainable development in countries of the South and East. After an initial four-year phase, the PAMS projects implemented to date were evaluated in order to learn about their potentials and limits, as well as to decide on the direction of the component for the next phase of the programme. The present publication presents the results of this evaluation.

Risk-conscious Reconstruction in Pakistan-administered Kashmir. A Case Study of the Chakhama Valley

The Chakhama Valley, a remote area in Pakistan-administered Kashmir, was badly damaged by the 7.6-magnitude earthquake that struck India and Pakistan on 8 October 2005. More than 5% of the population lost their lives, and about 90% of the existing housing was irreparably damaged or completely destroyed. In early 2006, the Aga Khan Development Network (AKDN) initiated a multisector, community-driven reconstruction program in the Chakhama Valley on the premise that the scale of the disaster required a response that would address all aspects of people's lives. One important aspect covered the promotion of disaster risk management for sustainable recovery in a safe environment. Accordingly, prevailing hazards (rockfalls, landslides, and debris flow, in addition to earthquake hazards) and existing risks were thoroughly assessed, and the information was incorporated into the main planning processes. Hazard maps, detailed site investigations, and proposals for precautionary measures assisted engineers in supporting the reconstruction of private homes in safe locations to render investments disaster resilient. The information was also used for community-based land use decisions and disaster mitigation and preparedness. The work revealed three main problems: (1) thorough assessment of hazards and incorporation of this assessment into planning processes is time consuming and often little understood by the population directly affected, but it pays off in the long run; (2) relocating people out of dangerous places is a highly sensitive issue that requires the support of clear and forceful government policies; and (3) the involvement of local communities is essential for the success of mitigation and preparedness.

Apoyando innovaciones locales: Un instrumento para el fortalecimiento de innovaciones locales y la promoción del desarrollo rural sostenible: Experiencias de dos talleres pilotos de MASAL y CDE realizados en laprovincia de Cuzco, Perú

Local communities have often underestimated their endogenous potentials for innovation – potentials that could help them adapt to changing socio-cultural, political, economic and environmental conditions, to improve their livelihoods, develop their own visions, and negotiate their own priorities. While the significance of local innovation potentials for sustainable development is now increasingly acknowledged, projects and development plans rarely attempt to explicitly develop these potentials; nor do they try to disseminate local innovations within and among communities. Based on the conceptual framework of “social learning”, CDE has developed an instrument to promote existing local potential for innovation. The instrument is based on social learning processes involving different stakeholder groups in local contexts. It was successfully tested during two pilot workshops in a rural development context in the Peruvian highland. The present paper reports on the experience of these two workshops held in April and May 2004 in the communities of Tungasuca in the Cuzco Province. The paper describes the context of innovations and the methodology applied, followed by a detailed description of the contents and outcomes of the workshops, as well as the experience gained in the process. Finally it draws a set of conclusions and presents the lessons learnt.