65

participatory learning and action

Biodiversity and culture:

exploring community protocols,
rights and consent
Participatory Learning and Action (PLA) – The International Institute for Environment
formerly PLA Notes and RRA Notes – is published and Development (IIED) is committed to
twice a year. Established in 1987, it enables promoting social justice and the
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Strategic Editorial Board: Nazneen Kanji,
Jethro Pettit, Michel Pimbert, Participatory Learning and Action (PLA) is an umbrella
Krystyna Swiderska and David Satterthwaite. term for a wide range of approaches and methodologies,
International Editorial Advisory Board: including Participatory Rural Appraisal (PRA), Rapid Rural
Oga Steve Abah, Jo Abbot, Jordi Surkin Appraisal (RRA), Participatory Learning Methods (PALM),
Beneria, Participatory Action Research (PAR), Farming Systems
L. David Brown, Andy Catley, Robert Research (FSR), and Méthode Active de Recherche et de
Chambers, Louise Chawla, Andrea Cornwall, Planification Participative (MARP). The common theme is
Bhola Dahal, Qasim Deiri, John Devavaram, the full participation of people in the processes of learning
Charlotte Flower, FORCE Nepal, about their needs and opportunities, and in the action
Bara Guèye, Irene Guijt, Marcia Hills, required to address them.
Enamul Huda, Vicky Johnson, Caren Levy, In recent years, there has been a number of shifts in the
Sarah Levy, Zhang Linyang, PJ Lolichen, scope and focus of participation: emphasis on sub-national,
Cath Long, Ilya M. Moeliono, Humera Malik, national and international decision-making, not just local
Marjorie Jane Mbilinyi, Ali Mokhtar, decision-making; move from projects to policy processes
Seyed Babak Moosavi, Trilok Neupane, and institutionalisation; greater recognition of issues of
Esse Nilsson, Zakariya Odeh, Peter Park, difference and power; and, emphasis on assessing the
Bardolf Paul, Bimal Kumar Phnuyal, quality and understanding the impact of participation,
Giacomo Rambaldi, Peter Reason, rather than simply promoting participation. Participatory
Joel Rocamora, Jayatissa Samaranayake, Learning and Action reflects these developments and
Madhu Sarin, Daniel Selener, Meera Kaul Shah, recognises the importance of analysing and overcoming
Jasber Singh, Marja Liisa Swantz, Cecilia Tacoli, power differentials which work to exclude the already poor
Peter Taylor, Tom Wakeford, Eliud Wakwabubi, and marginalised.
and Alice Welbourn.
 1

Contents

Editorial ..................................................................................................................................................................................................................................3
Glossary ....................................................................................................................................................................................................................................9
Acronyms............................................................................................................................................................................................................................13
Abstracts ..............................................................................................................................................................................................................................15
BIODIVERSITY AND CULTURE: EXPLORING COMMUNITY PROTOCOLS, RIGHTS AND
CONSENT
1. Community protocols and free, prior informed consent: overview and lessons learnt
Krystyna Swiderska with Angela Milligan, Kanchi Kohli, Holly Shrumm,
Harry Jonas, Wim Hiemstra and María Julia Oliva ......................................................................................25
PART I: SETTING THE SCENE: RESEARCH PARTNERSHIPS AND ABS FROM THE
PERSPECTIVE OF COMMUNITIES
2. FPIC and beyond: safeguards for power-equalising research that protects
biodiversity, rights and culture
Michel Pimbert ..............................................................................................................................................................................................43
3. Whose access and whose benefit? The Nagoya Protocol and customary rights
in India
Sagari R. Ramdas ......................................................................................................................................................................................55
PART II: INSTITUTIONAL INNOVATIONS FOR FPIC AND BENEFIT-SHARING
4. The spirit of FPIC: lessons from Canada and the Philippines
Abbi Buxton........................................................................................................................................................................................................67
5. Indigenous benefit-sharing in resource development – the Australian Native Title
experience
David Ritter........................................................................................................................................................................................................74
2 65

6. Changing the system from within: participatory plant breeding and ABS in China
Jingsong Li, Janice Jiggins and Yiching Song............................................................................................................81

PART III: COMMUNITY PROTOCOLS FOR GENETIC RESOURCES AND ABS

7. Decolonising action-research: the Potato Park biocultural protocol for
benefit-sharing
Alejandro Argumedo ................................................................................................................................................................................91
8. The Bushbuckridge BCP: traditional healers organise for ABS in South Africa
Rodney Sibuye, Marie-Tinka Uys, Gino Cocchiaro and Johan Lorenzen..............................101
9. Biocultural community protocols: tools for securing the assets of livestock keepers
Ilse Köhler-Rollefson, Abdul Raziq Kakar, Evelyn Mathias, Hanwant Singh Rathore
and Jacob Wanyama ..........................................................................................................................................................................109

PART IV: COMMUNITY PROTOCOLS AND FPIC: MINING, PROTECTED AREAS AND FOREST
PARTNERSHIPS
10. Sacred groves versus gold mines: biocultural community protocols in Ghana
Bernard Guri Yangmaadome, Daniel Banuoko Faabelangne, Emmanuel Kanchebe
Derbile, Wim Hiemstra and Bas Verschuuren........................................................................................................121
11. Defending our territory: the biocultural community protocol of Alto San Juan,
Colombia
Tatiana López Piedrahita and Carlos Heiler Mosquera ............................................................................131
12. Creating the Ulu Papar biocultural community protocol
Theresia John, Patricia John, Louis Bugiad and Agnes Lee Agama..............................................141
13. Accessible technologies and FPIC: independent monitoring with forest communities
in Cameroon
Jerome Lewis and Téodyl Nkuintchua............................................................................................................................151
14. Biocultural community protocols and ethical biotrade: exploring participatory
approaches in Peru
María Julia Oliva, Johanna von Braun and Gabriela Salinas Lanao ....................................166
PART V: TIPS FOR TRAINERS
15. How to implement free, prior informed consent (FPIC)
Jerome Lewis..................................................................................................................................................................................................175
16. Understanding and facilitating a biocultural community protocol process
Holly Shrumm and Harry Jonas ..........................................................................................................................................179
17. Using stakeholder and power analysis and BCPs in multi-stakeholder processes
Herman Brouwer, Wim Hiemstra and Pilly Martin......................................................................................184

REGULAR FEATURES
In touch ............................................................................................................................................................................................................................193
RCPLA pages ............................................................................................................................................................................................................217
 3

Editorial

Welcome to issue 65 of Participatory • build on and strengthen communities’

Learning and Action. own rules and regulations for conserving
biodiversity and promoting sustainable
About this issue community-led natural resource manage-
Indigenous people and local communities ment;
(ILCs) are struggling to defend their rights • help ILCs to negotiate agreements with
over land and other resources they have commercial organisations for access to
traditionally used and over traditional their resources and equitable sharing of the
knowledge they have developed over gener- benefits from the use of those resources,
ations. For example, mining rights have e.g. use of traditional crop varieties, medic-
typically been granted by governments to inal plants; and
commercial organisations without refer- • strengthen community cohesion, organi-
ence to those living on and managing the sation and confidence to take action to
land. Similarly, ILCs have received few improve livelihoods and defend rights.
benefits from the commercial use of their FPIC and community protocol-type
traditional crops or medicinal knowledge. processes are being used to help claim
This issue focuses on participatory rights and negotiate agreements in various
processes around two rights-based tools – biodiversity contexts, e.g. agrobiodiversity,
community protocols (CPs) and free, prior forests and mining, in Africa, Latin Amer-
informed consent (FPIC). These tools have ica and Asia – though not necessarily using
the potential to: these labels. However, recent develop-
• help indigenous peoples and local ments in international law in relation to
communities (ILCs) claim or protect their access to genetic resources and benefit-
rights over their resources and traditional sharing (ABS) have brought these
knowledge, using national and interna- participatory tools and processes centre
tional law; stage.
4 65

Photo: © Bulatlat
Women in the Philippines protesting against mining on World Indigenous Peoples Day.

This issue draws on a range of experi- and the Environment; COMPAS

ences of using these tools in different (COMPAring and Supporting Endoge-
biodiversity and natural resources contexts nous Development) Network; and the
to help understand how to support Union for Ethical BioTrade (UEBT).
community protocols and FPIC. A key The issue benefited greatly from bring-
lesson is that, to be effective and to gener- ing together the experiences of biodiversity
ate maximum benefits, CPs and FPIC practitioners through our guest editors
must be bottom-up processes, designed and contributors and those of participa-
and controlled by communities, not top- tion practitioners through our editorial
down ones designed and controlled by board. This is an important role that
government or commercial organisations. Participatory Learning and Action plays
The articles also suggest institutional – bridging the gap between different
changes are needed if these bottom-up communities of practice, enabling mutual
processes are to be supported. learning, and ensuring that newer partic-
ipator y approaches draw on past
Developing the special issue experiences and lessons.
We were very pleased to be able to work We hope that the issue will provide
with IIED’s Agroecology and Food Sover- ideas and inspiration for biodiversity prac-
eignty team and its networks in developing titioners and other natural resources and
this issue, in particular the Kalpavriksh development workers, as well as those
Environmental Action Group, India; tasked with implementing the provisions
Natural Justice: Lawyers for Communities of the Nagoya Protocol.
 ● Editorial 5

Guest editors infrastructure and energy in India. Her

Our guest editors for this issue are recent work explores the commodification
Krystyna Swiderska (IIED), Kanchi Kohli of nature and its implications for conserva-
(Kalpavriksh, India and Campaign for tion and environmental governance.
Conservation and Community Control over Communication is a key component of
Biodiversity), Harry Jonas and Holly Kanchi's work. She writes regularly in
Shrumm (Natural Justice), Wim Hiemstra several national-level newspapers and
(ETC COMPAS, The Netherlands) and magazines, as well as for websites. Since
María Julia Oliva (Union for Ethical 2004, she has co-coordinated an informa-
Biotrade). tion dissemination service for forest and
Krystyna Swiderska has been a wildlife cases in the Supreme Court of India.
researcher at IIED for 17 years. During this Kanchi has also been campaign and
time, she has worked mainly on biodiver- research adviser to national-level networks
sity and livelihoods issues, in particular on and organisations related to coal and
the protection of traditional knowledge and climate, genetic engineering and conserva-
access to genetic resources and benefit- tion of agrobiodiversity, especially millets.
sharing. Between 2005 and 2009, she She has also been involved in putting
coordinated participatory action-research together publications on regulatory regimes
with indigenous and local communities on and decision-making processes around
Protecting Community Rights over Tradi- environment, forests and biodiversity-
tional Knowledge: Implications of related policy frameworks.
Customary Laws and Practices. This project Harry Jonas is a lawyer and co-founder
was conducted with partners in Peru, of Natural Justice: Lawyers for Communi-
Panama, India, China and Kenya and devel- ties and the Environment and an Ashoka
oped a range of tools, including community Fellow.1 Holly Shrumm also works for
protocols. It developed the concept of Natural Justice and has a background in
‘collective biocultural heritage’, building on anthropology, zoology and community-
research with Quechua communities, as the based natural resource management.
conceptual framework for action-research. Natural Justice works to uphold the princi-
Krystyna set up the biocultural heritage ple that people should be involved in
website www.bioculturalheritage.org to decisions that affect them. Natural Justice
share the results of the project. She has just uses its understanding of international and
started coordinating a major new project on domestic legal frameworks to help indige-
the role of biocultural systems in adaptation nous peoples and local communities to
to climate change and food security. assert their rights to govern their lands,
Krystyna is also co-Director of the Interna- natural resources and traditional knowl-
tional Society for Ethnobiology’s Global edge. Natural Justice and its partners are
Coalition for Biocultural Diversity. actively contributing to the development of
Kanchi Kohli has been involved in envi- biocultural community protocols as a
ronment and forest governance-related widely accessible means by which commu-
issues for close to 15 years. She has worked nities can articulate their stewardship
with, amongst others, Kalpavriksh Envi- ethics, assert their rights and affirm their
ronmental Action Group and the Campaign responsibilities. Based in Sabah, Malaysia,
for Conservation and Community Control Harry and Holly are co-coordinating the
over Biodiversity, India, carrying out action- Asia Regional Initiative on Biocultural
research campaigns and advocacy outputs Community Protocols together with
related to environment, biodiversity and COMPAS, the LIFE Network, UNU-IAS
agriculture and its interface with industry, and community partners in Pakistan, India
1 See: www.ashoka.org/fellows
6 65

and Sri Lanka. They set up the community Union for Conservation of Nature (IUCN)
protocols website.2 Most recently, they co- Commission on Environmental Law, and is
edited Biocultural community protocols: a also on the Board of Directors of Intellec-
toolkit for community facilitators (see In tual Property Watch. She holds a law degree
Touch, this issue). and a Masters degree in environmental law.
Wim Hiemstra is an agronomist
trained in organic farming. He is coordina- Acknowledgements
tor of the COMPAS Network (COMPAring We would like to thank all the guest editors
and Supporting Endogenous Develop- and contributors to this issue for their enor-
ment), which has CBO-NGO-university mous dedication and patience as we worked
partnerships in 15 countries. The interna- to shape the issue and develop the articles.
tional coordination office of the COMPAS It has been a learning curve for us all – and
Network, ETC COMPAS, is part of the ETC an extremely stimulating and rewarding
Foundation in The Netherlands. It has been one. Special thanks go to Krystyna Swider-
developing methodologies for endogenous ska for first suggesting an issue on this
development since 1998, building capaci- theme, and for her energy, persistence and
ties in local communities based on their commitment in making it happen.
own strengths and cultures, as seen through We would also like to say a huge thanks
their own worldviews. Thematic areas to the UK Department for International
include food sovereignty, traditional medi- Development (DfID), the Swedish Inter-
cine, sacred sites and well-being national Development Cooperation Agency
assessments. Together with CIKOD (the (Sida) and the Ministry of Foreign Affairs
Centre for Indigenous Knowledge and of Denmark (Danida) for their continued
Organisational Development) in Ghana, support for the PLA series.
the League for Pastoral People (Germany)
and Natural Justice (South Africa and Spanish translation
Malaysia), ETC COMPAS is coordinating We hope to produce a Spanish translation
the African and Asian Biocultural Commu- of PLA 65 in the future to widen the reach
nity Protocol programmes. Wim is inspired of the issue. This is dependent on finding
by the diversity of cultures linked to biodi- additional funding for the translation and
versity and the emergence of biocultural production of a CD-ROM.
jurisprudence.
María Julia Oliva has been Senior Other news
Adviser on Access and Benefit-Sharing at
the Union for Ethical BioTrade (UEBT) Launch of PLA 64: Young citizens: youth and
since 2009. She manages legal and policy participatory governance in Africa
issues in the work of UEBT and provides We were delighted to be able to host a
training and technical support on access launch of PLA 64 at IIED’s new offices.
and benefit-sharing issues to its members. Marie Staunton, the CEO of Plan UK –
Previously, she held positions at the Inter- which helped fund the issue – opened the
national Centre on Trade and Sustainable launch, outlining how this special issue was
Development, the UN Conference on Trade initially developed and some background
and Development and the Centre for Inter- of Plan’s work on youth and governance.
national Environmental Law. She has Caitlin Porter from Plan delivered an excel-
worked and published extensively on a lent presentation on the concepts of
range of issues at the interface of trade, citizenship and governance on behalf of
intellectual property and sustainability. Rosemary McGee, one of the guest editors,
Julia is a member of the International who was unable to attend. Jessica Greenhalf
2 See: www.community-protocols.org
 ● Editorial 7

Box 1: Ideas on taking forward youth discussion with participants who posi-
and governance advocacy work tioned themselves and their own work
• Promote youth participation in Mexico; work to within the spheres.
lobby the government to effectively listen to the Lastly, we spent a few minutes reflect-
voices of youth ing on how we could take youth and
• Run a workshop for my team and partners in governance advocacy forward in our own
Uganda on the ‘book’ [PLA 64]
• Work on a report to document successful work (see Box 1).
challenges of youth participation in Restless This is a hugely important aspect – that
Development UK and push forward the creation of participants are taking forward ideas of
a Restless Development UK Youth Board their own to improve how young people
• Improve my current project with rural youth, participate in decision-making and gover-
based on learning today – with a stronger
emphasis on governance nance within their own spheres of
• Use and disseminate credible and concrete influence. It’s something we also learnt
examples of youth-led participatory successes from producing the last issue PLA 63: How
• Distribute this to our Regional Youth wide are the ripples? From local participa-
Representatives in the African Commonwealth tion to international organisational
countries
• Talk to others in my organisation about learning – that individually, we can all
integrating youth participation in M&E (of our make a difference and that change comes
programmes but social audits of governance from within, one step at a time!
programmes also)
• Encourage Plan to do more writeshops

then gave a talk on the PLA editorial

process and the involvement of young
people in producing the special issue, as
well some discussion on the key themes
from the special issue itself, and looking at
governance from a young person’s perspec-
tive – i.e. seeing like a young citizen.
The participants at the launch found
the editorial process and the writeshop New translations: PLA 62 in Chinese,
extremely interesting and relevant, espe- PLA 64 in French
cially the ways in which the authors The French translation of PLA 64 – Jeunes
brought so many young voices, perspec- citoyens : les jeunes et la gouvernance partic-
tives and knowledge to the special issue. A ipative en Afrique – is now available online.3
Skype link-up with two of the authors in Please let your colleagues in francophone
Nairobi, Kenya, Edwine Ochieng, a Africa know! We are in the process of
government officer, and Cynthia Ochola preparing a bilingual CD version. If you
Anyango, secretary of the Jipange Youth know of anyone who would like a copy,
Organisation, enabled them to share their please ask them to get in touch with us:
learning and reflections on their own pla.notes@iied.org.
youth and governance experiences. The Chinese version of PLA 62 –
Towards the end, Jessica facilitated an Wagging the dragon’s tail: emerging prac-
exercise using a two-circles diagram show- tices in participatory poverty reduction in
ing the interlocking spheres of ‘citizens’ China – will soon be online. Again, please
and the State and the interfaces in let your networks know that this is avail-
between. We had a really interesting able.4
3 For PLA 64 (French) see: http://pubs.iied.org/G03336.html
4 For PLA 62 (Chinese) see: http://pubs.iied.org/14605IIED.html (forthcoming).
8 65

Next issue
The next issue of PLA will be a general
(non-themed) issue which will contain arti-
cles on participatory processes in a variety
of contexts and countries. It is quite some
time since we published a general issue, so
apologies to those who have had a long wait
before seeing your article in print. If you
are waiting to hear from us whether your
articles has been accepted, then rest
assured that we will be in touch soon.

Final thoughts
We hope this issue will inspire, challenge
and help you in your work. Let us know
how you have made use of it by emailing us
at pla.notes@iied.org – we are always keen
to hear what you think. Happy reading!
Angela Milligan, Holly Ashley and
Nicole Kenton
Co-editors, Participatory Learning and
Action
 9

Glossary

Access and benefit-sharing (ABS) associated traditional knowledge. This led

Prior to 1992, access to genetic resources to the negotiation of an international
and associated traditional knowledge was regime to regulate access and benefit-
free to all. Genetic resources and knowledge sharing known as the Convention on
were often taken from communities and Biological Diversity (CBD).
countries by food, pharmaceutical, perfume Source: www.icimod.org/abs
and other industries, which monopolised
the benefits. During the latter part of the Biodiversity
twentieth century, a few countries According to the Convention on Biological
developed legal provisions for ABS. Diversity, biodiversity is the diversity of
However, benefits were usually narrowly genes, species and ecosystems and their
defined as tangible benefits (such as variability (i.e. ability to change).
royalties) and benefit-sharing was largely
carried out at the government level. Biocultural community protocols (BCPs)
Benefits did not reach the traditional Charters of rules and responsibilities in
owners of genetic resources and associated which communities set out their customary
traditional knowledge. Local communities rights, values and worldviews relating to
and countries of origin were often not biocultural resources, natural resources and
informed about the use of their genetic land, as recognised in customary, national
resources and associated traditional and international laws.
knowledge, limiting their bargaining power
and preventing them from sharing in the Biocultural heritage is the knowledge,
benefits of their own resources. Growing biodiversity, landscapes, cultural values and
concern over the monopolisation of benefits customary laws of indigenous peoples and
led genetic-resources-providing countries local communities. Its components are
to restrict access to genetic resources and inter-dependent and together sustain local
10 65

economies. For more information see: share the benefits they derive fairly and
www.bioculturalheritage.org equitably with countries that provide access
to genetic resources. This is referred to as
Biopiracy access and benefit-sharing (ABS). The CBD
Used to describe a situation where requires the prior informed consent of
communities have received few benefits, if Parties to be obtained by any public or
any, when their traditional knowledge and private enterprise seeking access to genetic
genetic resources have been used to develop resources (Article 15); and recognises the
new products which are then patented by importance of the knowledge, innovations
commercial companies or governments. and practices of indigenous and local
communities (Article 8j). However, in
Customary laws are locally recognised practise there are many contentious issues
principles, norms and rules, which are in ABS, one of which is the lack of
orally held and transmitted and are applied implementation in industrialised countries.
by community institutions (e.g. councils of The Nagoya Protocol on access and
elders) to govern internally or guide all benefit-sharing was developed to address
aspects of life. They include rules and this. One hundred and ninety-three
norms to control access to natural resources countries are party to the CBD. The CBD is
and ensure sustainable and equitable use, also supported by the International Treaty
and codes of ethics for proper use and on Plant Genetic Resources for Food and
transmission of traditional knowledge Agriculture (ITPGRFA).
(Swiderska, 2006).
Endogenous development
Customary rights are acquired by custom, Development driven by communities,
and belong to all the inhabitants of a building on their culture, knowledge,
particular place. Indigenous peoples’ resources and institutions.
customary rights often emphasise collective
rather than individual rights , and Free, prior informed consent (FPIC)
stewardship rather than outright processes
ownership. Rights are wedded to a Processes in which communities decide
responsibility to sustain resources for whether or not to allow projects affecting
current and future generations. their land or resources to go ahead, and on
what terms. The requirement for prior
Community protocols informed consent (PIC) to be ‘free’ responds
Charters of rules and responsibilities in to experiences where indigenous peoples
which communities set out their customary have been coerced into giving their consent,
rights to natural resources and land, as rather than being allowed to give it freely or
recognised in customary, national and deny consent.
international laws.
Genetic resources
Convention on Biodiversity (CBD) Genetic resources are the genetic material
The CBD is an international agreement, of plants, animals or micro-organisms
ratified in 1993, which aims to conserve which may be of value as a resource for
biological diversity, promote sustainable future generations of humanity (OECD,
use of biodiversity and ensure the fair and 2001). Genetic resources are used
equitable sharing of the benefits arising out commercially in a range of sectors:
of the utilisation of genetic resources. It biotechnology, plant breeding,
requires countries which use genetic pharmaceuticals, herbal medicines,
resources (industrialised countries) to cosmetics and industrial processes.
 ● Glossary 11

Intellectual property rights (IPRs) ing to the conservation of biological diver-

The term ‘intellectual property’ refers sity and the sustainable use of its compo-
broadly to the creations of the human mind, nents.
for example, inventions, designs,
trademarks or artistic works, such as music, The protocol will enter into force after 50
books, films, dances, sculpture or ratifications. It requires the prior informed
photography. Intellectual property rights consent, or approval and involvement, of
protect the interests of creators by giving indigenous and local communities for
them property rights over their creations for access to traditional knowledge and genetic
a certain period in time, provided that the resources held by them. It also requires
creators meet a certain criteria, for example, countries to support the development by
originality, defined by the relevant laws. indigenous and local communities of
Source: www.wipo.int community protocols for access and benefit-
sharing. For further information, see
International Treaty on Plant Genetic overview for this issue and see:
Resources for Food and Agriculture www.cbd.int/abs). For a critique of the
(ITPGRFA), 2001 Nagoya Protocol in the Indian context, see:
Treaty that aims to promote the Ramdas (this issue).
conservation and sustainable use of plant
genetic resources for food and agriculture, Participatory plant breeding (PPB)
and fair and equitable sharing of benefits An approach to seed development and
derived from their use, in harmony with the improvement that involves farmers and
CBD. One hundred and sixteen countries breeders in systematic procedures for jointly
are party to the ITPGRF. identifying desirable traits, selecting
For details see: www.planttreaty.org promising lines, and evaluating the
resulting varieties. See: Jingsong et al. (this
Landrace issue).
A landrace is a local variety of a
domesticated animal or plant species which Prior informed consent (PIC)
has developed largely through natural See: Free, prior informed consent (FPIC)
processes, by adaptation to the natural and
cultural environment in which it lives. It Seed patents
differs from a formal breed which has been A patent is an exclusive right granted for an
selectively bred deliberately. Landraces are invention, which is a product or a process
usually more genetically and physically that provides, in general, a new way of doing
diverse than formal breeds. something, or offers a new technical
Source: Wikipedia solution to a problem. In order to be
patentable, the invention must fulfill certain
The Nagoya Protocol on Access to Genetic conditions. Patents can be taken out on
Resources and Benefit-Sharing (2010) seeds that have been modified or bio-
This protocol was developed to implement engineered. There is no obligation for the
the Convention on Biodiversity’s third patent holder to seek the consent of, or share
objective on access to genetic resources and benefits with, the local custodians of the
benefit-sharing. Its objective is: seed used to develop the product or process
considered an invention.
…the fair and equitable sharing of benefits
arising from the utilisation of genetic Traditional knowledge
resources, including by appropriate access Contrary to a common perception,
to genetic resources … thereby contribut- traditional knowledge is not necessarily
12 65

ancient. It is evolving all the time, a process

of periodic, even daily creation as
individuals and communities take up the
challenges presented by their social and
physical environment. In many ways
therefore, traditional knowledge is actually
contemporary knowledge. Traditional
knowledge is embedded in traditional
knowledge systems, which each community
has developed and maintained in its local
context. ‘Traditional knowledge’ itself has a
number of different subsets, e.g. ‘indigenous
knowledge,’ ‘folklore,’ ‘traditional medicinal
knowledge’.
Source: www.wipo.int
 13

Acronyms

ABS Access and benefit-sharing

BCP Biocultural community protocol
BIT Bilateral investment treaty
CBD Convention on Biological Diversity
CBO Community-based organisation
CESCR Covenant on Economic, Social and Cultural Rights
CIKOD Centre for Indigenous Knowledge and Organizational Development
(Ghana)
COMPAS COMPAring and Supporting Endogenous Development
COP Conference of the Parties
CP Community protocol
DANIDA Danish International Development Agency
ED Endogenous development
EU European Union
FAO Food and Agriculture Organization of the United Nations
FLEGT Forest Law Enforcement, Governance and Trade
FPIC Free, prior informed consent
FRA Forest Rights Act
FTA Free trade agreement
GIZ German Development Cooperation
HIVOS Humanist Institute for Development Cooperation
IBCHA Indigenous biocultural heritage area
IBHT Indigenous biocultural heritage territory
ICCA Indigenous peoples’ and community conserved area
IIA International investment agreement
IIED International Institute for Environment and Development
14 65

ILCs Indigenous and local communities

IPR Intellectual property rights
IPRA Indigenous Peoples’ Rights Act
IP-Watch Intellectual Property Watch
ISE International Society of Ethnobiology
ITPGRFA International Treaty on Plant Genetic Resources for Food and Agriculture
IUCN International Union for Conservation of Nature
LIFE Local Livestock for Empowerment of Rural People
MEA Multi-lateral environmental agreement
MSP Multi-stakeholder process
NCIP National Commission on Indigenous Peoples
NGO Non-governmental organisation
NTA Native Title Act
OECD Organisation for Economic Cooperation and Development
PGR Plant genetic resources
PIC Prior informed consent
PPB Participatory plant breeding
REDD Reducing Emissions from Deforestation and Forest Degradation
SEARICE Southeast Asia Regional Initiatives for Community Empowerment
SIDA Swedish International Development Cooperation Agency
TK Traditional knowledge
TNC Transnational corporation
UEBT Union for Ethical BioTrade
UNEP United Nations Environment Programme
UNU-IAS United Nations University – Institute of Advanced Studies
UNDRIP United Nations Declaration on the Rights of Indigenous Peoples
UNESCO United Nations Educational, Scientific and Cultural Organization
VPA Voluntary Partnership Agreement
 15

Abstracts

1. Community protocols and free, prior issue of PLA itself, introducing the process
informed consent: overview and lessons used to develop it, its objectives and
learnt structure. They identify key lessons and
Krystyna Swiderska with Angela Milligan, conclusions on how to effectively support
Kanchi Kohli, Holly Shrumm, Harry FPIC/PIC and CPs to maximise positive
Jonas, Wim Hiemstra and María Julia impacts for biodiversity and livelihoods,
Oliva drawing on the articles in the issue.
In this overview article to the issue, the
guest editors begin by setting the scene, 2. FPIC and beyond: safeguards for
explaining how loss of biological and power-equalising research that protects
cultural diversity is threatening the biodiversity, rights and culture
livelihoods and biocultural heritage of Michel Pimbert
indigenous peoples and local communities Too often, research programmes are
(ILCs). They explore the role of community imposed on rural people, adding to their
protocols (CPs) and free, prior informed already overwhelming burdens, causing
consent (FPIC) in helping ILCs to defend harm and violating rights. It is vital to
their heritage and assert their rights over ensure that non-researcher citizens have
resources and traditional knowledge. They an opportunity to assess, on their own
emphasise the importance of community- terms and in their own time, the
level participatory processes in the desirability and relevance of engaging in
development of CPs and FPIC, and research activities before giving consent.
highlight the dangers of using these tools However, there is a need to go beyond
in a top-down, mechanistic way. They then FPIC in research involving indigenous and
consider recent changes in international local communities. FPIC needs to be part
law that have given CPs and FPIC official of a wider set of tactics and safeguards to
support. Next, they turn to this special enable local and indigenous communities
16 65

to defend their rights and determine their norms. But how can this be put into
own destinies. Situating FPIC and practice? Commercial companies often
community protocols within the broader look to governments and national
research and development cycle, this legislation to provide guidance and help.
article emphasises the need to incorporate The nature of the relationship between
participation at key stages throughout the government and local indigenous groups
cycle. It stresses that the development of and local communities then becomes
community protocols should be grounded crucial. The case studies in this paper look
in respect for local knowledge, since the at this relationship in the context of large-
sidelining of local knowledge in favour of scale mining projects, reflecting on how
standardisation induced by western decision-making structures and processes
science will result in ABS regimes that are can be designed to enable real community
extractive and unfair. participation and influence and thereby
reflect the ‘spirit of FPIC’. The Philippines
3. Whose access and whose benefit? The case shows clearly that a legal right to
Nagoya Protocol and customary rights in FPIC is not sufficient and can in fact have
India negative impacts where the government
Sagari R. Ramdas feels the need to engineer consent in
This article discusses the limitations of the order to comply with the law. By contrast,
Nagoya Protocol from the perspective of the creation of new bodies for
communities in India. As it promotes participation in Canada has seen a
access to genetic resources for commercial process of empowerment of civil society
use, the Protocol is grounded in the and local indigenous groups. To
exclusive intellectual property rights implement the ‘spirit of FPIC’,
framework. Yet in the worldview of Adivasi institutions need to be flexible and
and pastoralist communities, natural and recognise the importance of bottom-up
genetic resources and traditional design of the structures, processes and
knowledge form the basis of existence and values for achieving FPIC.
are sustained through collectivism and
spirituality for future generations, and 5. Indigenous benefit-sharing in
cannot be reduced to a commodity. resource development: the Australian
Although the provisions on prior informed Native Title experience
consent (PIC) and community protocols David Ritter
provide space for communities to assert This article describes the processes of
their own worldview, they are subject to indigenous representation, negotiation
domestic law. This is a severe limitation as and agreement-making over mining and
none of India’s ABS-related laws and development that is mandated under the
institutions require PIC or community Australian Native Title Act (NTA) of 1993.
protocols. Instead, Adivasis and It evaluates the lessons and learning from
pastoralists are using indigenous rights two decades of experience for similar
laws to defend their customary rights. processes such as FPIC. The NTA
succeeded in giving indigenous people a
4. The spirit of FPIC: lessons from seat at the bargaining table when a
Canada and the Philippines resource developer wanted to mine or
Abbi Buxton explore on land under claim. As a
The ‘spirit of FPIC’ is to enable consequence, indigenous communities
communities to have power over received large benefits and numerous sites
decision-making, so that decisions reflect of traditional significance were probably
their knowledge, values, practices and saved from destruction. However, the
 ● Abstracts 17

NTA did not establish a true right to veto, 7. Decolonising action-research: the
which would have given traditional land Potato Park biocultural protocol for
holders the power to decide whether or benefit-sharing
not to participate in the resource economy Alejandro Argumedo
on a case-by-case basis. It therefore For decades, indigenous peoples have been
mainly provided a way of bringing calling for a holistic and more sensitive
traditional indigenous land rights within approach to their culture – one that values
Australia’s resource economy in an orderly and nurtures their traditional knowledge
way. Empowerment and strengthening of systems and biocultural diversity. This
customary rules and responsibilities were article describes an innovative
limited by the predefined processes participatory action-research approach
provided for under the Act. The lack of with five Quechua communities in Peru,
sufficient resources and expert advice also where the communities worked with
limited indigenous peoples’ ability to use researchers to develop the Andean Potato
the rights under the Act to their Park’s biocultural protocol for equitable
advantage. benefit-sharing. The BCP includes not only
benefits derived from access to genetic
6. Changing the system from within: resources and traditional knowledge, but
participatory plant breeding and ABS in also all benefits that come from activities
China related to the direct and indirect use of
Jingsong Li, Janice Jiggins and biocultural resources. The process of
Yiching Song participating in the development of a
China’s first participatory plant breeding research methodology and focus became
(PPB) programme was initiated in not only a process of empowerment for the
Guangxi, southwest China. It aims to communities and their institutions, but
address declining genetic diversity in also enabled them to participate in
farmers’ fields and to improve livelihoods. decision-making, particularly in defining
As well as developing improved crop the content of the BCP. As well as
varieties for farmers, the programme is discussing this participatory process, the
facilitating the negotiation of local article briefly outlines the provisions of the
agreements by which farming BCP, and reflects on how the methodology
communities can benefit from sharing could be improved in the future.
their genetic resources and related
traditional knowledge with breeding 8. The Bushbuckridge BCP: traditional
institutes. This work has strengthened the healers organise for ABS in South Africa
legitimacy of farmers’ rights to benefit- Rodney Sibuye, Marie-Tinka Uys, Gino
sharing, and is feeding into on-going policy Cocchiaro and Johan Lorenzen
discussions on how to implement the ABS With a history of uncompensated bio-
provisions of the Convention on prospecting, the Kukula traditional health
Biodiversity and the Nagoya Protocol. In a practitioners of Bushbuckridge, South
context where farmers face significant legal Africa are faced with both marginalisation
barriers to securing their rights and and an emerging ecological crisis from the
benefits, this experience shows how a local- overharvesting of medicinal plants. But
level experimental project, involving they have staked their claim to rights
formal breeding institutes, can start to through the development of a biocultural
change attitudes, practices and policy community protocol (BCP), to secure
debates, paving the way for changes in access to medicinal plants for healthcare,
policy and law. prevent overharvesting and gain benefits
from commercial use. The BCP shows
18 65

clearly the challenges faced by health communities and their breeds and
practitioners from external agents – such as important for securing the assets of
businesses and government – and calls for livestock keepers in the long term.
the community’s rights over its land,
resources and knowledge to be respected. 10. Sacred groves versus gold mines:
With support from Natural Justice, the biocultural community protocols in
process was initiated by a small group of Ghana
healers, which discussed concerns about Bernard Guri Yangmaadome,
the illegal harvesting of medicinal plants, Daniel Banuoko Faabelangne,
collected information and facilitated Emmanuel Kanchebe Derbile,
further discussions. As a result of the Wim Hiemstra and Bas Verschuuren
participatory process to develop the This article relates the events leading up to
protocol, a healers’ association was protests by Tanchara traditional leaders in
established with almost 300 members, Ghana against gold mining on the
bringing together dispersed communities community’s land, which was threatening
and two different cultures and language their sacred groves and water supplies. A
groups, with a representative committee for local NGO facilitated a community
negotiating with others. The healers have organisational process which revitalised
also gained some access to medicinal plants the community’s traditional authorities
in a protected area which was previously and role in biodiversity conservation. The
completely sealed off. traditional leaders were empowered to
take action to protect their resources.
9. Biocultural community protocols: Building on this work, the community
tools for securing the assets of livestock developed a biocultural community
keepers protocol (BCP) as a tool to seek legal
Ilse Köhler-Rollefson, Abdul Raziq Kakar, protection for its traditional knowledge
Evelyn Mathias, Hanwant Singh Rathore and natural resources against the threat of
and Jacob Wanyama gold mining. The article draws out lessons
The role of communities in animal genetic for others in developing and using BCPs to
resource conservation still remains largely assert and defend community rights over
invisible to scientists and bureaucrats. natural resources. It demonstrates the
Livestock keepers in Pakistan, India and importance of an in-depth, long-term
Kenya have developed community participatory process for developing BCPs.
protocols to improve the visibility of the
role of livestock keepers in conserving 11. Defining our territory: the biocultural
genetic resources, addressing problems of community protocol of Alto San Juan,
access to grazing land and conserving Colombia
threatened breeds, as well as asserting Tatiana López Piedrahita and Carlos
customary rights in order to secure Heiler Mosquera
benefits from commercial use. This article The Alto San Juan biocultural community
examines three different experiences – the protocol (BCP) in Colombia seeks to
Pashtoon, Raika and Samburu BCPs – and ensure that the collective territorial rights
the extent to which these were community- of Afro-Pacific communities (ASOCASAN)
driven processes. It looks at whether and in the region are not violated by illegal
how communities have been able to make mining and forestry, and that cultural
use of the protocols in the struggle to have practices and the development model that
their rights recognised. It concludes that help to conserve biodiversity are
BCPs are extremely useful for making recognised and respected by others. It also
visible the connection between sets out guidelines for dialogue with
 ● Abstracts 19

external actors wishing to implement now is to build on these participatory

development projects and research on the processes and form constructive
territory. The ancestral territory of the 30 relationships with outside actors and
afro-descendant communities is government agencies.
recognised by law but not in practice, and
the BCP aims to ensure that these 13. Accessible technologies and FPIC:
customary rights are recognised in independent monitoring with forest
municipal planning processes and national communities in Cameroon
policies. The protocol was developed Jerome Lewis and Téodyl Nkuintchua
through a participatory process involving This article looks at the partnership
workshops and field interviews facilitated between communities and a community-
by the Pacific Institute of Environmental based monitoring project on illegal logging
Research, with methodology approved by and advocacy in Cameroon. Here both
the ASOCASAN council. The article shows FPIC and BCPs were used to strengthen
how a key challenge was to get the local ownership of the project, following an
government to recognise the legitimacy of evaluation which showed weak
the protocol, since it is a new tool. appropriation of the monitoring technology
Involving local authorities in the by participating communities. The first step
development of community protocols is was to hold extensive consultations with
important for this recognition, and also to each community so that they could either
ensure follow-up projects once the refuse or give consent to the project, using
protocol has been developed. an FPIC form and checklist to check the
understanding of the information given
12. Creating the Ulu Papar biocultural about the project at each stage. If granted,
community protocol community protocols were then developed
Theresia John, Patricia John, Louis Bugiad to provide the basis for organising activities
and Agnes Lee Agama throughout the project – setting out who
Following conflicts in a protected area and would participate in data collection and
in the shadow of a threatening mapping, how they would participate and
development project, the people of Ulu their roles and responsibilities. The process
Papar (from the Dusun indigenous group) of elaborating FPIC forms and community
in Borneo came together to create a protocols was important because it enabled
biocultural community protocol, most of the challenges and difficulties of
articulating the interests, rights and implementation by the community to be
responsibilities of the community in the identified at this stage. The use of accessible
preservation, management and utilisation technologies and GPS icons designed with
of their territories and culture. This article community participation, enabled
describes the process to develop the communities to take control of a successful
protocol, which built on a prior and empowering project.
participatory research process to
document the use of key resources for 14. Biocultural community protocols and
community livelihoods. The protocol was ethical biotrade: exploring participatory
developed through a series of workshops, approaches in Peru
trainings and discussions, in a process María Julia Oliva, Johanna von Braun
facilitated by community members. A and Gabriela Salinas Lanao
travelling roadshow was used to reach as This article describes a ‘biocultural
many remote villages as possible and dialogue’ – a more focused BCP adapted to
engage people in the discussion to shape the context of ethical biotrade. It was
the content of the protocol. The challenge developed by a local indigenous forestry
20 65

organisation, AFIMAD, and a company they imply for the process of negotiating
engaged in sourcing biodiversity ethically, FPIC in practice. It discusses the eight key
Candela Peru. Developing a BCP was seen stages of an FPIC process, noting the
as a way to support the indigenous requirements for each stage and the
communities in advancing their social, potential pitfalls. It then considers the
cultural and environmental expectations of advantages of FPIC processes for
their commercial relationships. The communities and for external actors, as
development of the BCP involved an well as the challenges faced in
internal reflection process with implementing such processes.
representatives from the community. They
considered how protocols could help them 16. Understanding and facilitating a
to better respond to commercial proposals biocultural community protocol process
concerning forest resources, increase the Holly Shrumm and Harry Jonas
government’s recognition of their rights as This article looks at how to facilitate a
indigenous communities, and community protocol process in practice. It
communicate their views to other discusses how to determine what a
institutions and organisations. Beyond the ‘community’ is, and the importance of
document itself, which is still being understanding its culture and internal
discussed by the wider community, the dynamics, as well as how it makes
process helped AFIMAD reflect on its important decisions. It emphasises the
goals and values, as well as its economic importance of the participation of all parts
activities, and reaffirmed its significance of the community, especially those who are
within the communities. As a result, it was often excluded from decision-making,
able to communicate in subsequent such as women and youth. It then looks at
dialogue with Candela Peru much more how to facilitate a CP process, including
assertively on issues such as sustainable seeking agreement from the community
resource use, negotiation processes, the about the process, identifying potential
kind of relationship they wanted, and the ‘community catalysts’, managing the
sharing of benefits. The communities and expectations of the community and the
Candela Peru are now better placed to importance of flexible timeframes.
understand and address each other’s needs
and concerns in the context of their current 17. Using stakeholder and power analysis
and future work. and BCPs in multi-stakeholder processes
Herman Brouwer, Wim Hiemstra and
15. How to implement free, prior Pilly Martin
informed consent (FPIC) Multi-stakeholder processes (MSPs)
Jerome Lewis advocates often argue that, because of the
Negotiating FPIC is a process. Before interdependence of stakeholders in solving
explicit consent can be negotiated, complex issues, MSPs create trust-based
information on planned activities and their relations that enable the empowered and
potential impact needs to be provided to active participation of all stakeholders.
those affected, and action has to be taken However, the distribution of power,
to verify that this information has been capacity and resources is generally
understood. If people refuse to grant imbalanced. Power differences are
consent, this decision must be respected. embedded in the social fabric of society
FPIC focuses on harmonising and and can be reproduced, or even reinforced,
equalising relationships between groups of in an MSP. Even if participants are willing
different power and means. This article to engage in dialogue on an equal basis,
outlines the elements of FPIC and what there are still differences in the level of
 ● Abstracts 21

experience, access to resources and

information. Failure to recognise power
dynamics can prevent the joint learning
and innovative solutions which one would
expect as outcomes of a good MSP, and the
result will not reflect the interests and
needs of less powerful stakeholders, often
those representing the grassroots. The
authors discuss how local action
researchers are supporting communities to
analyse power in MSPs so that they can
learn how to engage effectively with and
influence processes that involve more
powerful actors. They outline some of the
tools which can be used in this analysis,
using an example from Lamu, Kenya.
22 65
 23

OVERVIEW
Biodiversity and
culture: exploring
community protocols,
rights and consent
24 65
 25

1
Community protocols
and free, prior informed
consent – overview and
lessons learnt

by KRYSTYNA SWIDERSKA with ANGELA MILLIGAN,

KANCHI KOHLI, HOLLY SHRUMM, HARRY JONAS, WIM HIEMSTRA
and MARÍA JULIA OLIVA

Introduction domesticating and improving thousands of

Indigenous, traditional and local commu- native crops and livestock breeds, and devel-
nities have sustainably used and conserved oping related knowledge and practices.1
a vast diversity of plants, animals and However, with the loss of biodiversity in
ecosystems since the dawn of humankind rural areas, valuable resources such as
(Posey, 1999). For many rural communities climate-resilient crops, medicinal plants and
in the global South – including some 370 wild foods are disappearing.2 Cultural diver-
million indigenous peoples – biodiversity sity is also being lost at an unprecedented
and traditional knowledge (TK) continue rate and with it, ancestral knowledge of how
to play an important role in livelihoods, to use and conserve biodiversity.3
food security, healthcare and well-being, The causes of this ‘double extinction
whether they are farmers, pastoralists, crisis’ include habitat change due to the
forest dwellers or fisherfolk. Biodiversity is expansion of commercial agriculture,
also closely linked to cultural and spiritual industry and infrastructure and the over-
values (Box 1). exploitation of natural resources such as
Indigenous peoples and local communi- minerals and timber.4 This, in many cases,
ties have helped to create and enhance this also results in loss of land or natural
rich biocultural heritage, for example by resources for communities.
1 Biocultural heritage is the knowledge, biodiversity, landscapes, cultural values and
customary laws of indigenous peoples and local communities. Its components are inter-
dependent and together sustain local economies. See: www.bioculturalheritage.org
2 Species extinction is occurring at 100 times the natural rate, and is likely to accelerate in the
coming decades, according to the Global Environment Outlook 4 (see:
www.unep.org/geo/geo4.asp). The Food and Agriculture Organization of the United Nations
(FAO) has estimated that we have lost 75% of our crop diversity over the last century. During
the last six years alone, 62 livestock breeds became extinct (FAO, 2007).
3 It is estimated that up to 90% of all languages, an indicator of cultural diversity, will be lost
by 2100 (UNESCO, 2003).
4 For more information about the causes of biodiversity loss, see Global Biodiversity Outlook
3. Online: www.cbd.int/gbo3/
26 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

Box 1: Biodiversity and culture help defend their biocultural heritage

against these pressures and threats, and
Biodiversity refers to diverse crop and livestock
varieties which provide food, nutrition and resilience assert their rights over resources and tradi-
to climate change, medicinal plants which provide tional knowledge.
healthcare, wild plants which provide foods and • Community protocols (CPs) are charters
resources for plant breeding, and landscapes which of rules and responsibilities in which
provide vital ecosystem services such as water. communities set out their customary rights
Biodiversity also provides options for income
generation (e.g. health foods, herbal medicines, to natural resources and land, as recog-
natural products, seeds, eco-tourism). nised in customary, national and
Biodiversity and culture are closely linked and international laws.
inter-dependent. Cultural and spiritual values are • Free, prior informed consent (FPIC)
enshrined in sacred bio-resources (e.g. coca leaves or involves processes in which communities
special rice varieties used in rituals), ecosystems (e.g.
sacred forests or mountains) and ancestral landscapes decide whether or not to allow projects
(e.g. sacred valleys). These values and beliefs help to affecting their land or resources to go
sustain biodiversity and related traditional ahead, and on what terms.
knowledge; while the use of diverse biological In this overview article to the issue,
resources helps to sustain traditional knowledge and written by the guest editors, we first set the
cultural values (Swiderska et al., 2009).
scene, exploring CPs and FPIC further,
Even where biodiversity is not lost, emphasising the importance of commu-
access to biodiversity resources may be nity-level participatory processes in their
restricted by intellectual property rights development and highlighting the dangers
(e.g. commercial patents on seeds), or of using them in a top-down, mechanistic
conservation initiatives such as strict way. We then consider recent changes in
protected areas. These pressures are international law that have given these
making it ever harder for communities to tools official support.
secure their basic needs and continue their Next we turn to the special issue itself,
customary role and responsibilities as introducing the process we used to develop
stewards of biodiversity. it, the objectives we hope to achieve, and
Indigenous peoples, who make up a outlining the structure of the issue. We
third of the world’s poor and account for finish by identifying key lessons and
most of the world’s cultural diversity (5,000 conclusions on how to effectively support
different cultures), are under particular FPIC/PIC and CPs to maximise positive
pressure. They often inhabit areas of high impacts for biodiversity and livelihoods,
biological diversity and share a spiritual, drawing on the articles in this issue.
cultural, social and economic relationship
with their traditional lands. Their custom- Community protocols
ary laws and practices reflect an Many indigenous peoples and local
attachment to land and a responsibility for communities have their own orally held
preserving these lands for future genera- rules and procedures, also known as proto-
tions. Yet, they often face marginalisation, cols, to regulate conduct and interactions
displacement from their lands, territories within their communities, with outsiders,
and resources, denial of land rights, and and with the territories and areas on which
adverse impacts from large-scale develop- they depend. These are often rooted in
ment (UN Permanent Forum on customary laws and rights which have
Indigenous Issues, 2010). sustained biodiversity and biocultural
This special issue of Participatory heritage for generations (Box 2).
Learning and Action explores two impor- However, it is external actors (e.g.
tant participatory tools that indigenous government agencies, researchers, compa-
people and local communities can use to nies or NGOs) who tend to define the terms
 ● Community protocols and free, prior informed consent – overview and lessons learnt 27

Photo: Khanh Tran-Thanh

Guest editor Krystyna Swiderska at IIED’s information tent at the CBD 10th Conference of Parties in Nagoya,
Japan (2010). The tent provided a meeting point for IIED partners and other visitors to the conference as well
as a resource for information on IIED’s work with biodiversity and conservation.

Box 2: Customary laws, rights and (often written) are called community
responsibilities protocols (CPs) or biocultural community
protocols (BCPs). They communicate the
Customary laws are locally recognised principles,
norms and rules, which are orally held and
importance of their lands and resources
transmitted and are applied by community for a community’s livelihoods and way of
institutions (e.g. councils of elders) to internally life, their roles as stewards of land and
govern or guide all aspects of life. They include rules resources, and their customary rights and
and norms to control access to natural resources and how these are recognised in international
ensure sustainable use, and codes of ethics for proper
use and transmission of traditional knowledge
and national law. Protocols can help
(Swiderska, 2006). Many indigenous customary law communities to:
principles or values also promote equity – for • assert and defend their customary rights
example the Quechua principle of reciprocity, or in the face of external threats, e.g. from
equal exchange (Swiderska et al., 2009). However, mining (Guri et al.; López and Heiler);
the extent to which customary principles are still
observed in practice varies, and in some cases,
• negotiate access to customary resources
focusing on existing customs may further entrench (e.g. grazing rights in strict protected
existing power asymmetries such as the exclusion of areas), and gain recognition from policy
women and youth in community decision-making makers (Köhler-Rollefson et al.);
processes (Natural Justice, 2009). • promote constructive dialogue and equi-
Customary rights are acquired by custom, and table partnerships with others (e.g. NGOs
belong to all the inhabitants of a particular place. or companies), which support the commu-
Indigenous peoples’ customary rights often nities’ plans and priorities (Lewis and
emphasise collective rather than individual rights,
and stewardship rather than outright ownership. Nkuintchua; Oliva et al.);
• improve organisation, representation and
of engagement, often imposing projects or cohesion between communities (Sibuye et
plans which threaten local livelihoods or al.; Argumedo); and
do not reflect local priorities. As a result, • establish local systems and institutions in
there is growing recognition of the need to relation to access and benefit-sharing
articulate communities’ rules and proto- (ABS) arrangements provided for under
cols in forms that can be understood by the Convention on Biodiversity (CBD), in
others. These new forms of protocols accordance with their customary laws,
28 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

livelihood needs and worldviews support of the ABS Capacity Development

(Argumedo).5 Initiative to the BCP Africa project of
In many cases, they serve a combina- COMPAS, Natural Justice and the Ghana-
tion of these functions. For outsiders, such ian NGO CIKOD, which has been testing
as companies seeking access to genetic the development of CPs in different
resources, they can provide legal certainty settings.8 Also in 2011, GIZ funded the CP
and clarity, minimise potential conflicts project of UEBT and Natural Justice,
with and amongst communities, and help exploring how CPs could facilitate dialogue
to build long-term partnerships (Oliva et and partnership between communities and
al.). Community protocols can also estab- the private sector in the biotrade arena.
lish representative organisations and These efforts build on earlier initiatives,
procedures for those seeking FPIC. such as the development of community
CPs started to gain prominence in 2008, protocols facilitated by indigenous organi-
as a community-based response to the CBD. sations ANDES (Peru) and the Fundacion
Natural Justice and the LIFE Network facil- Dobo Yala (Panama), with support from
itated their development as tools for legal IIED and IDRC (Canada), and by the NGO
empowerment, with support from the ABS SEARICE (Southeast Asia Regional Initia-
Capacity Development Initiative and tives for Community Empowerment) in the
UNEP (Natural Justice, 2009). 6 7 In Anti-Biopiracy Programme in Southeast
November 2009, the African Group (a Asia funded by HIVOS, DANIDA and GIZ
negotiating group made up of African coun- (1998-2001).9 They also build on previous
tries) proposed the inclusion of CPs in the efforts to support community participatory
Nagoya Protocol on access and benefit- processes to defend customary rights, such
sharing (see Box 4, p. 30). Subsequently, as work by Kalpavriksh Environmental
COMPAS started supporting CPs, building Action Group in India.10 Many of these
on community initiatives for endogenous organisations have contributed to this
development (COMPAS, 2010), with the special issue.
5 The Convention on Biodiversity (CBD) is an international agreement for the conservation and
sustainable use of biodiversity, signed in 1992 and ratified by 193 countries. Its third objective
requires countries which use genetic resources (industrialised countries) to share the benefits
they derive fairly and equitably with countries that provide access to genetic resources. This is
referred to as access and benefit-sharing or ABS. Genetic resources are used commercially in a
range of sectors: biotechnology, plant breeding, pharmaceuticals, herbal medicines, cosmetics
and industrial processes. In the past communities have received few benefits, if any, when their
traditional knowledge and genetic resources have been used to develop new products which are
patented – hence the term ‘biopiracy’. The CBD also requires countries to encourage the sharing
of benefits with communities for the use of traditional knowledge, innovations and practices.
6 Formed in 2000, the Local Livestock for Empowerment of Rural People (LIFE) Network is an
international action-research and advocacy network promoting the sustainable use of local
breeds to support the livelihoods of pastoralists and ecological livestock keepers.
7 Founded in 2006, the ABS Capacity Development Initiative is currently funded by the
Governments of Denmark, Germany and Norway, as well as the European Commission and the
Institut de l’Energie et de l’Environnement de la Francophonie (IEPF), and implemented by GIZ.
See: www.abs-initiative.info. Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ)
GmbH (German Development Cooperation) is an enterprise owned by the German Federal
Government. See: www.giz.de/en. UNEP is the United Nations Environment Programme.
8 The COMPAS (COMPAring and Supporting Endogenous Development) Network has members
in 15 countries and is coordinated by ETC COMPAS in the Netherlands.
9 Asociación ANDES is a civil non-profit conservation and development association working in
poverty alleviation, biodiversity management and supporting traditional rights to biocultural
resources. See: www.andes.org.pe/en. The International Development Research Centre (IDRC) is
a public corporation created by the Canadian government to help communities in the
developing world find solutions to social, economic and environmental problems. See:
www.idrc.ca. Protocols were developed as part of the IIED project ‘Protecting Community Rights
over Traditional Knowledge: Implications of Customary Laws and Practices’ 2005-2009. See:
http://biocultural.iied.org/tools/community-biocultural-protocols.
10 Kalpavriksh Environmental Action Group is a Indian NGO, based in Maharashtra. It believes
that a country can develop meaningfully only when ecological sustainability and social equity are
guaranteed, and a sense of respect for, and oneness with nature, and fellow humans is achieved.
 ● Community protocols and free, prior informed consent – overview and lessons learnt 29

Free, prior informed consent (FPIC) approaches based on western bureaucratic

FPIC has become a fundamental part of norms are likely to undermine customary
indigenous peoples’ efforts and demands to institutions and community governance of
assert their right to self-determination over biocultural heritage, and limit community
the last two to three decades – in response participation (Buxton; Ritter).
to growing threats to their land, territories On the other hand, where communities
and waters, and violation of their custom- play an active role in designing and facili-
ary rights, by large-scale development tating community protocol and FPIC
projects, mining and forestry. processes, these tools can be very empow-
FPIC enables communities to decide on ering, building capacity, organisation and
proposed developments or projects on a confidence (Pimbert; Lewis and
case-by-case basis, based on full prior infor- Nkuintchua; Guri et al.; Argumedo; Sibuye
mation and discussions and deliberations et al.; John et al.).
at community level. Crucially, FPIC allows
communities to deny consent or veto Recent developments in international
proposals – without this, communities have law that support CPs and FPIC
far more limited influence over decision- CPs and FPIC have been given official
making (Ritter). support through two recent pieces of inter-
national law:
Community-level participatory • The UN Declaration on the Rights of
processes Indigenous Peoples (UNDRIPs, 2007),
Participatory processes form a critical part requires the free, prior informed consent of
of these rights-based tools, for analysis, indigenous peoples for any proposed devel-
deliberation and coming to agreement. opment which affects them (Box 3).
They help ensure that: • The Nagoya Protocol on Access to
• resource development decisions are Genetic Resources and Benefit-Sharing
considered thoroughly and community (2010) requires the prior informed consent
resources are not sold off ‘on the cheap’, (PIC) of indigenous and local communities
without considering potential impacts on for access to traditional knowledge and
the needs of all community members, and genetic resources held by them; and
on cultural values and heritage (Ramdas); support for the development of community
• benefits negotiated reflect the needs of all
community members and are fairly shared Box 3: The UN Declaration on the Rights
to maximise poverty reduction impacts, of Indigenous Peoples (UNDRIPs)
spread incentives for conservation and Although UNDRIPs is a non-binding or ‘soft’ law, it
avoid conflicts (Argumedo), avoiding ‘elite was adopted by 144 states and is widely supported
capture’; by indigenous peoples. The Declaration requires that:
• women, who are often most dependent States shall consult and cooperate in good faith with
on biocultural resources and play a key role the indigenous peoples concerned through their own
representative institutions in order to obtain their
in the maintenance of traditional crops, free and informed consent prior to the approval of
wild foods and medicinal plants, are any project affecting their lands or territories and
included. Their role is increasing with male other resources, particularly in connection with the
out-migration to urban areas and the femi- development, utilisation or exploitation of mineral,
nisation of agriculture, making it all the water or other resources (Article 32).
The requirement for PIC to be ‘free’ responds to
more important to ensure women’s partic- experiences where indigenous peoples have been
ipation. coerced into giving their consent, rather than being
Institutional arrangements for FPIC allowed to give it freely or deny consent. For
and community protocols also need to indigenous peoples therefore, a PIC process would
facilitate participation. Top-down always need to be FPIC to retain its integrity.
30 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

Box 4: The Nagoya Protocol Although the Nagoya Protocol intro-

duces new requirements to ensure the PIC
The Nagoya Protocol (2010) was developed to
implement the Convention on Biodiversity’s third of indigenous and local communities, these
objective on access to genetic resources and benefit- are significantly weakened by the clauses
sharing. Its objective is: ‘in accordance with domestic law’ and ‘as
…the fair and equitable sharing of benefits arising appropriate’. In relation to genetic
from the utilisation of genetic resources, including by resources these measures are only required,
appropriate access to genetic resources… thereby
contributing to the conservation of biological ‘where they have the established right to
diversity and the sustainable use of its components. grant access’. Thus, the impact of these
The Protocol will enter into force after 50 provisions depends to a large extent on
ratifications. See: www.cbd.int/abs existing national legislation, and how the
The Nagoya Protocol requires parties to: Protocol is implemented and interpreted
• Take measures to ensure the prior informed
consent (PIC) or approval and involvement of by national governments.
indigenous and local communities (ILCs) for access to In Latin America and the Caribbean
traditional knowledge, and for access to genetic region, most ABS legislation requires PIC
resources where they have the established right to of indigenous and local communities for
grant access (Article 6.2). access to genetic resources on land owned
• Set out criteria and/or processes for obtaining PIC
or approval and involvement of ILCs for access to or managed by them (Cabrera et al., 2011).
genetic resources (Article 6.3f). But in other countries, such as India, there
• Endeavour to support the development by ILCs, is no such requirement in national ABS
including women, of community protocols for legislation. Community protocols for ABS
access to traditional knowledge and equitable are also not widely recognised, although
benefit-sharing (Article 12.3a).
• Take into consideration ILC’s customary laws, they are now included in draft ABS legisla-
community protocols and procedures in tion in Malaysia (Sabah) and Namibia; and
implementing their obligations on traditional in Bhutan’s policy on ABS.
knowledge (Article 12.1). There are also concerns about the ABS
framework within which these rights are
protocols for ABS by indigenous and local recognised. The overall premise of the
communities (Box 4). Protocol rests on obtaining economic bene-
While these are important develop- fits from biodiversity and traditional
ments, they also have some limitations. knowledge. Many ILCs have raised ethical
UNDRIPs is non-binding, so although arguments as to whether a seed or knowl-
FPIC has been incorporated in a few edge that is commonly-held heritage
national laws and institutions (Buxton), should be accessed by private or individual
many countries still do not require it. interests for commercial development and
However, companies in the mining, oil protected by exclusive intellectual property
exploration and forestry sectors are rights (e.g. patents) (Ramdas).
increasingly going above the minimum Furthermore, the scope of these laws is
standards required in national law to somewhat limited. The Nagoya Protocol
obtain a ‘social licence to operate’, i.e. to only requires support for community
gain the support of local communities. In protocols for ABS, whereas community
the forestry sector, respect for FPIC is seen protocols focus on many other issues.
as corporate best practice, as a means of UNDRIPs, on the other hand, only applies
averting and resolving conflicts with to indigenous peoples, and does not require
communities. Companies as varied as the FPIC for non-indigenous communities.
US oil exploration company Talisman Oil
and the Singapore-based pulp and paper About this special issue of PLA
giant APRIL have made public statements This special issue reviews the experiences
endorsing FPIC (Colchester, 2010). of communities in Asia, Latin America and
 ● Community protocols and free, prior informed consent – overview and lessons learnt 31

Box 5: Developing this special issue of practice is still limited. This special issue
PLA aims to strengthen the capacity of a range of
actors (e.g. local organisations, practition-
The issue was initiated by IIED in May 2011, to share
ers, NGOs, donors and governments) to
experiences of these new rights-based tools with the
broader biodiversity and development communities, support these rights-based tools effectively
and to promote awareness of the need to avoid top- in practice. It also aims to highlight the
down blueprints in responding to the Nagoya need to support bottom-up processes
Protocol requirements. The articles were selected on designed by communities, and avoid pre-
the basis of abstracts submitted. The guest editors
defined processes and procedures imposed
from IIED, Kalpavriksh, Natural Justice, COMPAS and
Ethical Biotrade put together abstracts based on their from outside which do not reflect the
own experiences and invited others in their networks distinct and diverse cultural norms of
to do so. The call for abstracts was circulated mainly communities. This is important for the
amongst the biodiversity community. A broader call implementation of the Nagoya Protocol,
was not issued due to limited capacity for review. The
where governments and donors may be
abstracts were reviewed by the guest editors and
selection decisions made on the basis of the tempted to adopt rigid, top-down proce-
relevance to the theme, the potential for learning dures which fit more easily with their ways
lessons, the degree of participation and the diversity of working and the interests of business.
of experiences represented. The articles went through By promoting understanding of CPs
an extensive peer review process – first by the guest
and FPIC, and capacity to support them,
editors, and then by participation practitioners.
The process of compiling this issue has stimulated the issue will help inform the implementa-
a great deal of mutual learning amongst biodiversity tion of the Nagoya Protocol provisions on
researchers and legal experts supporting community prior informed consent and community
protocols and FPIC, and has brought this community protocols, and the UN Declaration on the
of practice closer together. It has also deepened their
Rights of Indigenous Peoples, as well as
understanding of participatory approaches, helping
to steer these rights-based tools onto a more other situations and legal contexts where
participatory path. CPs and FPIC are of value, for example to
claim rights under indigenous rights laws
Africa with developing and using CPs, and in India (Ramdas).
with FPIC processes, mainly within the
biodiversity community. It covers a range Structure of the issue
of contexts, including: developing mecha- The issue is divided into four parts.
nisms for access and benefit-sharing (ABS) Part I: Setting the scene: research part-
for genetic resources and traditional nerships and ABS from the perspective
knowledge; confronting threats from of communities highlights the need for
mining and protected areas; and improv- community participation beyond FPIC,
ing forestry partnerships. It also looks at throughout the research and development
some government experiences of establish- cycle (Pimbert). It also explains the limita-
ing institutional processes for FPIC and tions of the Nagoya Protocol from the
benefit-sharing. It identifies practical perspective of indigenous communities in
lessons and guidance based on these expe- India (Ramdas).
riences. The issue also includes some cases Part II: Institutional innovations for
from the forestry and mining sectors, FPIC and benefit-sharing reviews experi-
where there is quite a bit of experience with ences with national laws and institutional
FPIC. Box 5 explains how the issue was mechanisms for FPIC and benefit-sharing
developed. (Buxton; Ritter). It also explores how
participatory plant breeding and related
Objectives of the issue ABS contracts with farmers in China are
CPs and FPIC are relatively new, and under- helping to promote institutional change (Li
standing and capacity to support them in and Jiggins with Song).
32 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

Part III: Community protocols for community and local context. In both
genetic resources and ABS reviews the cases, the communities were allowed to
Quechua farmers’ inter-community bene- define the terms of engagement in the proj-
fit-sharing protocol based on customary ect and the modalities of implementation
laws (Argumendo); the Bushbuckbridge and went on to take control of the project,
healers’ protocol for securing access to which was very empowering. And in both
medicinal plants and seeking commercial cases this was facilitated by the use of
benefits (Sibuye et al.); and livestock keep- accessible technologies – understanding
ers’ protocols for securing grazing rights, the role of icon-based handheld GPS was
recognition of their conservation role and central to making FPIC more concrete for
commercial benefits (Köhler-Rollefson et Baka and Bantu; while using video to
al.). document research enabled dalit women
Part IV: Community protocols and FPIC: to take control of the research process.
mining, protected areas and forest part-
nerships explores the development and Participatory design of government
use of community protocols to defend structures and procedures
sacred groves and territorial rights against Top-down structures and procedures
mining in Ghana and Colombia (Guri et established by national law for FPIC in
al.; López and Heiler) and the develop- Canada, and for benefit-sharing in
ment of a protocol to assert customary Australia, have made participation difficult
rights in a protected area in Borneo (John for communities and weakened traditional
et al.). It also reviews the use of FPIC and structures (Buxton; Ritter). As Buxton
community protocols to strengthen suggests, implementing the ‘spirit of FPIC’
community ownership of a project to rooted in self-determination implies partic-
monitor illegal logging in Cameroon ipation in decision-making. This requires
(Lewis and Nkuintchua); and to improve power-equalising which can only be
a partnership with an ethical company for achieved when indigenous practices, struc-
trade in non-timber forest products in Peru tures and norms are incorporated in the
(Oliva et al.). design of FPIC structures and processes.
Even where there is equal representation
Lessons for supporting FPIC of indigenous communities and other
Looking across the articles in this issue, a experts, acceptance of the validity of tradi-
number of practical lessons can be drawn tional knowledge and influence over
on how to support FPIC (see also Tips for decisions, there may be western bureau-
Trainers). cratic norms, heavily reliant on written
rules, complex documentation (in English)
Importance of community-designed and hierarchical structures (e.g. in
processes Canada). This conflicts with the informal
As Pimbert and Lewis and Nkuintchua processes, oral communication (low liter-
show, a community-designed FPIC process acy) and egalitarian structures that are
can not only build trust and ownership of a common in aboriginal communities. This
project but can also be empowering for means that ‘participation is conditional on
marginalised communities. Dalit women people being able to act like western
in India organised open-ended discussions bureaucrats, and that is a real problem’
lasting almost three months, enabling the (Buxton). The key is for institutions to
emergence of FPIC on their own terms and incorporate flexibility that allows them to
in their own time. Baka and Bantu evolve to reflect indigenous perspectives
communities in Cameroon were consulted based on learning and the development of
in extended discussions, tailored to each shared values.
 ● Community protocols and free, prior informed consent – overview and lessons learnt 33

The Raika are the largest pastoral community of western Rajasthan in north-west India. The Raika BCP is
thought to be the first BCP ever completed by livestock keepers. It was developed with the support of
international NGO Natural Justice and Lokhit Pashu-Palak Sansthan (LPPS).

Recognising the power to veto mixed and ambiguous as to whether this

As noted by Ramdas, indigenous commu- has resulted in any improvement in social
nities may not want to participate in an or economic well-being of the communi-
ABS agreement if it means commoditising ties in question. Not having the power to
their resources and knowledge which are veto also limited their bargaining power
sustained through a collective, spiritual when negotiating with companies
relationship, or losing resources which are (Ritter).
vital for their health and survival. In
Cameroon (Lewis and Nkuintchua), Avoiding misunderstandings
communities were informed that they can Ensuring that communities fully under-
give, refuse or withdraw their consent for stand the information provided about the
the whole project or certain activities at any proposed activity is critical for FPIC to be
time. This was empowering as being meaningful. The FPIC forms in Lewis and
explicit about their right to refuse made the Nkuintchua provide questions to check
negotiation with outsiders more equal. community understanding of the objec-
Conversely, if communities are denied tives of the project, the benefits of
the right to veto, FPIC becomes a tool participation and the potential risks. If any
which merely facilitates resource devel- of the answers demonstrate a lack of
opment, rather than giving traditional understanding, these aspects have to be
communities the capacity to decide explained again until the answers demon-
whether or not to participate on a case- strate full understanding.
by-case basis. Australia’s Native Title Act, A good relationship between those seek-
which brought the right to negotiate with ing consent and the community is
mining companies, but not to veto devel- important for avoiding misunderstanding.
opment, has brought millions of dollars to If there is no previous relationship, FPIC
indigenous people. But evidence remains could be refused or granted simply because
34 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

of false expectations. Where patron-client process (Ritter), the negotiation of benefit-

relations exist, it may be best not to compen- sharing agreements for mining took a
sate communities during FPIC to avoid minimum of six months, often longer, and
consent being granted purely for immediate involved a number of experts. Given the
and insignificant benefits. And in other lack of government support, companies
cases, FPIC could be granted not because often provided funding for FPIC, but this
the proposal is understood, but simply could lead to co-option of the process.
because the people making it are trusted
(Lewis and Nkuintchua). Certain protocols Lessons for supporting community
and ways of behaving can help minimise the protocols
misunderstanding and friction associated A participatory process is an essential core
with cross-cultural communication between element for developing community proto-
indigenous and non-indigenous people cols which represent the negotiated
(Ritter). As well as facilitation by a local majority view or common interest of the
organisation trusted by the community, the community as a whole and which are really
support of an anthropologist may be owned by the community. While the main
required. purpose of a protocol may be to communi-
cate customary rules and rights, a
Allowing enough time and money participatory process is vital to build the
A number of articles stress the need for capacity and confidence of communities to
unhurried processes and flexible design. negotiate with more powerful actors so that
Putting a time limit on FPIC may be desir- these rules and rights are recognised. In
able for companies seeking consent but risks some cases, community protocols have led
rendering FPIC meaningless by preventing to new inter-community representation
full understanding and deliberation, and structures which can facilitate FPIC (e.g.
bottom-up design based on customary insti- Sibuye et al.; Argumedo). They can also
tutions. Even where communities are enable potential problems with a project or
participating in an NGO project which aims partnership to be identified in advance
to support their livelihoods and rights, the (Lewis and Nkuintchua), and help to build
process can take nearly three months long-term partnerships based on trust
(Pimbert). When new and complex issues (Oliva et al.).
are introduced where communities may be
divided, more time may be required to Maintaining a flexible focus
develop understanding and consensus. Whatever the initial purpose for developing
These processes of deliberation are vital for a community protocol, it is important to
communities to decide their best interests. maintain flexibility in terms of objectives,
What may appear an attractive proposition focus and process design. For example, a
to youth, for example, may not be best for community protocol for access and bene-
safeguarding community subsistence needs fit-sharing typically sets out the
or cultural heritage (Ramdas). community’s customary values and rights
As a number of articles point out, relating to traditional knowledge and
getting dispersed communities together is biodiversity and requirements for PIC and
often costly. Even if communities them- equitable benefit-sharing. However, ABS
selves are not paid, the cost of facilitation issues may not be the only or most pressing
will also need to be covered. Added to this, priority for communities. Discussions to
is the cost of legal support and representa- develop a protocol will inevitably bring up
tion for communities, particularly if other issues that communities need to
benefit-sharing agreements are negotiated address, such as securing their own access
with companies. In Australia’s native title to biodiversity resources and defending
 ● Community protocols and free, prior informed consent – overview and lessons learnt 35

their resources and land against develop- Box 6: Key steps in developing a
ment threats. community protocol

• Identification of a local organisation and

Recognising the impacts of the process and community facilitator trusted by the community to
supporting community facilitators facilitate the process. Existence of a community
Generally speaking, there seem to be two representative organisation will make the protocol
types of protocols in this issue: those that process easier. An FPIC process to obtain the consent
focus on achieving impact and empower- of the community to take part in the process is the
first step for developing the community protocol.
ment primarily through use of the • Research to understand the community, its bio-
document; and those that also see the resources, customary laws and institutions. This can
process as a means for empowerment and be a time-consuming process, particularly if such
change. In the latter, communities have studies have not been conducted before. Ideally, it
should be conducted and facilitated by the
played a leading role in the design and facil-
communities themselves. In Ghana, documentation
itation of the process and the of cultural and biological resources by the community
community-level process has been more was key to their revaluing these resources which
extensive. In the former, external facilita- were taken for granted. It revitalised sacred groves,
tors have tended to play a greater role in traditional crops and built respect for traditional
authorities (Guri et al. ). In the Potato Park, Peru,
facilitation, documentation and drafting. In research on customary laws was designed and
both cases, the process has improved conducted by community facilitators and formed the
community organisation. basis of the protocol (Argumedo).
However, where community members • Internal discussions and consultations amongst the
community to develop the protocol content on
have been trained to take the lead in the cultural values, roles and responsibilities of
design of the process, in conducting the communities, customary laws and resource rights.
research and facilitation, and in developing This step can also include broader reflection
the content of protocols, these processes processes on community priority needs and the
have been very empowering, building actions required to address them (Guri et al. ).
• Legal research on national and international laws
capacity and confidence (Guri et al.; and bylaws that support the customary rights and
Argumedo; Sibuye et al.; John et al.) This community priorities identified. This requires legal
has led to greater continuity and use of the experts and can also take time if such research has
protocol by the communities themselves not yet been done. A challenge here is to ‘translate’
the legal language to make it accessible to
after the process has ended – whether exter- communities so that they can use the protocol.
nally (Sibuye et al.) or internally • Drafting, review and agreement by the community,
(Argumedo). Training community facilita- in the local language. External support will often be
tors may require more time and resources. needed for drafting the protocol, but the greater the
In one case, it was not possible due to the involvement of the community as a whole in shaping
its content, the greater the ownership and continuity,
limited timeframe imposed by the donor and hence potential impact of the community
contract (nine months) (López and Heiler). protocol. This may be a challenge in dispersed
While communities may be empowered communities – a travelling ‘roadshow’ was used to
and mobilised by the process, continuity of reach as many people as possible in a protected area
in Borneo (John et al. ).
support by an external organisation may • Using BCPs for negotiation. Once protocols have
still be needed to promote impact once the been agreed upon, they can be used for negotiation
protocol has been developed. with others, either individually or in multi-
stakeholder platforms where community
Key steps in developing a community representatives (ideally a broader range of
communities together) engage with formal and
protocol state-level stakeholders and/or external parties. In
There is no set formula for developing a this negotiation process, while being aware of power
community protocol. The form it takes and dynamics, the communities have ideally undergone a
the methods to develop it should come capacity-building process to understand how to
operate in the process (Brouwer et al.).
from and reinforce the local biocultural
36 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

col has increased awareness of protected

area authorities that local healers are not
overharvesting. This has enabled the heal-
ers to negotiate some access to medicinal
plants in a protected area which had been
completely sealed off. Overharvesting has
been reduced due to improved awareness
generated by the process. The association
has signed an agreement with a cosmetics
company, which could lead to an ABS
agreement – and, after extensive discus-
sion, the healers decided to pool some of
their knowledge so that benefits would
reach the group as a whole. The association
has appointed a committee to negotiate
with external actors on its behalf.
In Ghana, the Tanchara community
protocol not only revitalised stewardship of
biodiversity but also succeeded in getting a
mining company that threatened to destroy
its sacred sites and pollute its drinking
water to postpone mining until 2013. This
The Samburu are Kenyan pastoralists. Their BCP
elaborates indigenous knowledge and breeding impact was facilitated by a local NGO which
practices, in particular for Red Maasai sheep, an started a dialogue between the communi-
endangered indigenous breed with commercial
potential that has attracted attention from scientists. ties and the mining company and
conducted a study on community perspec-
system and situation of the community – tives on mining. In addition, the local NGO
of which there is a huge diversity. That said, has helped gain the support of the local
most community protocols will entail government for the CP by involving officials
certain steps (see Box 6) but some may be in the development of the protocol and
more limited in terms of their process and taking them to visit affected communities.
contents, for example, when the protocol is Involving local government in the develop-
developed after an FPIC process to set out ment of community protocols is vital to get
the modalities for engaging in a project institutional backing and work towards the
(Lewis and Nkuintchua). legal recognition of CPs (Guri et al.).
In the case of Alto San Juan in Colom-
Impacts of community protocols and bia, the novelty of the community protocol
facilitating factors instrument has hampered its political
Some protocols have had significant recognition by local government – hence a
impacts, both internal and external. The follow-up phase is needed to promote its
Bushbuckbridge BCP, for example, (Sibuye recognition, or develop community proto-
et al.) fostered a sense of identity amongst cols on a region-wide basis, in order to
dispersed healers of two different language defend territorial rights in the face of illegal
groups, resulting in a registered healers’ mining. The development of community
association with 300 members, mainly protocols will be facilitated in communities
women, actively negotiating and pursuing which have supra-community representa-
their needs. The process was facilitated by tion (e.g. the ASOCASAN council
a group of healers and the BCP drafted represents 30 communities) (López and
with their active participation. The proto- Heiler).
 ● Community protocols and free, prior informed consent – overview and lessons learnt 37

The Bushbuckridge BCP is considered a living document by the Kukula Traditional Health Practitioners
Association and they periodically review the aims and challenges outlined in their original document.

In the case of Peru’s Potato Park by government legislation and institutions,

(Argumedo), the biocultural protocol as is often the case.
establishes a framework for equitable bene- Similarly, the extent to which PIC proce-
fit-sharing amongst five communities dures are recognised in practice depends on
based on customary laws and was signed the extent of devolution of decision-making
as an inter-community agreement. As it powers to communities. Thus, in many cases,
applies to benefits that are already being community protocols and international law
derived, it is one of the few community such as UNDRIPs and the Nagoya Protocol
protocols for ABS which is actually func- will provide tools for communities to advo-
tioning in practice to guide the distribution cate for their customary rights to be
of benefits. The process to develop it took recognised, but will not achieve their objec-
about 15 months and was designed and led tives until more fundamental changes in law,
by the communities themselves. It has governance and political processes are in
resulted in new inter-community gover- place at national level.
nance structures and improved community Until then, significant efforts will be
cohesion. The agreement is guiding the needed not only to support communities to
way benefits are shared and used, ensuring develop CPs, but also for communities to
they contribute to biodiversity conservation use them for advocacy and negotiation and
and poverty reduction. It has also to raise awareness of their legitimacy.
enhanced capacity for PIC and negotiation Community-based monitoring and
of equitable ABS agreements. evaluation of the approach will be critical in
learning and improving these tools and
Challenges to be addressed with CPs gaining external recognition. It should
and FPIC include monitoring of the process-based
Despite the positive outcomes described impacts. The growing challenge to assist
above, it should be noted that community communities to determine whether and
protocols are not a panacea. While they can how to develop community protocols needs
help to mobilise and better equip commu- to be addressed by inter-community
nities to take action, their external impact lesson-sharing, good practice guidelines
may be limited if they are not recognised and rigorously tested methodologies
38 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

(Jonas, Bavikatte and Shrumm, 2010). external actors provide flexible support
While broader acceptance of the need rather than setting standard procedures
for FPIC is beginning to emerge (Colch- which prevent real community participa-
ester, 2010) there is still limited tion. We hope that this special issue will
appreciation of the role and value of serve as a first step in this endeavour – by
community protocols amongst govern- sharing the lessons from a diversity of expe-
ments, commercial companies and donors, riences and participatory processes.
even within the biodiversity community. As
well as defending rights, community proto- Last thoughts
cols have huge potential for improving There are undoubtedly many more NGOs
governance and conservation of biodiver- and indigenous organisations undertaking
sity at the local level, and for strengthening similar initiatives with CPs and FPIC, build-
biocultural systems for resilience to climate ing on earlier attempts at participatory
change (Argumedo, Sibuye et al.; Guri et al.) processes for community empowerment,
Efforts are needed to improve under- documentation and organising to defend
standing of community protocols, of how customary rights. We hope that this issue will
to effectively support them in practice and support and inform these practitioners, and
of the benefits for different stakeholders, inspire them to reflect on these potentially
including government and business, across emancipatory tools, and to share their expe-
different sectors. At the same time, we need riences with others. The resources section of
to avoid coming up with blueprints for this issue lists some platforms for sharing on
these rights-based tools, and ensure that CPs and FPIC – join the debate!

CONTACT DETAILS
Krystyna Swiderska
Senior Researcher
International Institute for Environment and
Development (IIED)
80-86 Gray’s Inn Road, London, WC1X 8NH,
United Kingdom
Tel: +44 20 3463 7399
Fax: +44 20 3514 9055
Email: krystyna.swiderska@iied.org
Websites: www.iied.org
www.bioculturalheritage.org

Angela Milligan
Co-editor, Participatory Learning and Action
International Institute for Environment and
Development (IIED)
Email: angela.milligan@iied.org
Websites: www.iied.org
www.planotes.org

Kanchi Kohli
Kalpavriksh and Campaign for Conservation
and Community Control over Biodiversity
India
Email: kanchikohli@gmail.com
Mobile: +91 981 190 3112
 ● Community protocols and free, prior informed consent – overview and lessons learnt 39

Harry Jonas and Holly Shrumm

Natural Justice: Lawyers for Communities and
the Environment
479 Jalan Sang Kancil
Kota Kinabalu 88000
Sabah
Malaysia
Email: harry@naturaljustice.org
Email: holly@naturaljustice.org

Wim Hiemstra
ETC COMPAS
PO Box 64
Kastanjelaan 5
3830 AB Leusden
The Netherlands
Email: w.hiemstra@etcnl.nl
Website: www.compasnet.org

María Julia Oliva

Senior Advisor on Access and Benefit-Sharing
Union for Ethical BioTrade (UEBT)
Keizergracht 158
1015 CX Amsterdam
The Netherlands
Email: julia@ethicalbiotrade.org
Website: www.ethicalbiotrade.org

REFERENCES
Note: references without dates refer to articles published in this issue

ANDES, the Potato Park Communities and IIED (2011) Community

biocultural protocols: building mechanisms for access and benefit-
sharing among the communities of the Potato Park based on
Quechua customary norms. Online:
http://pubs.iied.org/G03168.html
Cabrera J, F. Perron-Welch and O. Rukundo (2011) Overview of
national and regional measures on access to genetic resources and
benefit-sharing: challenges and opportunities in implementing the
Nagoya Protocol. Centre for International Sustainable
Development Law: Canada.
Colchester, M. (2010) Free, prior and informed consent: making
FPIC work for forests and people. The Forest Dialogue Research
Paper 11.
COMPAS (2010) ‘Bio-cultural community protocols enforce
biodiversity benefits: a selection of cases and experiences.’
Endogenous Development Magazine.
FAO (2007) State of the world’s animal genetic resources. FAO
Commission on Genetic Resources for Food and Agriculture.
40 65 Swiderska with Milligan, Kohli, Shrumm, Jonas, Hiemstra and Oliva

Jonas, H., K. Bavikatte and H. Shrumm (2010) ‘Community protocols

and access and benefit-sharing.’ Asian Biotechnology and
Development Review 12:3, pp 49-76. Online:
http://tinyurl.com/abdr-12-3
Natural Justice (2009) Biocultural community protocols: a community
approach to ensuring the integrity of environmental law and policy.
Online: www.unep.org/communityprotocols/PDF/
communityprotocols.pdf
Posey, D.A. (Ed) (1999) Cultural and spiritual values of biodiversity.
United Nations Environmental Programme and Intermediate
Technology Publications: London.
Swiderska, K (2006) ‘Banishing the biopirates: a new approach to
protecting traditional knowledge.’ Gatekeepers 129. IIED: London.
Online: http://pubs.iied.org/14537IIED.html
Swiderska, K., A. Argumedo, Y. Song, J. Li, R. Pant, H. Herrera, D.
Mutta, P. Munyi, S. Vedavathy (2009) Protecting community rights
over traditional knowledge: implications of customary laws and
practices. Key findings and recommendations 2005-2009. IIED,
ANDES, FDY, Ecoserve, HFRC, CCAP, ICIPE and KEFRI. Online:
http://pubs.iied.org/14591IIED.html
UNESCO (2003) ‘Language, vitality and endangerment.’ Document
submitted by Ad Hoc Expert Group on Endangered Languages to
the International Expert Meeting on UNESCO Programme
Safeguarding of Endangered Languages, UNESCO Paris, 10th–
12th March 2003.
UNPFII (2010) State of the world’s indigenous peoples (chapter III).
Secretariat of the Permanent Forum on Indigenous Issues. UN
Department of Economic and Social Affairs.
 41

PART I
Setting the
scene: research
partnerships
and ABS from
the perspective
of communities
42 65
 43

2
FPIC and beyond:
safeguards for power-
equalising research that
protects biodiversity,
rights and culture

by MICHEL PIMBERT

This special issue of Participatory Learn- community protocol to assert their rights
ing and Action rightly emphasises the to biodiversity in different local contexts.1
importance of community designed and These biocultural protocols can be used
controlled participatory processes of free, by communities to set the rules of engage-
prior informed consent (FPIC) and of devel- ment in research and other initiatives (e.g.
oping community protocols for research on access and benefit-sharing under the
biocultural diversity. In this article, I offer Nagoya Protocol).2 Experience suggests
some reflections on how to give non- that participatory processes are key for
researchers (e.g. men and women in the design of effective community proto-
indigenous and local communities) more cols (Swiderska, this issue). To date
significant roles than before in the produc- however, there has been more documen-
tion and validation of knowledge for the tation of the content of existing
equitable and sustainable use of biological biocultural community protocols and
and cultural diversity. I suggest that there FPIC than the actual processes required
is a need to go beyond the valuable concept to develop them. This article aims to fill
of FPIC for research involving indigenous this knowledge gap by emphasising the
and local communities. Whilst an essential processes and safeguards needed to
tool, FPIC needs to be part of a wider set of ensure a truly participatory approach to
tactics and safeguards to enable local and research and development (R&D) for
indigenous communities to defend their biodiversity, culture and rights.
rights and determine their own destinies I use the term ‘participation’ in an
(Colchester and Ferrari, 2007). emancipatory and democratic sense. The
FPIC potentially allows communities values and normative framework which are
to decide if they want to develop a at the heart of my own understanding of
1 See Glossary, p.10.
2 See Overview, p.25-40.
44 65 Michel Pimbert

people – rather than on people – to explore

Photo: CENESTA

how locally controlled biodiversity-rich

food systems can be sustained.3 In these
different settings, it is noteworthy that citi-
zens engaged in co-enquiry are viewed as
knowledgeable and active actors with the
ability to be centrally involved in both the
‘upstream’ choice of strategic research
priorities and the design of innovations, as
well as in their ‘downstream’ implementa-
tion, spread and regulation. Viewing
Pastoralists Rethinking Research project, Iran. citizens as knowledgeable actors is, in and
by itself, an important safeguard in
promoting community rights over their
‘participation’ in this article can be biocultural heritage. Empathy, respect and
summarised as: solidarity with fellow human beings are
important prerequisites here. Without
… allowing each potential citizen-subject these enabling values, enduring prejudiced
within society to become real subjects, by views will continue to undermine the possi-
offering them ... a genuine autonomy to bility of seeing ordinary citizens as
exercise their ability to give themselves laws knowledgeable actors (Box 1).
and construct rules with others... More
specifically, this implies giving to individ- Co-defining ways of working and research
uals the means to participate ... in the daily ethics
construction of the rules of living together, Power-equalising research often grows out
and to rethink political, social and of a participatory process in which local
economic relationships in order to civilise community members define or co-define
them at a deep level, through the permanent with outside researchers the rules of
exercise of the freedom to participate (Méda engagement and ways of working. Ensur-
2000, author’s translation). ing this kind of ethical research is essential.
Too often, research programmes are
Towards power-equalising research imposed on rural people, adding to their
Power-equalising research involves both already overwhelming burdens, causing
researchers and non-researchers in close harm and violating rights.4 It is vital to
cooperative engagement, jointly producing ensure first that non-researcher citizens
new knowledge, with mutual learning from have an opportunity to assess, on their own
the process. As such, this form of coopera- terms and in their own time, the desirabil-
tive enquiry is a significant reversal from ity and relevance of engaging in cooperative
dominant roles, locations and ways of research activities. The validity and quality
knowing. of the research are usually enhanced when
These reflections are based on ongoing non-researchers are allowed to co-define
participatory action-research with indige- the rules of engagement and codes of
nous and local communities in the Andean research ethics. Open ended dialogues and
Altiplano (Bolivia and Peru), Asia (India, village-level discussions with dalit women
Indonesia, Nepal and Iran), Europe farmers in Andhra Pradesh (India) allowed
(France, Italy, UK) and West Africa (Mali) participants to decide on the code of
where research is done with, for and by research ethics they should adopt and on
3
See Pimbert (2012); CNOP et al. (2007); and Pimbert (2011).
4 See Denzin et al. (2008).
● FPIC and beyond: safeguards for power-equalising research that protects biodiversity, rights and culture 45

Box 1: Disempowering mindsets, Box 2: Research agreements with

attitudes and behaviours undermine women farmers in the drylands of
peoples’ knowledge and capacity for South India
co-enquiry
Action-research on Sustaining Local Food Systems,
• According to Ibrahim Coulibaly, a farmer leader Biodiversity and Livelihoods worked with the
and president of the Coordination Nationale des Deccan Development Society (DDS) and 80
Organisations Paysannes (CNOP) in Mali, many sanghams (voluntary village-level associations)
urban-based intellectuals are ashamed of their rural made up of dalit women – the lowest group in the
or peasant origins, and prefer not to mention them. Indian social hierarchy. From the start, it was vital
Many researchers and decision makers also believe to ensure first that the sanghams and small-scale
that small-scale family farmers, and women in farmers had an opportunity to assess, on their own
particular, are backwards and ignorant – and that terms and in their own time, the desirability and
these farmers and food processors are a relic of the relevance of engaging in collaborative research
past that should be dispensed with as fast as activities.
possible. Through a process of locally-organised
• In Peru, Alejandro Argumedo gives many presentations, discussions and debates lasting
examples of the enduring racist and prejudiced almost three months, the women sangham leaders
attitudes which indigenous peoples and their and DDS staff gave their informed consent for the
knowledge systems experience when discussing project to go ahead and also clarified and agreed
issues of biodiversity, rights and culture with on the terms of engagement with IIED. These
‘educated’ decision makers and scientists of Spanish deliberations were the first step in this action-
descent. research and (a) ensured that the principle of FPIC
• In Iran, nomadic pastoralists and their biodiversity was upheld, and that (b) trust, long-term
conserving practices continue to be marginalised by commitment and ownership were built. All
powerful modernising forces in government and participants also felt it necessary to adopt an
research. Deep seated dehumanising attitudes and ethical code to guide the research. After discussing
a desire for purification of difference and disorder possible options, they agreed to use the
often prevent genuine intercultural dialogue and co- International Society of Ethnobiology’s Code of
enquiry. Ethics. This requires research partners to recognise,
Source: author’s conversations with IIED partners support and prioritise the efforts of indigenous
involved in the Sustaining Local Food Systems, peoples, traditional societies and local
Biodiversity and Livelihoods initiative. See: communities to undertake and own their research,
Pimbert (2012). collections, databases and publications. For
example, participants agreed on how to ensure
how to document research on biodiversity, that the research findings were documented in a
food and culture (see Box 2). This village- way that would be accessible to the many non-
level process also allowed for an unhurried literate members of the community. Women
emergence of FPIC. sangham members pointed out that the DDS had
trained villagers in the use of digital video
technology and they argued that locally-filmed
Forming safe spaces for co-enquiry and video should be used to document the research
reversals from the normal and communicate its findings. All co-enquirers
The spaces that bring community agreed to this as the DDS’s experience had already
members and outside researchers together shown that being non-literate is no barrier to
learning to use video.
during the research process need to be As a result, women farmers felt both respected
carefully thought out – they need to be and empowered in the knowledge that they would
designed as safe spaces for communication be working with and communicating about this
and action. This is an important safeguard action-research through their community-
for participatory research as many spaces produced video films – in their own ways, at their
own pace, and with significant control over the
are not welcoming of women or inclusive entire research process and ways of working. They
of the weak and marginalised, nor free produced 12 video films documenting the action-
from manipulation and co-option by more research process and its outcomes.
powerful insiders and/or outsiders. For more information, see: Community Media
More generally, important differences Trust et al. (2008).
exist between two radically different types
46 65 Michel Pimbert

Photo: Peter Reason

Box 3. Reversing gender biases
We do not need to include women in the citizens’
juries because they are not farmers.

This astonishing comment was made by a senior

member of one of the key peasant organisations in
Mali, the AOPP (Association des Organisations
Professionnelles Paysannes). As a result, the AOPP
stalled the preparatory process of the Citizens’ Jury
on Genetically Modified Organisms (GMOs) and the
Future of Farming. It took two months of discussions
and negotiations among steering group members to
convince this senior member of the AOPP that A citizen’s jury evaluating agricultural research, India,
women do play a major role not only in food 2010.
preparation but also in the production of food,
usually by farming small plots of land. In late July and deliberate, frame alternatives and
2009, one of the heads of the AOPP threatened to action, mobilise, build alliances and act.
remove his organisation from the steering group of Creating and nurturing such safe spaces is
the Democratising Agricultural Research initiative essential for intercultural dialogue, mutual
because he was unhappy that the Convergence of learning and embracing the experience,
Rural Women for Food Sovereignty (COFERSA) had
been formally accepted as a new member of the expertise, fresh thinking, energy and
steering group. This decision was eventually reversed perspectives of hitherto excluded actors,
by the AOPP and the larger steering group – but only including women and youth. But such
after a month of intense discussion, persuasion and popular spaces may also reproduce both
argument on the need for gender justice. overt and subtle forms of exclusion in the
Source: Pimbert and Boukary (2010). absence of a conscious social commitment
to politics of freedom, equity and gender
of spaces for participation: invited spaces inclusion. The messy process described in
from above and popular or citizen spaces. Box 3 is an example of how co-enquirers
Examples of the former are government ensured gender justice in citizens’ deliber-
and donor-led efforts to set up co-manage- ations on the priorities for public research
ment committees and research platforms. in West Africa.
In contrast, citizen or popular spaces are Safe spaces for communication and
created by people who come together to action not only strive to be inclusive of
create arenas over which they have more gender and difference, they also promote a
control, e.g. farmers’ platforms for negoti- culture of reversals from normal practice.
ation and collective action; or They put the perceptions, priorities, judge-
do-it-yourself ‘citizens’ juries’ that allow ment and knowledge of members of
ordinary people to judge existing policies indigenous and local communities centre
and frame alternative policies. Examples of stage. These spaces are typically located in
such popular spaces include recent citizens’ settings familiar to communities (e.g.
juries on the priorities and governance of villages, fields) and they rely first and fore-
food and agricultural research in India most on local languages for analysis and
(www.raitateerpu.org) and West Africa deliberations (outside researchers receive
(www.excludedvoices.org).5 translations). Last, but not least, such safe
Whilst there are notable exceptions, spaces when combined with the use of
popular spaces are arenas within which, enabling participatory methodologies
and from which, ordinary citizens can gain allow citizens to be directly engaged in the
the confidence to use their voice, analyse entire research cycle.
5 Parallel discussions around patient (i.e. non-elite) knowledge in health research also
emphasise the importance of safe spaces. See: Cook (2012).
 ● FPIC and beyond: safeguards for power-equalising research that protects biodiversity, rights and culture 47

Photo: Peter Reason

Non-literate film maker from the Community Media Trust, India.

Participation throughout the research and tion and validation of new knowledge,
development cycle technologies and institutional innovations
Key moments or stages when participation (Pimbert, 2009). A focus on the entire
can occur throughout the research and R&D cycle allows for a shift from narrow
development (R&D) cycle include: concepts of participatory research that
• evaluations of results and impacts of confine non-researchers to ‘end of the pipe’
research, as well as risk assessments; technology development (e.g. participatory
• scientific and technological research – the plant breeding) to a more inclusive
production and validation of knowledge, approach in which farmers and other citi-
including the FPIC stage and the initial zens can define the upstream strategic
design planning of the research; priorities of research and governance
• the choice of upstream strategic priorities regimes for environment and development.
for R&D and allocation of funds; and This more systemic understanding also
• the framing of policies for environment allows one to situate discussions on the
and development, including biodiversity pros and cons of a particular innovation
conservation and its sustainable use. (e.g. an ABS regime) in the wider policy
Power-equalising research seeks to context and actor networks that have
embrace and intervene in all these different shaped the R&D process which generated
moments in the R&D cycle. Appropriate that specific innovation.6
participatory methodologies and delibera-
tive processes are used at each stage to Cognitive justice – recognising different
engage citizens in direct and meaningful knowledge systems and their right to exist
ways in shaping the political economy of Power-equalising research is all about
knowledge as well as in the actual produc- ensuring greater cognitive justice between

6 For more information see Pimbert (2011).

48 65 Michel Pimbert

fundamentally different knowledge Box 4. Indigenous communities claiming

systems and ways of knowing. Claims that cognitive justice in Peru
one tradition of knowledge and practice
The concept of indigenous biocultural heritage
(local, vernacular systems versus external
territories (IBCHT) grew out of power-equalising
science-based systems) is always better research and has guided a successful community-led
than the other may ultimately restrict initiative in Cuzco, Peru known as The Potato Park.
possibilities. The idea of cognitive justice Located in a biodiversity hotspot for potatoes, the
emphasises the right for different forms of park is an IBCHT centered on the protection of potato
biodiversity and related knowledge. The area is home
knowledge – and their associated ecologies,
to more than 4,000 varieties of potato as well as
practices, livelihoods and ways of being – other traditional crops, including corn, barley, wheat,
to coexist. As Visvanathan argues, cogni- oca and olluco. The Potato Park provides an
tive justice is ‘the constitutional right of alternative approach for protecting traditional
different systems of knowledge to exist as knowledge. It protects not only the intellectual, but
the landscape, biological, economic and cultural
part of a dialogue and debate’. This implies
components of knowledge systems, thereby halting
the continued existence of ‘the ecologies loss of traditional knowledge as well as
that would let these forms of knowledge misappropriation. Communities' collective control
survive and thrive not in a preservationist over their knowledge has been strengthened by
sense but as active practices’ (Visvanathan, systematically affirming the holistic and indivisible
nature of their rights to land, territories and self-
2005). It is noteworthy that the successful
determination. Cognitive justice is being claimed as
protection of biocultural heritage in the the concept of IBCHT is increasingly recognised in
Potato Park in Peru has grown out of local national and international negotiations on the
communities’ affirmation of their sovereign protection of biodiversity and knowledge.
right to sustain their entire knowledge
Source: Argumedo and Pimbert (2008).
system, including the landscape and terri-
tories that renew biodiversity, culture and local knowledge systems will facilitate ABS
livelihoods (see Box 4). regimes that are extractive, unfair, patent-
Articulating and claiming this right to friendly and easily captured by
cognitive justice by and for hitherto corporations and new cycles of capital
excluded actors is a key challenge for all accumulation.
involved in power-equalising research for
biodiversity, rights and culture. This is a Extended peer communities co-validating
crucially important safeguard against the knowledge
standardisation induced by hegemonic How knowledge is validated – and by
western science that is now increasingly whom – matters a great deal in today’s
controlled by the life industry corporations context of open-ended uncertainties in
(ETC, 2011; Grain, 2012). In the absence which ‘we do not know what we do not
of ways of working grounded in principles know’. Co-enquiries between local commu-
of cognitive justice, the Nagoya Protocol on nities and outside scientists need to be
ABS could lead to the development of open to the possibilities of a ‘post-normal
narrow science-based community proto- science’. 7 This is the sort of enquiry in
cols which do not reflect the distinct and which the facts are uncertain, values are
diverse cultural norms, knowledge systems often in dispute, stakes are high and deci-
and practices of indigenous and local sions are urgent. Post-normal science
communities. Inevitably, this side-lining of recognises a plurality of legitimate perspec-
7 Post-normal science expresses three key insights: 1) These times are far from ‘normal’:
uncertainty now rules political and environmental affairs. 2) ‘Normal’ puzzle-solving science is
now thoroughly inadequate as a method and a perspective for solving the great social and
environmental issues of our times. 3) Extended peer communities of citizens can no longer be
relegated to second class status, and their special knowledge can no longer be dismissed as
‘unscientific’, inferior or bogus (see Ravetz and Funtowicz, 1990).
 ● FPIC and beyond: safeguards for power-equalising research that protects biodiversity, rights and culture 49

Photo: Khanh Tran-Thanh

Following the International Forum on Food Sovereignty, IIED project partners from India, Indonesia, Iran and
Peru participated in a workshop to share in a process of mutual learning (Selingue, Mali).

tives on every issue and insists on the need

Photo: Khanh Tran-Thanh

for extended peer review. This ‘extended
peer community’ validates knowledge and
can include scientists as well as members of
indigenous and local communities – both
men and women of different age groups,
classes, castes, ethnic groups etc. All these
actors have incomplete and partial knowl-
edge – scientists included. Under
conditions of open-ended uncertainties
and rapid change all these different knowl-
edge holders (e.g. farmers, healers,
livestock holders, forest dwellers, scientists)
have a legitimate and useful role to play in
deciding what constitutes valid knowledge
in a particular context.
The more academic and narrow disci-
plinary-based peer review system alone –
with its privileged power to decide what is
‘true science’ – is no longer seen as legiti-
mate and relevant for dealing with the Citizens’ jury on the Governance of Agricutural
Research in West Africa (Selingue, Mali), a process
challenges of the 21st Century such as designed to strengthen the voices of small-scale
climate change and risk assessments. producers and other citizens.
50 65 Michel Pimbert

Figure 1. Diverse gatekeepers of knowledge decide on the validity and quality of

citizens’ juries’ policy recommendations
OVERSIGHT AND EXTENDED PEER REVIEW

Video film archives

Media (TV, radio, press)

Evaluation built into
the process – not ‘end
of the pipe’
Direct observers &
Learning group members In situ monitoring and
evaluation – in real
time

Independent oversight Extended peer review

Panel of complex process and
outcomes

Citizens’
Jury Process
& Outcomes

Source: Pimbert (2011).

Instead, power-equalising research relies to agree on what counts as valid and

on a more inclusive and plural process of useful knowledge in their unique settings
co-validation of knowledge that brings – often emphasising the value of people’s
together representatives of different knowl- knowledge of the local situation and of the
edge systems (scientific, indigenous, local) context of change. People involved in this
in ‘extended peer communities’. For exam- way of knowing thus participate in the
ple, the process and outcomes of citizens’ joint production of collective knowledge.
juries on the future of food, agriculture and They are involved in a deeply sense-
environment in West Africa and South Asia making activity, generating meaning both
have all been co-validated by many differ- for themselves and for the knowledge they
ent actors (academics, donors, policy are co-creating. Such ‘extended peer
makers, media professionals and farmers) communities’ are important safeguards
who were physically present during the citi- for the generation of inclusive, valid, rele-
zens’ juries (Figure 1).8 vant and high quality knowledge needed
Extended peer communities necessar- to adaptively respond to rapid change and
ily engage in multi-disciplinar y, uncer tainty through democratic
intercultural dialogues and negotiations processes.
8
For West Africa, see Pimbert et al. (2011). For South Asia, see: www.prajateerpu.org and
Kuruganti et al. (2008). For the work of the Alliance for Democratising Agricultural Research in
South Asia (ADARSA) and citizens’ juries on agricultural research, see also: www.raitateerpu.com.
 ● FPIC and beyond: safeguards for power-equalising research that protects biodiversity, rights and culture 51

Photo: Khanh Tran-Thanh

Potato Park, Pisaq, Peru. Elected representatives of the six communities that comprise the Association of
Communities of the Potato Park, which is responsible for managing the park. The group meets on a weekly basis to
discuss issues of agrobiodiversity, land and traditional resource rights, and local economic activities.

Strengthening local organisations to build

Photo: Khanh Tran-Thanh

countervailing knowledge and power

Power-equalising research usually seeks to
enlist and strengthen local organisations of
indigenous peoples, farmers, pastoralists,
forest dwellers, fisherfolk and other citi-
zens. Engaging local organisations and
communities in co-enquiry is important
because they play a key role in:
• sustaining the biodiversity and ecological
basis of systems that are essential for meet-
ing human needs (e.g. food systems);
• coordinating human skills, knowledge
and labour to generate both use values and
exchange values in the local economy; and
• local governance, including decisions
about people’s access to food, biodiversity
and other natural resources.
However, many local community organ-
isations can be elitist, dominated by a few
and discriminatory. The legitimacy, trans-
As part of the Potato Park's agrotourism project, local
residents conduct hiking tours of the agricultural area,
parency and democracy of local
and the women's collective that manages and operates organisations will often need to be strength-
the small restaurant provide cooking demonstrations
and meals to showcase traditional local ingredients
ened as part of a process of change and
such as quinoa and amaranth. co-enquiry (see Box 3). When this is done,
52
Photo: Michel Pimbert 65 Michel Pimbert

Box 5. International Investment

Agreements boost corporate power

International Investment Agreements (IIAs) such

as the Bilateral Investment Treaties (BITs) and
investment chapters in the Free Trade Agreements
(FTAs) give transnational corporations (TNCs)
extraordinary rights without binding obligations.
They allow TNCs to bypass local and national laws
and courts. If public policy is against their interests,
TNCs can sue sovereign States for millions of
dollars before private international arbitral
tribunals associated with the International Centre
for Settlement of Investment Disputes (ICSID) and
the United Nations Commission on International
Farmer exchange for mutual learning among Trade Law (UNCITRAL) and others. It is noteworthy
representatives of indigenous and peasant federations that there is no similar international tribunal
from Peru, Indonesia, India and Iran meeting in a village
in South India. where governments or citizens can bring TNCs to
justice when their activities violate social, labour,
embedding power-equalising research in human and environmental rights or when they act
local organisations and the federations they in breach of public policy requirements. This has
led to calls for an alternative international
form usually better ensures that:
investment framework that is based on
• the right questions are asked from the democratic principles and prioritises public
communities’ point of view; interests over private profits.
• there is more shared ownership over the See: http://tinyurl.com/AlternateIM
research process and its outcomes; and Full URL: http://justinvestment.org/2011/11/call-
• that the capacities and assets of local for-an-alternative-investment-model/
organisations are enhanced (human, social,
natural, physical, financial assets). rights are realised, through the agency and
These are important safeguards for actions of people themselves.
truly participatory research.
New energy and creativity are often Legal redress as safeguard against abuses
released when different federations and Power-equalising research on biodiversity,
networks of local organisations learn to rights and culture is increasingly taking
better communicate and work together in place in a context in which transnational
producing knowledge for positive change corporations (TNCs) and investors are
and equity. Many such federations of the engaging in international arbitration to
rural and urban poor are well placed to protect their rights as investors. For the
promote non-state-led forms of delibera- first time in international law, large corpo-
tive democracy aimed at making local, rations are being given the right to sue
national and global institutions account- governments. This trend is greatly facili-
able to citizens – particularly those most tated by new International Investment
excluded from decision-making. Indeed, Agreements (Box 5).
federations of local organisations increas- Indigenous and local communities
ingly seek to have a greater say in the engaged in co-enquiry need to develop
governance of environment and develop- safeguards against such abuses of power
ment – including R&D. In so doing, they and must be able to seek legal redress when
challenge liberal understandings in which their rights are violated. But the ability of
citizenship is viewed as a set of rights and victims of corporate and State power to
responsibilities granted by the State. enforce their right to food and other rights
Instead, citizenship in the context of locally (e.g. equitable ABS for indigenous knowl-
determined development is claimed, and edge on seeds and medicinal plants) has
● FPIC and beyond: safeguards for power-equalising research that protects biodiversity, rights and culture 53

been difficult without an international claimed through the agency and social
complaints mechanism. The newly mobilisation of local communities and
adopted Optional Protocol of the Interna- wider coalitions of citizens. In many cases,
tional Covenant on Economic, Social and legal redress will not be enough: safeguards
Cultural Rights (CESCR) may offer real based on more radical expressions of deep
opportunities to do that. The entry into democracy, self-determination, self-organ-
force of the Optional Protocol greatly isation, direct action and people’s
improves access to justice for victims of sovereignty will be needed for equity, social
violations of the right to food and other justice and environmental sustainability.
rights by allowing individuals or groups to Developing such safeguards is a vitally
bring a complaint directly to the CESCR important new conceptual and method-
(Ziegler et al., 2011). ological frontier for power-equalising
However, history everywhere shows research that truly works for the well-being
that these human rights will need to be of people and the Earth.

CONTACT DETAILS
Dr Michel Pimbert
Principal Researcher
Agroecology and Food Sovereignty Team
Natural Resources Group
International Institute for Environment and
Development (IIED)
80-86 Gray's Inn Road
London
WC1X 8NH
UK
Email: michel.pimbert@iied.org

REFERENCES
Argumedo, A. and M.P. Pimbert (2008) Protecting farmers' rights with
indigenous biocultural territories: the experience of the Potato Park.
ANDES and IIED. Presented at COP 9 of the Convention on Biological
Diversity, May 2008, Bonn.
Colchester, M. and M.F. Ferrari (2007) Making FPIC – free, prior and
informed consent – work: challenges and prospects for indigenous
people. Forest Peoples Programme. Online: http://tinyurl.com/fpic-
challenge. Full URL:
www.forestpeoples.org/topics/civil-political-rights/publication/2010/
making-fpic-free-prior-and-informed-consent-work-chal
Community Media Trust, P.V. Satheesh and M.P. Pimbert (2008)
Affirming life and diversity: rural images and voices on food
sovereignty in South India. Reclaiming Diversity and Citizenship
series, IIED: London.
CNOP et al. (2007) Peasant seeds, the foundation of food sovereignty in
Africa. CNOP, BEDE and IIED. Online:
http://pubs.iied.org/14565IIED.html
Cook, T. (2012) ‘Where participatory approaches meet pragmatism in
funded (health) research: the challenge of finding meaningful spaces.’
Forum: Qualitative Social Research 13:1. Online:
http://tinyurl.com/cook-2012. Full URL: www.qualitative-
research.net/index.php/fqs/article/view/1783/3304
Denzin, N.K., Y.S. Lincoln and L.T. Smith (2008) Handbook of critical and
indigenous methodologies. Sage.
ETC (2011) Who will control the green economy? New report on
corporate concentration in the life industries. ETC. Online:
www.etcgroup.org/upload/ETC_wwctge_14dec2011_4web.pdf
54 65 Michel Pimbert

GRAIN (2012) The great food robbery: how corporations control food,
grab land and destroy the climate. Pambazuka Press.
International Society of Ethnobiology (2006) International Society of
Ethnobiology code of ethics (with 2008 additions). Online:
http://ethnobiology.net/code-of-ethics
Kuruganti, K., M. Pimbert and T. Wakeford (2008) ‘The people's vision:
UK and Indian reflections on Prajateerpu.’ In: (Eds) Wakeford T. and
J.Singh (2008) Towards empowered participation: stories and
reflections. Participatory Learning and Action 58,IIED: London.
Online: http://pubs.iied.org/G02529.html
Méda, D. (2000) Qu’est ce que la richesse? Champs Flammarion: Paris.
Pimbert, M.P. (2012) Sowing innovation for sustainable food. IIED:
London. Online: http://pubs.iied.org/G03229.html
Pimbert, M.P. (2011) Participatory research and on-farm management
of agricultural biodiversity in Europe. IIED: London. Online:
http://pubs.iied.org/14611IIED.html
Pimbert, M.P. (2009) Transforming knowledge and ways of knowing for
food sovereignty. Reclaiming Diversity and Citizenship series, IIED:
London. Online: http://pubs.iied.org/G02493.html
Pimbert, M.P. and B. Boukary (2010) ‘Democratising research for food
sovereignty in West Africa.’ The Journal of Peasant Studies 37: 1,
January 2010, pp. 220–226.
Pimbert, M.P., B. Boukary, A. Berson and K. Tran-Thanh (2011)
Democratising agricultural research for food sovereignty in West
Africa. IIED: London. Online: http://pubs.iied.org/14603IIED.html
Ravetz, J. and S. Funtowicz (1990) Uncertainty and quality in science for
policy. Kluwer Academic Publishers: The Netherlands.
Visvanathan, S. (2005) ‘Knowledge, justice and democracy.’ In: (Eds) M.
Leach, I. Scoones and B. Wynne. Science and citizens: globalization
and the challenge of engagement. Zed Books: London.
Ziegler, J., C. Golay, C. Mahon and S.A. Way (2011) The fight for the
right to food: lessons learnt. Palgrave Macmillan: New York.
 55

3
Whose access and whose
benefit? The Nagoya
Protocol and customary
rights in India

by SAGARI R. RAMDAS

Introduction This article provides a critique of the

Adivasis (the indigenous people of India) Nagoya Protocol in the Indian context,
and peasants, pastoralists and fisherfolk concluding that it is unlikely that the Proto-
need to defend their rights to the resources col’s provisions on prior informed consent
on which they depend (land, forests and (PIC) and community protocols will enable
water) in order to live and carry out their communities to protect their customary
livelihoods with dignity. These communi- rights. It then explores how Adivasi and
ties have nurtured, shaped and conserved pastoralist communities have used other
these resources, including their genetic national laws and self-mobilisation to
diversity (crops, trees, livestock, poultry, protect their biodiversity and intellectual
micro-organisms). Their mutually sustain- rights and safeguard their access to genetic
ing, complex, multi-layered relationship resources for livelihoods and ‘benefits’, as
with the living world is one based on custo- understood according to their worldview.
dianship and stewardship over the
resources to be handed down to future The Nagoya Protocol in the Indian context
generations. It sustains life, livelihoods and The Nagoya Protocol elaborates Article 15
spirituality, sows the seeds for future gener- of the CBD that deals with access to genetic
ations, and is grounded in the moral and resources and benefit-sharing (ABS).
political economy of the rights of mother ‘Access’ and ‘benefits’ in this case are
Earth. This relationship, in the worldview grounded in an intellectual property rights
of indigenous and other local communities, (IPR) framework because they often
cannot be reduced to a commodity to be involve the development and patenting of
traded or ‘accessed and benefited’ via commercial products to generate benefits.
monetary payment, as is implied by the IPRs include patents, geographical indica-
recently agreed Nagoya Protocol to the tions, trademarks, plant variety protection,
Convention on Biodiversity (CBD). copyrights and protection of undisclosed
56 65 Sagari R Ramdas

information. These regimes grant exclusive genes’ in indigenous breeds, which can be
proprietary rights over an intellectual prod- used to create new breeds, which are then
uct to an individual or company to exploit commercialised and sold to farmers. In the
an invention commercially for a certain process, IPRs/patents on genes will be
period. Knowledge and associated genetic obtained by scientists in research institu-
resources are seen as tradeable commodi- tions and private companies.
ties, and access and benefits are mediated Within the Nagoya Protocol, the space
by the market. This commoditisation of for communities to exercise their voice,
knowledge and biodiversity is utterly anti- reject the IPR regime and establish their
thetical to indigenous and pastoralist own worldview lies in Articles 6, 7 and 12.
worldviews. Articles 6 and 7 talk about the Prior
Moreover, the IPR framework cannot be Informed Consent (PIC) of the community,
neatly applied to protect biological resources which has to be obtained before anyone can
and traditional knowledge because: access traditional knowledge or genetic
• it is impossible to identify an individual resources held by communities.1 Article 12
inventor; speaks of how states shall respect the
• traditional knowledge often cannot be indigenous and local communities’
attributed to a particular geographical loca- customary laws, community protocols and
tion; procedures pertaining to traditional knowl-
• it is not always possible to demonstrate edge associated with genetic resources. The
the required criteria of ‘novelty’ and ‘inven- communities can use PIC, community
tive step’; and protocols and customary laws to protect
• the concept of exclusive ownership of their knowledge from the IPR regimes and
plants and knowledge is alien to many bio-piracy. However, all these provisions
cultures. are subject to domestic legislation.
Recent examples illustrate that states None of India’s key legislations
use ABS legislation to facilitate access by concerned with the ABS system – Protec-
corporations to the genetic resources and tion of Plant Varieties and Farmers’ Rights
knowledge of communities, as these are the Act (2001) and the Biological Diversity Act
raw material for the multi-million dollar (2002) – require prior informed consent
international bio-tech industry (PIC) of the concerned communities, nor
(Kalpavriksh, GRAIN and PANOS South have a mandate or provision for ‘commu-
Asia, 2010). The benefits will essentially be nity protocols’. Only the PIC of the State,
profits flowing into the coffers of industry, represented by the National Biodiversity
with some (if any) monetary ‘benefits’ to be Authority (NBA), is required. 2 It is
given to the community knowledge hold- assumed that the interests of the State
ers. The Government of India’s 11th equate to the interests of the people.
five-year research plan reaffirms its Increasingly, however, the State is using its
commitment to the IPR regime. Genetic powers to defend the interests of corpora-
resources and bio-prospecting are key tions and big business, bartering away the
research areas of the Indian Council of rights of communities (Kalpavriksh,
Agricultural Research (ICAR) in animal GRAIN and PANOS South Asia, 2010).
science, driven by the search for ‘novel Communities must instead turn to other
1
The PIC component of the Nagoya Protocol flows from article 8(j) of the CBD, wherein
parties shall, subject to national legislation, commit to: respect, preserve and maintain
knowledge, innovations and practices of indigenous and local communities, and promote
their wider application with approval and involvement of the holders of such knowledge,
innovations and practices, and encourage the equitable sharing of benefits arising from the
utilisation of such knowledge, innovations, and practices.
2 Under India’s Biodiversity Act, even communities who are the knowledge-holders have to
apply to the Biodiversity Authority to establish their claim to benefits.
 ● Whose access and whose benefit? The Nagoya Protocol and customary rights in India 57

laws and non-legal approaches to protect Box 1: Adivasi Aikya Vedika (AAV)
their customary rights. I explore some
Adivasi Aikya Vedika is an alliance of Adivasi people
examples of these from Andhra Pradesh in through which Adivasis can protect their cultural
the following sections. identity, territoriality, governance, knowledge
systems and customary law that affirms their sacred
Indigenous peoples (Adivasi) laws that relationship with mother Earth. They challenge the
protect biodiversity rights dominant external forces and models of
development that are displacing them from their
The rights of Adivasis and other commu- territories using constitutional safeguards and
nities to their resources, biodiversity and legislations, particularly PESA and FRA, and affirm
associated traditional knowledge, are their own customary laws and systems of
protected through two strong domestic governance. Between 2002 and 2006, AAV played a
laws. key role in mobilising Adivasis across Andhra Pradesh
to protest against forest evictions and to fight for
• The Panchayats (Extension to the recognition of their customary forest rights, as part of
Scheduled Areas) Act No.40, 1996 a nationwide mobilisation of Adivasis and other
(PESA): PESA empowers communities to traditional forest dwellers. AAV was formed in 2000,
take control over resources through the at a gathering of Adivasi peoples from across the
aegis of village councils – known as gram state of Andhra Pradesh. Its leadership is drawn from
its members who are spread across nine districts of
sabhas – and also to design and approve Andhra Pradesh.
development plans, including those for
agriculture.
• The Scheduled Tribe and Other Tradi- Box 2: Mapping our territories to
defend our rights
tional Forest Dwellers (Recognition of
Forest Rights) Act, 2006 (FRA): FRA In November 2011, members of six adjacent village
recognises the rights of Adivasis and other gram sabhas sharing customary boundaries met with
traditional forest dwellers over their intel- government officials. They discussed details of the re-
survey and decided to initiate the exercise in
lectual property and traditional knowledge Bondigudda, Srikakulam. It took three days to walk
related to biodiversity, and their right of around the entire customary forest boundary
access to biodiversity and to govern their perimeter, the people leading the surveyor, making
forests according to their customs and sure that he captured every turn as a waypoint,
traditions. Free, prior informed consent which the community marked with a pile of stones.3
The customary sarrihadula or traditional border posts
(FPIC) must be obtained before any forest of the village, identified by pre-existing physical
within customary boundaries is diverted structures (e.g. rocks/ancient trees), were also
for non-forest uses. marked. The three-day march saw participation from
every family and also neighbouring villages. It
Struggles to secure customary forest rights included elders (women and men) with historical
knowledge, women who have an intricate and multi-
The Savara Adivasis of Heeramandalam hued relationship with the forest, and the youth in
Mandal, Srikakulam District, live on hill- whose hands lie the present and future. The
tops in forests and have refused to experience pulsated with the spirit of self-
‘descend’, despite several attempts over the determination and self-rule, and was a way of
years by State authorities to bring them out collectively reconnecting the community to their
culture, traditional knowledge and territories. It
of the forest. In 2008, soon after the FRA involved intense deliberation and dialogue to arrive
officially came into force, Savara Adivasis at consensus within and between villages, respecting
began asserting their rights to live in the ancient traditions of porosity of boundaries.
forest, with the support of the Adivasi
Aikya Vedika (AAV) (see Box 1). Every step The government unilaterally prepared
of the way, they had to struggle against a community forest resource titles, which
recalcitrant bureaucracy reluctant to part were to be jointly managed under a pre-
with power and resources. existing and highly controversial
3
A waypoint is GPS terminology that indicates a point captured with its latitude and longitude.
58 65 Sagari R Ramdas

Photo: Anthra, Yakshi and Adivasi Aikya Vedika

Customary forest resources and the traditional boundaries – which is the community forest as per customary
law, versus the limited forest area managed through joint forest management (JFM) – marked ‘VSS’ on the map.

Photo: Anthra, Yakshi and Adivasi Aikya Vedika

A map of Bondigudda village showing community forest boundaries according to customary law and governance.
 ● Whose access and whose benefit? The Nagoya Protocol and customary rights in India 59

Photos: Anthra, Yakshi and Adivasi Aikya Vedika

Marking the names of traditional boundaries – Bondigudda village.

Villagers of Bondigudda creating boundary markers on every turning of their traditional customary boundary
with a heap of stones.
60 65 Sagari R Ramdas

programme known as Joint Forest Manage-

Photo: Anthra, Yakshi and Adivasi Aikya Vedika

ment (JFM), administered by India’s forest
department. The titles under-represented
the true extent of community forest tenure
traditionally enjoyed within customary
boundaries, the integrity of which was vital
for community survival and resilience. The
people unanimously passed gram sabha
resolutions refusing acceptance of these
‘jointly managed forest’ areas under the
JFM, and also rejected individual titles
which had been allocated, which were a
fraction of their original claims (Ramdas,
2009). They resolved to remap their
community forest resources according to
customary systems of forest governance.
They realised that it was imperative to
secure community forest tenure rights, and
that individual rights would follow. Sixty-
two villages were involved in generating Healer with medicinal plants in Dabbagudem village.
community maps based on customary
boundaries (see Box 2). of the women and elders spoke out strongly
The village gram sabhas and AAV have against granting permission. The medici-
successfully used these maps to show nal plants desired by the trader were an
government authorities at local, State and intricate part of medicines used by the
national levels how and why the JFM land villagers to keep them healthy and protect
does not represent their customary bound- them from endemic malaria. While some
aries, and thus constitutes a breach of the youth were initially undecided about this
law. The pressure finally resulted in the issue, believing it would fetch them money,
Integrated Tribal Development Agency when they heard how critical these plants
deciding, in August 2011, to redo commu- are for the communities’ health and
nity forest maps according to communities’ survival, they too supported the elders and
traditional customary boundaries, as the women.
starting point for preparing community After listening to everyone’s opinions,
forest titles.4 the council passed a resolution against
trading in these valuable medicinal plants,
Traditional council asserts the right to deny and reaffirmed that they were to be exclu-
access sively used by the community, thus
In 2010, the village of Dabbagudem had to forbidding any community member from
decide whether to give permission to an selling the herb. They feared that the herb
outside trader from Tamil Nadu to access would disappear if they allowed it to be
and purchase valuable medicinal herbs commercialised. The community has
found in their forests. The village elders abided by this decision, as have other
decided to call a traditional village council villages, and the trader from Tamil Nadu
meeting (dakkojanguber), which is legally has not ventured into these villages subse-
equivalent to the village gram sabha under quently. This is an example of a village
PESA and hence its decisions are binding. using its rights under national legislation
The council debated over three days. Most to deny consent to use of their biodiversity
4
The government agency responsible for tribal development at the district level.
 ● Whose access and whose benefit? The Nagoya Protocol and customary rights in India 61

Photo: Anthra, Yakshi and Adivasi Aikya Vedika

Medicine used to prevent malaria.

and knowledge, through customary forms Box 3: The Deccani sheep

of decision-making. The Deccani breed is spread across the four states of
Andhra Pradesh, Karnataka, Maharashtra and parts
Defending rights to rear local sheep breeds of northern Tamil Nadu located in the Deccan
Since 1995, the NGO Anthra has been plateau. The original custodians of the breed are the
working with pastoralist communities in Kuruma/Kuruba/Dhangar castes whose stories
narrate how the gods created the black wool sheep,
Medak district to document, record and and assigned the community with the specific task of
restore traditional knowledge of animal its care (Murty and Sontheimer, 2004). Shepherds
health, animal breeds, fodder varieties and selected the breed over the years for its tolerance to
management practices, and to defend graz- drought, fodder and water shortages, capacity to
ing rights. Community shepherds, deeply migrate long distances and ability to endure large
variations in diurnal temperatures. The wool has
concerned about increasing sheep morbid- traditionally been spun into yarn by women and
ity and mortality. analysed factors that woven by men into blankets known as gongadi.
might be affecting sheep health and
concluded that the gradual dilution of the rear local breeds. The shepherds had
pure Deccani breed (see Box 3) was stopped rearing the pure Deccani due to a
compromising the health of their animals, combination of factors:
leading to an explosion of diseases. This • structural adjustment policies which
realisation became a strong stimulus for sought to divert land from traditional to
shepherds to revive the breed, resulting in industrial production;
the emergence of community collectives • liberalisation of wool markets resulting in
such as the Deccani Gorrela-Mekala dumping of cheap international wool; and
Pempaka Dharla Sangham and the Mahila • programmes to replace the Deccani breed
Bathukuderuvu Sangham.5 6 These organ- with fast-growing sheep for meat.
isations use community action to defend These factors led to the near extinction
their livelihoods, including their rights to of traditional wool crafts (Anthra, 2009).
5 The Deccani Sheep and Goat Rearers Collective.
6 Women’s Life and Livelihood Collective.
62 65 Sagari R Ramdas

Photos: Anthra, Yakshi and Adivasi Aikya Vedika

Deccani sheep and shepherds – both men and women.

Shepherds wearing Gongadi wool – a versatile textile used to protect shepherds from the sun, rain and cold.
 ● Whose access and whose benefit? The Nagoya Protocol and customary rights in India 63

Weaving Gongadi textiles.

Community strategies to conserve the revival of wool and the gongadi woolcraft.
breed have involved actions to secure graz- Shepherds, spinners, weavers and kada
ing rights in forests using the FRA law, specialists, who produce the gongadi
which legalised grazing in forests, involv- borders, are rebuilding linkages between
ing the gram panchayats.7 They convinced them and all are deriving benefits from
them to pass resolutions to protect the last conserving the breed.
remaining village common property In a context of climate change, the
resources, restoring ancient forest grazing hardy black wool Deccani breed promises
paths which had been encroached on, to be the best option for the pastoralists
preventing the harvest of acacia trees, and farmers of the Deccan. However, the
which are critical sources of summer communities now face a new threat: a State
fodder, and desilting village water bodies.8 decision to expand Hyderabad city, swal-
They are also promoting animal health and lowing up 600 villages, including those in
sustainable agriculture based on indige- Medak district. The villages are determined
nous knowledge and practices, and are to use the powers of the gram panchayat
involved in rediscovering and sustaining under PESA to resist this takeover.
the communities’ breeding knowledge
about the Deccani. Elders share knowledge Conclusions
with young people through different Adivasis and pastoralist communities in
community gatherings and cultural events India are challenging the fundamental
that are closely associated with the breed. premises of ABS agreements and laws
With the revival of the breed, came the which lie within a capitalist market
7 Local village institutions of self-governance formed under the Andhra Pradesh Panchayat Raj
Act, 1994.
8
Acacia nilotica trees are being harvested for their timber value.
64 65 Sagari R Ramdas

construct. Simultaneously they are forging tional knowledge in all spheres of life to
the path forward for access and benefits rebuild the resilience and well-being of the
from genetic diversity and associated community– from building homes, to revi-
knowledge based on their worldviews. This talising traditional irrigation, cultivating
is contingent upon them securing uncon- food crops, conserving traditional seeds,
ditional rights to their territories and rearing local animal breeds and healing.
resources – land, forests, water, biodiver- They have also enabled the transfer of
sity, knowledge, customary laws and knowledge, and the use of and ‘benefit’
governance systems. from this, from the elders to the youth.
Since Indian ABS legislation does not Community organisation has also encour-
require or support PIC or community aged communities to actively engage with
protocols, communities are testing the questions concerning governance of
effectiveness of existing domestic legisla- resources, biodiversity and knowledge,
tion designed to protect their rights to their rather than being passive recipients of poli-
territories and resources. This legislation cies and laws, and has enabled them to
also supports communities’ self-rule and secure their customary rights where
local systems of governance, helping to national laws support these.
revitalise and democratise the decision- Although the experiences described
making roles of traditional village councils, here do not involve the use of community
and strengthening their legitimacy in the protocols, there are many common
eyes of outsiders. elements – reviving traditional knowledge,
Community actions (such as commu- exploring national/international laws to
nity mapping by the Adivasi and support rights, and strengthening custom-
community platforms to design conserva- ary laws and decision-making institutions.
tion strategies by the pastoralists) help I hope I have shown how these interlinked
communities reconnect to their territories, processes can help communities to secure
knowledge systems and resources. They their livelihoods and their rights to the
have encouraged the application of tradi- resources on which they depend.

CONTACT DETAILS
Dr Sagari R. Ramdas
Director
Anthra
B-228/229 Sainikpuri
Secunderabad-500094
Andhra Pradesh
India
Email: sagari.ramdas@gmail.com

REFERENCES
Anthra (2009) Conservation of the Deccani sheep breed: a community
initiative on biodiversity management. Green Foundation:
Bangalore, India.
Kalpavriksh, GRAIN and PANOS South Asia (2010) A summary report of
a post-CBD/COP10 assessment of access and benefit-sharing (ABS).
M.L.K Murty and G.D. Sontheimer (2004) ‘Prehistoric background to
pastoralism in the Southern Deccan in the light of oral traditions and
cults of some pastoral communities.’ In (eds): H. Bruckner, A.
Feldhaus and A. Malik (2004) Essays on religion, literature and law.
Manohar Publishers: Delhi.
Ramdas, S.R. (2009) Women, forest spaces and the law: transgressing
the boundaries. Economic and political weekly. 31st October 2009.
XLIV No 44.
 65

PART II
Institutional
innovations
for FPIC and
benefit-sharing
66 65
 67

4
The spirit of FPIC:
lessons from Canada
and the Philippines

by ABBI BUXTON

The spirit of FPIC is that development and then Canada. In each case I explore the
should become accountable to peoples’ institutions supporting FPIC, and how they
distinctive cultures, priorities and unique work in practice. Building on this analysis,
paths to self-determination, not endanger I then draw out some lessons from the two
their very survival. case studies, reflecting on how institutions
Joji Carino and Marcus Colchester may be designed or redesigned to reflect the
(2010).1 true spirit of FPIC.

Embracing the ‘spirit of FPIC’ means Legal recognition of FPIC: a case from the
enabling genuine inclusion of indigenous Philippines
peoples’ perspectives and values and recog- The Philippines is a country that suffers
nising their rights to self-determination. In huge poverty (ranked 97th out of 169 coun-
this article, I look at two case studies in tries in the 2010 Human Development
which indigenous peoples participate in Report) but also has enormous mineral
FPIC or FPIC-type processes. Both case wealth (estimated at US$3 trillion) – only
studies are in the context of mineral mining, 2% of which is currently explored. However,
an industry which brings into stark contrast it is estimated that half of the area identified
competing interests and views. Processes for mining development in the Philippines
that allow for a diversity of views to be is subject to indigenous land claims
incorporated into mutually beneficial deci- (Holden, 2005).
sion-making are therefore of the utmost
importance. Institutions for FPIC
I begin the article by discussing each of The Philippines is one of the few countries
the case studies in turn, first the Philippines in the world to have written FPIC into
1 Ms Carino is policy adviser at Tebtebba Foundation and an Ibaloi-Igorot from the Cordillera
region of the Philippines. Marcus Colchester is Director of the Forest Peoples Programme.
68 65 Abbi Buxton

Photo: Andy Whitmore, PIPLinks

Barricade set up to protest against the Didipio Mine, northern Luzan, the Philippines.

national laws (others include Australia and in widespread reports of the NCIP having
Bolivia). FPIC is regarded as ‘essentially the bribed village leaders, created new ‘leaders’
heart and soul’ (ESSC, 1999) of the Indige- where consent from the true leaders was not
nous Peoples’ Rights Act (IPRA) 1997, forthcoming, purposefully misled commu-
which requires consent to be determined by nities and falsified documents (Colchester
‘the consensus of all members of the Indige- and Ferrari, 2007).
nous Cultural Communities/ Indigenous The requirement to ensure FPIC is
Peoples… in accordance with their respec- achieved in accordance with customary
tive laws and practices’ (Section 3g). systems is arguably the most progressive
The body charged with implementing part of the IPRA. However, it is often seen
the IPRA is the National Commission on as ‘a technical obstacle to be overcome as
Indigenous Peoples (NCIP). The NCIP’s quickly as possible’ (UNHCR, 2008). Meet-
implementing rules and regulations make ings are not organised on the basis of the
clear the process for achieving FPIC, includ- traditional customs of indigenous commu-
ing who should be present, the period in nities, rarely follow community procedures
which elders/ leaders should hold consul- to reach consensus, and the timeframe
tative meetings with the members (a 15-day allowed (a total of 55 days for the whole
period), and how decisions should be process) does not usually give sufficient time
arrived at. Further to that, it states that to complete traditional decision-making
these practices should reflect the custom- processes.
ary practices of indigenous communities. Guidelines issued in 2006 weakened the
right to FPIC as the government wanted to
FPIC in practice further streamline the consultation
The NCIP is not independent from political processes. The guidelines are regarded as
processes: commissioners are selected by hurried and mechanical. They provide
the President’s office rather than the limited information to communities, with
communities themselves. This has resulted local communities in one case being told
 ● The spirit of FPIC: lessons from Canada and the Philippines 69

a failure to implement the spirit of FPIC,

Photo: DIOPIM Committee on
Mining Issues (DCMI)

instead engineering consent and complying

only with the letter of the law. Mineral
investments promoted by both the govern-
ment and mining companies are given
priority without considering conflicting or
alternative views. As Joji Carino says:

While we must muster all of the economic,

developmental, environmental and techni-
House belonging to Manolita and Loloy Galvez, who
refused to sell to a mining company, so the company cal arguments in support of FPIC, ulti-
constructed the mine around them. mately it will require a political process
that prioritises cultural and natural diver-
that they would become millionaires and be sity as core values in our lives and our
able to buy Mercedes Benz cars if they were survival.
directly affected by the mining operations
(Goodland and Wicks, 2009). They also
prescribe the establishment of indigenous Understanding the ‘spirit of FPIC’ – a case
authorities even where these are not in from Canada
accordance with customary laws and prac- Canada is a country which benefits from its
tices. rich resource endowments: mining
Indigenous peoples’ efforts to uphold contributed $53.9 billion (over 4%) to
their right to FPIC have brought them into Canada’s GDP in 2010 (Industry Canada
direct, and often violent, conflict with both 2011). However, Canada has a large indige-
mining companies and the government – nous population and an estimated 1200
as experiences at Dipido mine in the Nueva aboriginal communities are located within
Vizcaya and Quirino provinces, mining 200 kilometres of a mining operation.
exploration in the ancestral lands in Bakun,
Benguet, and many others show.2 Accord- Institutions for deliberative processes
ing to one group of indigenous peoples In contrast to the Philippines, Canada’s
(Salamat, 2011): constitution and case law does not allow for
FPIC where consent is equated with a right
A pattern has been established each time: to veto. In effect, the government prioritises
mining exploration permits, mineral benefits to the wider population over the
sharing and production applications, and impacts on local communities near or on
coal mining contracts were granted by the the mining site.
government to private mining corporations The law does protect the right of indige-
before the onset of military operations. nous peoples to be consulted through
deliberative processes (i.e. ‘meaningful
The situation has got so bad that indige- consultation’ ensuring all parties are better
nous groups are now campaigning for the informed in decision-making), but it does
IPRA to be scrapped, as FPIC has been not require that decisions accommodate
‘debased and debauched by the self-serving feedback given in participation processes
interests of companies and the NCIP’ (UN Observer Delegation of Canada,
(KAMP National Alliance of Indigenous 2005). Aboriginal groups continue to peti-
Peoples Organisations, 2011). tion against this and for the right to
The Philippine experience demonstrates ‘consent’.

2 For more information, see: www.minesandcommunities.org

70 65 Abbi Buxton

Despite this, Canada’s institutional Box 1: Examples of how traditional

structures for participation and decision- knowledge is incorporated into
making on natural resource and mining environmental assessments
projects (in particular in environmental Climate – time/dates as to when the project will
assessment practices) go a long way to occur, and what condition might be expected (e.g.
reflecting the spirit of FPIC. Indeed, the when creeks and lakes freeze up, when the ground is
Supreme Court’s ruling in Delgamuukw v frozen enough to support equipment).
British Columbia (1997: 3 SCR 1010) stated Vegetation – lists types of vegetation in the area.
What is the vegetation used for? Is it a local berry-
that, in the case of titled lands, the govern- picking area?
ment’s duty to consult is often ‘significantly Water use – potential impacts of changes in quality
deeper than mere consultation’ and on a or quantity (e.g. in small lakes used for camp water,
spectrum that includes the right to ‘full the drawdown might be such that there will not be
consent’. enough water left for plant or fish life).
Stream flow – affects stream crossings, freeze-up
Under Comprehensive Land Claims and spawning areas (e.g. will the stream flow be
Agreements (CLCs) provisions are made for affected by ice bridges, or permanent bridges?)
self-governance, the protection of tradi- Importance of site-specific areas – why land is
tional resource use and co-management by important, sacred sites, legends, beliefs, need for
aboriginal communities to manage respect (e.g. Red Dog Mountain in Tulita District is
considered a sacred site by the Mountain Dene).
resources and plan development through a Traditional use – how might fishing, trapping and
number of ‘boards’– a result of Canada’s cabins be affected?
indigenous land claims process.3 The boards Source: Armitage (2005).
are allowed to create their own rules and
policies, giving them greater flexibility in
institutional design. They are co-managed communities. These communities are given
with equal representation of government 30 to 45 days to provide comments and
and aboriginals and clear processes for recommendations, much of which is
incorporating different knowledge types. supported by traditional knowledge. The
The water and land boards, for example, applications are reviewed by the board
have adopted traditional knowledge polices based on these inputs, as well as informa-
for use within environmental assessments tion from technical experts looking at
(see Box 1). environmental and economic considera-
tions. As the board has equal representation
Implementing the ‘spirit of FPIC’ of aboriginal communities and government,
In Canada’s North West Territories, where these evaluations take place on the basis of
both minerals and aboriginal communities values, information and experiences that
are prominent, the Mackenzie Valley come from traditional practices (see Box 1).
Resource Management Act (MVRMA) is Projects with significant environmental
charged with implementing the CLCs and impacts undergo further assessment by the
holds responsibility for reviewing and Environmental Impact Review Board,
approving land-use permits. The structures which is government led but has equal
it adopts aims to decentralise decision- representation from both government and
making and allow for cooperation between indigenous peoples, who also approve the
aboriginals, governments and private Chair. Projects with impacts for the wider
actors. population go to public hearings to get
Applications for mineral investments broader inputs. Final decisions are,
are submitted to the board, who then however, made by the Minister of Aborigi-
distribute them to the potentially affected nal Affairs and Northern Development
3 Canada’s land claims process aims to enable the Indians, Inuit and Métis to obtain full
recognition of their rights under treaties or as the original inhabitants of what is now Canada.
 ● The spirit of FPIC: lessons from Canada and the Philippines 71

Canada (AANDC – a federal government on the issues, and as a whole, you can get all
agency), who retains the ultimate authority the parties involved, and I see that as being
on land and resource use. much more effective (Interview 6).
There are cases where this process has
led to the prevention of a mining project, These sessions were not part of the legis-
for example, a proposed uranium mine at lation but simply adopted by the MVRMA
Screech Lake. To date, there has not been a Board, reflecting the values of that repre-
case where the minister has overturned a sentative board and the flexibility of the
decision by the boards. institutions to achieve effective participa-
By no means are these institutions tion.
perfect. Critics point to the continuance of
Euro-Canadian, bureaucratic decision- Analysis and recommendations
making structures, heavily reliant on Canada is not a case of FPIC but provides
written rules, complex documentation (all important lessons as to how it might be
in English) and hierarchal structures. These possible to achieve the ‘spirit of FPIC’.
conflict with the informal processes, oral Implementing FPIC requires flexibility of
communication and egalitarian structures institutions rather than legislative defini-
that are more common in aboriginal tion. To implement the ‘spirit of FPIC’
communities. As one First Nations partici- institutions need to be flexible to incorpo-
pant commented (Fitzpatrick et al., 2008): rate bottom-up design, dynamic cultural
processes and political pressures.
The opportunity is provided to participate Both the NCIP in the Philippines and
… but that participation is conditional on the MVRMA in Canada are examples of
people being able to act like western bureau- top-down institutional design that priori-
crats, and that is the real problem. tise efficiency and risk disempowering local
communities. The Philippines case shows
However, what these institutions seem clearly that a legal right to FPIC is not suffi-
able to embrace is a flexibility that allows cient and can in fact have negative impacts
them to evolve and better reflect indigenous where the government feels the need to
perspectives – and thereby challenge these engineer consent in order to comply with
Euro-Canadian structures. For example, in the law.
a review of consultations under the Snap On the other hand, the creation of new
Lake Diamond project, unplanned techni- bodies for participation in Canada has in
cal sessions were organised to orally discuss itself been a process of empowering civil
specific issues coming out of the consulta- society and local indigenous groups in deci-
tions (with each issue given two days and sions affecting their land. The structures
overseen by an independent moderator). themselves, such as the MVRMA, represent
These were found to be the best way to a change in power relations in which indige-
achieve consultation leading to a joint deci- nous groups, and their knowledge and
sion with face-to-face dialogues and open values, are equally represented.
discussions between the mine proponent’s Flexibility is integral to allowing the
experts and the aboriginal government dynamic processes of FPIC to empower
representatives, civil society and federal local communities through ‘social learning’
government (Fitzpatrick et al., 2008): – whereby people reflect the behaviours of
the social context they operate in. There
…when you get to the technical sessions remain difficulties with the Canadian
where you have the proper people there to system in cases where decision-making
discuss issues you get resolution so much practices continue to be based on western
quicker, and you can see where people stand framings that focus on efficiency and ration-
72 65 Abbi Buxton

ality, limiting real empowerment. However, 2005). The boards are allowed to create
where decision-making processes have been their own rules and policies, which enable
more flexible, allowing processes to adapt them to reflect the social and cultural values
to reflect different values, they have been that they hold. This flexibility is in part the
more successful in reaching joint decisions. result of the political and social context in
Creating a space where all positions can which these boards were designed, specifi-
be considered equally is crucial to achiev- cally aimed at enabling aboriginal
ing the spirit of FPIC. Legal frameworks are communities to decide on the use of their
often necessary to force the start of a land under Comprehensive Land Claims
conversation. But they should look to codify Agreements.
existing practices and norms and be flexi-
ble in allowing new norms to develop, based Conclusion
on new partnerships between government, There is no blueprint for the institutions for
civil society and the private sector. Local implementing FPIC. Research into flexible
communities and governments need to systems for participation and deliberation
work together to identify shared values – will, however, provide governments, civil
based on both cultural and technical knowl- society and the private sector with guidance
edge – and practices for implementing on how to achieve the ‘spirit of FPIC’. This
FPIC in a way that empowers local commu- requires deliberative and participatory deci-
nities. This is seen in the Canada case study. sion-making processes which reflect the
By contrast, the strong anti-mining senti- knowledge, values, practices and norms of
ment seen in the Philippines – which has local communities. Deliberative processes
followed from the many environmental are institutions that share information from
disasters and violent conflicts surrounding all participants, consider all views equally
mining operations – together with the based on the evidence shared and give
government’s prioritisation of mining’s conscientious consideration to a discussion
contribution to economic growth, has in which all values and positions are rele-
prevented government and civil society vant. Institutions for FPIC should
from coming together to identify shared incorporate customary practices that allow
values and institutions for upholding those indigenous communities to properly reflect
values. their values and consider indigenous
Institutions should be set up to give knowledge alongside ‘western scientific’
access to different perspectives. The knowledge. This will allow indigenous
MVRMA boards include indigenous knowl- peoples’ perspectives to be considered more
edge not as a technical requirement but as equally alongside those of governments and
part of a process of representing and incor- companies, which are conventionally domi-
porating different worldviews (Armitage, nant. This is the spirit of FPIC.

CONTACT DETAILS
Abbi Buxton
Researcher, Sustainable Markets Group
International Institute for Environment and
Development (IIED)
80-86 Gray’s Inn Road, London, WC1X 8NH,
United Kingdom
Tel: +44 20 3463 7399
Fax: +44 20 3514 9055
Email: abbi.buxton@iied.org
Website: www.iied.org
 ● The spirit of FPIC: lessons from Canada and the Philippines 73

REFERENCES
Armitage, D.R. (2005) ‘Collaborative environmental assessment in the
Northwest Territories, Canada.’ Environmental Impact Assessment
Review, 25, pp. 239–258.
Buxton, A. (2009) ‘Democratic pragmatism or green radicalism? A
critical review of the relationship between free, prior and informed
consent and policymaking for mining’. DESTIN Working Paper 102.
Online: www2.lse.ac.uk/internationalDevelopment/publications/
Home.aspx
Carino, J. and M. Colchester (2010) ‘From dams to development
justice: progress with ‘free, prior and informed consent’ since the
World Commission on dams.’ Water Alternatives 3:2.
Colchester, M. and M.F. Ferrari (2007) Making FPIC work: challenges
and prospects for indigenous peoples. Forest Peoples Programme:
Moreton-in-Marsh.
Environmental Science for Social Change (ESSC) (1999) Mining
revisited. Emiluz Printing Industries: Philippines. Online:
http://essc.org.ph/content/category/4/13/46/
Fitzpatrick, P., J. Sinclair, and B.Mitchell (2008) ‘Environmental impact
assessment under the Mackenzie Valley Resource Management Act:
deliberative democracy in Canada’s North?’ Environmental
Management 42, pp.1–18.
Goodland, R. and C. Wicks (2009) ‘Philippines: mining or food?’ The
Working Group on Mining in the Philippines. Online:
http://workinggrouponmininginthephilippines.blogspot.com.
Holden, W.N. (2005) ‘Indigenous peoples and non-ferrous metals
mining in the Philippines,’ The Pacific Review, 18:3, pp. 417-438.
Industry Canada (2011) Canadian industry statistics. Online:
www.ic.gc.ca/cis-sic/cis-sic.nsf/IDE/cis-sic21vlae.html
Salamat, M. (2011).‘Indigenous peoples’ groups decry use of IPRA and
NCIP for development aggression.’ Published on 12th August 2011
on Bulatlat.com: http://tinyurl.com/salamat-12-08-2011. Full URL:
http://bulatlat.com/main/2011/08/12/indigenous-
peoples%E2%80%99-groups-decry-use-of-ipra-and-ncip-for-deve
lopment-aggression/
Salamat, M. (2011) ‘Respect our rights to land and life, indigenous
peoples asked on World IP day.’ Online:
www.minesandcommunites.org
UN Observer Delegation of Canada (2005) ‘Statement by the Observer
Delegation of Canada United Nations Permanent Forum on
Indigenous Issues Workshop on Methodologies regarding free, prior
and informed consent and indigenous peoples.’ New York, 17th–
19th January 2005. Online:
www.ainc-inac.gc.ca/ap/ia/stmt/unp/05/fpi/mrf-eng.asp.
UNHCR (2008) ‘NGO submission to the Human Rights Council
Universal Periodic Review Mechanisms.’ UPR 1st Session, 7th–18th
April 2008, Philippines. Online: http://tinyurl.com/UNHCR-2008.
Full URL: www.upr-info.org/IMG/pdf/CAFOD_PHL_UPR_S1_2008_
CatholicAgencyForOverseasDevelopment_etat_uprsubmission.pdf
For the Indigenous Peoples Rights Act of 1997 and its implementing
rules and regulations see: www.ncip.gov.ph/downloads/irr.pdf
74

5
Indigenous benefit-sharing
in resource development –
the Australian Native Title
experience

by DAVID RITTER

Introduction purpose is to describe participation in

An increasing number of multi-lateral negotiation processes with industry and
environmental agreements (MEA) involve government, rather than to address
some form of rights-based participatory dynamics at a community level.
process for engaging local and indigenous Native title – indigenous peoples’ rights
peoples. Given international developments, to land and water arising from their own
two decades of Australian experience of customary laws and customs – was only
working with national indigenous land recognised in Australia in 1992 in the case of
legislation which provides rights of partic- Mabo v Queensland (2). This is much later
ipation in decision-making about than similar decisions elsewhere in the
development should be of broader interest. group of countries that follow the common
Enacted in 1993, the Australian Native law (including the USA, Canada and New
Title Act (NTA) provides a mechanism for Zealand) inherited from the United King-
the recognition of native title.1 Australia’s dom. The Australian law of native title
native title processes provide an analogue departs from that of other common law
to international arrangements for the jurisdictions in important respects (Strelein,
participation of local and indigenous 2009). The NTA was the Australian govern-
people. In particular, this article describes ment’s legislative response to the Mabo case
the processes of indigenous representation, – it set up a legislative system to deal with
negotiation and agreement-making over the welter of claims that were expected to
mining and development that is mandated follow the decision.
under the NTA, and then evaluates what
lessons and learning may apply to similar Background – native title claims, future
processes under MEAs (such as free, prior acts and representative bodies
informed consent). In particular, the The purpose of the Commonwealth Native
1 For more information see: http://www.hreoc.gov.au/social_justice/native_title/index.html
 ● Indigenous benefit-sharing in resource development – the Australian Native Title experience 75

Title Act was to provide an orderly process future act system describes the statutory
for resolving native title claims in Australia. mechanism set up in the NTA for dealing
Significantly the legislation did not create with future acts.
rights to land, but established a mechanism The strongest of these rights was a ‘right
for the recognition of property rights that to negotiate’ (for a minimum of six months)
may have existed under the common law for the creation of a full right to mine. The
of Australia, but hitherto had never been weakest was no more than a right to be
recognised. The claim process provided for notified. Crucially (and contrary to some
applications for recognition of native title popular mythology in Australia), the NTA
to be lodged that would then be subject to never established any right to free, prior
a mediation process. In the course of this, informed consent or anything like the
the indigenous claimant community would simple capacity to veto. Like the statutory
engage with all statutory title holders in the arrangements for dealing with native title
area in question in a bid to achieve a legally claims themselves, the intention of the
binding consensus. This article is not right to negotiate was that contentious
concerned with the system for claiming matters should be resolved by alternative
land itself, but with two ancillary elements dispute resolution (negotiation in good
of the legislative architecture: faith, mediation and arbitration if neces-
• The ‘future act system’, which set out how sary), rather than be contested in court.
land and waters subject to registered native The right to negotiate and other proce-
title claim could be dealt with by the dural rights available under the future act
government and third parties prior to the system is vested in the registered native
claim being decided; title claimant groups themselves and in
• The ‘representative body system’, under particular in certain named individuals
which special ‘Aboriginal corporations’ who enjoyed special status as the named
were mandated with particular authority applicants. However the NTA also
and provided with funding to represent intended that claim groups should be able
indigenous groups bringing native title to avail themselves of native title represen-
claims. tative bodies (NTRBs). These NTRBs were
The functioning and interaction of the special Aboriginal corporations with
future act and representative body systems geographically bounded areas of operation
together governed how resource companies who were funded to retain lawyers, anthro-
and governments have obtained permis- pologists and other staff to provide expert
sion from indigenous groups to undertake advice and representation to native title
development on land subject to native title claimant groups within their jurisdiction.
in Australia. Funding was generally provided by the
Broadly, the future act system stated Commonwealth government, with addi-
that once a native title claim had been tional money also sometimes coming from
registered, a resource development in the state governments. Over the life of the
area in question could only take place once NTA, the level of financial support
certain indigenous procedural rights had provided to the NTRBs by the Australian
been exhausted. government has often been woefully inad-
The term ‘future act’ is defined in the equate with dire consequences for the
NTA. Broadly a future act means either the effectiveness of the services provided. One
creation of a mining tenement (see Box 1) leading study in 1999 found that, Australia
or a compulsory acquisition of land by wide, it would be impossible for NTRBs to
government, on an area subject to a regis- professionally discharge their functions
tered native title claim or area where native because of lack of funding. These were
title had been determined to exist. The functions that the government itself had
76 65 David Ritter

Photo: Ric Davies

Applicants for the Mayala native title claim sign the Irvine Island mining agreement following a claim meeting
attended by some 250 Mayala people in Broome, Western Australia in June 2011.

imposed on the bodies as mandatory. The author’s primary involvement in

Underfunding by government created the native title process was as Principal
a direct imperative for NTRBs to seek alter- Legal Officer of the NTRB for the Murchi-
native funding from resource companies son, Gascoyne and Pilbara regions of
on a cost recovery basis: that is, when a Western Australia (the north west)
resource company required negotiations between 1999 and 2005, now known as the
with a native title claimant group to be Yamatji Marlpa Aboriginal Corporation
discharged under the future act system as a (YMAC). YMAC’s jurisdiction covers over 1
precondition to obtaining their mining million square kilometres, with offices in
tenements, the corporation would provide Geraldton, South Hedland, Karratha, Tom
additional financial resources to make the Price and Perth. Yamatji means Aboriginal
engagement possible. These additional ‘man’ in the Murchison and Gascoyne,
monies would generally go on the cost of while Marlpa is used to denote the Aborig-
extra community meetings (often expen- inal people of the Pilbara.
sive and resource intensive affairs to bring The areas in question are highly
a dispersed community together), as well resource rich, including significant deposits
as the impost associated with retaining of iron ore, natural gas, copper, molybde-
additional staff potentially including num and gold. As a consequence, the major
lawyers, anthropologists, archaeologists, emphasis of my job became overseeing the
indigenous liaison officers and others. This professional advice and representation
further capacity might be hired for short provided on negotiations with resource
periods or for years – depending on the companies, rather than pursuing the land
scale and duration of the negotiations in claims themselves. The direct result of
question. development pressure was that actually
 ● Indigenous benefit-sharing in resource development – the Australian Native Title experience 77

having native title applications decided was Box 1: Tenements and mining rights
pushed into the background. Many claims
Tenements are a form of title that gives the holder
remain unresolved after a decade or more
the permission to mine – it is a form of mining title.
in the system. Different tenements are created for different levels of
resource activity, such as mining, exploration,
Methods and processes – indigenous prospecting and infrastructure. Australia has a
representation and response federal system of government in which the power to
grant land titles is held by the States.
It was clear that despite the enactment of
the NTA, without streamlining and
systematisation, the indigenous people of ated with cross-cultural communication
the north west – the Yamatji and Marlpa between indigenous and non-indigenous
peoples – would miss out on the procedural people.
rights and associated opportunities created 6. Although dealing with each tenement
by the legislation. There were simply too application was a discrete process under
many resource companies wanting to mine the NTA, it became the convention for
and explore to deal with tenement applica- particular classes of tenement to be dealt
tions on an ad hoc basis. with consistently:
Six key steps were taken to maximise • Consent to prospect was generally
the rights and opportunities available to provided in exchange for a small scale
the Yamatji and Marlpa peoples: survey to ensure that no places of partic-
1. Procedural rights about mining and ular cultural significance would be
development only accrued to indigenous disturbed;
peoples once a native title claim had been • Consent to exploration was generally
registered, so it was essential to ensure that provided in exchange for a larger scale
native title claims had been registered over survey; and
the entire area of the YMLC’s jurisdiction. • Consent to full scale development was
2. The number of tenement applications generally provided in exchange for large-
and strictness of the timelines for response scale benefit-sharing, usually including
meant that it was essential to have a reli- direct monetary payments; jobs, training
able method for taking legal and political and business opportunities; share offers,
instructions from the claim group. Accord- etc.
ingly each native title claim group within Each of the above would be set out in a
the YMLC’s jurisdiction appointed a written contract. Typically, the smaller scale
smaller working group (usually of around a agreements could be dealt with compara-
dozen people) who would meet for one-two tively quickly, while negotiations over
day meetings on around a six-weekly basis large-scale developments could take
to make all decisions. months or even years. The scale of the
3. As far as possible the YMLC obtained payments was generally decided by a
standard instructions from each claim process analogous to a market: native title
group to ‘object’ to everything, not because groups would generally obtain the largest
there was necessarily actual opposition, but amount that they could reasonably bargain
in order to maximise indigenous say over for, bearing in mind that they did not have
development. the power to veto development, only to
4. Standard instructions were also obtained delay for a finite period of time. The art of
to recover costs of dealing from resource the negotiations was to trade the consent
developers as often as possible. at precisely the moment when it was worth
5. Although always imperfect, certain the most to do so. In most mining negotia-
protocols and ways of behaving were made tions, the best time to reach agreement
standard to minimise the friction associ- would be when the resource proponent was
78 65 David Ritter

Box 2: The Badimia Working Group representative structures may become

distanced from the broader communities
Since 1997, the Badimia Working Group – a group of
which they represent. For example, under
approximately one dozen ethnically and culturally
Badimia people (a tribal group from near Mt Magnet section 66B of the NTA, a named applicant
in Western Australia) have met regularly to make to a native title claim who is not acting in
decisions about native title processes associated with accordance within the scope of community
all proposed exploration, mining and development authorisation can be removed as an appli-
on the land that they are claiming under the Native
cant. This presents an intersection of
Title Act. There are many other tribal working groups
throughout the north west of Western Australia. traditional authority with statutory power.
In the case of Daniel v Western Australia
under the greatest pressure to obtain the [2002] FCA 1147, for example, an appli-
necessary permissions to go ahead as (for cant was removed, after the broader
example) a precondition to further capital community which he was meant to repre-
investment. sent had authorised him to execute a native
The system set out above constituted a title agreement and he refused to do so.
radical departure from the functioning of Behind the face of the decision, lay consid-
indigenous societies in the north west prior erable community stress and conflict
to the NTA. Having never before held around the land use decisions in question.
rights in relation to development, there Rights to participate in decision-
were no pre-existing indigenous systems making, for example, were often
for dealing with such matters. The whole determined by traditional authority and
edifice for maximising access to the rights would be manifested in people being
and opportunities inherent in the future chosen to conduct negotiations, or heritage
act system was imposed – albeit with the surveys on the basis of their right to ‘speak
active participation in design and consent for the country’ in question. ‘Speaking for
of the communities in question. Neverthe- country’ is an expression commonly used
less, the system described was never in the Yamatji and Marlpa lands to refer to
completely detached from indigenous law an individual having the right of traditional
and custom. authority over an area of land or waters.
However, native title meetings take For example it might be said ‘Old Jack
time and are often stressful, imposing a speaks for that country’.
considerable burden on indigenous
communities. The social realities of indige- Lessons learnt, critical reflections and
nous people in Australia also mean that analysis – Australia’s Native Title era
many of those attending native title meet- Undoubtedly, the system described above
ings may often have very serious mental or was successful in ensuring that develop-
physical health issues. ment did not take place on land under
The representative structures native title claim in the north west without
mandated by the NTA and further elabo- some process of engagement with the
rated in native title practice acted as a indigenous traditional owners taking place.
substitute for direct participation by the Many hundreds of individual dealings took
entire community at all times. The point of place, giving rise to numerous agreements
the substitution was essentially practical: and tens (possibly now hundreds) of
to provide a legal and administrative mech- millions of dollars worth of commitments
anism by which certainty of indigenous by developers. It seems likely that numer-
consent and agreement could be given ous sites of traditional significance were
under the NTA. However, a variety of feed- saved from destruction. A generation of
back loops exist in the native title process to post-colonisation indigenous people expe-
try and minimise the extent to which the rienced a hitherto unknown level of
 ● Indigenous benefit-sharing in resource development – the Australian Native Title experience 79

Photo: Ric Davies

Carrying out a flora survey on Irvine Island. Aboriginal traditional knowledge has been invaluable in assisting
with environmental studies.

empowerment apropos of resource devel- developers would come and negotiate

opment, leading to the tangible economic timely permission in exchange for consid-
returns described above. In the north west, eration for value. The eventual impact of
all of this occurred in a reasonably the NTA was not only the emancipation of
predictable, effective and cost-effective indigenous people to have significant
economical fashion, at least by the stan- procedural rights, but a form of commodi-
dards of Australia’s native title system. tisation. In effect, the NTA functioned to
Evidence remains mixed and ambiguous as give traditional rights a narrow pecuniary
to whether the inward flow of monies aris- value, creating what was in substance a
ing out of these negotiations has resulted ‘native title market’.
in any improvement in the social or There are a number of lessons from
economic well-being of the communities in Australia’s future act and native title repre-
question (I expand on this in Ritter, 2009, sentative body system that could have
pp. 58-61). wider application.
However, it is also easy to overstate the • Determining traditional tenure can be an
case for what occurred. At one level the extremely lengthy and complex process,
functioning of the NTA in general and the taking literally years.
future act system in particular was more • There is a tension between conserving
intended to ensure the orderly processing traditional structures and the provision of
of resource tenements than to preserve complex procedural rights: the dynamic is
indigenous rights. After the initial upheaval never straightforward, but it seems likely
associated with the NTA’s introduction, the that the internal functioning of Australia’s
system settled reasonably quickly in to a indigenous societies was affected by the
market-like system of exchange in which procedural obligations of the NTA. Proce-
80 65 David Ritter

dural rights should be designed to impinge indigenous people in the system was
on traditional structures as little as possi- confined by the limitations placed by a pre-
ble, but even with the best will in the world defined process, including the absence of
there are limits: it is simply not feasible to any right of veto.
graft liberal procedural rights onto a system
of traditional law and custom without caus- Conclusion
ing some friction and a certain amount of Any system which creates rights for indige-
underlying cultural transformation. nous people – no matter how well
• New procedural rights do not escape the intentioned or designed – will still
gravity of underlying political and inevitably have a transformative effect to
economic pressures: in the end it was hard the extent that it requires the people in
not to think that the native title system question to act and think in new ways. In
mainly functioned to facilitate resource Australia, the Native Title Act did succeed
development. A true right of veto would in giving indigenous people a seat at the
have made the situation very different as it bargaining table every time a resource
would have given traditional landholders developer wanted to mine or explore on
the genuine capacity to decide whether or land under claim. The consequence was
not to participate in the resource economy large-scale benefits coming into indigenous
on a case-by-case basis. communities and development causing
• Adequate resources and expert advice is less destruction than it may have otherwise
essential to ensure that indigenous peoples entailed. But it would be wrong to imagine
are fairly able to utilise procedural rights to that native title in Australia acted as break
their advantage. on development. Far from it, the native title
• Standardising procedures, cost recovery system provided a way of bringing tradi-
measures and cross communications tional indigenous rights in land within
protocols can go some way toward Australia’s resource economy in an orderly
maximising rights and opportunities. way. Things changed, so that things could
• Rightly or wrongly, the participation of remain the same.

CONTACT DETAILS
David Ritter
Head of Biodiversity
Greenpeace UK
Tel: +44 77 1770 4595
Email: david.ritter@greenpeace.org

REFERENCES
There is an extensive array of writing about the native title system in
Australia. The comprehensive guide to the current state of Australia’s
native title system can be found in Neate G. et al., Native Title Service,
LexisNexis. On the distinctive nature of native title law in Australia see:
Strelein, L. (2009) Compromised Jurisprudence. AIATSIS, Canberra.

The author’s own views on native title as expressed in this essay are
expanded and set out in:
Ritter, D. (2009) The Native Title Market. UWA Press: Perth
Ritter, D. (2009b) Contesting Native Title. Allen & Unwin: Sydney.
Ritter, D. (2010) ‘The ideological foundations of arguments about Native
Title.’ Australian Journal of Political Science, 45:2, pp. 191-207.
 81

6
Changing the system from
within: participatory plant
breeding and ABS in China

by JINGSONG LI, JANICE JIGGINS and YICHING SONG

Guangxi – centre of maize diversity ers’ systems for saving and exchanging seed
With the rapid loss of biodiversity world- of local varieties. This has resulted in a
wide, agricultural genetic resources are dramatic loss of genetic diversity in
increasingly under threat. Those in China farmer’s fields in the last decade, in favour
are no exception. of modern varieties which are less resilient
Guangxi is a mountainous area of to the increasingly harsh local climate (e.g.
southwest China. Although economically drought).
poor, Guangxi is agroecologically diverse China’s first participatory plant breed-
and one of the centres of maize genetic ing (PPB) programme was initiated in
diversity in China. However, a study in the Guangxi and aims to address these chal-
1990s revealed that the formal State seed lenges.1 This type of collaborative research
system was operating entirely separately between farmers and plant breeders in
from farmers’ own seed systems, resulting government institutions has never been
in inadequate variety development, poor done before and is unique in China. The
adoption of formally bred varieties by programme not only aims to develop
farmers, and a decrease in both the genetic improved crop varieties for farmers but
base for formal breeding and genetic diver- also to develop local agreements by which
sity in farmers’ fields (Song, 1998). This was farming communities can benefit from
impacting on food security and agrobiodi- sharing their genetic resources and related
versity. Since 2000, the opening up of the traditional knowledge with breeding insti-
domestic seed market has seen a rapid tutes. The programme has opened up space
expansion in the availability of commercial for farmers to negotiate ABS agreements
seed, to a great extent marginalising farm- and in the process strengthened the legiti-
1 Participatory plant breeding is an approach to seed development and improvement that
involves farmers and breeders in systematic procedures for jointly identifying desirable traits,
selecting promising lines, and evaluating the resulting varieties.
82 65 Jingsong Li, Janice Jiggins and Yiching Song

Research site in Guangxi, Yunnan and Guizhou provinces. The photo shows a typical landform in this region.

macy of their rights/claims to benefit-shar- and then protect their investment through
ing. The development of ABS mechanisms commercial patents or plant variety protec-
is also feeding into ongoing policy discus- tion laws which prevent farmers from
sions on how to implement the ABS legally exchanging and saving seed for
provisions of the Convention on Biological future use (Tansey and Rajotte, 2008).
Diversity and the Nagoya Protocol. The recently agreed Nagoya Protocol is
attempting to address this by requiring
ABS in China those accessing genetic resources for
Plant genetic resources (PGRs) for food research and development to share the
and agriculture have been developed over benefits they derive with the countries and
millennia to satisfy the most fundamental communities that provide these resources.
of human needs. The free flow and But in practise, in China, there is still no
exchange of these resources was once formal ABS policy, although in 2011, the
governed by individuals and communities. Chinese government set up China’s
However, this has changed as intellectual National Biodiversity Commission, which
property rights (IPR) regimes have been has started to draft national ABS regula-
applied to agriculture. In international and tions. Legislation to promote farmers’
national law, IPRs often overshadow or rights still lags behind protection of
even extinguish the natural rights of farm- commercial breeders’ rights, however.
ers and farming communities to landraces There are also uncertainties over who
and varieties they have developed, largely ‘owns’ varieties developed through PPB
benefiting commercial plant breeders.2 and how benefits should be shared. Discus-
These companies have been able to develop sions with farmers have shown that the
new seeds, often based on farmers’ PGRs, concept of intellectual property is new to
2 A landrace is a local variety of a domesticated animal or plant species which has developed
largely through natural processes, by adaptation to the natural and cultural environment in
which it lives. It differs from a formal breed which has been selectively bred deliberately.
Landraces are usually more genetically and physically diverse than formal breeds. Source:
Wikipedia.
 ● Changing the system from within: participatory plant breeding and ABS in China 83

Table 1. The development of participatory plant breeding in Guangxi, southwest China

Date Activities Results

Phase 1: PPB • Improve landraces and farmers’ Breeding processes documented and evaluated:
(2000 onwards) varieties • Guangxi Maize Research Institute (GMRI) –
• Develop locally adapted hybrids formal breeder
• Build farmers’ capacity • 13 communities
• 100+ individual farmers

Phase 2: Community-based PPB seed production Detailed information documented and analysed
Community seed as a market-based reward for PPB for seed production in terms of scale, yield, local
production farmers conducted by a women’s farmer distribution and problems/risks.
(2005 onwards) group (15 farmers) with technical support
from the GMRI breeders.

Phase 3: ABS ABS contracts developed and agreed Contracts signed 2010.
contracts between the breeding institute (GMRI)
(2008 onwards) and 12 farming communities.

local farmers. Chinese farmers do not own under the Chinese Academy of Agricultural
their land. Their perception of rights and Sciences (CAAS), and sociologists from
property and their intellectual contribution CCAP. 3 The programme aims to bring
to seed development are not strongly direct benefits to poor maize growers and
embedded in culture – and are actively conserve genetic diversity by:
discouraged. This creates a barrier for • developing improved crop varieties for
farmers who seek to become rights farmers, combining formal and local farm-
claimants during ABS negotiation ers’ genetic resources and knowledge; and
processes. • developing mechanisms for access to
The PPB programme had to deal with genetic resources and benefit-sharing
these uncertainties and contradictions as it (ABS) between breeding institutes and
tried to develop ABS mechanisms to bene- farming communities.
fit farmers through the PPB process. The PPB team used a process of partic-
ipatory action research to enable farmers
The PPB programme and breeders to work together to learn
The PPB programme began in 2000. It about, explore and test innovative practical
was initiated and facilitated by a group of solutions for landrace variety improvement,
Chinese agricultural policy and social seed production and related benefit-shar-
science researchers at the Centre for ing mechanisms. The programme
Chinese Agricultural Policy (CCAP) at the developed in three stages (see Table 1).
Chinese Academy of Sciences, together From 2000 to 2011, the project gradually
with concerned plant breeders. It was became a programme, expanding from one
supported by the International Develop- to 13 communities and from individual
ment Research Centre (IDRC) and the farmers to farmer groups. The selection of
Ford Foundation. The project team PPB communities was based on two
consisted of: farmer breeding villages in aspects: the richness of local genetic
Guangxi, local extensionists, breeders from resources, and the willingness of farmer
Guangxi Maize Research Institute (GMRI) breeders to take part. For both breeders and
and the Institute of Crop Science (ICS) farmers, PPB became an entry point to
3 Their collaboration has been developed through Ph.D. research supported by Wageningen
University, The Netherlands. The financial and intellectual support of our international partners
is gratefully acknowledged.
84 65 Jingsong Li, Janice Jiggins and Yiching Song

explore and identify technological and insti- China’s seed regulations

tutional options to bridge farmers’ seed The formal seed release system requires
systems and the formal seed system, inte- that new seed varieties must pass a series of
grate scientific knowledge and farmers’ tests: the Value for Cultivation and Use
knowledge in breeding and conservation, (VCU) test, and the Distinctiveness,
and build mutual respect and understand- Uniformity and Stability (DUS) test. Exist-
ing among farmers and public breeders. ing seed regulations only recognise and
Phase 1: from 2000–2003, aimed to release varieties that pass these tests (Seed
develop mutually beneficial partnerships Law, 2001). But PPB varieties are unlikely
between formal breeders and communities to comply with these variety release crite-
and build farmers’ capacity through breed- ria, such as VCU (i.e. value for cultivation
ing improved varieties. PPB varieties were and use) and DUS (distinctiveness, unifor-
successfully developed, but there were diffi- mity and stability) testing which are
culties in marketing PPB varieties so that tailored to the characteristics of modern
farmers could benefit (see below). There- varieties, while farmer improved varieties
fore, other ways to generate benefits for cannot always show ‘clear improvement’
farmers were explored. under different growing conditions, and
Phase 2: from 2005 onwards. Farmers can hardly meet the DUS criteria (Visser,
suggested initiating community seed 2002; Louwaars, 2007). Four of the five
production and marketing of varieties bred PPB varieties failed at the VCU testing
by the team. Research focused on this stage in 2003. Only one hybrid PPB variety
activity and drawing lessons from it. was officially released, Guinuo 2006, and
Phase 3: beginning in 2008, the this was registered and later commer-
programme started to develop ABS cialised by GMRI breeders. For the other
contracts between plant breeders and farm- varieties, the only option was to release the
ers. This enabled more farmers involved in seed unofficially to the surrounding farm-
developing PPB varieties to share in the ing communities. But this meant limited
commercial benefits from the varieties and recognition of the varieties in the market-
agree the terms for access to farmers’ place as they were not officially released.
genetic resources by formal breeders.
Intellectual property rights (IPRs)
Challenges in releasing PPB varieties IPRs grant exclusive rights to individuals
By 2007, there were more than 100 newly or organisations, but these do not apply in
bred varieties tested in on-station trials and PPB, nor to landraces and varieties devel-
farmers’ fields. Five farmer-preferred maize oped collectively by communities of
varieties were selected and released to the farmers. Varieties could be introduced into
13 trial villages. Although the programme China’s formal breeding system by regis-
results showed that it benefited both farm- tering them under a breeder’s name, but
ers and formal breeders through joint this approach does not recognise farmers’
breeding and the exchange of maize input. There was no mechanism for decid-
genetic resources, the programme faced ing how each stakeholder might benefit
challenges in releasing the new varieties from the sale or use of a PPB product. As a
and enabling farmers to claim benefits local initiative, community-based seed
from their contribution. These challenges production provided a way to share both
arose from China’s seed regulations in rela- monetary and non-monetary PPB benefits.
tion to varietal release criteria, lack of However, it was limited to farmers in one
recognition of collective intellectual prop- trial village and at that stage there was no
erty rights, and a lack of national ABS formal mechanism for benefit-sharing with
legislation. other PPB farmers. An unwritten agree-
 ● Changing the system from within: participatory plant breeding and ABS in China 85

ment between the PPB team, the breeding CCAP researchers. The agreement recog-
institute and the seed company supplying nises the contribution of both PPB farmers
the commercial market enabled PPB farm- and their genetic resources during the
ers to supply Guinuo 2006 locally. breeding process, and regulates how bene-
fits are shared. This includes e.g. the right
Lack of ABS legislation to register new varieties, sharing ownership
The lack of legislation meant there was no (via registration of joint plant breeders’
framework or mechanism for agreeing rights (PBRs) 4) and royalties, subsidy
ABS between breeders and farmers. There payments to farmers for landrace conser-
was also a continued lack of awareness vation and to cover any risks associated
among both farmers and policy makers with breeding experiments, such as harvest
about the wider range of potential loss due to severe weather conditions.
commercial and public interest benefits of Whilst the ABS contract sets up an initial
both in situ conservation and fair and equi- agreement for benefit-sharing between
table use of local plant genetic resources. breeding institutes and farmers, its effec-
tive implementation will depend on
Developing access and benefit-sharing continuing to develop mutual understand-
(ABS) contracts ing and collaboration between the parties.
Given the lack of ABS legislation in China,
the project team decided to formalise What has the programme achieved?
agreement on access and benefit-sharing The PPB process has created a platform
among stakeholders through mutually for mutual understanding, knowledge
agreed contracts. During the drafting of the creation and social learning between farm-
ABS contracts from 2008 to 2010, the ers and formal breeders and researchers on
team reflected on how to protect the public the project team. Breeders and farmers
value of crop genetic resources, consider- were able to learn from each others’ expe-
ing farmers’ contribution to riences, ideas and values, creating a new
agrobiodiversity enhancement and to understanding between these previously
maintaining the genetic base for hybrid distant actors. Although they are from
breeding. The team also considered how to different backgrounds and may not share
recognise farmers’ rights to benefit-shar- the same values and aspirations, farmers
ing, individually or collectively. During and breeders are linked by a common goal
initiating ABS contracts, both breeders and of developing improved varieties. By
farmers were interviewed by policy engaging stakeholders in practical action,
researchers, and later on they were brought PPB provides a way of actively involving
together for further discussion and negoti- stakeholders in searching for a solution to
ation, based on their current conflicting a problem, and this can change their
interest, and the potential benefit from perspectives. This has led to a recognition
PPB collaboration. of the important role of farmers in plant
In June 2010, the PPB programme’s breeding and conservation, and the need
ABS agreement was signed among farm- to acknowledge the rights of farmers over
ers and GMRI breeders. The contracting PPB varieties and landraces, which is vital
process was facilitated and witnessed by for creating incentives for farmers to
4 PBRs are an internationally recognised instrument for registering the contribution of plant
breeders to the development or improvement of seeds that are subsequently commercialised.
A PBR confers the right to receive a proportion of the commercial profit. According to the PVP
law (1997), Article 2, item 7 (www.caas.net.cn/caasnew/nykjxx/nyxz/6163.shtml), the PBR can
be granted to either institute breeders or individual (hobby) breeders. For collaborative
breeding, the ownership of PBR is based on contract arrangement. If farmer-breeders and
other stakeholders have such recognition, farmers’ rights over local genetic resources can be
strengthened through contract arrangement.
86 65 Jingsong Li, Janice Jiggins and Yiching Song

conserve genetic diversity. power relationships. The national breed-

Working in partnership with farmers ing institute leads the national agricultural
has greatly strengthened the legitimacy of research system, which has a top-down
the farmers’ position as a stakeholder organisational style, with a clearly defined
claiming rights, and the asymmetry of the power hierarchy. But unlike any single
existing legal framework in the way it treats disciplinary research project or one
farmers and commercial organisations has confined to local-level research, the PPB
become apparent. The subsequent devel- programme has facilitated interactions
opment of ABS contract mechanisms has across the power structure (e.g. top-down
given legitimacy to the idea of benefit-shar- bureaucratic settings within the formal
ing with farmers in policy discussions. breeding system) to create a network of
The PPB and ABS innovations at the relationships among diverse stakeholders
community level have also influenced with complementary experiences and
formal (public) breeding institutions at knowledge backgrounds. The team consists
provincial and national level, because plant of sociologists and policy researchers from
breeders from GMRI (at provincial level) CCAP, besides that the team also has active
and the ICS (at national level) have been collaboration with GMRI and CAAS
directly involved in the PPB work at local breeders. This has been facilitated by the
level. At each stage of the project, the CCAP close collaboration between agricultural
researchers, farmers and breeders jointly scientists at local, provincial and national
defined problems, developed practical solu- levels in the PPB process, and the system-
tions and reflected on the tensions between atic feedback and discussion of local level
PPB work at the local level and regulations results at higher levels. At the same time,
at the national level (mainly seed laws). The for both breeders and farmers, PPB
resulting learning was documented and became an entry point to explore and iden-
shared with government through regular tify technological and institutional options
policy workshops and discussions (see to bridge farmers’ seed systems and the
below). This reflexive process provided a formal seed system, integrate scientific
systematic approach for fostering institu- knowledge and farmers’ knowledge in
tional innovation at different levels, breeding and conservation, and to build
including the adoption of PPB practices by mutual respect and understanding among
national breeding institutes and extension farmers and public breeders.
programmes and creating awareness
amongst the Ministry of Agriculture of the Influencing policy
need to reform the national seed regimes. The PPB project team is engaged in ongo-
Further effort is required to stabilize this ing discussions and exchanging knowledge
capacity in the evolving regime, such as with researchers from the CAAS, policy
amendment of existing seed regulations in makers from the Ministry Of Agriculture
order to accommodate farmer improved (MoA) and the Ministry Of Environmen-
varieties, support to public research insti- tal Protection (MoEP). The PPB
tutes’ role in breeding oriented to programme has also facilitated and/or
smallholders and conservation, protection contributed to 12 policy workshops and
of the public value created by PPB in rela- roundtable discussions at provincial,
tion to agrobiodiversity conservation and regional, national and international levels
farmer empowerment through ABS- since 2000. These discussions have
related agreements, and support to included the direct and indirect involve-
farmer-led seed production and marketing ment of national and provincial policy
(Li et al., forthcoming, b). makers from MoA and MoEP, CAAS,
The project has also had to address GMRI and international project partners.
 ● Changing the system from within: participatory plant breeding and ABS in China 87

Ongoing policy dialogue has created a and is currently preparing to become a

platform where local-level PPB and ABS signatory to the International Treaty on
innovations can be discussed and assessed. Plant Genetic Resources (ITPGRFA), which
This dialogue has borne fruit: at a policy aims to promote the conservation and
workshop organised by CCAP in 2002, sustainable use of plant genetic resources for
PPB was considered as an alternative and food and agriculture, and fair and equitable
complementary methodology for crop sharing of benefits derived from their use, in
improvement and agrobiodiversity harmony with the CBD. 5 China is now
management for the first time. In 2004, exploring a two-track policy framework for
the MoA agreed to include PPB working access and benefit-sharing relating to plant
methods in its national extension reform genetic resources, in order to balance the
pilot programme; and from 2008 onward, needs of commercially-driven IP protection
a national maize breeding programme led regimes for a limited list of high value plants
by CAAS has collaborated with the CCAP (such as ornamentals) and commercially
team on one of its sub-objectives: conserv- important commodities (such as hybrid
ing maize genetic resources and developing maize as a foodstuff for the pig industry),
participatory maize breeding in southwest and the protection of farmers’ rights.
China.
The dialogue has also raised awareness Conclusion
of the existing barriers in policy and law In a context where farmers face significant
that prevent farmers from benefiting from legal barriers to securing their rights and
PPB, and promoted understanding of the benefits, this experience shows how a
need for changes in policy and law to local-level experimental project, involving
remove these barriers. This has important formal breeding institutes directly, can
implications for scaling-up the approaches. demonstrate a new way of doing things. By
Clashes between new approaches and systematically feeding back the results to
established laws can foster change in the government departments, the project has
government regime. And change is further started to change attitudes, practices and
stimulated by the vacuum in national ABS policy debates, paving the way for changes
legislation, which means that policy makers in policy and law. It has also strengthened
are actively looking for solutions at this point the legitimacy of farmers’ claim to share
in time. With the implementation of the benefits from the use of plant genetic
Nagoya ABS Protocol, CBD member coun- resources. Although concrete changes in
tries are expected to formulate and enact law have yet to come, these achievements
national ABS legislation in the coming years. are significant, and show how positive
But the absence of ABS law in China has change can be achieved by working within
created a regulatory vacuum for PPB practi- the system. The ABS agreements could
tioners. There is no formal way for farmers’ serve as the basis for further exploring
contributions to seed improvement and appropriate PIC principles and protocols
development to be recognised under PBR. in China (Li and Song, 2010; Song et al.,
The PPB programme has demonstrated an 2012). Although ABS legislation in China
alternative approach in the form of ABS is not yet adequately formulated, ABS can
contracts between project participants. still be addressed in local practice in terms
However, we also need to continue exploring of procedural approaches, such as ABS
ABS options within the legal system. China contracts, because the legal basis for these
has already ratified and implemented the mechanisms already exists (Li et al., forth-
Convention of Biological Diversity (CBD) coming, a).

5 The International Treaty on Plant Genetic Resources for Food and Agriculture entered into
force in 2004. See: www.planttreaty.org for details.
88 65 Jingsong Li, Janice Jiggins and Yiching Song

CONTACT DETAILS
Jingsong Li
Senior Research Assistant
Centre for Chinese Agricultural Policy
Chinese Academy of Sciences
Beijing
China
Email: jingsongli0421@gmail.com

Janice Jiggins
Communication and Innovation Studies Group
Wageningen University
P.O. Box 8130
6700 EW Wageningen
The Netherlands
Email: janice.jiggins@inter.nl.net

Yiching Song
Senior Research Scientist
Centre for Chinese Agricultural Policy
Chinese Academy of Sciences
Beijing
Email: yiching2002cn@gmail.com

REFERENCES
Li, J., C. Leeuwis, E.T. Lammerts van Bueren, Y. Song and J. Jiggins
(forthcoming) a. Contribution of action researching to institutional
innovation: a case study of access and benefit sharing (ABS)
mechanisms in the participatory plant breeding (PPB) in the
Southwest China (accepted by IJARGE subject to minor revision).
Li, J., J. Jiggins, E.T. Lammerts van Bueren, and C. Leeuwis (forthcoming)
b. ‘Towards a regime change in the organization of the seed supply
system in China.’ (Submitted to Experimental Agriculture).
Louwaars, N. (2007) ‘Seed of confusion: the impact of policies on seed
systems.’ PhD thesis, Wageningen University: The Netherlands.
Song, Y. (1998) “‘New’ Seed in ‘Old’ China: impact of CIMMYT
collaborative programme on maize breeding in south-western
China.’ PhD thesis, Wageningen Agricultural University: The
Netherlands.
Song, Y., J. Li, and R. Vernooy (2012) ‘China: designing policies and laws
to ensure fair access and benefit sharing of genetic resources and
participatory plant breeding products.’ In: Ruiz, M. and R. Vernooy
(Eds.) The custodians of biodiversity: sharing access to and benefits
of genetic resources. Abingdon: Earthscan and Ottawa:
International Development Research Centre, pp. 94–120.
Tansey, G. and T. Rajotte (Eds.) (2008) The future control of food: a
guide to international negotiations and rules on intellectual
property, biodiversity and food security. Earthscan Publications:
London.
Visser, B. (2002) ‘An agrobiodiversity perspective on seed policies.’
Journal of New Seeds 4:1-2, pp. 231–245.
 89

PART III
Community
protocols
for genetic
resources
and ABS
90 65
 91

7
Decolonising action-research:
the Potato Park biocultural
protocol for benefit-sharing

by ALEJANDRO ARGUMEDO

Introduction 2002, with support from ANDES and

This article describes the process of develop- IIED. The park currently incorporates the
ing the Potato Park biocultural community communal land of the Amaru, Chawaytire,
protocol (BCP) for equitable benefit-sharing: Pampallaqta, Paru Paru and Sacaca
an innovative action-research approach, communities, covering a total area of 8240
which was led and shaped by indigenous hectares, with over 6000 residents.
Quechua communities in Peru. It was a This area of the Andes is a known
process of empowerment for the communi- micro-centre of origin and diversity of the
ties and their institutions, enabling effective potato. The park serves as a genetic reserve,
control of decision-making, particularly in with 700 local cultivars, 410 varieties repa-
defining the content of the BCP. While this triated from the International Potato Centre
process was carried out throughout the (CIP), and another 151 being preserved for
three-year project period, the development communities in Ayacucho and Apurimac.
of the protocol itself took approximately 15 In addition, many native Andean crops and
months.1 medicinal plants grow in the area.
The Association of Communities of the
Background Potato Park (the Association) governs the
The Potato Park in Cusco, Peru was estab- park based on Andean values, customary
lished by six Quechua communities in laws and practices. Elected members from

1 The process was part of an IIED-led project whose aim was to assist indigenous and local
communities to protect their rights over their biocultural heritage in accordance with their
customary laws and practices. It sought to identify new alternatives to ABS that promoted
ecological sustainability and resilience and that economically benefitted the poor. The project
took place in five countries – Peru, India, China, Kenya and Panama – between 2005 and 2009.
It was funded by the International Development Research Centre and the Christensen Fund.
2 Asociación ANDES is an indigenous NGO whose activities are focused on alleviating poverty
by developing and disseminating alternative models for community-led management of
biodiversity and landscapes.
92
Photo: Khanh Tran-Thanh 65 Alejandro Argumedo

A traditional Andean farmer, Potato Park, Pisaq, Peru.

Box 1: Methodological approaches
each community comprise the Board of Participatory methodologies: involve relevant
Directors. Various economic collectives, stakeholders in the decision-making processes and
actions/activities that affect their lives.
based on the conservation and sustainable
Emancipatory/decolonisation methodologies:
use of biocultural heritage, contribute to these begin with critiques of colonial relations in past
the livelihoods and development of the research involving indigenous peoples, and highlight
park. some methodological considerations for carrying out
such research. The aim is to ‘ensure that research
Methodology with indigenous peoples can be more respectful,
ethical, sympathetic and useful’. It is based on
ANDES understands that knowledge developing relationships and following community
comes from a variety of ways of knowing, protocols, and explicitly addresses issues of power
and that any single perspective or approach and rights.
is laden with assumptions, blindnesses and Indigenous methodologies: rooted in indigenous
limitations. This action-research project cosmovisions, conceptual frameworks and ways of
began with a methodological orientation life.
that combined the complimentary Source: Smith (1999).
 ● Decolonising action-research: the Potato Park biocultural protocol for benefit-sharing 93

approaches of participatory, emancipa- date scientific information and traditional

tory/decolonising and indigenous knowledge, and link these two knowledge
methodologies (Box 1). The methodologies systems; and
for the project were designed and imple- • indigenous researchers act as a bridge
mented collaboratively with indigenous between western and indigenous knowl-
community partners. An explicit focus on edge systems.
decolonising approaches to access and Capacity building for local indigenous
benefit-sharing was incorporated, where researchers was an important part of the
traditional cultural beliefs, practices and process, since the research tools had to be
ways of learning in Quechua communities in the hands of trained indigenous peoples
were valued and asserted in the research as – for their own ends and in harmony with
a way of resisting dominant discourses. The their own cosmovision and traditional
methodology sought to place control of cultural approaches to knowledge – learn-
actions and decisions that affect their lives ing, dialogue and decision-making.
in the hands of indigenous peoples them-
selves: from how problems and actions are Research phases
conceptualised to how actions are taken For planning and implementation
and by whom. purposes, the research was broken into
The collaborative methodology design three phases.
began with the process of free, prior
informed consent (FPIC). This was espe- Phase 1: Identifying community norms and
cially important as the scope and customary laws on benefit-sharing
framework for the investigation had The main objective of the initial phase was
already been pre-defined by the overarch- to identify and document customary laws
ing project. ANDES staff and local and the underlying principles that relate to
researchers carried out consultations in access to biocultural resources and the
village assemblies and focus group meet- equitable distribution of benefits within the
ings with indigenous community members Potato Park. ANDES also trained 14
to re-interpret this framework from the indigenous researchers (seven women,
perspective and needs of the community seven men), who represented the six
members. The objectives of the project communities of the Potato Park. They were
became to: chosen by their community assemblies,
• identify Quechua customary laws that based on community criteria such as
govern access to and benefit-sharing of knowledge of customary laws and practices
traditional resources and knowledge related to biocultural resources, and lead-
according to the holistic concept of collec- ership experience. They learnt how to carry
tive biocultural heritage; and out research through semi-structured
• apply these norms in equitable ABS interviews, focus groups, study groups,
models with the aim of asserting the rights participant observation, data analysis and
of indigenous peoples over their collective the recording and filming of activities. They
biocultural heritage at local, national and played a leading role in the design of the
international levels. research and in its facilitation through
The development of an appropriate study groups.
methodology for the action-research was We used the following approaches in
based on the following requirements: this phase:
• the methodology is oriented towards • Literature review of customary Quechua
meeting the needs of the communities and laws and norms to identify potential prin-
contributing to their development; ciples and practices relevant to the
• it uses flexible methods to collect and vali- investigation.
94 65 Alejandro Argumedo

Box 2: Study groups Box 3: Customary laws related to access

and benefit-sharing
Study groups have been a key approach used
throughout ANDES work with the Potato Park Reciprocity (Ayninakuy ): what is received must
communities. Their objective is to systematically be paid back in equal measure. All of the elements
gather and analyse existing local knowledge and to of nature, including human beings, give and receive,
generate new knowledge through dialogue. These contributing to the common good and harmony of
groups are defined territorially. Meetings take place the world. Ayni is the mechanism by which the
in convenient locations such as traditional family principle of reciprocity finds expression; therefore
and group meeting spaces in the evenings. They ayni, defined as mutual assistance, can be applied
employ a variety of appropriate tools and both to people and to elements of nature. This
techniques such as participant observation, video principle can be seen in seed exchanges among
documentation, interviews, narratives, informal the communities and in the distribution of
conversations, focus groups, surveys and agricultural work.
questionnaires. During the BCP process there were Duality (Yanantin ): the cosmos is divided into two
six main study groups (one for each of the park’s opposite but complementary halves. This can be
communities) of between eight and 15 people, seen in the division of labour between men and
depending on community size, including a mix of women (which, while differentiated, does not
traditional authorities, adults, elders and youth of denote superiority or subservience, but mutual
both sexes. interdependence); or between rights and
obligations, both of which should be met to achieve
harmony and maintain equilibrium. This principle
• Thematic working groups which identi- can be found in the transmission of knowledge
fied key themes to be addressed. related to agricultural practices, where the roles of
Discussions focused on the principles and women and men complement each other.
practices identified in the literature review Equilibrium (Rakinakuy ): refers to proportion and
such as voluntad (willingness), ayni harmony with nature (Pachamama, Mother Earth),
(mutual assistance) and minka (exchange the sacred world, and among community members
– for example, respect for nature and mountain
of labour), where equity in distribution of gods, and the resolution of conflicts to restore social
benefits/goods is a function of the equitable harmony and complementarity (including between
distribution of work. These groups ecological niches). Equilibrium needs to be
provided important capacity-building for observed in the application of customary laws. This
researchers, especially in relation to inte- principle is related to a fair and proportionate
distribution of profits in relation to needs,
gration of traditional knowledge (TK) and capabilities, responsibilities, contributions and
indigenous concepts and approaches. efforts. This criterion also features in conflict
• Study groups held in-depth discussions resolution and decision-making, ensuring the
on themes identified in the thematic work- impartiality of all actors.
ing groups. Participants identified
principles derived from customary law the use and inheritance of land, and the
relevant to the context of access to biologi- transmission of knowledge at the individ-
cal and genetic resources, associated ual, communal, regional and generational
knowledge and benefit-sharing. The study levels.
groups also created capacity among These approaches led to the identifica-
community members and provided valu- tion of three Andean principles –
able input into the project research on reciprocity, duality and equilibrium – that
indigenous concepts (Box 2). underpin the practices of administering
• Participant observation was an impor- traditional resources (Box 3). These prin-
tant approach to research on customary ciples and other community inputs were
laws because the customary laws of then put into practice in the creation of a
Quechua people are not written down, but draft inter-community biocultural proto-
embodied in everyday actions. Customary col.
laws influence benefit-sharing in terms of The drafting process identified the
the distribution of seeds, agricultural work, common interests of the communities, the
 ● Decolonising action-research: the Potato Park biocultural protocol for benefit-sharing 95

Photos: Khanh Tran-Thanh

A women's collective produce traditional arts and crafts made from local materials and sell them at the Centro
de Interpretación.

Scenic landscape. Potato Park, Pisaq, Peru.

objectives and the scope of the protocol normally involved in conflict resolution at
based on customary laws and practices. the community level are integrated into
These were used to establish conflict reso- these processes. Also, rules around reci-
lution mechanisms and identify procity are applied to the sharing of
mechanisms for sharing information and knowledge and seed exchanges through
benefits. For example, institutions barter systems. These mechanisms help to
96 65 Alejandro Argumedo

Photo: Khanh Tran-Thanh

Centro de Interpretación in the Potato Park. The Potato Park is located in a region that is the centre of origin
to over 4000 varieties of potatoes. The Centro de Interpretación also functions as a research centre for the
continued cultivation of potato varieties.

ensure access by women and other poor These discussions were also used to collect
social groups to food security and nutrition. and incorporate community members’
The result was the transformation of the doubts, questions, observations and
draft writing process into an indigenous suggestions regarding the draft and how to
methodology for the project and the improve and strengthen the document.
production of a draft protocol based on the Participatory methodologies played an
Quechua customary law and principles of important role, particularly in identifying
the communities of the Potato Park. participants to be involved in the consul-
tation and negotiation process. ANDES
Phase 2: Consultation, discussion, revision and park researchers used the Social
and negotiation of the inter-community Analysis System (SAS) to identify social
agreement networks of actors involved in the park,
In this stage, the main objective was to and potential project participants.3 The
expand community participation and final decisions about inclusion in the
control in the BCP development process. A consultation process were made by
broad-based consultation and negotiation members of the Association of Communi-
process was initiated throughout the park, ties of the Potato Park.
involving local authorities and community Once identified, key actors were invited
members in discussions concerning each to participate in consultation groups which
of the proposed articles in the draft BCP examined and discussed the mandate of the
and the options for implementing them. draft BCP as well as the details of each

3 Social Analysis System (SAS) approaches seek to promote participatory social analysis,
integrate research into action, support learning systems, and develop a process management
approach to the project activities.
 ● Decolonising action-research: the Potato Park biocultural protocol for benefit-sharing 97

Box 4: Rich pictures

Rich pictures are images

that visually depict a
complex or multi-layered
situation or concept and are
used to ground, orientate or
stimulate a discussion.
ANDES, along with its
indigenous research
partners, have used rich
picturing as an opportunity
to re-value the ancient
Incan image of Santa Cruz
Pachakuti that symbolically
depicts the indigenous
Andean cosmovision.
This image has proved
extremely useful in
orienting discussions
around natural resources or
agriculture within an
indigenous holistic
cosmovision, ensuring that
the discussions are rooted in
these concepts and at the
same time reasserting
traditional culture and
knowledge.

proposed article and potential regulations tions and conceptual images/rich pictures
for enacting them. In total there were 30 (Box 4). A video was developed in Quechua
consultation groups involved in this process, to explain the legal terms used in the BCP
consisting of five members (designated by and reinterpret the concepts in indigenous
geographic proximity), an indigenous terms, even creating new Quechua terms
researcher who facilitated the discussions to reflect these new concepts.
and a member of the gastronomy collective. The consultation process itself was
Traditional leaders occasionally partici- based on the Andean principles of reci-
pated. The groups met four times a month procity, duality and equilibrium, and
at predetermined times to discuss the traditional practices used for generating
different aspects of the draft agreement and and maintaining flows of dialogue and
offer their observations, suggestions and decision-making. For example, members
doubts. Local researchers carried out semi- of the park’s gastronomy group prepared
structured interviews with members of the and served traditional dishes using some of
communities for additional feedback. Input the rare species of potato found in the park
from the meetings and interviews resulted to members of the consultation groups,
in a second draft of the BCP. both as a form of reciprocity and to facili-
Indigenous researchers once again tate discussion about biocultural heritage.
played a central role in facilitating these The concept of duality is reflected in the
consultation groups and the discussions inclusion of men and women, young and
that took place. Researchers used methods old, and diverse kinds of experience and
such as video and powerpoint presenta- knowledge.
98 65 Alejandro Argumedo

Photo: Khanh Tran-Thanh

The women's collective that manages and operates the small restaurant provide cooking demonstrations and
meals to showcase traditional local ingredients such as quinoa and amaranth.

Phase 3: Final consultation and validation of the results from the study groups and
the inter-community agreement consultations, another version of the agree-
The final stage was carried out by indige- ment was produced and a validation
nous researchers and ANDES staff with the process began. Following traditional deci-
goal of finalising and signing the BCP. sion-making procedures, the BCP was
Community participation was expanded presented and discussed in community
further through consultations and meet- assemblies, and then put to a vote. All
ings with a wide range of actors from the communities involved approved the agree-
study groups, micro-enterprises, commu- ment by a large majority.
nity leaders, shamans, women's groups,
elders, youth groups and the Board of The inter-community biocultural protocol
Directors of the Association of Communi- for benefit-sharing
ties of the Potato Park. Indigenous The inter-community biocultural protocol
facilitators led discussions focused on now exists as a broad outline for benefit-
objectives, benefits and beneficiaries, rights sharing that includes all benefits received
and responsibilities and forms of benefit- by the Potato Park that are directly or indi-
sharing within the BCP. Knowledge gaps rectly derived from its biocultural
were identified and addressed to improve resources. The BCP shares the benefits
the final BCP drafts which were then amongst the 6000 people of the five
reviewed by a group of experts, including a communities. A communal fund has been
lawyer who specialises in customary law. set up for the funds generated from such
Study groups continued the process of activities including:
simplifying the agreement for ease of • third-party use of biological resources,
understanding and reconceptualising the seeds and traditional knowledge of the
content in Quechua terms. Incorporating Potato Park;
 ● Decolonising action-research: the Potato Park biocultural protocol for benefit-sharing 99

• activities undertaken in the park, such as Lessons and conclusions

research, ecotourism and other related The BCP represents an innovative
services (e.g. restaurant, lodging facilities); approach to ABS that prioritises indige-
• repatriation of seeds, especially those nous epistemologies and norms. As such it
derived from an agreement with the Inter- contributes to a process of decolonisation
national Potato Centre; from western discursive and legal frame-
• donations, projects or similar activities; works and the resulting cultural and legal
and domination. It represents a broader
• agreements with third parties outside of approach to ABS which includes not only
the above-mentioned categories and benefits derived from access to genetic
related directly or indirectly to the use of resources and TK, but also those from all
biocultural resources. activities related to direct and indirect use
The earnings are redistributed in an of biocultural resources. The BCP is envi-
equitable manner to park communities at sioned as a model benefit-sharing
the end of the year. In principle, the Asso- framework that can be used by other
ciation is in charge of the distribution and indigenous and local communities in the
redistribution of benefits and goods to Andean region. The process to develop the
community members, although the park BCP has strengthened cohesion between
is currently being assisted by ANDES. The the park's communities and strengthened
distribution takes place through a special recognition of customary laws that
commission created for this purpose (the promote conservation and equity, which
Benefits Allocation and Oversight are now formally adopted by the commu-
Committee). The BCP guides the distribu- nities through the agreement. It has also
tion of monetary benefits. The park’s enhanced the partk's capacity for ABS
economic collectives contribute ten negotiation.
percent of their earnings as a measure of The project used an innovative method-
reciprocity and as a contribution towards ological approach combining participatory,
the maintenance of the park’s collective emancipatory/decolonising and indigenous
biocultural heritage. approaches orientated towards community
The BCP ensures that the distribution leadership: not only in the implementation
and redistribution of benefits is based on a of the methodology, but in its design as
set of criteria that is fair and proportionate well. High participation rates and leader-
to the needs, capabilities, responsibilities, ship and control of the process by
contributions and efforts of the communi- indigenous communities were achieved
ties and their members. Each year, the through such approaches. However, the
Association establishes these criteria for scope and general theme of the framework
rating community participation in activi- were pre-defined. This proved a limiting
ties that contribute to the maintenance of factor for community leadership of the
biocultural resources and promotion of the process. Though the process of obtaining
park. The criteria are organised into an FPIC and the collaborative methodology
abacus-like matrix (yupana in Quechua) development helped to mitigate this, the
where the leadership of the communities methodology could be improved if the
applies a simple numeric formula to rank over-all project aims could be defined by
themselves. The benefits are distributed communities in a bottom-up process, e.g.
among the communities accordingly. The using visioning activities at the community
surplus is used to construct and maintain a and inter-community level followed by
social safety net for the poor (e.g. widows, dialogue and collaborative project design
orphans), in line with traditional Quechua based on the shared interests of communi-
solidarity-building principles. ties.
100 65 Alejandro Argumedo

Tools for ABS and the protection of TK

– such as the Potato Park’s BCP – may fall
short without a local to international policy
environment that creates a healthy rela-
tionship between local societies and nation
states. Decision makers need to define
national and international policies and
legal frameworks for the protection of
traditional knowledge based on the
concept of collective biocultural heritage.

CONTACT DETAILS
Alejandro Argumedo
Asociación ANDES
Calle Ruinas 451
Casilla Postal No. 567 Cusco
Cusco
Peru
Email: alejandro@andes.org.pe
Website: www.andes.org.pe/en

REFERENCE
Smith L.T. (1999) Decolonising methodologies: research and
indigenous peoples. Zed Books: London.
 101

8
The Bushbuckridge
BCP: traditional health
practitioners organise
for ABS in South Africa

by RODNEY SIBUYE, MARIE-TINKA UYS, GINO COCCHIARO and

JOHAN LORENZEN

Introduction charter that asserts their traditional and

National and international laws and poli- continuing customary roles within their
cies are gradually recognising the communities, and their roles in conserving
importance of empowering communities the natural resources and knowledge on
to ensure conservation. But the implemen- which they rely. The BCP identifies and
tation of these ideals has proved slow and makes clear the challenges of health prac-
uneven. With community-led conservation titioners to external agents – such as
also sustaining livelihoods and protecting businesses and government – and calls for
cultures, it is important for both conserva- them to respect their rights over their land,
tion and communities that this pace is resources and knowledge.
quickened. The BCP was developed through the
With a history of uncompensated bio- participation of members of the Kukula
prospecting, the Kukula traditional health Traditional Health Practitioners Associa-
practitioners of Bushbuckridge, South tion of Bushbuckridge (KTHPA). It was
Africa are faced with both marginalisation supported in this process by the Kruger to
and an emerging ecological crisis from the Canyons Biosphere management commit-
overharvesting of medicinal plants.1 But tee (K2C) and Natural Justice: Lawyers for
they have staked their claim to rights Communities and the Environment (NJ),
directly through the development of a an international NGO working with
biocultural community protocol (BCP).2 communities to affirm rights over their
Their BCP is a community document or resources and knowledge.3
1 Bio-prospecting is the use and commercialisation of a resource and its associated knowledge.
2 The Kukula healers are supported by Open AIR www.openair.org.za/ and are a part of the
Africa BCP Initiative, supported by the ABS Initiative (funded by GIZ), the Open Society for
Southern Africa and the Heinrich Böll Foundation.
3 The Kruger to Canyons Biosphere management committee is a group of six individual
stakeholders supporting communities living in the biosphere and the continued conservation of
the region.
102 65 Rodney Sibuye, Marie-Tinka Uys, Gino Cocchiaro and Johan Lorenzen

Map of the Kruger to Canyons Biosphere Reserve.

This article briefly outlines the context UNESCO’s Man and the Biosphere
in which the members of Kukula practice Programme and seek to find and demon-
their healing, and the challenges they are strate innovative solutions in reconciling
facing. It then discusses the meetings in biodiversity conservation and sustainable
which the traditional healers of Bushbuck- development. The process to achieve recog-
ridge decided to develop a BCP – and the nition by UNESCO is government-led but
inclusive process by which they prepared must include community engagement.
it, with the full participation of all K2C is a non-profit company and its vision
members. It concludes with a summary of is to achieve a better life for all through
the BCP process and looks at some of the partnerships.
impacts the BCP is already having. The Bushbuckridge communities live in
the southern portion of the K2C Biosphere
Background in Mpumalanga Province. Bushbuckridge
Spanning more than four million hectares, municipality is bounded by the Orpen road
Kruger to Canyons (K2C) UNESCO Bios- to Kruger National Park in the north, the
phere Reserve, is one of the largest Sabie River in the south, the Drakensberg
Biospheres in the world.4 Its area encom- escarpment in the west and the western-
passes key biodiversity hotspots, including most boundaries of KNP and Sabie-Sand
the Kruger National Park (KNP) and Blyde Game Reserve in the east. While much of
River Canyon Nature Reserve. The area is this area is government-managed, the
rich in both biodiversity and culture. majority is communal grazing land.
Biosphere Reserves participate in With 150 people per square kilometre
4 UNESCO is the United Nations Educational, Scientific and Cultural Organisation. See
www.kruger2canyons.org for more on K2C.
 ● The Bushbuckridge BCP: traditional health practitioners organise for ABS in South Africa 103

Credit: Johan Lorenzen

Medicinal plant nursery maintained by Kukula members.

in the east and 300 per square kilometre medicine and cultural ceremonies. The
in the wetter west, the population density is healers also hold various forms of tradi-
already one of the highest in southern tional knowledge in relation to the uses of
Africa, and the population growth rate is their local medicinal plants. Through their
2.4%. Unemployment in the Bushbuck- traditional practices of sustainable harvest-
ridge area is estimated at 63%. There is a ing, the healers support the conservation
heavy reliance on the cash economy and on and sustainable use of these plants. Unfor-
State grants, mainly in the form of pensions tunately, commercial-level harvesting of
and child grants. Approximately 50% of medicinal plants for use in South Africa’s
the adult male population and 14% of cities threatens many of these plant species.
women engage in migrant labour. The Access in government-managed protected
average household income is R850 (about areas has been severely restricted due to
US$110) per month. this overharvesting and local traditional
The area is extremely biodiverse. It is healers struggle to harvest the plants they
also culturally and linguistically one of the need. The healers also have concerns about
most diverse in South Africa, with people the use of their traditional knowledge (TK)
from different ethnic backgrounds and without their prior informed consent based
language groups. For example, people on a long history of bio-prospecting with
living in the same geographical areas speak no benefits to the community.
Pedi, Pulana (which is a mixture of Pedi,
Swazi and Tsonga), Tsonga and Swazi. Methods and processes
Many also speak English, Afrikaans or In 2009, Natural Justice was invited by the
Portuguese, given the close proximity to the K2C management committee and its part-
Mozambican border (Thornton, 2002). ners to present and discuss
Traditional health practitioners tend to community-based approaches to access
their communities’ physical, cultural and and benefit-sharing (ABS) mechanisms,
spiritual well-being through traditional including biocultural community protocols
104 65 Rodney Sibuye, Marie-Tinka Uys, Gino Cocchiaro and Johan Lorenzen

(BCPs). Interested in the possibility of cultures and language groups. Over the
using such approaches, researchers work- period of these initial meetings the tradi-
ing with the K2C management committee tional healers also began to plan how they
conducted data collection surveys in each could form an organisation of healers to
of the core, buffer and transition zones of meet the challenges identified and become
the UNESCO-registered biosphere. They registered as traditional healers with the
looked at how Marula trees, firewood, Ministry of Health.
broom grass and medicinal plants are The process of BCP development led to
collected, with a view to developing a the formation of the Traditional Health
biocultural protocol linking traditional Practitioners of Bushbuckridge, now
methods of gathering to conservation.5 known as the Kukula Traditional Health
In May 2009, a preliminary meeting Practitioners Association. The group began
was held between a small group of healers with 80 members and now has swelled to
who were connected to a medicinal plants almost 300 healers, primarily women. The
nursery in the region, Vukuzenzele, and association consists of a management
representatives of K2C management committee of 26 people, six of whom are
committee. They investigated the potential part of the executive committee, elected on
for initiating a BCP process with the tradi- an annual basis by all members of the asso-
tional healers. The process then began with ciation. The executive committee assists
a meeting of 26 traditional healers, the association in engaging with other
members of the K2C management stakeholders in K2C, including business
committee and Natural Justice to discuss and government, to co-ordinate the devel-
the healers’ concerns regarding the illegal opment and utilisation of the BCP.
harvesting of medicinal plants from the During a two-day workshop in mid-
K2C, and potential cases of biopiracy. 2009 involving Kukula’s executive
Presentations were made on the People committee, the K2C management
and Parks Programme as well as the work committee and Natural Justice, the execu-
of Natural Justice and the use of biocultural tive committee members volunteered to
protocols.6 participate in a facilitation group (along
Following this initial gathering, the with Natural Justice and K2C) to collect
traditional healers held regular meetings information from all members of the asso-
to share their views, discuss ways to ciation involved in the BCP. At this
address their concerns and learn more workshop the facilitation group selected
about the laws relating to the conservation six goals for facilitating the BCP develop-
of medicinal plants and the protection of ment process:
TK. This also provided the traditional heal- • Build credibility, trust and mutual respect
ers with an opportunity to learn about among traditional healers.
access and benefit-sharing (ABS) laws • Identify the healers’ concerns and values
under the Convention on Biological Diver- and ensure they are fully understood by
sity (CBD) and the South African asking probing questions and reflections.
Biodiversity Act.7 This process fostered a • Facilitate consensus among the healers by
sense of identity as traditional healers that ensuring that all opinions are heard and
had not previously existed among them, considered.
given the large geographical distances • Make sure all participants are part of the
between them and their two separate process and ensure they feel part of a
5 Marulas are South African trees found in much of Kruger Park. Many parts of the tree have
been used since ancient times, including the bark, the leaves, fruit, nut and kernels.
6 A South African programme that engages local communities in preserving protected areas.
See: www.peopleandparks.com/about/learn
7 Biodiversity Act no. 10 of 2004, South Africa.
 ● The Bushbuckridge BCP: traditional health practitioners organise for ABS in South Africa 105

Photo: Johan Lorenzen

The facilitation group draws up a code of ethics to supplement the BCP.

shared vision for the BCP. • how they connect their communities
• Capture and reflect to the group decisions through their culture to biodiversity;
that are owned by the healers. • some detail of their traditional knowl-
• Ensure participatory and fair practices edge;
throughout the process. Encourage all • the threats to their livelihood posed by
members of the association to express their biodiversity loss and the taking of their TK
views and be involved. without the sharing of benefits;
The facilitation process was supported • how the community plans to improve
by sharing clear information about the conservation and sustainable use of medic-
environmental legal frameworks in which inal plants;
the traditional healers operate. Further- • information for people wanting to access
more, it was ensured that by the end of their TK and medicinal plants; and
each facilitated meeting during the process, • the links between their values and
decisions and processes to date were concerns and the rights the healers have
adequately summarised, tasks for the under national and international laws.
period between meetings were clearly The BCP is considered a living docu-
articulated, and feedback opportunities for ment by the traditional healers and they
such tasks were included at the beginning periodically review the aims and challenges
of the follow-up meeting. outlined in their original document.
Based on the information collected, Through the process of developing the
members of the facilitation group drew up BCP, the traditional healers have formally
the BCP with the assistance of Natural organised themselves as Kukula Tradi-
Justice. The BCP was then presented to, tional Health Practitioners Association and
commented on and accepted by the wider developed their own constitution. The
membership of the association. The BCP association achieved registration under
sets out: South African law as a not-for-profit organ-
• their biocultural values; isation in 2011.
106 65 Rodney Sibuye, Marie-Tinka Uys, Gino Cocchiaro and Johan Lorenzen

Photo: Johan Lorenzen

Members of the Kukula Traditional Health Practitioners Association.

Through extensive internal discussion, In 2011 the association signed a Non-

the members of Kukula decided to pool Disclosure Agreement with the cosmetic
some of their traditional knowledge collec- company to research the use of some of
tively and shared this knowledge with a their genetic resources and associated
small local cosmetic company so that any traditional knowledge. They are hoping to
benefits from the use of their knowledge negotiate an access and benefit-sharing
would flow back to the group as a whole. agreement if the research leads to the
 ● The Bushbuckridge BCP: traditional health practitioners organise for ABS in South Africa 107

development of cosmetic products. Conclusion

With increased awareness from govern- The BCP of the Kukula Traditional Heal-
ment that local healers are not responsible ers of Bushbuckridge has been an
for extensive overharvesting, members important tool to assist the healers in defin-
have also negotiated for limited access to ing themselves as a community with shared
protected areas that were once completely values in an attempt to deal with their
sealed off to them. They also feel that their concerns together. Their BCP clearly sets
access to medicinal plants in their commu- out their combined views on conservation
nally-held lands has improved as and the sustainable use of medicinal plants,
overharvesting has diminished, primarily including the use of their traditional
due to greater awareness among members knowledge. What began as a small group
of the importance of using traditional prac- of people now involves approximately 300
tices for harvesting plants. They also now members. The association is now engaging
coordinate with farmers in their area to with traditional authorities regarding land
harvest medicinal plants before fields are allocations for their livelihood and conser-
ploughed. vation projects. In addition, through the
The association has also extended its development of their BCP, the healers were
BCP by drafting a code of ethics for its able to develop greater capacity in asserting
members. They hope this will improve the their rights over their resources and asso-
consistency of service to clients and help ciated knowledge.
members in the process of registering with Through a process of in-depth discus-
the South Africa Department of Health as sion and consultation the healers agreed to
officially recognised traditional health pool their traditional knowledge. This is
practitioners. now widely seen as a leading example of a
Throughout this process, members traditional knowledge commons in which
have contributed to and supported the benefits from the use of traditional knowl-
democratic nature of the association, in edge return to the group as a whole.
which regionally representative executive Throughout the BCP process the
and management committees are elected desired outcomes have been inextricably
to drive the process, whilst being required linked to the integrity of the process and
to seek majority support of all members for tools of community engagement and repre-
major decisions. In an interview with the sentation. The process has ensured that all
executive committee in August 2011, it the healers have full ownership over their
became clear that the impetus afforded by BCP and collectively embrace their aims of
the BCP to drive a collective effort towards conserved biodiversity, protected culture
better integration and recognition is and increased recognition of their values
valued. Rodney Sibuye, one the authors of and practices in the future. The healers
this article, was elected as Chairperson to understand that their BCP is not the end
the executive committee. but one step in the process towards their
While the executive committee is able aim of sustainable livelihoods and health-
to meet regularly, the cost of bringing ier communities. The revising and
together the 26 member management expansion of their BCP will continue to be
committees and wider membership of 300 at the heart of this process.
traditional healers, given the geographical
distances between the group, impacts on
how often they are able to meet. This in
turn has an impact on the democratic
processes within the association that they
have sought to foster.
108 65 Rodney Sibuye, Marie-Tinka Uys, Gino Cocchiaro and Johan Lorenzen

CONTACT DETAILS
Rodney Sibuye
PO Box 1270
Thulumahashe
1365
South Africa

Marie-Tinka Uys
PO Box 408
Hoedspruit
1380
South Africa

Gino Cocchiaro and Johan Lorenzen

Natural Justice: Lawyers for Communities and
the Environment
63 Hout Street
Cape Town
8000
South Africa
Email: Gino@naturaljustice.org.za

Email: Johan@naturaljustice.org.za

REFERENCES
Thornton, R. (2002). Environment and land in Bushbuckridge, South
Africa. Department of Anthropology, University of Witwatersrand,
Johannesburg: South Africa.
 109

9
Biocultural community
protocols: tools for
securing the assets of
livestock keepers

by ILSE KÖHLER-ROLLEFSON, ABDUL RAZIQ KAKAR,

EVELYN MATHIAS, HANWANT SINGH RATHORE and
JACOB WANYAMA

Introduction tists and bureaucrats tasked with conserving

International recognition of the vital role animal genetic resources remain unaware of
communities play in conserving and manag- the linkage between specific livestock breeds
ing livestock biodiversity is growing. The (i.e. animal genetic resources) and commu-
Food and Agriculture Organization (FAO) nities. They continue to ignore the rich local
now refers to livestock keepers as ‘guardians knowledge and expertise of livestock-owning
of biological diversity’ (FAO, 2009). Their communities whose way of life – and animals
2007 Global Plan of Action on Animal – are threatened by the loss of access to graz-
Genetic Resources (FAO, 2007) supports: ing, lack of services and low economic
returns from traditional breeds. They give
…indigenous and local production systems preference to conserving livestock breeds on
and associated knowledge systems of government farms and through cryoconser-
importance to the maintenance and vation instead of supporting conservation by
sustainable use of animal genetic resources local communities, as is mandated by the
[and] the establishment and strengthen- United Nations Convention on Biological
ing of in situ conservation programmes, Diversity (UNCBD).2 3
including support to community-based At LIFE Network, we have come to
conservation organizations.1 recognise that international agreements
are not necessarily implemented at the
Despite these gains on paper, many scien- local level. 4 Communities need help to
1 Strategic priorities 6 and 8 (FAO, 2007).
2 See Article 8J.
3
Cryconservation is conservation by deep-freezing genetic material.
4 LIFE is an international group of organisations that work with livestock keepers at the
grassroots level. LIFE supports community-based conservation and development of local breeds
and animal genetic resources. It highlights especially the role of pastoralists in conserving
livestock biodiversity, and has developed a method for documenting indigenous knowledge
about animal breeds and breeding.
110 65 Köhler-Rollefson, Kakar, Mathias, Singh Rathore and Wanyama

secure their rights (Köhler-Rollefson et al., tion systems and can be nomadic, semi-
2010). Biocultural community protocols nomadic or sedentary. Livestock is
(BCPs) are one tool for helping to do this. A important not just for livelihoods. They are
livestock BCP might document breeds and an intimate part of the cultural and spiri-
associated traditional knowledge and prac- tual life of Pashtun livestock keepers. The
tices, and invoke rights under various community is proud of their role in the
existing legal frameworks such as the conservation of precious biodiversity and
UNCBD. The process of developing these landscape diversity. They decided to
documents – when driven and designed by develop the BCP because the importance
communities – offers the potential to of their role had never been appreciated.
strengthen community cohesion and the The community wanted to reflect this
capacity to secure and defend rights. through the BCP. Although other Pashtun
Through LIFE’s connection with the people share knowledge, breeds and
legal NGO Natural Justice, some LIFE customary practices with the Janobi Pash-
Network partners were inspired to support tunkhawa, accessibility to some Pashtun
the development of a number of BCPs by lands is difficult due to conflicts in tribal
livestock keepers in Pakistan, India and areas of Pakistan and southern
Kenya. Afghanistan. It was not possible to develop
This article examines three different a BCP for all the Pashtun people.
experiences, and the extent to which these
BCPs were community-driven processes. It Process
looks at whether and how communities Initial awareness-raising about the BCP
have been able to make use of the protocols began in October 2010 by three people
in the struggle to have their rights recog- from SAVES.5 They travelled throughout
nised, and whether there were other the region, meeting with livestock keepers.
benefits for communities in developing the Their aim was to raise awareness about the
protocols. It also discusses some emerging general process of developing a BCP and
lessons and how these might help inform about specific ideas for this particular
future work. process.

Pashtun Biocultural Protocol Primary meetings

The Pashtun live in the north-east high- First, we held group discussions with
lands of Balochistan province, mid-west community groups at different village
Pakistan. They are an indigenous and tribal levels. These were documented in Pashto
pastoral community known as the Janobi (the Pashtun language). Discussions
Pashtunkhawa. Their territory centres focused on their livestock breeds, flora and
around the Suleiman mountains and is fauna diversity that they know and use, and
comprised of 13 districts of Balochistan. farming systems and practice. The commu-
References to the area, also known as Arya nity members demonstrated their
Warsha or ‘the place for grazing’, can be familiarity with biological resources and
found in the Avesta, the holy book of their pride in their biological and cultural
Zoroaster, which is 2700 years old. Pash- richness. Basic yet vital information was
tunkhuwa is the cradle of domestication for gathered, such as the names of breeds, their
many species like the Bactrian camel, importance in low-input systems and dry
sheep and goats. seasons, the taste of the food items
Pashtun people are nature lovers. They produced by their animals, and the cultural
keep their livestock in eco-friendly produc- importance of the breeds. A first draft of
5 The Society of Animal, Veterinary and Environmental Scientists (SAVES) is an organisation set
up by a university-educated Pashtun man with a background in animal science.
 ● Biocultural community protocols: tools for securing the assets of livestock keepers 111

Photo: Abdul Raziq Kakar

Kohi camel of the Suleiman mountainous region.

the BCP was then composed, focusing on and designing the process for finalising this
the origins of breeds and their diversity, draft.
importance and production systems.
Final meeting
Secondary meetings Almost 40 individuals were selected for a
On the basis of doorstep meetings (knock- three-day BCP workshop. The selection
ing on doors and talking to whoever criteria were knowledge, livestock species
answered), elders, indigenous knowledge balance and regional/tribal balance.
experts, ethno-healers and best breeders Outside experts (scientists, lawyers and
were selected from the community for scholars) from the urban Pashtun commu-
secondary discussions. This selection was nity were also invited. The discussions
based on the participants’ knowledge, live- focused on livestock breeds and evolved
stock species balance and willingness to knowledge, ecosystem vegetation and
participate, and led to the constitution of effective customary laws which could
regional expert groups (REGs). support the Pashtun livestock production
Three to five REGs meeting were held and pastoral system (e.g. for conservation,
in each region, or sub-ecological areas resource rights, access and decision-
designated on the basis of tribes, livestock making). Other aspects included livestock
species and accessibility. The draft proto- products, weather and climate, production
col was discussed with each REG in detail, systems and the role of livestock keepers in
and more information elicited. With inputs society. An environmental lawyer from
from the community, a second version was Pakistan compiled a list of national and
drafted. Community representatives (e.g. international laws and regulations related
elders) were involved in setting the criteria to the rights and well-being of pastoralists.
112 65 Köhler-Rollefson, Kakar, Mathias, Singh Rathore and Wanyama

Laws were discussed with participants and it with other Pashtun communities living
included in the protocol. After amend- in adjoining areas. These communities are
ments and corrections, the final draft was separated either by international borders
declared. or provincial and administrative bound-
The BCP has given the Pashtun a aries.
concrete document which can be used to
inform others about their role and impor- Raika Biocultural Protocol
tance. The process has helped livestock The Raika are the largest pastoral commu-
keepers organise themselves. They are nity of western Rajasthan in north-west
stronger now and have a forum to defend India. They have a close relationship with
their rights. SAVES has used the BCP to the camel, but have also developed many
highlight the important role of the Pashtun other livestock breeds, including cattle,
in biodiversity and livestock conservation sheep and goats. They are an extremely
with national and international policy egalitarian society, often sharing animals
makers. For example, the Pashtun have amongst each other. As long as common
defined and reported some breeds of live- property resources are amply available, the
stock which were unknown before. As the Raika feel strong and prosperous. Histori-
founder of SAVES and co-author of this cally, they also have a close relationship
article, Abdul Raziq Kakar says: with the ruling class of Rajputs, caring for
their camel breeding herds, and enjoying
In my view, BCP is a process of organising grazing privileges in forests. But over the
and strengthening our community and last 60 years, the Raika have suffered as
protecting our community and its live- developments have eroded common prop-
stock culture. erty resources and restricted access to
remaining areas, such as intensified crop
Constraints and solutions cultivation, new wildlife sanctuaries, popu-
It was difficult to organise these meetings. lation pressures, road building and land
The area is vast and inaccessible, with little enclosures. There is also a split between
mobile phone connectivity in many parts. traditional animal-keeping Raika and
The mobile way of life of many pastoralists educated young people who are not inter-
contributes to this constraint. ested in livestock and do not value
Often, people were busy and had little traditional knowledge highly.
time for extended discussions. To overcome The Raika Biocultural Protocol
this, the traditional information system describes a number of local breeds that
called hall was used. Hall is the exchange they have been stewarding, including
of information about the rains, weather, camel, Nari cattle, Botic sheep, and Sirohi
grass conditions, disease, mortalities, move- and Marwari goats. The protocol sets out,
ment and news. People share information among other things:
with others they meet – especially relating • biocultural values and roles of the Raika
to livestock and livelihoods. Horses and for in situ conservation;
camels were used to access remote areas. To • sustainable use of animal genetic diver-
involve more people, elders were included sity and forest and rangeland ecosystems;
from the start. Elders are highly respected • customary laws and decision-making
and we took care to explain the process and processes (e.g. relating to prior informed
rationale. Actively involving community consent); and
elders was also important for generating • the rights and responsibilities of the
local ownership of the BCP process. community and government agencies
More work is needed to expand the under national and international laws and
Pashtun BCP content and process and link policies.
 ● Biocultural community protocols: tools for securing the assets of livestock keepers 113

Photo: LPPS archives

Photo: Ilse Köhler-Rollefson

Raika protesting for their grazing rights, Rajasthan. Bhanwarlal Raika and his camel herd entering
Kumbhalgarh Wildlife Sanctuary.

Process their doorsteps, explaining the rationale for

The Raika BCP is thought to be the first a BCP and learning about the problems
BCP ever completed by livestock keepers. It and constraints faced by the Raika, espe-
was developed with the support of interna- cially regarding grazing rights in a nearby
tional NGO Natural Justice and Lokhit wildlife sanctuary. Although Raika women
Pashu-Palak Sansthan (LPPS), a local generally do not interact with outsiders,
NGO that has been working with the and were not involved in these discussions,
community for over 15 years to document LPPS are aware that women are active
traditional knowledge about livestock behind the scenes and have some power,
keeping and genetic resources. So a large usually handling most money matters.
amount of written documentation was The information was compiled into a
already available. draft document in English. This was
In May 2009, two Natural Justice shared and discussed with community
representatives – who had suggested the elders and revised accordingly. LPPS trans-
idea of establishing a BCP – travelled to the lated and printed the document in Hindi,
Raika area and based themselves at LPPS sharing it widely with the community, local
headquarters. With LPPS staff, they met government officials, and internationally.
with a cross-section of the community at In September 2009, a Raika female leader
Photo: Ilse Köhler-Rollefson

Raika leading his sheep and goats to grazing in the contested Kumbalgarh Sanctuary.
114 65 Köhler-Rollefson, Kakar, Mathias, Singh Rathore and Wanyama

presented the BCP at a meeting of local and main subdivisions, White Cow and Black
indigenous communities on access and Cow. Eight keep livestock and the ninth
benefit-sharing (ABS) in Nairobi. She later consists of hunters and gatherers. They
travelled to Montreal for the Sixth Ad hoc moved to the present area following the
Open-ended Working Group on Article 8J 1911 Treaty between Maasai leader Lenana
(Convention on Biological Diversity). and the British.
However, it was difficult for her to share The Samburu keep small East African
these experiences with the community Zebu cattle, Red Maasai sheep and East
afterwards, since they could not relate to African goats. The Red Maasai sheep has a
travel abroad. unique genetic capability to cope with
The Raika have used the document internal parasites, especially Haemonchus
when interacting with government offi- contortus (a kind of stomach worm). This
cials, especially the Forest Department. It has attracted attention from scientists who
has put them ‘on the map’ and become a are keen to understand the genetic basis of
source of information for young people. this trait, which has obvious commercial
However, in their current struggle for graz- potential. Despite this interest, the survival
ing rights, it has also become evident that of the Red Maasai is threatened, particu-
internationally binding agreements like the larly by the strong promotion of
CBD severely lack local awareness and cross-breeding with Dorper sheep and
implementation, even though India is a market demand for large-bodied animals.
signatory to the convention. The community itself seems to have lost
confidence in its indigenous breed,
Problems and constraints although it is significantly more drought
The Raika BCP builds on extensive exist- resistant than the Dorper and required for
ing documentation. It represents a concise a number of Samburu life-cycle rituals.
summary of important aspects of Raika
culture, traditional knowledge and genetic Process
resources. This is useful, but also danger- Compiling the Samburu BCP built on a
ous. It is not a comprehensive record and series of activities that the LIFE Network
provides a limited segment of their total Africa coordinator initiated in Samburu
knowledge. While its legal contents are District, 2008.6 It began with a study of
valuable, they are difficult for the Raika to indigenous knowledge and breeding prac-
understand, highlighting the need for legal
Photo: Ilse Köhler-Rollefson

empowerment within the community. The

biggest value is in using the printed docu-
ment to interact with outsiders. Overall,
the BCP is just one of many tools in the
arsenal required by the Raika to claim their
rights under the Indian Forest Rights Act.

Samburu Biocultural Protocol

The Samburu are Maa-speaking pastoral-
ists in Northern Kenya. They are closely
related to the Maasai, with an estimated
800,000 households in the districts of
Samburu, Laikipia, Isiolo, Marsabit and
Baringo. Nine clans are divided into two Samburu herder reading the Raika BCP.

6 The Samburu BCP process is part of the Africa BCP Initiative which is supported by the ABS
Initiative (funded by GIZ), the Open Society for Southern Africa and the Heinrich Böll Foundation.
 ● Biocultural community protocols: tools for securing the assets of livestock keepers 115

Photo: Ilse Köhler-Rollefson

Samburu and Red Massai sheep.

tices for Red Maasai sheep. Methods stock Development (LPP), the female
included field visits, community awareness Raika leader and the LIFE Africa member
meetings, informal interviews with indi- from Samburu travelled to Maralal. They
vidual herders and other stakeholders, and held two workshops in two locations. Some
herder focus groups. The findings illus- 40 herders from different villages and
trated the close interconnectedness of the other local stakeholders participated and
Samburu culture with their sheep. But it discussed community identity and origin,
also raised the communities’ awareness of cultural significance of breeds, relation-
their breed’s potential and scientific inter- ships between ways of life, traditional
est in their breed (Lekimain, 2009). knowledge and associated customary laws,
In August 2009, a LIFE Africa member the conservation of breeds and local biodi-
from a prominent Samburu family trav- versity, and current challenges.
elled to the region to document local Back in their office, the NJ lawyers then
institutions and leadership structures drafted the BCP text. The draft was subse-
(Lenyasunya and Wanyama, 2009). He quently amended through the other
organised community meetings to inform members of the BCP support team and
them about BCPs. He also asked commu- then translated into the local language.
nity leaders to identify experienced herders During a follow-up workshop in 2009,
who would be interested and willing to the two LIFE Africa members went back
participate in drafting a Samburu BCP. to the communities to share the Samburu
Then, in September 2009, a BCP-draft- language draft with a group of selected
ing support team composed of lawyers herders. The herders discussed ways
from Natural Justice (NJ), the League of forward. Suggestions included using the
Pastoral Peoples and Endogenous Live- protocol to educate young people, mobilise
116 65 Köhler-Rollefson, Kakar, Mathias, Singh Rathore and Wanyama

their own and other communi- The Samburu BCP cover.

ties and lobby for their rights.
Their corrections and amend- adaptation traits can be
ments were included in the final expected to increase.
document before printing. The idea behind BCPs is
The Samburu BCP was that they are a community-
launched on 28th May 2010 in owned and driven process.
Maralal through the deputy The cases described here
director of the Kenyan Live- were catalysed by outsider
stock Production Service in the organisations or people,
presence of more than 30 who either had long-stand-
Samburu livestock keepers and ing relationships with the
officials from the Samburu community (Raika) or orig-
Livestock Production Service. inated from them (Pashtun
The Samburu were happy to see their and Samburu). BCPs cannot be a stand-
protocol published and expressed eager- alone measure and need to be embedded
ness to initiate conservation activities. in a continuous long-term process directed
Moreover, the deputy director has at community empowerment if they are to
embraced the idea of biocultural protocols be used to defend communities’ rights. The
and is set to promote them further. biocultural community protocol document
captures this process and the relationship
Problems and constraints between the community, its eco-system
Unlike with the Pashtun and Raika, there and outside actors at a particular point in
are no local Samburu organisations to time. The role of outside facilitators is to
provide continuity to the BCP process and ensure that this happens in a truthful and
follow-up. At the time of writing, it is comprehensive manner.
unclear to what extent the community has The meaning of the BCP document will
made use of the BCP document. However, vary tremendously. It will not only depend
efforts are underway by LIFE Network on the community, but also pressures
Africa to revive the interaction and to use exerted upon them. If a community is
the existing work as a starting point for a living happily, they will find it difficult to
comprehensive project to conserve the Red understand the rationale for the BCP and
Maasai sheep breed. the process behind it. But this situation
changes once a community comes under
Conclusions pressure from outside.
Biocultural protocols are an extremely The Raika are experiencing a major
useful tool for making visible the connec- threat to their way of life. In recent months
tion between communities and their – while this article was written – they have
breeds – a connection that continues to been informed that their prime natural
remain invisible to outsiders, including offi- resource base, the Kumbhalgarh Wildlife
cials who are tasked with conserving Sanctuary, is being converted into a
animal genetic resources. BCPs provide the National Park. Among other documents,
foundation and an essential first step for in they are submitting the BCP as proof of
situ conservation projects for animal their legitimate claim to a role in the future
genetic resources. They make clear that the management of the park. So even though
ownership is with the communities. This is the benefits may not be immediately appar-
of great importance not just for conserva- ent, we believe that BCPs are an important
tion projects. In future, commercial tool for securing the assets of livestock-
interest in locally adapted breeds and their keeping communities in the long term.
 ● Biocultural community protocols: tools for securing the assets of livestock keepers 117

CONTACT DETAILS
Dr Ilse Köhler-Rollefson
Projects Coordinator
League for Pastoral Peoples and Endogenous
Livestock Development
Butibagh, Sadri 306702
District Pali, Rajasthan
India
Email: ilse@pastoralpeoples.org
Websites: www.ikrweb.wordpress.com
www.pastoralpeoples.org

Dr Abdul Raziq Kakar

President, Society of Animal, Veterinary and
Environmental Scientists (SAVES)
Applied animal scientist and freelance consultant
Kakar House, St. 7 Faisal Town
Brewery Road, Quetta
Pakistan
Email: raziq2007@gmail.com
Website: www.saves.org.pk
Our Pashtun BCP is available here:
www.saves.org.pk/pub/401.pdf

Dr Evelyn Mathias
League for Pastoral Peoples and Endogenous
Livestock Development
Müllenberg 5a
51515 Kürten
Germany
Email: evelyn@mamud.com
Websites: www.pastoralpeoples.org
www.mamud.com

Hanwant Singh Rathore

Director
Lokhit Pashu-Palak Sansthan (LPPS)
PO Box 1, Sadri 306702
District Pali
Rajasthan
India
Email: lpps@sify.com

Dr Jacob B. Wanyama
Coordinator
LIFE Network Africa Region
PO Box 38469
Nairobi 00623
Kenya
Email: jacob_wanyama@yahoo.com

REFERENCES
FAO (2007) Global plan of action on animal genetic resources. Food
and Agriculture Organization of the United Nations: Rome. Online:
www.fao.org/docrep/010/a1404e/a1404e00.htm
FAO (2009) ‘Livestock keepers: guardians of biodiversity.’ Animal
Production and Health Paper 167, Food and Agriculture
Organization of the United Nations: Rome.
118 65 Köhler-Rollefson, Kakar, Mathias, Singh Rathore and Wanyama

Köhler-Rollefson, I., P. Vivekanandan and H.S. Rathore (2010) ‘Livestock

keepers rights and biocultural protocols: tools for protecting
biodiversity and the livelihoods of the poor.’ LEISA India 12(1):35-36.
Lekimain, S.M. (2009) ‘A study of the Red Maasai sheep carried in Kirisia
and Loroki divisions of Samburu District.’ Unpublished report, LIFE
Africa Network: Nairobi.
Lenyasunya, P. and J. Wanyama (2009) ‘Background information on Red
Maasai and Samburu institutional structure for the development of a
biocultural protocol.’ Unpublished report, Life Africa Network:
Nairobi.
LIFE Network (2009) ‘Samburu biocultural feedback workshop draft
report.’ 17th December 2009. Unpublished report, LIFE Africa
Network: Nairobi.
 119

PART IV
Community
protocols and
FPIC: mining,
protected areas
and forest
partnerships
120 65
 121

10
Sacred groves versus
gold mines: biocultural
community protocols
in Ghana

by BERNARD GURI YANGMAADOME, DANIEL BANUOKU

FAABELANGNE, EMMANUEL KANCHEBE DERBILE,
WIM HIEMSTRA and BAS VERSCHUUREN

Introduction groves are enforced by the Tingandem, the

The Centre for Indigenous Knowledge and spiritual leaders who are regarded as the
Organizational Development (CIKOD) has true owners of land. They advise the Chief
been working with the Tanchara commu- and the Pognaa, the Chief ’s female coun-
nity in the Upper West Region of Ghana terpart.
since 2003.1 In 2004, an Australian mining In 2010, in response to these threats to
company, Azumah Resources Limited, was the sacred groves and water supplies – and
granted permission by the Ghanaian for the first time in their history – a united
government to prospect for gold in the group of ten Tingandem came together to
Upper West Region. The possibility of find- protest against the mining activities. This
ing gold attracted illegal miners to the area, article relates the events leading up to and
scarring the land and polluting the streams following this protest, including how, with
with toxic chemicals used for gold extrac- the help of CIKOD, the community was
tion. Their activities also threatened the mobilised to recognise and document its
sacred groves in Tanchara – green clusters institutions and assets, and work towards
of indigenous trees and shrubs revered as achieving its own development vision.
sacred lands. Sacred groves are important Building on this work, the community
sources of medicinal plants, and conserve developed a biocultural community proto-
soil and water supplies. Most importantly, col (BCP) as a tool to seek legal protection
they are home to the community’s ances- for its traditional knowledge and natural
tral spirits, and play a key role in the resources against the threat of gold mining
community’s spiritual life. Traditional regu- (Natural Justice, 2009). The article draws
lations for the protection of the sacred out lessons for others developing and using
1 CIKOD is a Ghanaian non-profit organisation. Board members include the Pro-Vice Chancellor
of University of Development, the President of the National House of Chiefs, a Former MP for
Nkoranza in the Brong Ahafo Region and a Queen Mother (traditional female leader) from
Mampong Akwapim. CIKOD is coordinator of the ETC COMPAS network in Africa.
122 65 Guri, Banuoko, Derbile, Hiemstra and Verschuuren

Photo: Bas Verschuuren, ETC COMPAS

Illegal gold mining affecting water streams.

BCPs to assert and defend community governance on the continent, needs to be

rights over natural resources. integrated into the development process,
whilst recognising that this may mean
Supporting endogenous development (ED) changing with the times to meet the chal-
CIKOD’s approach to working with the lenges of today: transparency, gender
Tanchara has been to help them strengthen equity, environmental conservation and
their capacity for ‘endogenous develop- empowerment of the poor.
ment’, that is development driven by
communities, building on their culture, A community organisational development
knowledge, resources and institutions. process
Strengthening community capacity is When CIKOD began working with the
complex and takes time because commu- Tanchara community, it facilitated a partic-
nities are diffuse, nebulous, social and ipatory process to enable the people to
cultural entities, with many diverse dimen- bring together information about their
sions and groups. CIKOD believes that local/indigenous resources and assets,
focusing on just one part of the community, create a vision of their own development
for example youth, women or traditional and develop action plans to achieve this
leaders, is likely to generate conflict vision, drawing on local/indigenous
because some parts of the community are resources and other relevant resources
excluded. Strengthening ED for the bene- from external sources. The steps in this
fit of the entire community means process are outlined in Box 1. A key part of
mobilising different interest groups, the the approach was to understand and work
traditional institutions and community- within the communities’ own worldviews,
based organisations (CBOs). Traditional which underpin daily life and influence
leadership, as an integral part of African interactions with outsiders and outside
society and one of the oldest institutions of knowledge systems (Box 2). Identifying the
 ● Sacred groves versus gold mines: biocultural community protocols in Ghana 123

communities’ key assets – biological, natu- Box 1: Community organisational

ral, cultural, social and spiritual – was also development process
an important prerequisite for community Preparation of CIKOD field staff: A staff retreat to
organisation and capacity building. This discuss attitudes and knowledge for promoting
information was gathered by members of endogenous development: how to work within the
the community (Box 1). worldviews of the community? (see Box 2). Staff
The process has been successful in identified challenges and proposed ways to address
them.
mobilising the community to work towards
Awareness-raising and gaining the consent of the
the vision they identified, and in enabling
Tanchara community: Meeting between CIKOD and
them to present their vision to external the Chief and elders to explain the approach, then a
actors (government officials and develop- community meeting to introduce CIKOD to the wider
ment organisations), and request support. community and gain prior informed consent (PIC).
Since 2004, community forums (durbars) Formation and preparation of the community
have been organised by the Chief every team: Five people selected by the community (two
women, three men). Discussion to identify
Easter and Christmas to review activities
indigenous institutions, traditional authorities,
and present projects to these external agen- formal institutions (e.g. NGOs) and livelihood assets
cies. Sons and daughters working outside used by different groups. Checklist of questions
the village have also been invited to developed in the local Dagara language.
contribute to the development of the Training the community team: Participatory rural
village. In 2007, field programmes were appraisal (PRA) tools introduced, including focus
agreed for revitalising sacred groves, group discussions, individual interviews, field
observations, transect walks and resource mapping.
strengthening traditional authorities (male The team role-played tools with the community,
and female), traditional crop varieties, receiving lots of feedback, then agreed a timetable
organic farming and zero tillage (see for visiting different sections of the community and
CIKOD, 2010).2 reporting back.
Carrying out the community institutions and
Monitoring the community’s capacity for resource mapping (CIRM): Five days gathering
information about the community’s institutions and
endogenous development biocultural resources. All ten Tanchara sections
In 2010 and 2011, community meetings visited, as well as the Tindana of each section, and
were held in Tanchara to reflect on how their the Paramount Tindana. Information gathered
capacities for endogenous development had collated with help from a staff member from the
changed since 2003, when CIKOD first University for Development Studies, and gaps in the
data identified. CIKOD staff recorded some resources
began working with the community (Figure identified on video.
1). Scores were agreed through community Reporting back: Information modified and verified
discussions with representatives of the at a community meeting. Report adopted as a
youth, women, traditional authorities, elders community document.
and Tingandem. The Chief ’s and Pognaa’s Community visioning: Community resource map
capacity to mobilise the community had developed, then discussion using the map. Where
both substantially strengthened due to the was our community 10 years ago? Where is our
community now? Where do we want our community
recognition gained through the organisa- to be in 10 years? Responses captured by CIKOD
tional development process. The women are staff and presented to the Tanchara community as a
now better organised to support each other vision statement.
and undertake farming as an economic Action planning: How do we use the resources
activity, and their role and voices are identified to make this vision come true? What
increased, heard and respected in commu- practical activities must we carry out? When do we
want to implement these activities? Who will do
nity meetings. Respect and understanding what and how do we ensure we carry out our
2 Zero tillage is a way of growing crops from year to year without responsibilities (community contract)? Development
disturbing the soil through tillage. It increases the amount of activities then prioritised and time-frame and
water and organic matter (nutrients) in the soil and decreases community contract developed.
erosion. See: http://en.wikipedia.org/wiki/No-till_farming
124 65 Guri, Banuoko, Derbile, Hiemstra and Verschuuren

Box 2: Learning about worldviews Box 3: Assets identified by the Tanchara

community members
Worldviews and concepts of life: The relationship
of mankind to nature and the spiritual world: • Biological assets: threatened tree species, crop
creation myths, the divine beings; the role of and animal species, medicinal herbs.
ancestors, sacred persons, animals, places and • Natural assets: clay deposits, natural water
objects; the concept of nature; and relationships of sources, raw materials for local crafts, natural sites
cause and effect. for water collection.
Indigenous institutions: How local institutions • Cultural assets: traditional architecture, local
regulate community decision-making, the crafts, traditional artefacts, indigenous technologies,
management of resources and experimentation traditional medicine in the community.
with new practices; understanding roles, • Social assets: festivals, health centres, educational
responsibilities and attitudes of indigenous facilities, social centres, markets.
institutions in experimentation and innovation • Spiritual assets: shrines, sacred groves, forests,
processes. tree, water points.
Indigenous practices and use of knowledge:
Important practices relating to the management of
natural resources, agriculture and health. What are
The mining threat and the community’s
concepts and explanations for the practices used by response
the local population? And how do they relate to In 2000 the Ghanaian government
western explanations and concepts? How do people granted rights to prospect for gold in
learn, teach, experiment, innovate? Nawdoli, Lawra and Jirapa districts in
Interaction: How do local or indigenous knowledge Upper West Ghana. The communities in
systems interact with outside sources of these areas were not informed or involved
knowledge? What is the focus of education,
research and extension, religion and health? in this decision. Nor were NGOs such as
CIKOD, who were working with the
Changes in the worldviews of the local
communities: Identify changes that are the result of communities. The rights that were granted
external influences and changes that are a result of encouraged illegal gold prospecting from
internal adjustments to ecological, technological, 2007, threatening the Tanchara’s sacred
commercial, political or demographic change. To groves. Naa Yaa-yin Niber, a traditional
what extent is experimentation and learning
leader of Tanchara relates what happened
influenced by, or mixed with, the western
worldview? What are the contradictions or tensions: next:
erosion of indigenous knowledge and indigenous
institutions, creative adaptation, conflicts or parallel Our main concern [was] a mining
systems, underground knowledge? company that [was] about to enter our
Options that exist for endogenous development community. I called a community
of local communities: What is the vision of success meeting, so everybody would know about
in terms of desired changes for ED? What are key
capacities for revitalised ED? What strategies, tools this mining issue. These days nobody
and techniques can strengthen community capacity wants to look like a fool, so I gathered my
for ED? people together and now we are united and
Source: Edited version of ‘Appreciating the ready to prevent future problems.
diversity of worldviews’, pp. 81-107, in: Learning
Endogenous Development, Practical Action (2007).
Online: www.compasnet.org The Tingandem formulated a state-
ment protesting about the activities of the
of the importance of biodiversity, the sacred illegal miners and asking the government
groves and the Tingandem who guard the to safeguard their sacred groves and sites
groves has also substantially increased. This from both legal and illegal mining. All the
growing capacity and confidence of the Tingandem appended their thumb prints
community in its ability to mobilise and on this paper and asked CIKOD to send
negotiate with external agents was to prove this to the appropriate authorities for their
vital when faced with the threat of gold attention and action. CIKOD responded by
mining on its land. facilitating discussions in the community,
 ● Sacred groves versus gold mines: biocultural community protocols in Ghana 125

Photo: CIKOD

Tanchara community meeting to discuss gold mining and the BCP.

Figure 1: Tanchara community self-assessment of changes in capacity, comparing 2003

and 2010

1 = dormant; 2 = sprouting; 3 = growing; 4 = well-developed; 5 = fully mature, ultimate vision of success

(comparing to the development of a tree, from seed to a mature, fruit-bearing tree).
126 65 Guri, Banuoko, Derbile, Hiemstra and Verschuuren

Photo: Peter Lowe

Naa Yaa-yin Niber and his council of elders.

in which it was agreed that the Chief and potential effects of their activities on
should approach the Paramount Chief to communities.
discuss the gold mining problem. CIKOD Whilst all of this was happening, work
undertook to do a study (in May and June was also going on to raise public awareness
2010) of the impact of gold mining on the on the issue. A weekly local radio
well-being of the communities.3 The study programme enabled community members
was discussed at an advocacy and valida- to call in and voice their concerns. This had
tion workshop in June 2010, attended by a serious impact on the gold mining
the chiefs, the district assemblies and company, which was unhappy with the
CIKOD. The district assemblies became negative publicity it was receiving.
involved because the gold mining threat is
likely to affect the whole of northern Developing a biocultural community
Ghana. protocol
Following the workshop, a regional CIKOD also introduced the idea of devel-
forum on gold mining (July 2010) was oping a biocultural community protocol
organised by CIKOD, the district assem- (BCP) as a tool for the Tanchara to negoti-
blies and the Upper West regional house of ate with external parties and assert their
chiefs. The purpose of the forum was to rights. BCPs are tools to address conflicts
assess the impact and agree on a joint state- facing communities and external users of
ment to highlight strategies to deal with the the same area that share and use genetic
situation. For the first time, the country and natural resources and associated tradi-
representative of Azumah Resources tional knowledge. A first draft of the BCP
Limited, the gold mining company, also was drafted in April 2011 by a Canadian
participated. At the end of the forum a joint intern working for CIKOD. This drew on
communiqué was issued, demanding that information gathered during the ongoing
Azumah listen to communities, and calling community development work, including
for a public hearing to consider the current mapping of the sacred groves, wetlands
3 This was funded by the Natural Resource and Environment Governance (NREG) programme
of the Dutch embassy in Ghana.
 ● Sacred groves versus gold mines: biocultural community protocols in Ghana 127

and burial grounds, and traditional deci- customary laws have been revitalised
sion-making structures. The draft was then during this process, it is important to eval-
discussed with community groups – men, uate these laws and practices, and educate
women, elders, youth and traditional lead- the community where these fall outside
ers – to ensure that all parts of the national laws or are detrimental to some
community had a say. The draft docu- sections of the community. In this case, this
mented the community’s cultural values, was part of the work of the lawyer from
vision for endogenous development, CHRAJ. For the process to be valid, it is
customary rights and responsibilities, and critical to gather the views of all members
institutions and processes for PIC. of the community, not just the elders.
Currently (end 2011), the ‘gold mining Documentation of the community’s
BCP’ needs completion with information cultural resources and biodiversity by the
on legal rights. CIKOD has begun working community has been key to the community
with the Commission on Human Rights re-valuing these resources, which they had
and Administrative Justice (CHRAJ) in previously taken for granted, and has high-
Ghana to document community rights lighted the communities’ role as stewards
according to customary laws and interna- of biodiversity.
tional/national laws, so that this can be Whilst an internally focused commu-
included in the BCP. The anticipated legal nity organisation process involving
recognition of customary laws in Ghana, as research and visioning is essential for
promoted by the Convention on Biological developing a BCP, the involvement or
Diversity (CBD) Nagoya Protocol (Article endorsement of local and national govern-
12), will be a significant boost in the ment is also needed if it is to be a strong
Tanchara’s efforts to assert their rights. tool for legal empowerment. The Tanchara
After its completion, the protocol will be community has been very successful in
signed by the Chief, the Pognaa and the enlisting the support of local government
Tingandem, and hopefully by the District structures and including all stakeholders
Chief Executive and Paramount chief. in the process of mobilising and challeng-
Following the communities’ protests, ing the gold mining company from the very
gold mining by Azumah Resources has beginning.
been postponed to 2013. This is a very The main challenges encountered in
significant achievement for the Tanchara the BCP development process included:
community. • There is currently no legal backing in
Ghana for customary laws and BCPs.
Lesson and challenges • Customary laws are not obeyed by the
The community strength developed youth because of western religion and
through the community organisational education.
development process laid the foundations • The community had no information on
for the development of the BCP. Taking district assembly bylaws, national laws and
endogenous development seriously means international agreements that Ghana had
going at the pace of the community, espe- signed in relation to community rights. (As
cially the elders, and ensuring that noted earlier, CIKOD has brought in legal
traditional authorities are aware of their expertise to tackle this problem.)
developmental roles and are accountable • The community is still unclear about the
to the community. It is known that the gold importance of having a written BCP docu-
mining company has tried to bribe other ment for negotiation with other
chiefs, bypassing the broader community’s stakeholders. This is because the BCP as it
views and consent. stands is not a legally binding instrument;
Whilst traditional authorities and it depends on the goodwill of the stake-
128 65 Guri, Banuoko, Derbile, Hiemstra and Verschuuren

Photo: Natural Justice

A ‘rich picture’ in which Bernard Guri of CIKOD explains how the biocultural community protocol is expected to
contribute to sustainable community well-being.

holders. To address this challenge, CIKOD ties to finalise the Tanchara BCP. Other
has introduced the concept of stakeholder potentially affected communities in north-
platforms. As part of the BCP development ern Ghana will also be able develop BCPs
process, research is being carried out by the much more easily and quickly as relevant
University for Development Studies to laws and bylaws will already have been
identify the various stakeholders and their clarified. These communities will also need
interests in gold mining in the community a community development process.
and to promote dialogue for acceptance of CIKOD is already using the same BCP tool
the demands in the BCP. This, it is hoped, to defend the rights of female sheanut pick-
will increase the credibility of the BCP and ers in their dealings with commercial
encourage stakeholder compliance with buyers. It will build on the lessons learnt in
the demands in the BCP, even though the the Tanchara BCP process.
BCP is not legally binding. From November 2011–September
Despite these challenges, the commu- 2012, a new action research programme
nity has undoubtedly developed confidence around BCP work in Ghana and Kenya will
and skills as a result of developing the BCP, apply specific methodologies and tools for
but it is unclear if in future they will be fully analysing power dynamics in multi-stake-
able to negotiate on their own with a BCP holder processes (see Tips for Trainers, this
document without external support. issue). Local researchers will investigate
Although BCPs do not yet have legal recog- how BCPs are empowering communities
nition in Ghana, they can still be powerful to negotiate their rights. They will look at
negotiating tools if they are recognised by ways of levelling out power and reconcil-
all the relevant stakeholders. ing different interests. The outcomes of this
research will then feed into other BCP
Ways forward processes.
The postponement of gold mining to 2013 In addition to this, CIKOD will be
gives time for CIKOD and the communi- working with the community on develop-
 ● Sacred groves versus gold mines: biocultural community protocols in Ghana 129

ing a community strategy for the conserva- the Convention on Biological Diversity
tion of the sacred groves in partnership 2004).
with the Sacred Natural Sites Initiative. The conservation planning process
The Tindangem, traditional leaders and itself is based on the communities’ own
the communities’ youth will be making biocultural resources and will lead to a
field exchange visits to other communities locally relevant conservation strategy.
in Ghana that have successfully managed Together with CIKOD, the community will
to protect their sacred groves. The process seek all information required in order to
of developing a community strategy for the create an endogenous and informed plan-
conservation of their sacred groves and ning process which may potentially also
resources has put into practice the commu- include new allies and stakeholders that
nities’ traditional knowledge and practices support the conservation strategy. The
that are also part of their BCP. As the envisioned outcome of this process is not
community will be developing its own just the conservation of the sacred groves
conservation strategy for its sacred groves but also to support the sustainable use of
and biocultural heritage it will also be alert- the community’s natural resources together
ing the mining company and government with other actors. The latter can be
actors to the international guidelines of the achieved through developing socio-
CBD, UNESCO and IUCN, specifically economic activities that form alternatives
designed to assist external companies and to mining such sheanut harvesting, attract-
institutions to work with sacred places ing eco-tourism and creating productive
(Wild and McLeod, 2008; Secretariat of buffer zones around the groves.

CONTACT DETAILS
Bernard Guri Yangmaadome
Executive Director
CIKOD
PO Box CT4131
Accra
Ghana
Email: benguri@cikod.org,
bernguri@gmail.com
Website: www.cikod.org

Daniel Banuoku Faabelangne

Regional Coordinator
CIKOD
PO Box CT4131
Cantonments Accra
Ghana
Tel: +233 208332241
Email: fdanus@yahoo.com
Website: www.cikod.org

Emmanuel Kanchebe Derbile

Lecturer
Faculty of Planning and Land Management
University for Development Studies
UPW3, Wa Campus, Wa, UWR
Ghana
Tel: +233 244516896
Email: derbile_uds@hotmail.com
4 See: http://sacrednaturalsites.org
130 65 Guri, Banuoko, Derbile, Hiemstra and Verschuuren

Wim Hiemstra
ETC COMPAS: Comparing and Supporting
Endogenous Development
The Netherlands
Email: w.hiemstra@etcnl.nl
Website: www.compasnet.org

Bas Verschuuren
Co-Chair, IUCN WCPA Specialist Group
Cultural and Spiritual Values of Protected Areas
Researcher and Coordinator, EarthCollective
Website: www.earthcollective.net
Coordinator, Sacred Natural Sites initiative
Website: www.sacrednaturalsites.org
Email: basverschuuren@gmail.com

REFERENCES
CIKOD (2010) Study on traditional women leadership (Pognamene /
Haala-Kuoros) in three districts in Upper West Region in Ghana.
CIKOD (2010) ‘Ghanaian communities protects sacred groves from
mining.’ Online case study: www.sacrednaturalsites.org/sites
Guri, B. and D. Banuouku (no date) ‘Process for engaging in a win-win
scenario for gold mining in Upper West Region of Ghana.’ Report to
KASA, Netherlands Embassy Accra, Ghana.
ETC COMPAS (2007) Learning endogenous development. Practical
Action. Online: www.compasnet.org/blog/?page_id=386
Lowe, P. (2010) Tanchara. Video produced on traditional male and
female leaders in Tanchara, Ghana. See: www.cikod.org, Peter Lowe
Photos.
Natural Justice (2009) Bio-cultural community protocols: a community
approach to ensuring the integrity of environmental law and policy.
Compiled by Natural Justice with support from UNEP Division for
Environment, Law and Conventions: Nairobi, Kenya.
Practical Action ( 2007) ‘Appreciating the diversity of worldviews.’ In:
Learning Endogenous Development. Online:
www.compasnet.org/blog/?page_id=386
Wild, R. and C. McLeod (2008) ‘Sacred natural sites: guidelines for
protected area managers.’ Best Practice Protected Area Guidelines
16. IUCN and UNESCO: Gland, Switzerland.
Secretariat of the Convention on Biological Diversity (2004) ‘Akwé: Kon
voluntary guidelines for the conduct of cultural, environmental and
social impact assessment regarding developments proposed to take
place on, or which are likely to impact on, sacred sites and on lands
and waters traditionally occupied or used by indigenous and local
communities.’ CBD Guidelines Series: Montreal.
 131

11
Defending our
territory: the
biocultural community
protocol of Alto San
Juan, Colombia

by TATIANA LÓPEZ PIEDRAHITA and CARLOS HEILER MOSQUERA

Introduction part of the larger inter-community organ-

The biocultural community protocol (BCP) isational structure of ASOCASAN, the Alto
of the collective territory of Alto San Juan San Juan Community Council. Under Law
was developed to strengthen the commu- 70 of 1993, this council is the highest
nities’ collective rights and to formally autonomous internal administration body
recognise the cultural practices which in the Upper Basin of the San Juan River,
contribute to maintaining biodiversity in and it is one which upholds the perma-
the region. The territory is an historic and nence of the local culture.
ancestral settlement of Afro-Colombian Representatives from different localities
communities who practice traditional participated in developing the BCP. They
production practices for collective use. The agreed that illegal mining and the extrac-
protocol reflects the communities’ holistic tion of natural resources in the community
concept of territory and their relationship forests were major concerns. They also
with natural resources. It documents the identified cultural practices that help
environmental issues that the community reduce the loss of habitats, and proposed
perceives to be of importance. synergies with key State institutions as a
The collective territory covers an area basis for relating with them during the
of 54,517ha and 4,625m2, and is located in implementation of development projects
the municipalities of Tado and Rio Iró in and research in the territory.
the Choco bioregion of Colombia. It is A challenge for local processes is iden-
home to 30 communities who have their tifying cultural mechanisms to mitigate
own culture, a shared history and their own problems caused by external agencies, as
traditions and customs which demonstrate well as expressing values that the commu-
and maintain an identity that distinguishes nity wishes to be considered for its
them from other ethnic groups. The local development. This article shows the
communities elect a representative who is actions taken by the Alto San Juan commu-
132 65 Tatiana López Piedrahita and Carlos Heiler Mosquera

Photo: Gino Cocchiaro

The impacts of mechanised illegal mining.

nity to build a tool that articulates guide- is based on the extraction of mineral and
lines to ensure that any activity contributes natural resources. By 2010, the State
to the community’s own development awarded 7,397 titles for open-cast mining
model, and where the relationship between in the Colombian Choco bio-geographic
natural resources, culture, community and region, amounting to 844,000ha. Another
external actors constitutes the fundamen- 22,000ha were affected by illegal mining
tal pillars of management. In the words of by armed groups operating outside the law,
Wilson Murillo, Chairman of the Board of causing a loss of forest resources, drastic
ASOCASAN: changes in land use and pollution of water
sources. This also led to changes in the
In the collective territory, the afro-descen- community’s cultural values, through offers
dant communities practice traditional of financial payments to diggers for gold
methods of production which sustain this mining, and enticing young people to
generation and those to come. abandon their studies and values to work in
the mines in inadequate conditions. It also
Territorial threats brought new local markets for food that
The collective land has rich flora, fauna and have led to a decline in traditional produc-
mineral resources which the community tion practices.
depends on it for its livelihood – directly Even though the State granted the right
(hunting, small farming, fishing, mining) to collective ownership of the ASOCASAN
– and indirectly (use of non-timber forest territory, these rights are still being
products and sale of surplus).1 violated.2 This is partly because the law for
However, there are external pressures black communities is not fully regulated
on and around the territory. Colombia’s through proper implementing regulations,
national development policy (2010-2014) due to the growth in illegal extraction activ-
1 Law 70 of 1993 recognises the traditional production practices and the right to collective
ownership by black communities who have been occupying uncultivated land in rural áreas
adjoining the rivers of the Pacific Rim.
2 INCORA Resolution 2727 of 27th December 2001.
 ● Defending our territory: the biocultural community protocol of Alto San Juan, Colombia 133

Photo: Johanna von Braun

Mechanised illegal mining causes a loss of forest resources, drastic changes in land use and pollution of water
sources.

ities and development projects that are system, which enhances the well-being of
unaware that the local internal manage- ecosystems. The rate of extraction of natu-
ment structure is a legal entity. The ral resources favours natural dynamics,
problems are exacerbated when the State taking into consideration different soils
does not facilitate the monitoring of illegal and species, and the timing and patterns of
mining activities which lead to the progres- extraction. Traditional mining of alluvial
sive degradation of natural resources. In gold is a comprehensive cultural produc-
addition, the process of consultation is not tion system that encourages family and
properly conducted before development collective work, the recovery of soil struc-
projects are implemented, and when ture and the regeneration of vegetation
consultations are done, they have no agree- cover. It also promotes food crops by avoid-
ments and are not binding. ing metal contaminants.
Also, the traditional practices that To maintain these traditional tech-
promote cultural and biological diversity niques, ensure sustainable production and
are not sufficiently recognised by actors prevent habitat degradation, traditional
from outside the territory. This hampers mining families developed a community
the recognition of land rights; and the cooperative – Ore Verde (Green Gold). This
community lacks confidence in cultural promotes diverse production activities,
safeguards when faced with major devel- responsibility for environmental issues,
opment projects or big businesses. sustainable use of natural resources,
market access at fair prices, the strength-
Community practices ening of endogenous development models
The traditional production practices of the and capacity building. 3 It sets out ten
Alto San Juan community constitute an criteria for the cultural values associated
integrated management and production with mining, including the distribution of
3 Local development refers to the concept of endogenous development, a model that helps
to strengthen the internal capacity of the local community to strengthen their culture and
economy and maintain them over time.
134 65 Tatiana López Piedrahita and Carlos Heiler Mosquera

Photo: Tatiana López

Working day in artisanal mining. ‘Los socios del cerro’ mine, Luis Américo Mosquera.

benefits.4 This community process was reality and help strengthen our traditions
certified by the Alliance for Responsible and processes.
Mining (ARM) as fairtrade and fairmined
gold, due to its environmentally friendly
process. The biocultural community protocol
Traditional mining is an example of The Alto San Juan BCP is a management
sustainable local development and is linked tool put together by the community. It
with traditional use and knowledge related encapsulates the ancestral nature of its
to all aspects of biodiversity (flora, fauna, occupation by the Afro-Pacific communi-
soil, lunar calendar, among others). Mining ties, who have achieved a harmonious
is a big priority as far as the government of coexistence with other indigenous groups
Colombia is concerned, but other produc- in the region, coming to an agreement on
tive systems and cultural mechanisms the territorial limits of each ethnic group
which are important for endogenous devel- and on access to resources for hunting and
opment processes must be recognised and forest extraction.
considered when actions are planned and The protocol expresses the commu-
implemented in the territory. As Carlos H. nity’s values and its relationship with
Mosquera, co-author of this article, resi- natural resources. It proposes guidelines
dent of the Playa de Oro area and for dialogue with external actors to
representative of ASOCASAN says: develop appropriate processes, setting out
its commitments to the environment and
We will continue to talk about local devel- to future generations.
opment so that outsiders understand our To outsiders, the protocol communi-
4
See: www.greengold-oroverde.org/loved_gold/
 ● Defending our territory: the biocultural community protocol of Alto San Juan, Colombia 135

Photos: Tatiana López

Recovery of degraded areas by artisanal mining.

cates the fact that community territorial

planning, ancestral practices and the
rights granted by law in relation to natural
resource management should be recog-
nised in development proposals,
municipal planning processes and
national policies, and in the State admin-
istrative office, so that the community can
participate in decisions that affect its way
of life.
The Alto San Juan BCP is also part of a
regional process by black communities
which promotes the recognition of the
collective rights of ethnic communities in
the territories; and counters any large-
scale intervention processes which do not
take the natural and cultural characteris-
tics of the region into consideration. As
defined by Wilson Murillo:

The territory is a life strategy for the

defence of life, autonomy and cultural
identity.
136 65 Tatiana López Piedrahita and Carlos Heiler Mosquera

Photo: Carlos Ariel

Methodological process to identify problems associated with resource use.

Photo: Tatiana López

The BCP contributes to this process
and requires community management to
achieve its positioning as a management
tool for ASOCASAN.

Methodology
The development of the methodology began
in August 2010. The document was dissem-
inated in December 2010 and its revision
finalised in April 2011. Participatory
research was the methodological framework
as it is a social process that contributes to
processes of self-development that are
continuous and dynamic. It entails a series
Prioritising issues associated with the use of
of stages: research, analysis/diagnosis, resources.
programming, implementation and evalua-
tion. These can be divided for ease of entities and open spaces for participation in
reporting but in practice often occur simul- government territorial planning processes.
taneously. The Pacific Institute of To identify issues and content of the
Environmental Research (IIAP) has carried BCP, two methodological components
out community strengthening initiatives in were used with different representatives of
the region to ensure continuous processes the communities to ensure representation
by communities. The BCP process identified of the largest number of community inter-
the need to make links with government ests. One focused on Natural Justice’s
 ● Defending our territory: the biocultural community protocol of Alto San Juan, Colombia 137

Table 1: Summary of perceived problems

Resource Traditional Significance Problem
system

Gold, Artisanal Cultural and • Artisanal mining is not properly recognised nor
platinum mining economic regulated in the national regulatory framework.
• The national mining regulations violate local dynamics
as control mechanisms for the implementation and
operation of mining companies are not applied rigorously.
• Exploitative techniques of large-scale commercial
mining companies infringe the ecosystem and social
arrangements of the community, generating loss and
changes in natural and cultural values of the population
without generating compensating actions or sanctions.

Medicine, Traditional Social, cultural, • Traditional knowledge is not valued and is only noticed
use of knowledge spiritual when the knowledge is lost, when holders of knowledge
renewable die and do not leave a legacy.
resources • We need more research on traditional knowledge
associated with our festivals, development of tools and
instruments and crafts, these investigations must be
made known to promote the well-being of the
community.
• In the past, researchers come to work and take the
knowledge and information without ever returning to
show the community the results of their work.
• The investigations do not respond to our needs, ideas
are brought from outside, the research benefits people
outside the community territory of Upper San Juan.

Timber, Forest Cultural, • There is a need for internal regulation of commercial use
sustainable management economic and logging. Interests of the timber trade and the arrival
and non- of outsiders violates community dynamics, generates loss
sustainable of our forests and does not consider management to
restore our territory.
• Insufficient alternatives for forest income-generation
that promote forest conservation, and make visible the
cultural values associated with it.

experience in protocol development in which are most affected, and subsequently

different countries.5 This guided the iden- identifying possible solutions and actions.
tification of problems relating to certain Three workshops were organised, and
resources, and cultural mechanisms, tradi- field interviews were carried out with arti-
tional norms and values which promote sanal miners in their working location. The
conservation. National and international workshops were attended by representa-
rights were also linked to the community tives of the communities of Carmelo, Playa
claims. The other component focused on de Oro, Angostura, Manungará, el Tabor,
the stages of intervention processes for and the ASOCASAN community council.
endogenous community development. In Participants included young people,
this particular case, this referred to under- women and men, among which were tradi-
standing the community’s perceptions of tional miners, farmers, traditional doctors
their reality, the problems that require early and teachers. This allowed a better repre-
intervention and particular scenarios sentation of all community interests and
5 See Natural Justice (2010).
138 65 Tatiana López Piedrahita and Carlos Heiler Mosquera

different perceptions of the issues. The language – to provide a reference during

interviews were carried out by IIAP, but all dialogue with external actors. The text was
activities were accompanied by an adjusted by representatives of the major
ASOCASAN representative. council to ensure that the language was
IIAP disseminated and agreed the easily understood by the community.
proposal with the ASOCASAN major coun- The document was approved at a
cil (the individual community councils are general assembly held by the community
‘minor’ councils). Once validated, the as an internal document for the major
methodological activities were developed in council, to be adjusted according to the
three general stages, in which the same communities’ own laws and in light of
group of people were continuously involved: changes in national law. This ended the
• Dissemination of the idea: initial formulation stage. As a first management
exchange with the community to under- step, it was proposed that the BCP be
stand their perceptions of environmental promoted to regional planning bodies and
problems and their expectations for the to the government environmental agency
development of the BCP. to generate synergies with key players in
• Defining, using questions, issues relating the territory as part of a new process.
to the community and its relationship with
natural resources, problems and chal- Lessons learnt
lenges. In this way, the most important The main lesson from the formulation
resources are identified. process was that the existence of an organ-
• Identifying the main problems perceived isational structure like ASOCASAN, which
(pre-diagnosis). Facilitated by IIAP and links all communities in the area, facilitates
Natural Justice, the community defined the the stages of dialogue, diagnosis, the
most important resources, associated tradi- formulation of alternatives and follow-up
tional systems and problems (Table 1). actions. ASOCASAN not only links socio-
With this information and with the economic welfare with food security,
community and the support of working to improve living conditions in
ASOCASAN, the content and structure of harmony with nature – it also strengthens
the BCP were jointly defined. the communities’ identity and autonomy.
The official participation of State repre-
Drafting, development and dissemination sentatives from the land planning and
of the final document environmental departments is essential for
Activities in this phase involved integrat- the impact of the BCP, since this generates
ing various legal frameworks with the initial processes of dialogue that can then
aspirations that the community expressed become instances of community participa-
in the workshops. This process was refined tion in planning processes. Such
through consultations with community participation is important to link commu-
leaders. The final result was shared with nity exercises of land use planning and
community representatives. natural resource management to munici-
The structure of the BCP and the asso- pal budget planning, so that municipal
ciated national policy frameworks (Table budgeting supports community initiatives
2) were arranged into two parts. The first and strengthens local processes.
expressed issues relating to the community The methodology for these types of BCP
and land in a language that reflected the processes is varied and can be adapted to
local culture of the community. The second the specific context of each community.
presented specific frameworks and case There is no single formula, only guidelines
laws which support the rights and claims for developing these community processes.
of the community in a more technical In planning BCP processes it is crucial to
 ● Defending our territory: the biocultural community protocol of Alto San Juan, Colombia 139

Table 2: Content of the ASOCASAN biocultural community protocol

Topics National legal framework

History of the community (where we come from, historical

processes of occupation)
Law 70 of 1993
Definition of the community (who we are), how the
community defines itself

Governance structure (ASOCASAN) Decree 1745 of 1995

Our relationship with the land and natural resources Political constitution of Colombia
Law 70 of 1993
Law 99 of 1993
Decree 1745 of 1995
Resolution of ASOCASAN

Our relationship with the mining resource Law 70 of 1993

National code of mining

How we use forest resources Decree 2811 of 1974

Traditional medicine (traditional knowledge) Decree 309 of 2000

Challenges (final provisions)

Commitments

Our expectations for the future

consider flexible timeframes since some the sufficient generation of capacity in the
stages may require more time than community so that the community could
expected. The drafting process can be as take on these tasks themselves. This was
time-consuming as the diagnosis stage. It is due to the set timeframe for the project in
important to use simple language, but not the donor contract (nine months).
to use too many local phrases that make it However, the continual participation of
difficult for outsiders to understand. representatives of ASOCASAN generated
A BCP should not be the ultimate goal, ownership of the content and usefulness of
but rather should be part of a community the BCP, an aspect that is crucial for nego-
management process which links commu- tiation processes for activities affecting the
nity efforts to a specific purpose. BCPs territory.
should be linked to other management Regarding impact, being a new
tools to help local processes. ASOCASAN management tool, the BCP does not have
currently has internal regulations for the any political positioning, due to a lack of
use and exploitation of natural resources or awareness of its potential. This means that
regulations regulating community activi- more must be done to give it greater recog-
ties which, along with the BCP, contribute nition and to raise awareness among the
to the internal management of the territory. environmental and municipal authorities
The methodological activities (e.g. of the importance of this type of commu-
interviews) were mainly carried out by the nity process.
organisations supporting the process (IIAP As a community instrument, commu-
and Natural Justice) and although commu- nity protocols face barriers such as
nication was constant, time did not permit economic interests of unions (miners,
140 65 Tatiana López Piedrahita and Carlos Heiler Mosquera

loggers) and political constraints (limited

State capacity to ensure rights are
respected, and regulatory frameworks
which are inadequate or ambiguous),
which hinder their subsequent implemen-
tation. It is therefore recommended to
consider a phase of follow-up to the devel-
opment of a BCP, until the issue is well
positioned in government, or perhaps to
start a region-wide process to support these
initiatives to enhance their influence.

CONTACT DETAILS
Tatiana López Piedrahita
Consultant
Instituto de Investigaciones Ambientales del
Pacifico (IIAP)/Pacific Institute of Environmental
Research
Cra 83 cll 34 conjunto M Casa #36
Ciudadela Comfandi
Colombia
Email: taticologa@gmail.com
Website: www.iiap.org.co

Carlos Heiler Mosquera

Representative from the Board of Directors
Community Council of Alto San Juan
(ASOCASAN)
Cra 9 ª N° 4-46
Barrio Reinaldo Perea-Casa de la Justicia
Colombia
Email: mcarlosheiler@yahoo.com.

NOTES
The authors would like to thank Johanna von Braun for her inspiration
and support.

REFERENCES
Borda Niño, C.A. and D.J. Mejía Montalvo (2006) ‘Political participation
and poverty in Colombian indigenous communities: the case of the
Zenú and Mokaná peoples.’ In: Release: indigenous peoples and
poverty: multi-disciplinary approaches. CLACSO-CROP Programme,
Buenos Aires, Argentina.
Cardenas, J.C., D.L Maya and M.C. López (2003) Experimental and
participatory methods for analysis of collective action and
cooperation in the use of natural resources by rural communities.
Rural Development Paper 50.
Castellanos, O. and C. Martinez (2002) ‘Conceptual foundations and
choice of research methodologies.’ Bogota 15:24.
Dieguez, J. A. (2002) ‘Three models of community intervention.’ In: K.
Lewin, S. Alinsky and O. Flas Borda (Eds) Social work and social
sciences daily: electronic edition 27.
Gomez, R.A. (2009) ‘Participation, fundamental category for
community self-development: experience and reflections.’
Innovation Tecnologica. 15: 4.
Natural Justice (2010) ‘How biocultural community protocols can
empower local communities.’ Endogenous development magazine 6.
 141

12
Creating the Ulu
Papar biocultural
community protocol

by THERESIA JOHN, PATRICIA JOHN, LOUIS BUGIAD and

AGNES LEE AGAMA

Background

Photo: Yassin Miki

Ulu Papar is a remote place in Borneo,
located at the uppermost reaches of the
Papar River in the District of Penampang,
Sabah, Malaysia. The landscape is inhab-
ited by about 1000 indigenous Dusun
people, in nine small settlements. The
natural environment is the source of their
food, crafts, medicine, construction mate-
rials, recreation, cultural heritage, history
and identity. Having managed their forests
communally according to customary prac-
tices for generations, the community has a Panorama of Buayan village in the Ulu Papar valley.
rich and deep cultural and ecological
knowledge. of tenure security, conflicts with State-
In 2010, the people of Ulu Papar came driven conservation and destructive
together to create a biocultural community development.1
protocol (BCP) – a document articulating
the interests, rights and responsibilities of Background on land, resource and
the Ulu Papar community in the preserva- conservation in Ulu Papar
tion, management and utilisation of their Indigenous Dusun people have inhabited
territories and culture. The idea for the Ulu the Ulu Papar landscape for generations.
Papar protocol developed out of commu- Oral histories affirm their presence since
nity concerns over three main issues: lack colonial times. Almost all villages have no
1 The BCP process was initiated as part of activities under the Darwin Initiative projects in Ulu
Papar, with the assistance of Natural Justice.
142 65 Theresia John, Patricia John, Louis Bugiad and Agnes Lee Agama

Map of Ulu Papar showing location of villages in relation to the Crocker Range Park (CRP) boundary.

road access, and the rugged and hilly swidden farming, hunting, freshwater fish-
terrain makes Ulu Papar a remote and ing and gathering forest products, which
difficult area to reach. Community have always been carried out within the
members consider this area to be their park’s boundaries, were considered ‘unlaw-
ancestral lands and depend almost entirely ful’, generating a bitter, 20-year conflict.
on the surrounding natural resources and Excision of customary lands from within
landscapes for survival. the park was once considered but given the
Loss of customary lands in Ulu Papar substantial area involved, it was felt that
began after Malaysia was formed in 1963 such an exercise would significantly impact
with the gazettement of the Crocker Range on the conservation of biodiversity and
Forest Reserve in 1969, followed by its ecosystems of the Crocker Range Park
conversion to the Crocker Range Park (Sabah Parks, 2006). As an interim meas-
(CRP) in 1984. The remaining customary ure, in 2006 the CRP Management Plan
lands – a narrow strip along the Ulu Papar introduced the concept of community use
valley – were classified as alienable State zones (CUZs), designated areas inside the
Land. The Ulu Papar community has not park where communities will be permitted
been granted legal title over their custom- to access and use resources and lands (with
ary lands, for reasons not explained by the certain limitations) as a compromise to
authorities. soften the conflict between the community
Conflicts surfaced when a large portion and the park, with a view to exploring a
of Ulu Papar’s customary lands were incor- mutually agreeable resolution in the longer
porated into the Crocker Range Park in term (Sabah Parks, 2006). Although this
1984 without the community’s participa- granted certain rights (on paper) to the
tion or consent. Many people’s daily people of Ulu Papar, many were not satis-
livelihood activities, such as subsistence fied. CUZs would not confer the
 ● Creating the Ulu Papar biocultural community protocol 143

tially impacting over 400 villages on the

Photo: Noah Jackson

park periphery, the CRBR is still at a

conceptual phase and community consul-
tations are still preliminary.
Then in 2009, the Sabah State Govern-
ment announced plans to build the
Kaiduan Dam, to supply water to the capi-
tal. The project would impound 320ha of
Ulu Papar as a catchment area and
submerge the villages of Timpayasa, Tiku,
Buayan and Babagon Laut (adjacent to Ulu
Papar). The project met with public
Agriculture, a key livelihood for the UP community, is outrage when it claimed the Ulu Papar
limited due to access restrictions to traditional valley was uninhabited. Although the plans
agriculture sites.
pose immediate and obvious contradic-
community with legal tenure of customary tions to the government’s plans to
lands inside the park, and it was unclear nominate the CRBR, the status of the dam
whether the CUZ areas could support their project remains unknown. The Ulu Papar
livelihood needs (Pacos, 2004). community vehemently oppose the dam.
In 2009, the Sabah Government began However, their complete lack of tenure
the process to nominate the Crocker Range security means they have no legal founda-
Biosphere Reserve (CRBR), which is a tion for rejecting the proposed dam.
designation under UNESCO’s Man and the
Biosphere Programme.2 The CRBR would Collaborative research in Ulu Papar
adopt the entire Crocker Range Park In 2004, spurred by interest in Sabah Parks
(1,400 km 2) as the core zone for strict to find innovative solutions to the Ulu
conservation. Areas adjacent to the bound- Papar conflict, a consortium of partners
ary would form the buffer zone, where initiated a joint research project to investi-
limited activities would be permitted.3 A gate and document resource use patterns
transition zone would encircle the buffer in Ulu Papar. 4 A participatory action
zone, where conservation activities and research approach was designed to build
mixed development, such as housing and the capacity of indigenous community
commercial estates, roads and infrastruc- researchers to document the key ethnobio-
ture, would be permitted. Ulu Papar falls logical resources important for community
under both buffer and transition zones, livelihoods and jointly monitor how they
while the CUZ would be implemented as are used, managed and protected by the
an exemption within the core zone. Poten- community (GDF, 2009). 5 The term
2 The UNESCO Man and the Biosphere (MAB) Programme aims to set a scientific basis for the
improvement of the relationships between people and their environment globally. See:
http://tinyurl.com/unesco-mab
3 Existing legislation in force on State lands may place limitations on communities in buffer
zones, for example prohibitions on hunting and restrictions in watershed areas.
4 Led by the Global Diversity Foundation (GDF), Sabah Parks and the Ulu Papar community,
and funded by the Darwin Initiative UK, this eight-year initiative has, over the years, included
partners such as Pacos Trust, Universiti Teknologi Malaysia, Universiti Malaysia Sabah and the
University of Kent UK.
5 Research to collect baseline data (e.g. locations of important areas, key resources important for
livelihoods) was a necessary first step for communities to voice their concerns and expectations.
The data amassed from this research is vital to building a convincing and realistic proposal to
resolve access, use and tenure issues, understanding the resource use and cultural significance
of the Ulu Papar landscape so that discussions could focus on practicable solutions and realistic
expectations.
144 65 Theresia John, Patricia John, Louis Bugiad and Agnes Lee Agama

Photo: Ephraem Lompoduk

Community researchers update the location of gravesites on the Ulu Papar participatory 3D map.

‘resource catchment area’ was coined: the record oral histories, collect botanical spec-
total area required to sustain community imens of useful plants, and produce a series
livelihoods in Ulu Papar, both inside and of participatory videos that share the
outside the park. Research results continue concerns of their community in their own
to inform the ongoing discussions within words and using their own images.
the community, and between the commu- Conducted through fieldwork, workshops,
nity and park managers on land-use community exchanges, training courses,
planning and resource management, expeditions and travelling roadshows, these
whether in the proposed CUZ, buffer and activities yielded a significant amount of
transition zones to the CRBR, community data on resource use patterns and cultural
conserved areas or community-managed landscapes. The process has also facilitated
multiple resource use areas (Wong et al., discussions and information-sharing
2009). amongst community members and with
An important outcome was the enriched outside agencies.
capacity within the community to engage in This collaborative initiative has been
conservation dialogue and action (Agama critical in promoting the role of the
et al., 2011). Over 300 young and elderly community in the conservation and
men and women from Ulu Papar villages management of Ulu Papar (Majid-Cooke
have participated in research activities, as and Vaz, 2011). However, many threats
community researchers, collaborators, remain to their livelihoods, well-being and
informants, workshop participants, field future. These include the lack of legal
guides and hosts. Over eight years, more tenure of their customary lands, prolonged
than 25 community researchers have been delays in CUZ implementation and lack of
trained to work with their villages to map clarity on CRBR zoning, continued stand-
key resource areas and mark them on 3D off with the park and plans to construct the
models, conduct livelihoods assessments, Kaiduan Dam.
 ● Creating the Ulu Papar biocultural community protocol 145

Photo: Nick Lunch

Community researchers trained in participatory video.

The biocultural community protocol culture. The protocol represents the prod-
To deal with these problems and ensure the uct of consultations that have involved
recognition of Ulu Papar as an important many community members in the process
site for the protection and promotion of of thinking about and analysing their prior-
biocultural heritage in Sabah, the commu- ities as a united collective. In this way, it
nity researchers complemented the also embodies a framework guide to stim-
ongoing broad range of participatory advo- ulate unity as they move to resolve the
cacy activities by launching a process to problems faced in each village.
develop the Ulu Papar BCP in 2010 with Most importantly, and moving beyond
the support of various partners. In this village-level problems, the protocol repre-
context, it was the participatory research sents a clear articulation of the
and advocacy processes that provided community’s aspirations in terms of future
community researchers with the tech- interactions with outside actors, including
niques and experiences to draw on, in the representatives of government agencies. In
process of developing the protocol. this sense, the protocol is a fundamental
The Ulu Papar BCP is a document tool in any process where outside parties
describing the community, its members’ intend to obtain the community’s free,
way of life and culture, and the activities prior informed consent (FPIC), and there-
that sustain their daily lives, such as agri- fore represents the first step in a larger
culture, hunting and harvesting forest and mechanism for engagement with outside
river resources. It elucidates the rights, actors, within the community, and with
responsibilities, interests and roles of the future generations.
community in overcoming the challenges The process to develop the Ulu Papar
they face as well as their unique manage- protocol was conducted through a series of
ment and conservation approaches that are workshops, trainings and discussions with
based on their adat (customary laws) and community members and relevant parties
146 65 Theresia John, Patricia John, Louis Bugiad and Agnes Lee Agama

Table 1: Community consultations while developing the Ulu Papar protocol

Date Activity Place Participants6

1st–2nd March Centralised community Buayan 61 people from the Ulu Papar villages of
2010 workshop with Natural Buayan, Tiku, Timpayasa, Terian, Pongobonon
Justice and GDF and Kalanggaan (including three from GDF
and two from Natural Justice)

10th–11th March Training course for Crocker Nature 34 people comprising community researchers
2010 community researchers Centre, Crocker from the Ulu Papar village of Buayan and the
with Natural Justice, Range Park village of Bundu Tuhan Ranau, Sabah Parks
Sabah Parks and GDF Headquarters in naturalists, trainers from Universiti Teknologi
Keningau Malaysia (UTM), Natural Justice and GDF

29th–30th March Centralised community Buayan 54 people from the Ulu Papar villages of
2010 workshop with GDF Buayan, Tiku, Pongobonon, Kalanggaan and
Timpayasa and GDF

3rd May 2010 Centralised community Buayan 32 people from the Ulu Papar villages of
workshop Buayan, Tiku and GDF

24th August – 6th Ulu Papar Roadshow I All Ulu Papar 93 people from the Ulu Papar villages of
September 2010 villages Buayan, Tiku, Timpayasa, Terian, Podos,
Longkogungan, Pongobonon and GDF

10th–19th August Ulu Papar Roadshow II All Ulu Papar 99 people from the Ulu Papar villages of
and 18th–19th villages Buayan, Tiku, Timpayasa, Terian, Podos,
September 2011 Longkogungan, Pongobonon and GDF

29th January – Ulu Papar Roadshow III All Ulu Papar 71 people from the Ulu Papar villages of
10th February villages Buayan, Tiku, Timpayasa, Terian, Podos,
2012 Longkogungan, Pongobonon and GDF

(see Table 1). The first workshop, held in community researchers who played a lead-
early March 2010, was a centralised event, ing role in designing and facilitating
where each village in Ulu Papar self- community consultations, compiling the
selected representatives to come to Buayan information needed and polishing the text
to participate in a joint discussion with the of the protocol. The course incorporated
Global Diversity Foundation (GDF) and interactive workshop exercises, such as role
Natural Justice about ways to resolve the plays, to review and follow-up the develop-
problems they face. During this workshop, ments of the first centralised workshop in
participants agreed to collect information Buayan. These sessions aimed to explore in
to develop the Ulu Papar biocultural detail the legal approaches for supporting
community protocol, as a preliminary step communities and conservation in relation
in articulating the community’s identity, to human rights and environmental laws
way of life and their vision for a collective at international, national and local levels.
future. They also gave trainees the opportunity to
A ‘training of trainers’ course, designed better understand the diverse perspectives
with expertise from Natural Justice (Box of the different stakeholders implicated in
1), was held to strengthen the capacity of deciding the future of Ulu Papar.

6 Aside from GDF, Natural Justice, Sabah Parks and UTM trainers, the participants were all
community members: men and women who live in Ulu Papar. Some were leaders, some were
not, although all are Dusun; farmers, fisherfolk, hunters and gatherers of forest products.
 ● Creating the Ulu Papar biocultural community protocol 147

Photo: Natural Justice

Group discussions at the first biocultural community protocol workshop.

Photo: Inanc Tekguc

Community researcher Theresia explaining the draft protocol to another community member.
148 65 Theresia John, Patricia John, Louis Bugiad and Agnes Lee Agama

Box 1: The Ulu Papar BCP training Following this, subsequent community
session 10th–11th March 2010 workshops were held to flesh out the
The first training session consisted of informative
contents of the Ulu Papar protocol and seek
presentations, role play and group discussions: feedback from all participants. Community
i. Presentation on international legal instruments, researchers played a pivotal role in design-
such as the United Nations Declaration on the Rights ing the community consultation activities
of Indigenous Peoples (UNDRIP) and the Convention that enabled them to compile information
on Biological Diversity (CBD) that support indigenous
peoples’ rights to manage their resources
needed for the protocol, from workshops
ii. Role-play: participants divided into three groups. and discussions and drawing upon the
In each group, five pairs of participants were given significant corpus of data gathered during
different ‘stakeholder’ roles. Each pair had 30 the Darwin Initiative projects to support the
minutes to prepare a position and strategy based on viewpoints asserted in the protocol. For
a fictional scenario. They then returned to the group
to negotiate and arrive at a consensual and
example, geo-referenced maps were used to
constructive ‘way forward’, which included strategies show locations of important resources and
such as developing a protocol, collecting more data, cultural sites, while ethnobiological data
improving inter-agency communication, raising displayed in charts and graphs demonstrate
awareness amongst community members and the interrelationship between the commu-
conducting more training for community researchers.
Then an overall evaluation discussion was held to
nity and the natural landscape they rely on.
comment on the negotiation process, explore the During the follow-up workshops, partici-
challenges involved in arriving at a group decision pants were given the opportunity to discuss
and distil lessons learnt for the community. with each other, give information and share
iii. Presentation on biocultural community their views on the framework draft proto-
protocols, drawing on the role-play to explore
situations in which community protocols may be
col that was beginning to take shape.
useful. This included a discussion in which concerns In the earlier stages of drafting the
and questions from the community were addressed. protocol, participation was somewhat
iv. Field update from the first Ulu Papar BCP unsatisfactory due to remote locations of
workshop (see Table 1). Participants then carried out villages. Difficult journeys prevented
group discussions on the main themes of importance
to the community (Kaiduan Dam, customary land
community members from far-flung
inside the park, the need for improved education villages from attending. The community
materials and buildings and for better local researchers decided to design and conduct
infrastructure, and the possibilities for tourism in the a travelling workshop – which became
area). known as the Ulu Papar Roadshow – to visit
v. Planning and next steps: in two groups,
participants discussed priorities, strategies and short-
each of the villages, sharing the same infor-
and mid-term actions. They developed a six-month mation regarding the protocol drafting
plan to facilitate community consultations and data- process in each, while collating feedback
gathering to develop the protocol. This plan from all community members to finalise the
incorporated a selection of techniques, such as a draft protocol. To review the protocol text,
collaborative data gathering expeditions to villages
in the uppermost reaches of the valley, travelling
community researchers chose to embark on
roadshows, further training of community a lengthy word-for-word process that exam-
researchers in community outreach approaches, and ined each section and sub-section of the
interviews using participatory videos. They agreed protocol with each of the villages they
that the plan should be evaluated and revised after visited. Although tedious and demanding,
six months. In the longer term, priority was placed on
raising the profile of Ulu Papar as an important
the roadshow format permitted more
cultural landscape. Tentative plans included women and elderly community members to
launching a Ulu Papar community and conservation participate in the consultation process,
campaign as the principal vehicle to structure the use whilst also ensuring ownership and
of the protocol (along with the participatory videos, commitment from each village. At the end
photography galleries and maps) to engage with
government agencies and raise public awareness.
of each roadshow, the community
researchers improved and revised the draft
 ● Creating the Ulu Papar biocultural community protocol 149

text based on the views and comments commitment of the Ulu Papar community
collected from community members. In to work together in preserving Sabah’s
March 2012, after almost two years, the biocultural heritage.
protocol was finalised and printed in Overall, the Ulu Papar BCP, and the
Bahasa Malaysia for community members participatory process undertaken to create
and researchers to disseminate (a digital it, have helped the community articulate a
English version has also been prepared).7 common vision and aspirations for well-
The protocol forms part of the backbone being. Most importantly, it has fostered a
of the Ulu Papar Community and Conser- sense of solidarity among Ulu Papar
vation Campaign launched in 2011 to people, giving them a belief in the future.
disseminate information about the impor- These, however, remain early steps in the
tance of Ulu Papar as a biocultural heritage larger journey of equipping state govern-
site for the State of Sabah. Activities ments to recognise and support
conducted under this campaign include: indigenous peoples’ rights to self-determi-
• roadshows that visit each Ulu Papar nation. As the Ulu Papar community
village to share the latest updates and researchers begin to use the BCP as a
enable community members to discuss the means of engaging with government agen-
critical issues they collectively face; cies in Sabah, receptivity and reciprocity
• dialogues with government to raise aware- on the part of state actors remains to be
ness about the heritage value of Ulu Papar seen. To bring their aspirations to reality,
and the role of the community in the what was an intensive community process
conservation of this heritage; must now reach out and inaugurate
• the circulation of the Ulu Papar BCP as a constructive relationships with outside
document that represents the desire and actors and government agencies.

CONTACT DETAILS
Theresia John
Ulu Papar Community Researcher
Email: theryjohn@gmail.com

Patricia John
Ulu Papar Community Researcher
Email: johnpatricia89@gmail.com

Louis Bugiad
Ulu Papar Community Researcher
Email: owescellis@gmail.com

7 Developing the protocol was not a full time task – villagers had to tend their farms, look after
their families, participate in cultural and religious observances, etc. Developing the protocol also
involved a lot of unaccustomed paperwork – often it proved useful to ‘take a breather’ and
allow people the time to talk, reflect and the return to the document later.
150 65 Theresia John, Patricia John, Louis Bugiad and Agnes Lee Agama

Agnes Lee Agama

Regional Coordinator, Southeast Asia
Global Diversity Foundation
Email: agnes@globaldiversity.org.uk
Website: www.global-diversity.org

REFERENCES
Agama, A.L., J. Sanem, J. Naisand and G. Martin (2011) ‘A biocultural
perspective for heritage conservation in Ulu Papar, Sabah: the
importance of culture in the Crocker Range Biosphere Reserve
Nomination.’ Paper presented at the Asian Wetland Symposium,
18th–20th July 2011, Kota Kinabalu.
GDF (2009) ‘Resource use and community livelihoods in the proposed
Buayan-Kionop CUZ, Penampang, 2004-2009. Research report
submitted to the CUZ Task Force under the Bornean Biodiversity and
Ecosystems Conservation Programme (Phase II).’ Global Diversity
Foundation: Kota Kinabalu (unpublished manuscript).
Majid-Cooke, F. and J. Vaz (2011) ‘The Sabah ICCA review: a review of
indigenous peoples and community conserved areas in Sabah.’
Report submitted to the Japan International Cooperation Agency
(JICA) as part of the project Traditional Ecological Knowledge in
Sabah, under the Bornean Biodiversity and Ecosystems Conservation
Phase II Programme. Global Diversity Foundation: Kota Kinabalu.
Pacos Trust (2004) ‘Prospects for collaboration: Sabah Parks and
indigenous peoples in the management of the Crocker Range Park.
Southeast Asia indigenous peoples and collaborative management
in protected areas: proceedings of a strategy and planning
workshop, 3rd–6th August 2004, Chiang Mai, Thailand.’ Asia
Indigenous Peoples Pact Foundation: Chiang Mai.
Sabah Parks (2006) ‘Crocker Range Park management plan.’ Bornean
Biodiversity and Ecosystems Conservation Programme: Kota
Kinabalu.
Wong, J.T.W., A.L. Agama, A. Murphy, G. Martin, J. Nais, M. Lakim and
Y. Miki (2009) ‘Application of ethnobiological methods to assess
community resource use patterns in the Crocker Range Park in
Sabah, Malaysian Borneo.’ Paper presentation at the International
Society of Ethnobiology, 1st Asian Congress of Ethnobiology, 21st–
28th October 2009, Taiwan.

NOTES
The PLA editors would like to thank Emily Caruso, Regional Programmes
Director of the Global Diversity Foundation, for her support in finalising
this article.
 151

13
Accessible technologies
and FPIC: independent
monitoring with forest
communities in
Cameroon

by JEROME LEWIS and TÉODYL NKUINTCHUA

Introduction Box 1: Key problems facing forest

The equatorial forests of eastern Cameroon dependent communities in Cameroon
are home to many tens of thousands of
• Substantial reduction of customary territory in the
indigenous Baka pygmies and other forest- National Zoning Plan
dependent farming communities, mainly • Expulsion from their customary territory in
the Bantu. They are highly dependent on ‘managed forests’ (national parks, wildlife reserves,
forest resources for their cultural identity timber concessions, etc.)
• Restrictions on access to forest resources
and livelihoods: foods such as animal
• Weak communication between forest communities
protein, vegetables and fruit, craft materi- and other forest stakeholders concerning forest
als for tools and house building, medicinal management
and sacred plants. Due to their extreme • Rapid and illegal logging
poverty they are very vulnerable to changes • Destruction of key resources during logging
that affect their access to forest resources
(Abega and Bigombe, 2005). The State has often greatly reduced territories, and
maintained colonial laws attributing the denied access to certain key resources, ILCs
nation’s forests to their control despite local are increasingly vulnerable to hardship.
peoples’ claims to the land. With the Cameroon’s forests are subject to exten-
government’s introduction of a National sive legal and illegal logging by both artisan
Zoning Plan in the early 1990s, indigenous timber pirates and industrialised timber
and local communities (ILCs) found them- companies (REM, 2009). ILCs depend on
selves with sometimes drastically reduced many key tree species such as sapelli, moabi
territories and large areas of their former or ebony for fruit, caterpillars, medicines
land rented to outsiders such as timber and oil. Until now, they have been unable
companies, miners, safari hunters and to address this serious threat to their future.
conservation organisations, with exclusive Noticing the link between weak governance
rights over resources in these areas. With and illegal logging, the European Union
152 65 Jerome Lewis and Téodyl Nkuintchua

Map 1: Eastern region, Cameroon.

 ● Accessible technologies and FPIC: independent monitoring with forest communities in Cameroon 153

(EU) initiated the Forest Law Enforcement, Box 2: The role of civil society in the
Governance and Trade (FLEGT) process in FLEGT process in Cameroon
2003 to address illegal logging in countries Civil society’s participation in the FLEGT process
that export timber to EU territory (Brown et grew from an observer role to direct involvement
al., 2009). EU-supplier countries must sign in negotiations. They are now on the National
a voluntary partnership agreement (VPA) Monitoring Committee established by the VPA,
describing how they will improve FLEGT with six places out of 30. An important civil society
contribution was to highlight the plight of forest
regulations. Cameroon began negotiating dependent communities. As a result, the VPA
their VPA with the EU in 2006, signing the stipulates that:
agreement in 2010.1 ‘In order to minimise any potential adverse effects
Although detrimental to the country’s of the FLEGT licensing scheme on the indigenous
economy and environment, illegal logging and local communities concerned, the parties
hereby agree to assess the impact of this
provides a few men with employment. But Agreement on their way of life‘ (VPA Cameroon-
logging undermines forest-dependant EU, Art 17-1).
people’s long-term livelihoods, especially
women and the elderly, who lose vital food • ensure government accountability to the
and medicinal trees. Weak governance, FLEGT process.
poverty and ineffective local-level political This project was developed by a group
structures allows most illegal loggers to of organisations already working on partic-
work with impunity so long as local elites ipatory mapping to establish a ‘ best
are assured an income. practice’ model for future environmental
monitoring by ILCs. These included CBOs,
Project aims, participants and approach NGOs, international organisations, and was
Participatory mapping is a key way for led by a private company, Helveta Ltd, a
communities to assert their rights. Many UK-based software company with respon-
projects run by NGOs and community- sibility for timber traceability in Cameroon.3
based organisations (CBOs) support ILCs Helveta wanted to develop a model for
in mapping their territories.2 community verification to use in conjunc-
The overall project objective was to tion with their timber traceability system.
support and strengthen the capacity of The project team included five groups
ILCs to independently monitor resource of partners:
use, document their territory and present • Sixteen forest-dependent ILCs in south-
their findings to relevant stakeholders. east Cameroon. Project staff worked with
ILCs welcomed the opportunity to partici- Bantu and Baka groups separately to avoid
pate. The project aimed to: discrimination. Communities collected
• improve forest governance through data and led in presenting it to other stake-
resource monitoring; holders.
• effectively engage forest communities in • Five CBOs implemented the methodol-
key processes related to forest management; ogy and trained community members in
• create an advocacy platform for dialogue data collection, map reading and assisted
between communities, CBOs and govern- with data management.4 They organised a
ment institutions; and network of project partners to support
1 See: http://ec.europa.eu/environment/forests/flegt.htm
2
Lewis (2012) reviews a number of these.
3 Helveta and the Foreign and Commonwealth Office co-funded the project as part of the
UK’s contribution to improving forest governance in line with VPA/FLEGT.
See http://corporate.helveta.com/products.html?pgid=97 for more details.
4 Association des Baka de l’Est (ASBAK); Centre pour l’environnement et le développement
(CED); Centre pour l’éducation et la formation pour l’appui aux initiatives de développement
(CEFAID); Okani; Organisation pour la Protection de l’Environnement, la Recherche et l’Appui
au Développement en Afrique (PERAD).
154 65 Jerome Lewis and Téodyl Nkuintchua

Map 2: Participating communities.

 ● Accessible technologies and FPIC: independent monitoring with forest communities in Cameroon 155

communities to advocate for their rights. mented in industrial extraction, develop-

Each CBO accompanied between two to ment or conservation activities in the
five communities. Congo Basin. Given the tradition of top-
• The British High Commission funded down development and government
the first phase of the project. interventions in this region, and the weak
• Helveta Ltd funded the second phase, participation and appropriation of proj-
provided project equipment, supervised ects by ILCs (Abega and Bigombe, 2005),
the CBO’s activities and securely stored the the project sought to develop a FPIC
data collected. They also recruited staff to approach to enable ILCs to control the
facilitate the overall project. Téodyl terms of their participation, strengthen
Nkuintchua, co-author of this article, their capacity to negotiate with third
managed the project over two years as a parties and engage in advocacy. The FPIC
Helveta Ltd employee. process aimed to ensure that project activ-
• John Nelson (Forest Peoples’ ities and their potential consequences
Programme) and Jerome Lewis, co-author, were fully understood by the majority of
(University College London) provided their the community before monitoring activi-
expertise throughout.5 ties began.
Project members considered the moni-
toring of logging activities by local forest Process and methodology
people to be a key part of achieving better The first step was to build effective part-
forest governance in Cameroon. nerships within the project team. After
some early problems, this became a prior-
Challenges ity requiring ongoing attention. Learning
The project ran from 2008 to 2011. In the from and incorporating each other’s
second year, an independent evaluation perspectives in co-developing the method-
showed that the technology worked well. ology proved to be the most effective way
But there was weak appropriation of the of addressing this challenge.
project by participating communities. CBOs began by visiting a forest
Additionally there was an ethical community they thought might be inter-
dilemma: data was collected and maps ested in participating. After extended
produced, but since the communities had community consultations, the CBO checks
not formally given their consent for sensi- that the information provided about the
tive data about potentially criminal activity potential positive and negative outcomes
being shown to third parties, they could of participating has been understood.
not be used effectively for advocacy. A Consent is then asked for, and either
second phase from June 2010 to Septem- refused or given. If given, the community
ber 2011 addressed these issues by works with the CBO to develop a commu-
instituting a free, prior informed consent nity protocol – a statement of what
(FPIC) process (Lewis et al., 2008) and resources the community would commit,
adapting community protocols (Bavikatte when and on what terms, and a timetable
and Jonas, 2009) to strengthen the polit- of activities to begin collecting accurate
ical organisation and participation of geo-referenced data on their resources and
communities. logging. The data is then used to make
Despite its promotion in human rights maps, which can be presented to whoever
law, FPIC is rarely applied in practice.6 To the community allows to view them. The
our knowledge, it had never been imple- overall process is shown in Figure 1.

5 Lewis (2007) describes the participatory methodology used to develop the software.
6 For information on how to implement FPIC, see Lewis, this issue.
156 65 Jerome Lewis and Téodyl Nkuintchua

Figure 1: Project process

Step 1: Community Step 2: Documenting

participation rights to the forest

Community consultation Collecting geo-referenced data

• Informing them of the project’s • Collecting data with icon-

risks and advantages based GPS
• Building FPIC and community • Discussing and correcting
protocols maps with communities

Step 3: Organising
communities for advocacy Step 4: Advocacy

Building a network of Presenting maps to other forest

community representatives stakeholders

• Sharing experiences between • Local-level meetings with

communities forest stakeholders
• Developing shared messages • National-level meeting with
for advocacy relevant government authorities

Step one: Community participation marginalise the Baka during the discus-
This crucial step establishes FPIC agree- sions.
ments and community protocols that are A key characteristic of FPIC agree-
the basis for organising project activities. ments and community protocols is their
The standard approach was to inform the dynamism: consent can be withdrawn,
community a few days before the meeting, partially or entirely, and the protocol can
to gather in a place chosen by community, be updated to change what data is
and to encourage women’s participation. collected, who fills the various roles, incor-
Where the Baka and Bantu shared the porate newcomers etc. From the start,
same territory, CBOs held meetings with communities were informed that they can
each community separately. give, refuse or withdraw their consent for
To ensure informed consent, discus- the whole project or for certain activities,
sions began by exploring the project’s at any time.
objectives, advantages, risks and prospects Two FPIC forms were discussed and
in ways that community members could explained before being signed. One was for
understand. These discussions went differ- the consent of the community, the second
ently according to the ILC. The indigenous for the consent of the individuals desig-
Baka communities have a non-hierarchical nated by the community to do the
egalitarian social organisation where cartography. Community-nominated lead-
women and men have equal say in commu- ers signed the forms on behalf of the whole
nity decisions. In contrast, Bantu societies community. But since cartographers would
are hierarchical and male-dominated. be involved in time- and energy-consum-
Efforts had to be made to ensure women’s ing activities collecting data designated by
points of view were taken into considera- the community, they signed as individuals.
tion, and to avoid elite capture. Similarly, The CBO then supported the commu-
Bantu and Baka had to be worked with nity to develop a community protocol (CP),
separately to ensure the Bantu did not inspired by the biocultural community
 ● Accessible technologies and FPIC: independent monitoring with forest communities in Cameroon 157

Figure 2: The five levels of FPIC

Community free, prior informed consent form

Statement (should be filmed if agreed by participants) Stamp/sign to

grant consent
(YES).
X to withhold
consent (NO).

1. Q: What do you understand to be the purpose and the main objectives of the project entitled
‘Enabling local and indigenous people to do independent monitoring of forest resources’?
A: Does answer demonstrate understanding?
• If not, explain again and in a different way until the answer demonstrates proper
understanding.
• If yes, then can ask representative to stamp/sign against the following statement:
Statement: We understand and support the purpose and objectives of the project.

2. Q 2.1: What do you understand will be the benefits of participating in this project?
A: Does answer demonstrate understanding?
• If yes, then can ask Q 2.2.
• If not, explain again until the answer demonstrates proper understanding.
Q 2.2: What do you understand will be the potential risks of participating in this project?
A: Does answer demonstrate understanding?
• If no, explain again until the answer demonstrates proper understanding.

If an informed understanding of both benefits and risks is demonstrated, then ask

representative to stamp/sign against the following statement:

Statement: We have been informed and understand both the potential risks and the
potential benefits of participating in this project.

3. We agree to participate in this project by collecting data on customary forest use and timber
exploitation.

4. We agree to share data we have collected regarding timber exploitation with government
officials and organisations participating in the project.

5. We understand our right to withdraw fully or partially from the project at any time, and that
we may insist on the deletion of all data that we have collected as part of the project.

protocol approach, recently implemented work after data was collected, as well as
in Asia and South Africa by Natural Justice describing mitigating actions to address
and UNEP.7 The CP enabled communities risks. Some ILCs appointed their ‘team’
to discuss and specify how they would easily. Others found it difficult due to many
participate, and to clarify roles and respon- wishing to participate or internal rifts that
sibilities. This was formalised in a simple required sensitive negotiation.
two-page document – with images to help The process of elaborating the FPIC
non-literate communities ‘read’ them – to forms and community protocols is impor-
determine the timescale for activities, what tant. Most challenges facing project
data would be collected and where, the implementation by the community are
names of cartographers, equipment keep- discussed, and strategies to resolve them
ers, and representatives for the advocacy developed. Participating communities
7 To promote the Convention of Biological Diversity, UNEP supported research to develop
biocultural community protocols. Bavikatte and Jonas (2009) offer a good example of this.
158 65 Jerome Lewis and Téodyl Nkuintchua

Figure 3: Overview of icon software

greatly appreciated that CBOs took time to friendly device is usable by non-literate or
train them in how to adapt these types of multi-lingual communities (Lewis, 2007)
agreements to other partners. They also and allowed communities to appropriate
examined how to address possible positive the data collection process, addressing a
and negative consequences of participation frequent reproach made of social mapping
in the project. They reflected on their own initiatives, where communities simply assist
institutional limitations, internal factions an outsider technician in data collection.8
and overall organisational capacities, to The data was then sent by Internet to a
decide the extent to which they required or secure server held by Helveta. These
desired supervision. Goodwill and self- records can only be viewed or copied by
organisation were more important than the entities authorised by participating
demands and financial incentives usually communities. CBOs and communities
given in other social mapping projects. worked with a rough map for about three
meetings until a final validated map was
Step 2: Documenting rights to the forest produced. To date, more than 75 maps have
Next, the communities began resource been produced.
monitoring by mapping their forest terri-
tory. Data was collected using an icon-based Step three: Organising communities for
touch-screen unit connected to a global advocacy
positioning system (GPS). The icons were Project partners pooled their experiences
developed participatively with communities of advocacy and capacity-building with
to capture key resources and divided into forest communities to develop an advocacy
six categories (Figures 3 and 4). The user- strategy. They supported participating

8 A video summarises the process: www.youtube.com/watch?v=H3I8O2DRu7A

 ● Accessible technologies and FPIC: independent monitoring with forest communities in Cameroon 159

Figure 4: ‘Gathering’ choices

communities in presenting their maps to The logging company changed its manage-
authorities with power to investigate ille- ment plan to reflect this.
gal activities, and forest managers whose Participating in meetings with power-
activities could be improved by better ful outsiders is not easy for many rural
knowledge of local peoples’ needs. For people. To avoid intimidation, the advocacy
example, one logging company claimed work involved a series of stages, from local
that there were no indigenous people that to regional to national level. Firstly, each
used the forest in their concession. community’s cartographers joined a local
Community maps showed this was wrong. group to attend local meetings organised
Photo: Téodyl Nkuintchua

Community cartographers during training learn how to use the icon-based GPS device.
160 65 Jerome Lewis and Téodyl Nkuintchua

Map 3: An example of a community-produced map.

 ● Accessible technologies and FPIC: independent monitoring with forest communities in Cameroon 161

by the CBOs to discuss the FPIC process results. According to some CBOs and
and how well the community protocols communities this is because they are impli-
were working. Discussion focused on issues cated in illegal logging, and felt accused
raised at the beginning of the project, the during the meetings. However, in one case,
nature of their consent in relation to differ- local forestry authorities were so impressed
ent types of data they were collecting, and to that they asked to keep the maps and work
discuss next steps. more closely with the communities in the
Following local meetings, a regional future.
meeting was organised for all community A national meeting was held with high
representatives. Local representatives level forestry ministry officials, NGOs,
worked with the CBOs to prepare the advo- CBOs and international actors (British
cacy process. Communities identified the High Commission). Three community
following as key points for the advocacy cartographers attended. They shared their
process: experiences and how the maps had better
• FPIC and community protocols must be informed them of what was going on in
central to all negotiations by government their territories. The meeting was short,
agencies or outsiders seeking to work with but the ministry official welcomed the
communities or on their land. project as an important way to engage
• Conflicts of interests between customary other parties in the FLEGT process.
and logging uses of the same forest are Participants expressed the hope that the
widespread. All maps produced prove that system would become integral to the
logging activities overlap with community Cameroonian timber traceability system,
territory, even when this territory is far and that the cartographers could become
from legal logging areas. important in liaising with their commu-
• Relevant government officials should take nities to elaborate REDD+ projects in
action to investigate illegal logging activi- which Cameroon is increasingly engag-
ties communities identify. ing.9
Advocacy is ongoing through the proj-
Step four: advocacy to other stakeholders ect partners’ networks and the project
These activities were focussed on local and hopes to contribute to developing a replic-
national levels. As part of the FPIC process, able model of community-based
CBOs helped communities to explore their sustainable forest management in the
legal rights and responsibilities as Congo Basin. The British High Commis-
expressed in the Cameroonian Forest Act. sion in Yaoundé is committed to
They used a range of tools including illus- maintaining a long-term engagement with
trated picture books, focus groups the Cameroonian government to act on
discussions and oral presentations, focus- project outputs, as part of the VPA signed
ing on the sections of the Forest Act most between the EU and Cameroon to mark
relevant to ILCs. their commitment to FLEGT.
Each CBO also organised a meeting to
present maps to local stakeholders includ- Strengths and challenges
ing government representatives, other During local and regional meetings,
CBOs and NGOs, forest managers and community cartographers were asked about
interested parties. Communities presented the project’s strengths and limitations at the
their work and contextualised illegal village level. This section is mainly based on
logging in their area. Unfortunately, few their analysis with special attention to FPIC
local authorities acted on the project’s and community protocols.
9 Reducing Emissions from Deforestation and Forest Degradation (REDD).
See: www.un-redd.org
162 65 Jerome Lewis and Téodyl Nkuintchua

Project strengths community cartographers. Following their

The results most valued by communities request, the project also provided certifi-
were their newfound sustainable forest cates attesting to their new skills.
management skills (mapping and monitor- The protocol was also very useful to
ing), FPIC negotiations and community promote community organisation. Most
protocols, and a better understanding of eastern-region communities have weak
their role in, and responsibility to, defend political organisation (see Bahuchet, 1991).
their rights to the forest. During FPIC CBOs and other development partners see
sessions, such issues and concepts were this as a key barrier to development. It is
extensively discussed, and key for effective often difficult to attract more than just the
dialogue with other stakeholders. Commu- chief to ‘participate’ in a project. Commu-
nities especially appreciated the FPIC nity protocols helped to address this major
process as a new and empowering tool: issue by facilitating the community to
being explicit about their right to refuse better organise their participation.
makes discussions or bargaining with
outsiders more equal. Challenges
The advocacy capacity-building has FPIC processes and community protocols
helped ILCs to understand how to present are powerful tools. But there are precau-
their issues. ILC representatives appreci- tions. Though recognising how important
ated that the project made advocacy with the project could be in future, communi-
government and other actors an integral ties have developed long-term
part of the project process. Though focused ‘patron-client’ relationships with CBOs.
on illegal logging, ILCs used the meetings The first FPIC consultations were particu-
with government officials to discuss other larly difficult. Some ILCs granted their
issues related to government-imposed FPIC not because they understood the
restrictions on their land or their expulsion proposition, but because they trusted the
from some forests. Community participants people involved. Impoverished communi-
reported that they feel more confident ties often agree to projects and activities
about claiming and asserting their rights that may be against their long-term inter-
despite the National Zoning Plan having ests. CBO staff had to be very careful not to
ignored these. Their engagement has raise expectations that community
helped them to understand the Forestry members would earn direct incomes from
Law and learn new skills and concepts to the project.
better understand their current situation. This raises ethical issues concerning the
While not the first mapping project for balance between compensating partici-
some participating communities, most pants and ensuring neutrality when
people now understood what maps mean negotiating consent. CBOs decided not to
and what they can be used for: in particu- compensate so that communities were not
lar, to resist others trying to exploit their motivated by insignificant financial bene-
territory and resources. Understanding the fits. This partly explains why it was difficult
role of the icon-based GPS was central to to involve all community leaders in elabo-
making FPIC more concrete. Communities rating the community protocols, but this
gave their consent hoping to direct a proj- was advantageous where leaders who were
ect, and they did so successfully, something more concerned with personal gain chose
to which they are unaccustomed. The proj- not to participate.
ect was also the first time many Some community members were
communities had used computers. More engaged in conflicting activities: that of
than 100 people were trained to use documenting illegal logging, while also
computers and 38 became specialist assisting the loggers. Most communities
 ● Accessible technologies and FPIC: independent monitoring with forest communities in Cameroon 163

chose strong people with good forest skills Sustaining these activities over the long
to be their cartographers. These men had term remains to be established. This proj-
given their formal FPIC to participate. Yet ect was designed to prove the concept and
sometimes they also earned money trans- develop a model for community engage-
porting planks from the forest for ment in forest monitoring that could be
small-scale illegal loggers. Due to a strong integrated into national FLEGT monitor-
sharing ethic, often these were not seen as ing and for timber traceability. However,
opposed activities. much has changed institutionally and at
This challenge for CBOs was complex. the national level. While Forestry Ministry
Should they forbid these individuals from staff responded positively to the project
participating, going against community process, they have expressed no plans to
decisions? Or, ask the nominated cartog- support its continuation. Similarly, it
raphers to renounce an important remains to be seen if the new leadership at
income-generating activity? Debates raged Helveta still considers monitoring by ILCs
over people’s need for short-term benefits as an integral part of their traceability
against long-term forest outcomes. Some system.
CBOs suggested that cartographers be paid Communities have led the project but
what they earned for carrying timber cannot currently directly manage their data
during the project. Others pointed out that without Internet access and electricity.
projects are always short-term, compared Communities have a final map in their
to people’s lives, and so awareness-raising village, but communicating new possible
about sustainable forest management uses for the data to them is only possible
should be reinforced. Others suggested that through CBOs. In future, we hope that data
only people who never participate in ille- copies are also left with each community so
gal logging be involved, even if this went that they can reconfigure it to support their
against the community’s decision. A claims in new contexts.
consensus has not been possible on these A last key challenge is the place of FPIC
issues. in Cameroon’s legislation. The State still
Women’s participation was also limited. claims the forest as its own. If it approves
Out of 40 community cartographers only timber companies, conservation organisa-
three were women. During advocacy meet- tions or mining companies with the right
ings only one woman participated. to extract resources from ILC’s land,
Explanations included: too much time outsiders have no obligation to seek
away from children; men would not allow approval from ILCs, and in practice never
their wives to join a male team; long do. Although ILCs intend to assert their
distances to walk; communities tended to right to give or refuse their FPIC to activi-
nominate men; there was only one GPS ties on their land, national legislation does
device per community. CBOs tried to not acknowledge this right explicitly
address this in one village by asking women despite its international obligations to do
what they wanted to be mapped. With so. However, in certain domains such as the
hindsight, it would have been better to have Forest Stewardship Council’s forest certifi-
fewer communities involved so that two cation scheme, FPIC is the standard timber
GPS devices were available per community, companies must now achieve in their rela-
enabling women to form their own tions with ILCs.
mapping groups. This principle was
applied to deal with discrimination against Prospects for other projects
the indigenous groups by local farmers, This project illustrates the advantages of
and should have been applied to avoid applying a FPIC process in conjunction
gender bias. with community protocols to ensure that
164 65 Jerome Lewis and Téodyl Nkuintchua

communities understand the purpose and

potential of project activities, and engage
with them in a manner they consider
appropriate and fair. The project shows
that new technologies can be usable and
relevant to local and indigenous peoples,
and the advantage of participative software
development, intuitive interfaces and test-
ing prototypes in situ with the intended
users. The collaborative approach and
user-friendly technology allowed commu-
nities to appropriate the data collection
process and understand the maps they had
produced.

CONTACT DETAILS
Jerome Lewis
Lecturer in Anthropology and Co-Director of the
Environment Institute and Extreme Citizen
Science Research Group
University College London (UCL)
14 Taviton Street
London
WC1H 0BW
UK
Email: Jerome.lewis@ucl.ac.uk

Téodyl Nkuintchua
Anthropologist
Muséum National d’Histoire Naturelle
8 rue Francis de Croisset
Paris
France
Email: Nkuintchua@yahoo.fr

REFERENCES
Abega, S. and P. Bigombe Logo (2005) La margininalisation des
Pygmées d’Afrique Centrale. Edited by Langres, France: Africaine
d’Edition/Maisonneuve et Larose.
Bahuchet, S. (1991) ‘Les Pygmées d’aujourd’hui en Afrique centrale.’
Journal des Africanistes 61(1): pp. 5–35.
Bavikatte, K. and H. Jonas (2009) Bio-cultural community protocols: a
community approach to ensuring the integrity of environmental
law and policy. Natural Justice, United Nations Environment
Programme. Online:
www.unep.org/communityprotocols/PDF/communityprotocols.pdf
Brown, D., K. Schreckenberg, N. Bird, P. Cerutti, F. del Gatto, C. Diaw, T.
Fomété, C. Luttrell, G. Navarro, R. Oberndorf, H. Thiel and A. Wells
(2009) Legal timber: verification and governance in the forest
sector. Overseas Development Institute.
Lewis, J. (2007) ‘Enabling forest people to map their resources and
monitor illegal logging in Cameroon.’ In: Before farming: the
archaeology and anthropology of hunter-gatherers 2 . Online:
 ● Accessible technologies and FPIC: independent monitoring with forest communities in Cameroon 165

www.waspress.co.uk/journals/beforefarming/journal_20072/news/
2007_2_03.pdf
Lewis, J., L. Freeman and S. Borreil (2008) Free, prior and informed
consent and sustainable forest management in the Congo Basin.
Society for Threatened People, Intercooperation, Swiss Foundation
for Development and International Cooperation. Online:
www.intercooperation.ch/offers/download/forest-management-
congo/
Lewis, J. (2012) ‘Technological leap-frogging in the Congo Basin:
Pygmies and geographic positioning systems in Central Africa: what
has happened and where is it going?’ In: African Study
Monographs, Supplementary Issue 43: 15-44.
REM (2005-2009) ‘Progress in tackling illegal logging in Cameroon: final
report 2005-2009.’ Online: www.observation-
cameroun.info/documents/REM_IMFLEG_Cameroon_Report_endpr
oject.pdf
166

14
Biocultural community
protocols and ethical
biotrade: exploring
participatory
approaches in Peru

by MARÍA JULIA OLIVA, JOHANNA VON BRAUN and

GABRIELA SALINAS LANAO

Introduction mation. With the support of two interna-

Madre de Dios, in south-eastern Peru, is tional organisations, the Union for Ethical
rich in cultural and biological diversity. Yet BioTrade (UEBT) and Natural Justice,
the region struggles to find development biocultural community protocols (BCPs)
approaches that are sustainable and respect were identified and explored as an approach
the rights of its inhabitants. The Indigenous that could prove useful in enhancing
Forestry Association in Madre de Dios dialogue and collaboration. UEBT
(AFIMAD) and Candela Peru, a company promotes the ‘sourcing with respect’ of
ethically sourcing biodiversity, are aiming natural ingredients. Work on BCPs is part of
to develop such sustainable livelihood its broader efforts to support good practices
opportunities for indigenous communities.1 in companies committed to the ethical
They are working together on the collection sourcing of biodiversity. 3 For Natural
and transformation of natural products, Justice, work in Madre de Dios was the
primarily the Brazil nut, as well as collabo- chance to link a process of rights affirma-
rating on a new project involving the use of tion with livelihood generation.4
Ungurahui oil.2 They are using this new This article provides a brief summary
project as an opportunity to strengthen and of this experience of using BCPs, describing
consolidate their relationship, improve how they were adapted for this particular
mutual understanding and promote more context and drawing out some lessons for
balanced and inclusive exchanges of infor- others wishing to develop them.

1
Although this article refers to Candela Peru as a company, it was formed and functions as a
non-profit association involved in commercial activities.
2 Ungurahui is a palm tree native to the Amazon region. It bears edible fruits which are also rich
in oil and can be used in cosmetics.
3 UEBT is a non-profit, membership-based organisation. See: www.ethicalbiotrade.org
4 Natural Justice is an international non-governmental organisation facilitating the legal
empowerment of indigenous peoples and local communities. See: www.naturaljustice.org
 ● Biocultural community protocols and ethical biotrade: exploring participatory approaches in Peru 167

Background Box 1: What is ethical biotrade?

Work in Madre de Dios took place in mid-
Ethical biotrade refers to a set of business practices
2011, and included a series of workshops
that respect social, environmental and economic
held in July.5 The project aimed to deter- criteria established by the ethical biotrade standard.
mine how the concepts and methodologies The standard is internationally recognised and based
of BCPs could be adapted and used as a tool on the objectives and principles of the Convention on
to enhance the engagement of local actors Biological Diversity (CBD). Through a series of
principles, criteria and indicators, it is a tool to
in ethical biotrade (Box 1).
support members of UEBT in the ethical sourcing of
Generally speaking, communities use ingredients derived from biodiversity. It is also the
BCPs to affirm their rights over land, basis for independent audits that measure progress
resources and traditional knowledge. They towards ethical sourcing practices. The principles of
emerge from extensive internal reflection the ethical biotrade standard are:
• Conservation of biodiversity
processes that encourage the community to
• Sustainable use of biodiversity
consider their endogenous development • Fair and equitable sharing of benefits derived from
objectives in the context of customary, the use of biodiversity
national and international rights. The • Socio-economic sustainability (productive, financial
specific process and outcome of the BCP is and market management)
• Compliance with national and international
adapted to the local situation.6
legislation
In Madre de Dios, BCPs were seen as a • Respect for the rights of actors involved in biotrade
way to support communities in advancing activities
their social, cultural and environmental • Clarity about land tenure, right of use and access to
expectations of their commercial relation- natural resources
Source: www.ethicalbiotrade.org
ships – particularly with Candela Peru. This
included ensuring respect for the commu-
nities’ biocultural heritage and monitoring biodiversity and local communities, as
progress towards ethical biotrade practices. defined by its membership in UEBT. The
Candela Peru, as a member of UEBT, is value of the process was initially less clear for
committed to working towards the ethical AFIMAD, but they agreed to participate due
biotrade standard. to their interest in furthering their relation-
ship with Candela Peru.
Methods and processes Following the consultations, the facilita-
tor defined a procedure that would
Preliminary steps accommodate two critical phases:
The process began by recruiting a local facil- • an internal reflection process involving
itator, who was suggested by the project representatives of AFIMAD and the
partners on the basis of her knowledge and communities that integrate with the associ-
experience with the topics and actors ation; and
involved, and accepted by both AFIMAD • a dialogue between AFIMAD and Candela
and Candela Peru as a neutral, trusted and Peru.
independent expert. The facilitator held
consultations with AFIMAD and Candela Step one: internal reflection
Peru to determine interest in engaging in this The process of developing the AFIMAD
process. Candela Peru saw the dialogue as an BCP was organised in two separate work-
opportunity to improve their working rela- shops that brought together representatives
tionship with AFIMAD. It also considered – in most cases the presidents – from each
the dialogue as an opportunity to explain its community. Each workshop lasted two to
own values and approaches to working with three days.
5 Part of a joint project of UEBT and Natural Justice, funded by GIZ. See: www.giz.de/en/home.html
6 See www.naturaljustice.org and http://biocultural.iied.org.
168 65 María Julia Oliva, Johanna von Braun and Gabriela Salinas Lanao

Photo: UEBT
Representatives from AFIMAD communities discuss possible elements for their community protocol.

In the first workshop, participants read At the end of the workshop, participants
BCPs developed in different parts of the evaluated both the process and the protocol.
world and identified some common In addition to the advantages they identified
elements. They then considered how the at the outset, the participants considered the
protocols could help them to better respond protocol could help to:
to commercial proposals concerning forest • foster discussions within the communi-
resources, increase the government’s recog- ties about what is currently being done and
nition of their rights as indigenous what could happen in the future;
communities, and communicate their views • assist members in working together;
to other institutions and organisations. From • provide clarity on ethical biotrade; and
there, they proposed and discussed elements • show how a commercial relationship
to include in the BCP and agreed to share should be structured in an ethical context.
this preliminary document with their The process of sharing and discussing the
community and return with further input for BCP has now begun, particularly with
the second workshop. Since they felt that communities and external organisations that
they lacked detailed knowledge of their work with them and have expressed an inter-
rights to land and resources, a study was est in working with non-timber forest
commissioned from an independent lawyer products. The protocol has also been shared
specialising in indigenous legislation, in with a group of local NGOs working with
preparation for the second workshop. and supporting AFIMAD on different issues.
The second workshop brought together The protocol will remain a living document,
two to three representatives per community to be elaborated upon as the communities
from the AFIMAD board and forestry see fit.
committees. The preliminary document was
fleshed out, including expectations of Step two: dialogue between the communities
engagement with companies on specific and the company
forest products, the communities’ commit- Following the community reflection process,
ments towards conservation and use of the Candela Peru team joined AFIMAD and
biodiversity, and the process of engagement community representatives in a dialogue
with communities. A legal report on national aiming to define shared values and
and international legislation supporting the approaches to their working relationship.
communities’ rights was also shared, Each group explained their basic values and
discussed and incorporated in the draft how they operated. Participants then jointly
document (see Box 2 for an outline of the explored issues around ethical biotrade and
BCP). the provisions of the ethical biotrade stan-
 ● Biocultural community protocols and ethical biotrade: exploring participatory approaches in Peru 169

Box 2: The AFIMAD BCP the communities then separated to discuss

internally how they could contribute towards
• Who we are: AFIMAD and its member
improving their working relationship. They
communities.
• Local governance structure: how decisions are focused on identifying specific commit-
made by AFIMAD and its members. ments, such as initiatives for more
• Understanding of nature: how communities view sustainable use and better exchange of infor-
and value their surroundings, with a focus on the mation that each group could make in
forest, their local ecosystem.
relation to the ethical biotrade principles.
• Use and conservation of forest resources.
• Current threats: focus on threats to the forest and Participants then reconvened to discuss and
its components. feedback on each other’s contributions. Iden-
• Vision for the future: the communities’ tifying these specific commitments allowed
endogenous development objectives. participants to comprehensively understand
• Rights: summary of communities’ rights according
the ethical biotrade principles, their role in
to international and national norms, such as land
security, consultation and respect for traditional law promoting them, and to establish common
(full details included in a separate annex). goals as partners.
• Call to authorities and institutions: the Participants then examined the key prin-
communities’ requests and demands to local and ciples on which both parties wanted their
regional government in relation to their rights, needs
partnership to be built. These included
and concerns.
• Framework for engagement with companies: aspects such as transparency, trust, respon-
the communities’ expectations in engaging with the sibility, honesty, good faith, open
private sector e.g. benefit-sharing, coordination communication and clear information.
mechanisms, community development. Finally, participants defined next steps, based
• Community commitments: e.g. sustainable use and
on their collectively defined principles and
conservation of natural resources, responsibility and
quality in their work with commercial organisations. commitments. This included organising
further workshops to address pending ques-
tions or concerns, including:
dard. They matched various issues to the • the usefulness of developing a conflict
corresponding principles of the ethical management system;
biotrade standard, which also helped to • continued discussions of what constitutes a
emphasise that both Candela Peru and fair price; and
AFIMAD envisioned their relationship as • the importance of more training on product
not just commercial, but a partnership work- collection and manufacturing practices.
ing towards economic, social and Following the dialogue an agreement of
environmental sustainability. principles and commitments was established
Based on the BCP and ethical biotrade between both parties. This document
principles, participants identified possible includes the principles on which their work-
elements of a working relationship, in both ing relationship is based, the specific
an ethical context and as a conventional commitments of each party to advancing
commercial interaction. Participants repre- work under the ethical biotrade framework,
sented both types of relationships through and concrete next steps to follow up in the
role-play and then identified the elements context of exploring future projects. The
featured in each. For example, the partici- agreement is an internal document, held by
pants considered that in a conventional both the company and the communities. It
commercial interaction, companies are not will also become a reference in the develop-
interested in conserving forest resources or ment and assessment of continuing efforts
understanding how to appropriately engage of Candela Peru, as a UEBT member, to
with the community, while companies implement the ethical biotrade standard.
committed to ethical practices would be. As the Madre de Dios workshops closed,
Representatives from Candela Peru and participants were optimistic about continu-
170 65 María Julia Oliva, Johanna von Braun and Gabriela Salinas Lanao

Photo: UEBT
Elements of the AFIMAD community protocol.

ing the dialogue process to strengthen their The work has resulted in a highly
partnership. adapted version of a BCP, renamed a ‘biocul-
tural dialogue’ by project partners. In terms
Outcomes and lessons learnt of content, the dialogue reflected the interest
The work in Madre de Dios confirmed that expressed by the communities in addressing
BCP approaches and methodologies can be not only community-level issues, as is usual
adapted to a range of contexts, including in BCPs, but also their existing relationship
ethical biotrade. For AFIMAD, the reflec- with Candela Peru, other commercial rela-
tion on goals and values has reaffirmed its tionships, and the ethical biotrade context.
significance within the communities and This meant that discussions were more
fostered ongoing and planned activities. focused than in ‘conventional’ community
AFIMAD was also able to reflect on how its protocols, considering concrete challenges
economic activities fitted within its goals as and opportunities. Yet it is important that
a group of communities and as an associa- the community reflection processes retain
tion. As a result, it was able to communicate the core elements of ‘conventional’ BCPs, in
with Candela Peru much more assertively order to ensure issues are discussed in the
on issues such as sustainable resource use, appropriate biocultural context and to
negotiation processes, how they want the provide a solid basis for ongoing engagement
relationship between them to develop, and with the company.
the sharing of benefits. The communities One of these core elements is the partic-
and Candela Peru are now better placed to ipatory approach used in the workshops,
understand and address each other’s needs which proved a valuable part of the process,
and concerns in the context of their current allowing community representatives to
and future work. AFIMAD has also discuss and jointly draft the content of the
expressed its commitment to ethical sourc- BCP. Nevertheless, the involvement of the
ing practices. wider community was quite limited, because
 ● Biocultural community protocols and ethical biotrade: exploring participatory approaches in Peru 171

Photo: UEBT

Representatives from AFIMAD communities and Candela Peru discuss values and approaches important in their
partnership.

of time and budget constraints. AFIMAD is aiming to widen input into the
In the dialogue between community and BCP, using the current draft as the basis for
company, the participatory approach turned a more comprehensive and representative
out to be fundamental. It promoted a more document.
horizontal environment which helped to
balance power by using methodologies that Looking forward
emphasised the value of all contributions. Since the pilot project, AFIMAD has experi-
For example, sharing information in a simple enced resource constraints, which have
and clear format was essential to ensure the limited dissemination of the BCP among the
informed participation of the communities. communities. This highlights the impor-
The role of an independent local facilitator, tance of sustainable financing for any BCP
accepted by both parties, was also crucial. process. Similarly, widening the BCP to
Nevertheless, there was limited participation include broader interests and concerns will
of community representatives in the dialogue require the continued support of local facili-
with the company. This was because the tators or civil society organisations and
community presidents argued that the repre- additional fundraising. Work is ongoing to
sentatives chosen from each community address these challenges.
were selected precisely to represent the There will be further discussions on both
communities on these issues, and so wider the protocol and the agreement of principles
representation at the workshops was not and commitments as part of the UEBT
needed. membership process. As a UEBT member,
Existing structures and relationships Candela Peru’s annual reports include
both within and between the communities, updates on their work towards complying
AFIMAD and Candela Peru were seen as with the ethical biotrade standard, and the
minimising the negative impact of these company undergoes independent audits
shorter, less inclusive processes. However, every three years to verify progress.
172 65 María Julia Oliva, Johanna von Braun and Gabriela Salinas Lanao

Conclusions Substantial work has been done to high-

For UEBT, the positive feedback from both light the importance of community rights as
AFIMAD and Candela Peru confirms the key to ensuring conservation and sustain-
synergies between ethical biotrade and able use of biodiversity. For Natural Justice,
rights-based approaches to community it is clear that rights alone will not automat-
dialogue and engagement. These enhance ically lead to livelihoods generation. But
collaboration between indigenous and local using a rights-based approach as a basis for
communities and companies working on dialogue has demonstrated how such a
the basis of ethical sourcing practices. These process could not only affirm rights but very
processes can advance compliance with concretely strengthen the relationship
ethical biotrade requirements such as trans- between communities and a commercial
parent negotiations that are built on trust, company – who might otherwise be unlikely
long-term and sustainable partnerships, partners.
promotion of sustainable development at At a time where the demand by extrac-
the local level, and respect for the rights of tive industries for access to indigenous and
indigenous and local communities. Work local community land becomes ever more
will now focus on determining which pressing, the generation of real livelihood
specific aspects of the BCP approach and alternatives is of utmost importance. The
content are most relevant in the ethical hope is that these types of alternative
biotrade context, as well as how these processes will be used more widely to facili-
elements can be mainstreamed into the tate processes that also affirm community
work of UEBT and its members. rights.

CONTACT DETAILS
María Julia Oliva
Senior Adviser on Access and Benefit-Sharing
Union for Ethical BioTrade (UEBT)
Keizergracht 158
1015 CX Amsterdam
The Netherlands.
Email: julia@ethicalbiotrade.org
Website: www.ethicalbiotrade.org

Johanna von Braun

Natural Justice: Lawyers for
Communities and the Environment
Email: johanna@naturaljustice.org
Website: www.naturaljustice.org

Gabriela Salinas Lanao

ATINCHIK
Email: atinchik@atinchik.com;
gsalinaslanao@gmail.com
Website: www.atinchik.com

REFERENCES
UEBT (2012) ‘Ethical BioTrade Standard STD01.’ Union for Ethical
BioTrade. Online: www.ethicalbiotrade.org/verification/standard.html
 173

PART V
Tips for trainers
174 65
 175

15
How to implement free,
prior informed consent
(FPIC)

by JEROME LEWIS

Introduction economic livelihood and cultural traditions.

Negotiating FPIC is a process. It consists of In most situations, the concept of
informing the affected persons about consent differs between affected peoples and
planned activities and their impacts – both those proposing change. In Central Africa,
positive and negative – and verifying that for example, the notion often implies an
the information provided has been under- ongoing negotiated relationship based on
stood, before explicit consent can be trust generated by regular, long-term
negotiated. If people refuse, their decision exchange of information and goods and
must be respected. FPIC focuses on services. International understandings tend
harmonising and equalising relationships to focus on a permanently binding signed
between groups of different power and contract.
means. A compromise between local and inter-
national understandings can be obtained by
The key elements of the FPIC concept ensuring that, if people give their consent, it
is in a manner that is understood as contrac-
Consent tual by both parties.
Consent is required from people in situa-
tions where any externally initiated activity, Free and informed
by state agencies, private enterprises or The exercise of free will is essential for any
NGOs, may impact on the lives and liveli- agreement to represent genuine consent.
hoods of individuals and communities. This Communities must be able to accept, nego-
is particularly the case for activities that are tiate or reject a proposed intervention by
likely to affect a people’s ability to continue third persons without any duress. Commu-
their way of living, to determine their own nities must have the possibility to refuse
development or to maintain access to the consent. Likewise, they must be able to
natural resources necessary for their withdraw their consent if the terms on
176 65 Jerome Lewis

which it was negotiated are not respected. impacts have been identified, a key task for
Their consent is only meaningful on these the communication team is to develop
terms. Fair, non-coercive negotiations appropriate communication methods to
respected by all participants produce last- ensure the widest possible participation of
ing and sustainable agreements. the communities without discrimination
Specific approaches and strategies that against any groups (such as women). The
take into account socio-cultural and linguis- social and cultural context, languages, liter-
tic differences and literacy levels must be acy level, political organisation and local
developed to fully inform people of both styles of exchanging information, learning,
potential positive and negative conse- discussing and negotiating must all be taken
quences. These may include, for example, into account to ensure that information is
theatre techniques or site visits, rather than properly transmitted and that the negotia-
written documents. Before consent can be tion of consent is therefore viable and
requested, it must be independently verified durable.
that the people concerned have properly 3. Create a participatory partnership and
understood information given. inform local communities
In order to create a participatory partner-
Prior ship, it is crucial that the affected peoples
Consent must be negotiated before people decide how they wish to represent them-
are affected by external actions. In situations selves. They should also be offered
where activities have already taken place appropriate support to ensure the internal
before a FPIC process has begun, consent flow of information, and be given the oppor-
must be sought for any further activities tunity to explain how they make decisions
once a FPIC approach is applied. concerning consent.
Prior engagement should enhance the Based on this participatory partnership,
success of projects by defusing potential the methods developed by the communica-
conflicts and creating partnership opportu- tion team should ensure the ongoing
nities at the beginning. The earlier an FPIC transmission of the information necessary
process is implemented the more lasting for informed negotiation and the full partic-
and sustainable the benefits for all stake- ipation of affected communities in the
holders will be. discussions and decisions related to their
consent. These enable the state, private
The eight key stages of a FPIC process company or NGO to provide key informa-
1. Strengthen institutional capacities tion to the concerned population for the
In order to ensure fair negotiations between duration of the project. Such information
parties, some institutional strengthening should include project activities on the lands
may be needed within the government body, of the affected population, potential positive
private company or NGO so that it can and negative impacts, and potential bene-
provide appropriate support to the commu- fits to be realised, the process of negotiating
nities affected. This often requires creating a consent, and the right to refuse consent or to
team with expertise in communication and re-negotiate it by, for instance, demanding
in the languages, concepts and culture of all protection of key resources or benefit shar-
the parties involved. It may include people ing.
of confidence chosen by the affected peoples 4. Carry out participatory mapping of land
who can supervise the process of ongoing use
negotiation. In order to decide of whom consent must be
2. Develop communication and informa- requested and to determine the potential
tion strategies impact of the proposed activities on
Once the potential positive and negative communities, it is vital to document the land
 ● How to implement free, prior informed consent (FPIC) 177

usage and customary rights of affected context. It may mean delivering goods,
populations. Based on this, informed nego- money or services to local villages, associa-
tiations can begin. tions or families. The choice depends on the
Mapping land usage must be conducted wishes of the affected population, but must
using a participatory approach together take into account the degree of inequality,
with the concerned communities. It can be clientelism and the management capacity of
done by GPS, but in the case of illiterate the groups concerned.
communities a GPS unit with an iconic user 7. Record and formalise the process of
interface should be used. In situations where obtaining consent
there are overlapping usages by different The steps and procedures for obtaining
communities, both communities need to be consent must be recorded in various forms,
equally consulted for their consent, rather satisfying the understanding of consent for
than trying to attribute exclusive rights to both parties involved (this may be a docu-
one or other of the communities. ment for the company, organisation or
Through mapping, an accurate inven- administration and exchange of goods and
tory of community resources as well as the services and holding appropriate cere-
economic and cultural activities carried out monies or celebrations for local
can be made (e.g. fishing zones, important communities).
food trees, sacred sites, cemeteries, hunting 8. Maintain the relationship on which the
areas etc.). The mapping can also be consent is based
extended to any information that could help Consent is a process relying on all parties
the success of the project and the negotia- being satisfied with their relationship. It is
tions (wildlife movements, retention of important to maintain the quality of this
carbon in the biomass, rainfall etc.). relationship throughout the negotiations
5. Identify resources to be protected and and beyond. Once agreed upon, the obliga-
negotiate compensation for any damages tions of each party must be respected so that
Participative resource and land inventory good relations can be maintained.
mapping enable focused discussion with the If agreements are not honoured then
communities concerning which measures affected groups have the right to withdraw
can be put in place to protect their resources their consent and activities should cease
and activities. It also facilitates and informs until either reparations are made and
discussions over compensation to be paid consent is given again, or the rupture is
for intended or unintended damages caused formalised and cessation of activities made
by the activities of third parties. permanent.
6. Agree benefit-sharing
The uses that third parties make of the land Advantages of FPIC
and resources belonging to local peoples There are numerous advantages to applying
often generate benefits or wealth for the FPIC for both the environment and the
third parties while reducing the value of the people involved. It enables the transforma-
area to the affected people or limiting their tion of the management of land and
access to key resources. Affected peoples are resources in the project area to become
entitled to a share of the benefits produced. more environmentally and socially respon-
Dams, for example, will create benefits sible, and therefore sustainable because it is
alongside negative impacts for dozens of based on cooperation and equality. Impor-
years. Therefore the benefits must be shared tant advantages are:
with the affected communities for at least as • The participation of local communities in
long as they are produced. managing their land and resources through
Such benefit-sharing is negotiated and fully recognising their rights.
may take different forms depending on the • The establishment of ways for communi-
178 65 Jerome Lewis

ties to control the use of resources on which context marked by great inequalities may
their livelihoods depend. temporarily lead to increased tensions.
• The protection of their resources and way • Highly skilled negotiators are required to
of life. overcome the damaging potential of cross-
• The redistribution and sharing of benefits cultural misunderstanding.
derived from the exploitation of their • Powerful local persons could manipulate
resources. and benefit from information transmitted
• The facilitation of their own aspirations for to them at the expense of other residents,
their development. and damage the process in general.
• The prevention of conflicts between the • The participation of communities in the
local communities and other resource users. management of natural resources through
• A general reduction of conflicts, and the FPIC does not automatically generate more
development of partnerships between local sustainable management practices without
communities and those using their land or specific agreements and control mecha-
resources. nisms.
• The increase in efficiency and sustainabil- • The amount, manner and administration
ity of companies and government of compensation and benefits must be nego-
institutions thanks to these partnerships. tiated with great care because, depending
on the context, they may increase claims
Challenges of FPIC towards the state, company or organisation,
The implementation of FPIC requires stir jealousies between and within commu-
efforts in terms of investment (time, nities, and foster corruption.
resources and training) and poses certain • Ensuring the participation of the majority
challenges: of the population may require careful strate-
• Negotiations can last a long time if liter- gies. Methods and special means must be
acy levels are not taken into account, or if established to facilitate and measure the
social inequality and corruption are high. participation of all directly and indirectly
• The resolution of conflicts and the estab- affected people, in particular marginalised
lishment of good relations are not groups such as women.
guaranteed in the short term. The opening • State support for the right to say ‘no’ to
of a dialogue between different cultures in a proposed developments is difficult to assure.

CONTACT DETAILS
Jerome Lewis
Lecturer in Anthropology and Co-Director of
the Environment Institute and Extreme Citizen
Science Research Group
University College London (UCL)
14 Taviton Street
London
WC1H 0BW
UK
Email: Jerome.lewis@ucl.ac.uk

REFERENCES
Abridged from documents prepared by the author, Sophie Borriel
(Anthroscape), Regula Hafner and Christoph Weidmer (www.gfbv.ch).
For further information see: Lewis J., L. Freeman and S. Borreill (2008)
Free, Prior and Informed Consent and Sustainable Forest Management
in the Congo Basin. Society for Threatened People Switzerland: Berne.
Online: www.rightsandresources.org/publication_details.php?
publicationID=841
 179

16
Understanding and
facilitating a biocultural
community protocol
process

by HOLLY SHRUMM and HARRY JONAS

The Regional Initiatives on Biocultural Key considerations before facilitating a

Community Protocols have led to the biocultural community protocol
development of a dedicated toolkit and Before beginning the process of docu-
website on biocultural community proto- menting, developing and using a
cols. 1 2 The toolkit is comprised of the biocultural community protocol, facilita-
following four parts: tors should have a solid understanding of
• Understanding and using the toolkit how the community defines itself, cultural
• Documenting and developing a biocul- and internal dynamics, local institutions,
tural community protocol and participation and representation.
• Using a biocultural community protocol Considerations about how to facilitate a
• Reflecting, reporting and revising protocol process include understanding
The website contains further back- the role of the facilitator, managing expec-
ground information on key methods and tations, timeframes and information,
tools, examples of protocols from around supporting community catalysts, and seek-
the world, and supplementary resources ing agreement about roles and
such as publications, films, and e-learning responsibilities in the protocol process.
modules on legal frameworks. This article These are not hard rules or step-by-
highlights a number of considerations step requirements, but could be
from the toolkit about facilitating a proto- considered good practice guidelines to
col process.3 adapt to the local context and the skills of
the facilitator. They can be explored in a

1 For more information on the Regional Initiatives on Biocultural Community Protocols, see:
http://naturaljustice.org/our-work/regional-initiatives/biocultural-community-protocol
2 See: www.community-protocols.org
3 Download the full toolkit at: www.community-protocols.org/toolkit
180 65 Holly Shrumm and Harry Jonas

Box 1: Documenting, developing and Cultural and internal dynamics

using a community protocol Culture plays a critical role in the protocol
process and should help define the
Overall, the process of documenting, developing
and using a community protocol should: approach and tools that you use as a facili-
• Be defined and controlled by the community tator. Much like identity, it can only be fully
• Be empowering and rooted within the understood and meaningfully conveyed by
community’s values and procedures the community itself. If you are from an
• Create a space for trust, respect, sharing,
outside organisation, establish a working
reflection and learning-by-doing
• Include the full and effective participation of as knowledge of the culture and internal
many community members as possible dynamics, for example, by informally
• Encourage dialogue and learning between exploring key topics of importance to the
generations, between different groups in the community such as natural resource
community, and with other communities with
management practices, customary laws
shared heritage, resources or knowledge
• Value and build on the diversity of knowledge, and values, perceptions of ownership and
skills and capacities in the community stewardship, traditional authorities and
• Emphasise the inter-linkages between social- governance systems, gender and family
cultural, material and spiritual well-being structure, dance, music, folklore and spiri-
• Increase awareness of relevant legal frameworks
tual beliefs. The aim is not to document
and clarity on how the community would like to
engage with them them for the sake of it, but to eventually
• Inspire community mobilisation around key focus on the most foundational and press-
issues ing issues that the community would like
• Lead to tangible change in accordance with to address in the protocol.
community plans and priorities
Every community has unique internal
dynamics that are determined by relations
number of different ways, including between individuals and groups. Pretend-
through workshops, open-ended discus- ing that there are no politics or tensions
sions with certain groups and focused may seem easier at the beginning, but is a
meetings with community leaders (Box 1). short-sighted approach which is likely to
backfire. Some degree of conflict is
Contextualising ‘community’ inevitable, especially when livelihood secu-
Ensuring clarity about who and what rity and well-being are at stake. The
comprise the community is integral to the protocol process should not be used as a
protocol process. Outsiders commonly use tool to create divisions or to advance the
the term ‘community’ to refer to people political power of certain groups within
living in a geographically defined space the community. Above all, it should instill
without much consideration of what joins a sense of unity and common vision.
them together or what may separate them.
People generally know the boundaries of Local institutions and governance
their own community and where another Another fundamental aspect of a commu-
one begins. This understanding of bound- nity protocol is who decides and how
aries is governed by relations between decisions are made about the community
groups that are often historically deter- and surrounding environment. Also
mined. It is fluid and can change over known as governance, this is a matter of
time, particularly in the context of new power, responsibility, human relations,
threats or opportunities. Individuals can participation, legitimacy, transparency
also have multiple roles, identities and and equity. A comprehensive discussion
alliances. Above all, the community must about governance structures should
define itself and determine how to address feature strongly in the protocol process
external issues. itself. Focus on exploring stories and
 ● Understanding and facilitating a biocultural community protocol process 181

Box 2: Guiding questions about Box 3: Guiding questions to enhance

community institutions and governance participation and representation
• How are important decisions made in your • Who should be involved in the different stages of
community? developing a biocultural community protocol? What
• What are the core values that guide decisions? roles and responsibilities could they undertake?
• Who is involved in making decisions? Who is • What social, cultural or political barriers affect
considered to be the community authorities? different members of the community? How might they
• How can or do you participate in the process? affect people’s capacity or willingness to participate in
• Do you feel you have sufficient opportunities to activities related to the protocol? How can these be
voice your concerns and opinions? accommodated in an attempt to facilitate broad
• Would you like to change anything about the participation and representation in locally appropriate
existing system or structure? ways?
• How do community institutions relate to local • Are there certain times of the year, month and/or day
government officials? that would be more appropriate for different people to
• Could you share an example of a good decision? be involved? Discussions and activities around the
What were the main factors that led to it? protocol should aim to work around the community’s
schedules and routines, rather than vice versa.
personal experiences rather than allega- • People respond differently to certain learning,
tions of the validity of decisions. In some documentation and communication styles. For
example, some learn better through watching others,
situations, community institutions may
looking at text or listening, and others learn better
not seem equipped to deal with new chal- through physical movement. How can discussions and
lenges. In other situations, long-standing activities around the protocol be facilitated in
community practices may be highly effec- culturally appropriate, diverse and engaging ways?
tive at dealing with new threats or
opportunities. Assumptions either way Box 4: Accommodating different groups
should be withheld (Box 2). within the community
Guidance on accommodating different groups within
Participation and representation the community such as women, youth, the elderly, and
Participation and representation are people with disabilities or behavioural challenges:
essential to biocultural community proto- • Remain sensitive and patient
cols. As much as possible within the local • Avoid appearing to be condescending or patronising
• Understand that each wants to contribute to
culture and situation, the protocol should community processes
strive to include the full spectrum of • Have confidence in their abilities and unique
perspectives, especially those of women, contributions
youth, the elderly and others who are often • Ask in advance when they might be able to
excluded from decision-making processes participate in activities such as workshops or data
collection
(Boxes 3 and 4). Although it is not possible • Hold separate meetings or workshops for specific
to include every single person, a participa- people or groups
tory approach contributes to building • Pay close attention to behaviour and levels of
greater consensus and collective learning. participation during community activities
It also helps people feel personally
invested in the process, which increases Understanding your role as a facilitator
potential for effective social mobilisation Facilitation can be challenging yet highly
and tangible change. Conversely, a rewarding. It requires skill, sensitivity, flex-
community protocol that has been devel- ibility, and willingness to learn and adapt
oped with little consultation and without to changing conditions (Box 5). The role
using any participatory methods would of the facilitator in workshops, community
raise significant concerns about represen- meetings, group discussions and other
tation and legitimacy. It could also lead to forms of gathering includes, for example:
feelings of exclusion, internal conflict and • drafting an agenda and list of partici-
divisions, and ‘elite capture’. pants to be invited;
182 65 Holly Shrumm and Harry Jonas

Box 5: Qualities and actions of a good Box 6: Key questions for discussion with
facilitator those involved in the protocol process
• Be an active listener • What is the purpose of the protocol?
• Play a supporting role • What is our role? What does the process involve?
• Respect the local culture and traditions • What are the costs and risks?
• Maintain an atmosphere of respect and openness • What are the benefits?
• Foster trust and confidence • How would it be useful to our community or group?
• Be consistent and clear • How can we plan for and respond appropriately to
• Remain neutral and level-headed unexpected opportunities or consequences?
• Keep up positive momentum
• Take notice of subtle changes in energy and tone a certain part of the process and reporting
• Develop positive rapport with a range of back to others involved, including yourself
community members and the community leaders.
• Keep the broader objectives in mind and help focus
discussions on key issues
Managing expectations
• identifying key discussion points; One of the most important parts of facili-
• securing logistics and materials; tating a protocol process is to manage the
• arranging for translation; expectations of those involved (Boxes 6 and
• setting the ground rules; 7). This includes individuals and groups
• following the agenda and time constraints; both within the community and amongst
and external actors. Establishing a sense of real-
• keeping a record of discussions. istic expectations at the beginning and
throughout the process can help prevent
Seeking the support of community disappointment and cynicism. It can also
catalysts provide a mechanism for reflection and
In addition to your own role as the evaluation at different stages of the process.
primary facilitator, you will require the
support of other community members Managing timeframes
who demonstrate certain qualities such as: There is no set rule or formula for how long
• Leadership it takes to ‘do’ a biocultural community proto-
• Sense of commitment to the greater good; col. The timeframe for the whole process of
• Reliability documenting, developing, using and reflect-
• Initiative ing upon a protocol will vary widely
• Ability to work well independently and depending on the local context. Each part of
in teams the process could be affected by a range of
• Open-mindedness factors and unavoidable circumstances, both
• Flexibility positive and negative (Box 8). For many
• Willingness to learn communities, a protocol is seen as an ongo-
These individuals could be considered ing and evolving process that is part of their
‘community catalysts’ or people who have long-term plans and strategies. The protocol
the potential to inspire and create signifi- may thus have no clear ‘beginning’ or ‘ending’.
cant change. Although they may not As far as possible, the timeframe
necessarily serve as official representatives should be determined by the local situa-
of the community, there are countless tion and by the community’s priorities and
different roles that they could play, includ- capacities. Although practical considera-
ing facilitating workshops, presenting at tions such as available funds and human
local schools, contacting the media, or resources must be taken into account,
organising a delegation to visit a local timeframes should not be determined
government official. They should be primarily by external interests or donor
comfortable with taking responsibility for requirements.
 ● Understanding and facilitating a biocultural community protocol process 183

Box 7: Key considerations and caveats Box 8: Factors that may affect the
to help manage expectations timeframe of a protocol process

• A protocol is not a panacea. There is no guarantee • Reasons for undertaking a protocol in the first place
that all of the issues contained in a protocol will be • Agency, motivation and capacity for mobilisation
sufficiently addressed or resolved. • Internal cohesion and clarity of leadership and
• The likelihood of realising a community protocol is decision-making systems
influenced by a wide range of factors. However, it is • Available resources (financial, human, time,
often most significantly affected by internal factors material)
such community cohesion, strong leadership and • Existing experience with key methods and tools
governance structures, and agency and initiative. • Existing research or documentation of key issues
• Unexpected opportunities or consequences may that will be included in the protocol
arise that are directly, indirectly, or not at all caused • New development project, law or other external
by the protocol process. pressure that will significantly affect the community
• Natural disasters
• Illness or family losses
Managing information • Elections or changes in political administrations
Facilitating a protocol process comes with
the responsibility of managing a lot of Seeking community agreement for the
information collected through workshops, protocol process
meetings, interviews, desktop research and Drawing on the guidance above, ensure that
so on. As it will form the basis of the proto- the community is clear from the outset about
col itself, it should be documented and the protocol process and about the role of the
organised in a way that makes sense and is facilitator. First, the process should be driven
appropriate in the local context. Some by and for the community, with support from
information such as locations of sacred the facilitator. Even if there is a considerable
sites or potentially lucrative resources may amount of organisation and resources being
be sensitive or confidential and require invested, it is still the community’s protocol
extra precautions. Being aware of how you and it is essential that they have ownership
would handle this responsibility from the over the process. Second, ensure clarity on
outset may improve the overall process. roles and responsibilities for various tasks,
Documenting the protocol process itself is including documenting and consolidating
also useful to help verify certain informa- the protocol. If certain community members
tion to ensure accuracy, provide evidence or catalysts commit to key roles, it will
of a particular outcome or agreement, and become an initiative of the broader commu-
facilitate community validation of the nity, distinct from and larger than your role as
consolidated protocol. facilitator.

CONTACT DETAILS
Holly Shrumm and Harry Jonas
Natural Justice: Lawyers for Communities and the
Environment
479 Jalan Sang Kancil
Kota Kinabalu 88000
Sabah
Malaysia
Emails: holly@naturaljustice.org
harry@naturaljustice.org
Websites: www.naturaljustice.org
www.facebook.com/naturaljustice
www.community-protocols.org
184

17
Using stakeholder and
power analysis and BCPs
in multi-stakeholder
processes

by HERMAN BROUWER, WIM HIEMSTRA and PILLY MARTIN

Introduction This Tips for Trainers discusses an

Many community protocols will be used by action-research programme which is
the communities in negotiations with other analysing power dynamics in MSPs and
(usually more powerful) stakeholders, e.g. exploring how to strengthen the capacity of
over proposed large-scale developments or local communities to negotiate with more
mining or oil exploration on communities’ powerful stakeholders. The programme
lands. Similarly, FPIC processes involve began in 2011 and includes 12 projects in
negotiations with other stakeholders. nine countries.1 Six Dutch NGOs, their
These negotiating processes are often southern partners and the Change Alliance
referred to as ‘multi-stakeholder processes’ are implementing the programme, funded
(MSPs). In some cases there is a formal by PSO, an umbrella organisation of Dutch
platform, or common space, that is collec- development organisations.2 Some of the
tively owned by all the stakeholders, where action learning sites are already established
negotiations can take place. In other cases, multi-stakeholder processes (MSPs), whilst
the stakeholders do not all meet in one in other cases communities are pushing for
place but are still engaging in various ways. such a space to be created.
Analysing the interests of stakeholders and The first part of this Tips looks at the
the power dynamics operating (whether a methodological framework used in the
formal MSP process is in place or not) is action-research. The second part focuses
very important in enabling communities to on the efforts of local communities in
plan how to negotiate with these more Lamu, Kenya to claim their rights through
powerful parties. a biocultural community protocol (BCP)

1 A learning event is planned in 2012 to compare the findings amongst the participants, with
support from an academic expert reference group.
2 The Change Alliance is an emerging global network of organisations joining forces to increase
the effectiveness of the multi-stakeholder processes in which they engage.
 ● Using stakeholder and power analysis and BCPs in multi-stakeholder processes 185

process, and to demand negotiations over a power dynamics and learn together how to
large-scale port development that has been effectively engage with and influence
proposed by the Kenyan government. It processes that involve more powerful actors.
discusses how participatory tools such as Through this, communities should gain the
stakeholder and power analysis are help- confidence to engage more effectively with
ing them in this. They are being supported these more powerful stakeholders in the
by local researchers working as part of the future.
larger action-research programme.
Methodological framework
Why analyse power in MSPs? In order to ensure a coherent method-
MSP advocates often argue that, because ological framework for the 12
of the interdependence of stakeholders in action-learning projects, seven research
solving complex issues, MSPs create trust- questions and seven action questions were
based relations that enable the empowered agreed during a programme inception
and active participation of all stakeholders. meeting in November 2011 (Table 1). Local
However, the distribution of power, capac- researchers, facilitators from the Centre
ity and resources is generally imbalanced. for Development Innovation, Wageningen
Power differences are embedded in the University, The Netherlands, and conven-
social fabric of society and can be repro- ers from the six Dutch PSO member
duced, or even reinforced, in an MSP. Even organisations participated in this meeting.
if participants are willing to engage in An accompanying menu of tools for stake-
dialogue on an equal basis, there are still holder analysis and power analysis has
differences in the level of experience, access been drafted to help local researchers
to resources and information. The MSP select tools for their specific situations. The
process itself will also generate new inter- local researchers will conduct stakeholder
personal power dynamics based on analysis with local communities before
charisma, skills and persuasiveness, the entering into power analysis (Table 1 and
ability to mobilise funds, seniority and Box 1).
many other elements.
However, failure to recognise power Demanding a voice: the Save Lamu
dynamics can result in some stakeholders coalition
dominating others. Less powerful stake- Lamu County is on the coast in northern
holders can be abused, overruled or Kenya. It has been a UNESCO World
excluded. Such dynamics prevent joint Heritage Site since 2001 and was declared
learning and innovative solutions which a UNESCO Man and Biosphere Reserve in
one would expect as outcomes of a good 1980.3 Lamu town is also the oldest and
MSP. The outcome of such a MSP will not best-preserved Swahili settlement in East
reflect the interests and needs of less Africa. The people of Lamu are proud of
powerful stakeholders, often those repre- their cultural and natural heritage: Lamu
senting the grassroots level. So there is the County is home to rare marine species such
need for a thorough understanding of as sea turtles, sharks and dugongs.
power dynamics in MSP processes by the However, this has been threatened by the
parties involved. proposed Lamu Port and Lamu-Southern
The action-research described here is Sudan-Ethiopia Transport (LAPSSET)
intended to help address this. Local corridor project. This project would build a
researchers are supporting the weaker pipeline to deliver oil from South Sudan to
stakeholders (communities) to analyse a new refinery near Lamu town, build port
3 See: http://tinyurl.com/unesco-man-biosphere. Full URL: www.unesco.org/new/en/natural-
sciences/environment/ecological-sciences/man-and-biosphere-programme
186 65 Herman Brouwer, Wim Hiemstra and Pilly Martin

Table 1: Research questions, action questions and tools

Research questions Action questions Tools

1. Who are the key actors involved? Understand 1. Are these the right Stakeholder analysis:
the different degrees of power among MSP actors, their actors? Do other actors 1, 2, 3, 4, 5, 6, 7, 8, 9, 11
bases of power and the manner in which they use their need to join the MSP? Power analysis:
power. 6, 7

2. What are the interests/goals of the different 2. How can common Stakeholder analysis:
actors? interests be strengthened? 1, 2, 4, 5, 7, 8, 9, 10, 11
Actors have common longer-term objectives, but may How can different interests Power analysis:
have different interests and inter-dependencies which be overcome? What other 6, 7, 8, 9, 10
may be a source of conflict, strength or (in) options are available?
effectiveness.

3. How is the problem framed and by whom? 3. What is needed to Stakeholder analysis:
Actors in control of agenda-setting can exercise their strengthen the influence of 1, 2, 4, 9
power. Participatory and empowerment tools are the least influential? How Power analysis:
needed to balance the level of influence of all actors in can empowerment be 6, 8, 9, 10
the MSP. promoted?

4. What are actors’ key resources (e.g. material, 4-5. How can inter- Stakeholder analysis:
immaterial, political, economic, social, dependence at the level 1, 2, 3, 4, 5, 6, 7, 8, 9, 11
institutional)? of resource access and Power analysis:
How does control over resources affect each actor’s control be realised? 6, 7
ability to exercise influence? Which capacities of
which actors need to be
5. What are the (resource) dependencies strengthened? Stakeholder analysis:
between actors? 1, 4, 7, 8, 11
Different actors have different access and control over Power analysis:
resources that determine their influence and their 2, 6, 8, 9
capacity to realise their interests.

6. What are the decision-making rules? 6. What are the constraints Stakeholder analysis:
Understand the institutional dimension of the MSP. in the decision-making 9
What are the rules? How and by whom are they set? process? Can governance Power analysis:
How are they enforced, arbitrated and sanctioned? agreements be changed? 1, 3, 4, 5, 6, 8, 9, 10

7. To what extent are different interests reflected 7. How can decision-making Stakeholder analysis:
in outcomes of decision-making? be organised such that all 3, 6
The decisions taken are an expression of the results of actors benefit and see results Power analysis:
the power dynamics in the MSP. that meet their interests? 8, 9, 10

facilities to ship the oil from a giant tanker County came together in 2010 to form a
terminal, lay more than 1700km of new coalition called Save Lamu, in response to
highways and railways to South Sudan and the Kenyan government’s plans, part of its
Ethiopia, and build three new airports and Vision 2030.4 Although the planned infra-
tourist resorts in Lamu, Isiolo and at Lake struc ture will have irreversible
Turkana. It would also bring an estimated environmental, social and demographic
1.2 million people to the area (an estimated impacts on what is a unique and politi-
tenfold increase), giving rise to fears that cally sensitive area, State decision makers
local cultures will be lost. have not consulted the Lamu community
Different ethnic communities in Lamu as the key stakeholders, and no environ-
4 The different Lamu ethnic groups include the Bajun, Kore-Maasai, Sanye, Boni, Pokomo,
Orma, Mijikenda and are represented by local leaders. See: www.savelamu.org
 ● Using stakeholder and power analysis and BCPs in multi-stakeholder processes 187

Box 1: Stakeholder and power before any further development plans are
analysis tools inaugurated.
The action-research in this case aims to
Stakeholder analysis tools:
1. Rich picture support local communities in their efforts to
2. Problem tree analysis persuade the government to accede to the
3. Interest/influence matrix demands in their petition.6 This entails trying
4. Stakeholder characteristics and roles matrix to get powerful stakeholders to start negoti-
5. Spiderweb network diagram
ations on possible impacts in a peaceful
6. Fast arrangement mapping
7. Stakeholder interests, roles and skills manner, i.e. create an MSP. Save Lamu has
8. Community institutional resource mapping been campaigning for this space to be created
9. Institutional analysis in various ways, including petitions, writing
10. Four quadrants of change framework letters, demonstrations, legal action against
11. Value chain mapping
ministries and use of the media. At the same
Power analysis tools: time, 46 Lamu communities are claiming
1. Power cube their right to give or withhold consent to the
2. Sources and positions of power
developments affecting them through an
3. Expressions and faces of power
4. Spaces and levels of power FPIC process as part of a BCP which will be
5. Power ranking finalised in 2012. Two BCP teams (Lamu
6. Net-map (tracing power and influence in East and Lamu West) were involved in devel-
networks) oping the BCPs, based on visits to 46 villages
7. Power matrix
in Lamu County. The BCP includes the histo-
8. Political analytical tool
9. Biocultural community protocol ries, culture and values of the communities,
10. Circle of coherence their resources and how they use them for
Source: Brouwer et al. (2012). their livelihoods. They also cover their rights
under the Kenyan constitution and in
mental impact assessment has been national and international laws.
carried out.5
On the 25th January 2011, Save Lamu An example of stakeholder and power
filed a petition with 1000 signatories from analysis
different villages in the Lamu archipelago. The action-research has focused around
The coalition demanded that: meetings of the Save Lamu coalition. The
• the Government of Kenya (GOK) publicly first meeting was in February 2011 and a
shares all information on the proposed further five meetings are planned for 2012.
project with local communities; During the early meetings, stakeholder and
• the GOK facilitates a comprehensive envi- power analysis tools were used.
ronmental impact assessment to be carried
out by independent experts; Stakeholder analysis: using the
• a participatory process is undertaken with interest/influence matrix tool
the local communities involved in the The researchers first carried out a stake-
assessment of the impacts and planning of holder analysis to identify all key
the proposed project; and stakeholders affected by the proposed port.
• the land rights violations against the The assessment of stakeholder power
indigenous Lamu communities are dynamics was done using the interest
adequately investigated and addressed against influence matrix.7
5 An environmental impact assessment is an assessment of the possible positive or negative
impacts that a proposed project may have on the environment, together consisting of the
environmental, social and economic aspects. Source:
http://en.wikipedia.org/wiki/Environmental_impact_assessment
6 The action researchers became involved in Lamu in October 2011 after developing a
research proposal between ETC COMPAS, Save Lamu and Natural Justice.
7 See for example: www.odi.org.uk/resources/docs/6509.pdf
188 65 Herman Brouwer, Wim Hiemstra and Pilly Martin

Figure 1: Interest–influence matrix, Lamu

1. High interest + influence:

Government agencies;
line ministries; states and
2. Low interest + high influence
international investors;
key politicians and
Degree of influence

decision makers

3. High interest + low influence

National civil society; 4. Low interest + low influence
international organisations;
community leaders

Level of interest
The power of pro-LAPSSET stakeholders exceeds considerably the power of the community actors.
Source: Goldsmith (2012).

Stakeholders were divided into six cate- internalised forms of power.

gories and graded according to interest and • Power spaces refer to potential arenas for
influence: high or low (Figure 1). Because participation and action – closed, invited or
all the stakeholders named are by definition claimed.
already highly interested parties, the grad- • Power levels (local, national, global) refer
ing used only the influence axis. to different layers of decision-making and
Stakeholders were categorised as being authority.
either high influence or low influence. To facilitate understanding, the power
cube became a power house, using analo-
Power analysis: using the power house tool gies of Islamic architecture in Lamu. People
The power cube was discussed with were asked how they would fit themselves
members of the Save Lamu management and other groups involved in the LAPSSET
committee, and representatives from the project into the power house. This led to a
two BCP teams. The representatives very animated discussion. For example, in
included hunter-gatherers, pastoralists, Figure 1:
farmers and fisherfolk, covering a wide • The door represents the visible economic
range of interests. Pilly (one of the co- power of the communities at local and
authors of this article), who is from Tana national levels, and is a powerful symbol of
River, an area neighbouring Lamu, was the Lamu culture.8
main facilitator. The dimensions of the • The window represents formal/closed
power cube were written in English and power, crossing the local and national
Pilly translated the concepts into Kiswahili. levels, e.g. the GoK Vision 2030, which
We first introduced the concept of communities are unable to participate in.
power and its different dimensions: forms, • An example of internalised power is the
spaces and levels of power (Figure 1). BCP which communities have been devel-
• Power forms refer to visible, hidden and oping. It is internalised because it reflects
8 Lamu doors are very ornate and unusual, and part of the Swahili architectural style. The
door symbolises both Lamu culture and their economic power, because the doors are
exported. They are made from mangrove trees, which grow in saline water. However, the
mangroves, from which the doors are made, and which are also integral to marine-based
livelihoods like wood trading and fishing, are threatened by the port.
 ● Using stakeholder and power analysis and BCPs in multi-stakeholder processes 189

Figure 2: The power house

LEVELS
Global

National

Local

SPACES
FORMS
Formal/
Closed Internalised

Invited
Hidden

Claimed Visible

their histories, cultures and customary much about finding common ground
governance of resources. between the different groups in the Save
• People felt that elected local leaders had Lamu coalition and trying to resolve inter-
hidden power since they only have power nal tensions through dialogue as about
when they talk to local people, but are not developing strategies to fulfil their
listened to at the national level. This is demands. People have different views of the
represented by a window with dotted lines. history of the coastal strip, some valuing
• The half-open window represents invited their Arab heritage, others seeing it as colo-
space at local and national level. For exam- nialism and slavery. The way in which the
ple, the government created the Lamu Port different societies operate also varies. Some
Steering Committee, which Save Lamu are based on respect for elders, whilst
members are now invited to participate in. others are more egalitarian. This creates
However, they are not involved in agenda- tensions and mistrust between different
setting. groups, and makes it difficult to come to a
unified understanding. Each group has its
Lessons and challenges in using the tools own way of doing things and this is a huge
The early meetings between the challenge in terms of developing a joint
researchers and communities were as BCP to be used for advocacy purposes.
190 65 Herman Brouwer, Wim Hiemstra and Pilly Martin

Photo: Pilly Martin

The Lamu power house.

Having a facilitator from the local area made great efforts to ensure she was seen
was important because four different to be inclusive in bringing in different
Kiswahili dialects are spoken. But this perspectives.
sometimes led to a perception that some The meetings have also helped Save
groups were listened to more than others. Lamu to strategise in terms of their rela-
The facilitator was very aware of that and tionships with other stakeholders. For
 ● Using stakeholder and power analysis and BCPs in multi-stakeholder processes 191

example, the coalition has been seen as anti As one MSP researcher reports (Gold-
the Kenyan government itself, rather than smith, 2012):
just its actions. They felt they needed to
appear readier to compromise and to nego- It is naïve to expect one BCP by itself to
tiate. The power analysis helped them make the government of Kenya and the
identify spaces for action to change this international finance partnership be
perception. For example, the Port Steering accountable to local communities’ biocul-
Committee has been set up by the govern- tural rights. Its influence will, in contrast,
ment to solicit views from the local increase exponentially when it becomes
community. This was initially an invited part of a mosaic of BCPs covering all the
space, but is now moving towards a LAPSSET affected communities (and
claimed space as three members of the others indirectly involved) in Kenya.
coalition have joined it. As relations Bringing communities from Sudan and
between government and the coalition Ethiopia will raise that influence to
have improved, local government officials another level.
(such as the district commissioner) have
attended the fourth meeting of Save Lamu. The regional and national meeting will
There is now an open door policy with local work towards that agenda. The
government officials – Save Lamu can go interest/influence analysis will be repeated
to the government offices any time for to enrich and expand the information
discussions or to request information. This generated by the meetings in Lamu
step is crucial as it helps in developing a County. The power house will also be revis-
formal MSP process. ited to monitor changes in power positions
The analysis also helped identify that it and rules for decision-making.
was important for Save Lamu to talk to the The Lamu communities decided in
local media and put forward their point of Januar y 2012 to sue five Kenyan
view, as media coverage of Save Lamu has ministries because their right of access to
at times been quite negative. information and their rights to a clean
Further analysis is needed to better and healthy environment and to their
inform future meetings and the advocacy land are being denied. The court case, the
strategy that will emerge out of them. After BCP and the pressure to begin a multi-
four Save Lamu county meetings, a regional stakeholder process are thus mutually
and a national meeting are planned to coor- reinforcing. It is not yet clear whether
dinate and mainstream BCPs as an powerful stakeholders (Government of
advocacy and dialogue tool to engage with Kenya and politicians) will be ready to
powerful stakeholders. This meeting also listen to the demands of concerned citi-
plans to present the BCPs to other commu- zens and negotiate modifications that
nities that might be affected by the could make Lamu the greenest African
LAPSSET project, in the hope that they will port, and safeguard community rights to
be inspired to develop their own BCPs. lands and livelihoods.

CONTACT DETAILS
Herman Brouwer
Centre for Development Innovation
Wageningen University
The Netherlands
Email: herman.brouwer@wur.nl
Website: www.cdi.wur.nl
192 65 Herman Brouwer, Wim Hiemstra and Pilly Martin

Wim Hiemstra
ETC COMPAS
PO Box 64
Kastanjelaan 5
3830 AB Leusden
The Netherlands
Email: w.hiemstra@etcnl.nl
Website: www.compasnet.org

Pilly Martin
Independent researcher on peace building and
conflict resolution
Email: pillymartin@gmail.com

REFERENCES
Brouwer, H., A. Groot Kormelinck and S. van Vugt (2012) Tools for
analysing power in multi-stakeholder processes – a menu. Toolbox
developed for the Thematic Learning Programme ‘Strategically
dealing with power dynamics in multi-stakeholder processes’.
The toolbox portal will soon be accessible online. See:
www.wageningenportals.nl/msp
Goldsmith, P. (2012) A preliminary overview of the LAPSSET corridor
stakeholder analysis. Internal report, Save Lamu MSP Initiative.
Save Lamu (2012) ‘Lamu Port legal petition.’ Submitted 25th January
2012 to Milimani Courts, Nairobi. See: www.savelamu.org
 193

IN TOUCH
194 65
 195

Biodiversity and culture:

exploring community
protocols, rights and
consent

RELATED RESOURCES input from other key partners from

around the world. It is comprised of four
Biocultural community protocols: a parts:
toolkit for community facilitators • Part I: Understanding and using the
●Edited by Holly Shrumm and Harry Jonas toolkit
Natural Justice, March 2012 • Part II: Documenting and developing a
Biocultural community protocols can be biocultural community protocol
used to support indigenous peoples and • Part III: Using a biocultural community
local communities to secure their protocol
territories, areas and resources and • Part IV: Reflecting, reporting and
associated rights and responsibilities. revising
This toolkit was developed through the The toolkit is directed primarily
Regional Initiatives on Biocultural towards facilitators from the
Community Protocols with guidance and communities themselves or from
196 65

supporting organisations with whom they intent to catch. That was what
have long-standing and positive biodiversity-rich countries were intending
relationships. It is intended for use through an international regime on access
alongside supplementary resources and benefit-sharing (ABS) – hunting
hosted on the community protocols portal down ‘bio-piracy’. The chase has been long
(www.community-protocols.org). Please and hard, lasting for over nine years.
contact Holly Shrumm at Amidst the fatigue of the last hours, the
holly@naturaljustice.org with any text thrust in their faces at the finish line is
questions or feedback. hardly the prize countries like India were
■ Available for free download at: hoping for. So yes, there is a global Nagoya
www.community-protocols.org/toolkit Protocol on paper under the Convention
on Biological Diversity (CBD). But no, the
The balancing act: experiences with pursuit is not yet over for provider
access and benefit-sharing under India’s countries of genetic resources. Neither is it
biodiversity law the end of the pirating of their people’s
●Kanchi Kohli and Shalini Bhutani biodiversity-based knowledge. Catching
Kalpavrisksh and Swissaid, India their breath, both countries and
(forthcoming) communities have to look within as they
This publication attempts to critically chart their next steps for the road ahead.
understand the experience of granting For the countries who are users of genetic
access to biological material/people’s resources, access continues while ‘benefits’
knowledge as well as determining to communities remain illusory. This
benefit-sharing. While it draws from paper was prepared for the NGO Alliance
some of the discussions and examples on CBD (India) supported through WWF-
from the pre-CBD phase, it locates itself India’s CSO Initiative.
in the coming into being of the Biological ■ Available in Hindi and English. For more
Diversity Act, 2002 in India and how its information and to order a copy, see:
design and implementation has shaped http://tinyurl.com/d45sujb or
the practice of access and benefit-sharing www.kalpavriksh.org
in the country. It also seeks to explore the
relevance of ABS frameworks and the Biocultural community
Nagoya Protocol to specific community protocols – a
realities in India. community approach
■ For more information contact: to ensuring the
kvbooks@gmail.com integrity of
environmental law
Chasing ‘benefits’: and policy
issues on access to ● Editors: Kabir
genetic resources Bavikatte and Harry
and traditional Jonas. Authors: Elan Abrell, Kabir
knowledge with Bavikatte, Harry Jonas, Ilse Köhler-
reference to India’s Rollefson, Barbara Lassen, Gary Martin,
biodiversity regime. Olivier Rukundo, Johanna von Braun and
A post-Nagoya Peter Wood
Protocol view on UNEP and Natural Justice, October 2009
access and benefit-sharing This book illustrates the application of
● Kanchi Kohli and Shalini Bhutani, biocultural community protocols to a
Kalpavriksh, 2011 range of environmental legal frameworks.
The word ‘chase’ implies pursuing with an Part I focuses on the Convention on
 In Touch ● Related resources 197

Biological Diversity (CBD) and access and biocultural protocol, in the form of the
benefit-sharing. Part II looks at other Inter-community Agreement for
frameworks to which biocultural Equitable Access and Benefit-Sharing, is
protocols can be applied by indigenous the result of their efforts. In addition to
and local communities, including REDD, providing a valuable example of effective
the CBD programme of work on community-based protection of TK and
protected areas and payment for genetic or biological resources in praxis,
ecosystem services schemes. Part III looks this initiative is also one of only a handful
more broadly at the meaning of of examples worldwide of working
biocultural protocols for environmental models that stem directly from customary
law. According to the authors, the laws and norms.
development of biocultural protocols is Given the present international
one way in which communities can paucity of models that adequately value
increase their capacity to drive the local and protect indigenous and local
implementation of international and community rights, biodiversity and
national environmental laws. Such a customary norms and practices in
protocol is developed after a community relation to benefit-sharing and access to
undertakes a consultative process to resources and knowledge – the present
outline their core ecological, cultural and initiative may further serve as an example
spiritual values and customary laws of best practice in relation to the
relating to their traditional knowledge implementation of the Nagoya Protocol.
and resources, based on which they ■ Download the summary report at:
provide clear terms and conditions to http://pubs.iied.org/G03168.html and the
regulate access to their knowledge and detailed report at:
resources. http://pubs.iied.org/G03340.html
■ Online: www.unep.org/community
protocols/PDF/communityprotocols.pdf Protecting
community rights
Community over traditional
biocultural knowledge:
protocols: building implications of
mechanisms for customary laws and
access and benefit- practices. Key
sharing among the findings and
communities of the recommendations
Potato Park based (2005-2009)
on customary ● Krystyna Swiderska, Alejandro
Quechua norms Argumedo, Yiching Song, Jingsong Li,
● ANDES (Peru), the Potato Park Ruchi Pant, Heraclio Herrera, Doris Mutta,
communities and IIED, 2012 Peter Munyi, S Vedavathy
The Potato Park communities in Peru are IIED, 2009
deeply committed to the conservation of This folder provides a summary of the
biocultural resources, associated findings from this IIED project,
knowledge and indigenous rights, and including the results of six case studies,
undertook this research to further which involved participatory research
investigate the role of customary norms with indigenous communities in China,
and institutions in the protection of India, Kenya, Panama and Peru, and
traditional knowledge (TK) and policy analysis. The aim was to
resources. The development of a understand existing customary law
198 65

systems for traditional knowledge is associated with genetic resources will

protection, access and benefit-sharing strengthen the ability of these
and sustaining TK; develop local tools communities to benefit from the use of
for TK protection based on customary their knowledge, innovations and
laws (such as community protocols and practices.
registers); and inform the development ■ Online: www.cbd.int/abs/doc/protocol/
of TK policies at national and nagoya-protocol-en.pdf
international levels. The project
developed the concept of ‘biocultural Use it or lose it:
heritage’ and used it as the conceptual protecting the
framework for research. The folder also traditional knowledge,
provides recommendations for genetic resources and
international policy on access to genetic customary laws of
resources and benefit-sharing. marginal farmers in
■ Online: http://pubs.iied.org/14591IIED.html southwest China
● Jingsong Li and
Nagoya Protocol on Yiching Song
access to genetic IIED and CCAP, 2011
resources and the fair This report provides the findings and
and equitable sharing lessons of the action-research project
of benefits arising from Protecting Community Rights over
their utilisation to the Traditional Knowledge: Implications of
Convention on Customary Laws and Practices in
Biological Diversity Guangxi, southwest China. The project,
Secretariat of the which started in 2004, sought to explore
Convention on Biological Diversity, 2011 customary laws, values and practices
This is the text and annex of the Nagoya relating to plant genetic resources (PGR)
Protocol, which was adopted after six years and traditional knowledge (TK) with local
of negotiation at the tenth meeting of the communities; develop innovative
CBD Conference of Parties on 29th practices and local tools for PGR and TK
October 2010, in Nagoya, Japan. The protection; and inform national policy
Protocol provides a strong basis for greater and legislation. It builds on an ongoing
legal certainty and transparency for both participatory plant breeding (PPB)
providers and users of genetic resources. project in southwest China, which started
Specific obligations to support compliance in 2000, and worked on PGR
with domestic legislation or regulatory conservation and improvement with
requirements of the party providing breeding institutes and local farmers.
genetic resources and contractual ■ Online: http://pubs.iied.org/G02787.html
obligations reflected in mutually agreed
terms are a significant innovation of the
Protocol. These compliance provisions, as
well as provisions establishing more
predictable conditions for access to genetic
resources, will contribute to ensuring the UN-REDD programme guidelines on free,
sharing of benefits when genetic resources prior and informed consent (FPIC)
leave a party providing genetic resources. ● Forthcoming, 2012
In addition, the Protocol’s provisions on Indigenous peoples and forest-dependent
access to traditional knowledge held by communities are essential to the success
indigenous and local communities when it of REDD+ given that the majority of the
 In Touch ● Related resources 199

world’s remaining forests in developing recognised in the UN

countries are located in their ancestral Declaration on the
and customary lands, where they have for Rights of Indigenous
centuries played a historical and cultural Peoples, and is
role in the sustainable management of included in the
these forests with relative success.1 safeguard policies of
Inadequate mechanisms for effective the European Bank for
participation of local communities in land Reconstruction and
use decisions could seriously compromise Development.
the delivery of both local and global Voluntary standards for REDD+ also
benefits and the long-term sustainability require proponents to respect the right to
of REDD+ investments. free, prior and informed consent (FPIC).
Recognising the critical role of The Carbon, Community and Biodiversity
indigenous and local communities to the (CCB) standard requires REDD+
long-term sustainability and effectiveness proponents to respect the right of
of REDD+, the UN-REDD Programme indigenous peoples and local communities
has prioritised stakeholder engagement to FPIC. Many governments, NGOs and
from its inception. Following a series of businesses seeking to develop REDD+
extensive consultations with indigenous pilot sites, demonstration activities or
peoples and local communities, the UN- relevant policy are asking what they need
REDD Programme developed guidelines to do to respect the right of communities
on stakeholder engagement, which have to FPIC. To start to address this need, with
since been harmonised with guidance funding from GIZ, the Center for People
from the Forest Carbon Partnership and Forests has just published a book for
Facility (FCPF) on the same topic. These REDD+ practitioners that describes in
Joint FCPF UN-REDD Guidelines on practical terms the steps involved to
stakeholder engagement for REDD+ ensure that REDD+ proponents respect
readiness with a focus on the participation the right of communities to FPIC. There
of indigenous peoples and other forest- are plans to eventually translate the book
dependent communities focus on into the national languages in Southeast
principles for effective participation and Asia. Future versions of the book will
consultation and concrete guidance on contain revisions and additional material,
planning and implementing so your comments and feedback are
consultations. warmly welcomed.
■ Download the guidelines in English, ■ Online:
Spanish and French: www.unredd.net/index. www.forclime.org/images/stories/RECOFTC-
php?option=com_docman&task=cat_view& GIZ_FPIC_in_REDD_2011.pdf
gid=1333&Itemid=53
Biocultural
Free, prior and informed consent in diversity conserved
REDD+: principles and approaches for by indigenous
policy and project development peoples and local
● Center for People and Forests, 2012 communities –
The right of indigenous peoples to give or examples and
withhold their free, prior and informed analysis
consent to proposed developments that ● Companion
may affect their customary lands is document to
1
United Nations Collaborative Programme on Reducing Emissions from Deforestation and
Forest Degradation in Developing Countries (REDD+). See: www.un-redd.org
200 65

IUCN/CEESP Briefing Note No.10, 2010 science. But evidence, both old and new,
Indigenous conservation territories and suggests that the traditional knowledge
areas conserved by indigenous peoples and crop varieties of indigenous peoples
and local communities (ICCAs) are the and local communities could prove even
subject of the IUCN/CEESP briefing note. more important in adapting agriculture
This larger document provides the to climate change.
examples and analysis underlying the Also available in Chinese (traditional
policy advice contained in the briefing and modern).
note. The document can be read as a ■ Online: http://pubs.iied.org/17111IIED.html
stand-alone document, as it describes the
main concepts. Although their existence is Protecting traditional
as old and widespread as human knowledge from the
civilisation itself, ICCAs have emerged grassroots up
only recently as a major phenomenon in ■ Krystyna Swiderska
formal conservation circles. International IIED Briefing, June 2009
policies and programmes, notably those of For indigenous peoples
the International Union for the round the world,
Conservation of Nature (IUCN) and the traditional knowledge
Convention on Biological Diversity (CBD), based on natural resources such as
encourage today all countries to recognise medicinal herbs, forms the core of culture
and support ICCAs as examples of and identity. But this wealth of
effective governance of biocultural knowledge is under pressure. Indigenous
diversity. It is clear, however, that such communities are increasingly vulnerable
recognition and support need to be to eviction, environmental degradation
carefully tailored, and cannot be and outside interests eager to monopolise
improvised. The briefing note and this control over their traditional resources.
publication offer advice and resources for Intellectual property rights such as
governments, civil society organisations, patents, however, sit uneasily with
indigenous peoples and local communities traditional knowledge. Their commercial
engaged in collaboration, support and focus wars with fundamental indigenous
joint learning on ICCAs. principles such as resource access and
sharing. Local customary law offers a
Adapting agriculture better fit, and findings in China, India,
with traditional Kenya, Panama and Peru show how this
knowledge pairing can work in practice. The
● Krystyna Swiderska research has identified common
IIED Briefing, October elements, and key differences, in
2011 customary law that should be informing
Over the coming policy on traditional knowledge and
decades, climate change genetic resources.
is likely to pose a major challenge to ■ Online: http://pubs.iied.org/17067IIED.html
agriculture; temperatures are rising,
rainfall is becoming more variable and Protecting indigenous knowledge
extreme weather is becoming a more against biopiracy in the Andes
common event. Researchers and policy ■ Alejandro Argumedo and Michel Pimbert
makers agree that adapting agriculture to IIED, 2006
these impacts is a priority for ensuring This paper presents the Indigenous
future food security. Strategies to achieve Biocultural Heritage Register, an
that in practice tend to focus on modern approach developed by Andean
 In Touch ● Related resources / General resources 201

communities in Peru Intellectual property

in order to protect tools for products
their knowledge based on biocultural
against biopiracy and heritage
gain legal rights ● Graham Dutfield
relating over their Shaping Sustainable
knowledge. The main Markets Paper, IIED,
objective of the 2011
register is to ensure Products developed
the conservation, protection and by indigenous peoples and traditional
promotion of indigenous peoples’ societies, such as food crops and
knowledge systems for sustaining their medicines, can protect biodiversity and
livelihoods and traditional resource provide an important source of income.
rights. The Indigenous Biocultural This review explores the intellectual
Heritage Register, based on traditional property (IP) tools of geographical
Andean science and technology, also uses indications, trademarks and rules of
modern tools for collecting, documenting, unfair competition for promoting these
storing and administering the contents of products, and protecting them from
the register. misappropriation, misuses and
■ Online: http://pubs.iied.org/14531IIED.html imitation, and assesses their potential
to contribute to sustainable
Traditional resource development.
rights and indigenous Intellectual property law does not
peoples in the Andes easily accommodate the collective
● Alejandro Argumedo interests of groups and communities.
and Michel Pimbert But particular forms of IP – such as
IIED, 2005 geographical indications (GIs) and
Text and pictures are trademarks, which can recognise and
combined to highlight support group rights – may be better
action-research with suited to use by groups or associations of
indigenous communities on sustaining small producers and may help protect
local food systems, diverse ecologies, their biocultural heritage.
rights, livelihoods and culture in the This legal review draws primarily on
Peruvian Andes. Facilitated by ANDES experience in Europe, where GIs and
(Quechua–Aymara Association for trademarks have been most widely used
Nature Conservation and Sustainable to date, but also includes experience
Development) and IIED, this from developing countries, such as
participatory action-research is actively India’s recent experience with
developing an integrated model to protect geographical indications. Some
traditional knowledge systems based on developing countries have already been
the conservation and sustainable use of able to benefit from geographical
the ecosystems in which indigenous indications and trademarks. With
peoples’ knowledge and innovations careful design and use, these IP tools
thrive. The model builds on the Andean could promote products based on
concept of ‘working landscapes’ and biocultural heritage and economically
integrates indigenous people’s own benefit indigenous communities and
concepts of rights over their knowledge small producers.
and resources. ■ Online:
■ Online: http://pubs.iied.org/14504IIED.html http://pubs.iied.org/16506IIED.html
202 65

La voz de la we be asking – and trying to answer – to

semillas/The better understand (and enhance) the
voice of the biodiversity-poverty relationship? Please
seeds (DVD) send your ideas to: pclg@iied.org. To find
● Asevida Qolla out more about this subject visit the
Aymara, Poverty and Conservation Learning
Paqualqu Group website:
Associacion para http://povertyandconservation.info/
la Promocion ■ Online: http://pubs.iied.org/14612IIED.html
Rural, Ceprosi and IIED, 2011
Spanish with English subtitles Association ANDES:
This colourful 30-minute DVD was made conserving indigenous
with members of the indigenous Andean biocultural heritage
community in the Potato Park in Peru in ● Alejandro Argumedo
conjunction with the Andean Altiplano and Tammy Stenner
Programme for Food Sovereignty. It Gatekeeper 137a, IIED,
shows the communities’ relationship to 2008
their land and how their seeds are sacred The Association for
to them. They discuss how they nurture Nature and
biodiversity and view the GMO debate in Sustainable Development (ANDES) is an
Peru. indigenous NGO that seeks to defend
■ Watch on youtube (without subtitles): indigenous rights to genetic resources,
www.youtube.com/watch?v=rpwdKpAPQNs traditional knowledge and landscape
For other videos from this programme and character in Peru. It was established in
from IIED’s research on democratising 1995 with volunteer staff and no funding,
agricultural research see: and has grown considerably over the
www.excludedvoices.org/video years. It now works with 39 indigenous
rural communities, many of whom live in
Biodiversity and conditions of poverty or extreme poverty.
poverty: ten It has successfully bridged traditional
frequently asked Quechua principles with modern
questions – ten policy organisational models to assert
implications indigenous rights to heritage in practical
● Dilys Roe, David terms by establishing a new form of
Thomas, Jessica Smith, protected areas known as Indigenous
Matt Walpole and Biocultural Heritage Areas (IBCHAs).
Joanna Elliott These are locally and sustainably
Gatekeeper 150, IIED, 2011 managed through community
This paper is intended to stimulate associations; form the basis for local
discussion about the linkages between enterprise (agricultural and cultural eco-
biodiversity, conservation and poverty tourism); involve and benefit
reduction. What do we know, what do we marginalised groups; unite communities;
not know, and what do we need to know? encourage participation by and
These ten questions provide a quick – negotiation with indigenous people; and
hence simplistic – insight into a create a model for future protection and
complicated and convoluted issue. We development. The Potato Park was the
would therefore be very interested in your first IBCHA, and brings six Quechua
feedback. Are these the right questions? communities together to protect a 12,000
And the right answers? What else should hectare area as a micro centre of origin of
 In Touch ● General resources 203

the potato and other native Andean crops because they reflect western norms and
characteristic of Andean food systems. laws, and focus narrowly on protecting
The approach also depends on close intellectual rights. This paper describes
collaboration with formal and informal how indigenous and farmers’
Quechua technicians in researching, organisations are calling for more holistic
training and developing adaptive approaches to protecting their rights to
management models for indigenous TK, bio-genetic resources, territories,
biocultural heritage – a ‘project’ rather culture and customary laws. These
than ‘service’ approach that works with components of indigenous knowledge
local politics. systems and heritage cannot be separated.
■ Online: http://pubs.iied.org/14567IIED.html A new framework for protecting TK,
known as collective biocultural heritage,
Banishing the addresses biodiversity and culture
biopirates: a new together, rather than separating them;
approach to recognises collective as opposed to
protecting traditional individual rights; and places them in the
knowledge framework of ‘heritage’ as opposed to
● Krystyna Swiderska ‘property’.
Gatekeeper 129, IIED, ■ Online: http://pubs.iied.org/14537IIED.html
2006
The livelihoods of Biocultural
indigenous peoples and the conservation community
of biodiversity worldwide depend on protocols enforce
conserving and protecting traditional biodiversity
knowledge of the use and functioning of benefits: a
biological and natural resources. This selection of cases
traditional knowledge (TK) has helped and experiences
develop the millions of farmers’ food crop ● Endogenous
varieties in use today, as well as a wealth of Development Magazine No. 6.
traditional medicines and techniques for COMPAS, 2010
sustainable agriculture and resource use. Community protocols need an endogenous
Yet this knowledge is rapidly development process – and endogenous
disappearing. It is under increasing threat development becomes stronger when legal
from both intellectual property regimes frameworks are included. This issue of
and economic globalisation processes COMPAS Magazine is devoted to
which undermine traditional rural processes and legal frameworks relating to
livelihoods. This loss is occurring despite biocultural community protocols and
the fact that the Convention on Biological includes information, resources and case
Diversity (CBD) requires member studies from communities from Canada,
countries to respect, preserve and Ghana, Guatemala and India.
maintain traditional knowledge, ■ Online: www.compasnet.org/blog/wp-
innovations and practices and encourage content/uploads/2010/11/EDM-6.pdf
the fair and equitable sharing of benefits
from their use. International and national Global biodiversity outlook 3
policies have so far proved inadequate to This is the flagship publication of the
protect traditional knowledge. The Convention on Biological Diversity.
dominant paradigms of access and Drawing on a range of information
benefit-sharing and intellectual property sources, including national reports,
rights fail to adequately protect TK biodiversity indicators information,
204 65

scientific literature, commonalities must be recognised in any

and a study assessing realistic study of indigenous poverty.
biodiversity scenarios ■ Available from Zed Books Ltd.,
for the future, the 7 Cynthia Street, London N1 9JF, UK
third edition (GBO-3) Online: www.crop.org/viewfile.aspx?id=98
summarises the latest
data on status and Natural resource
trends of biodiversity governance,
and draws empowerment and
conclusions for the poverty reduction:
future strategy of the Convention. learning from
■ Available to download in Arabic, Chinese, practice
Russian, French, Spanish, English,Portuguese ● Jordi Surkin
and Japanese: www.cbd.int/gbo3 IUCN Social Policy,
2011
Indigenous peoples This document was developed through a
and poverty: an review of existing project learning and
international other documents. It is divided into three
perspective sections. The first examines learning on
● Edited by Robyn various aspects of natural resources
Eversole, John-Andrew governance. This is followed by a section
McNeish and Alberto D. focusing more specifically on project
Cimadamore implementation, planning and
CROP (Comparative management lessons. Finally, it concludes
Research Programme with some suggestions on possible future
on Poverty), 2005 niches for IUCN in the natural resources
This book brings together two of today’s governance arena. This document aims to
leading concerns in development policy – contribute to strengthening the natural
the urgent need to prioritise poverty resource governance work of IUCN and
reduction and the particular partners and provide valuable learning
circumstances of indigenous peoples in for institutions involved in governance.
both developing and industrialised ■ Online:
countries. The contributors analyse http://cmsdata.iucn.org/downloads/
patterns of indigenous disadvantage dfid_governance_lessons_final.pdf
worldwide, the centrality of the right to
self-determination, and indigenous
people’s own diverse perspectives on
development. Several fundamental and
difficult questions are explored, including
the right balance to be struck between
autonomy and participation, and the
tension between a new wave of
assimilationism in the guise of ‘pro-poor’
and ‘inclusionary’ development policies
and the fact that such policies may in fact
provide new spaces for indigenous
peoples to advance their demands. In this
regard, one overall conclusion that
emerges is that both differences and
 In Touch ● General resources 205

GENERAL RESOURCES Provocations for development will be

enjoyed by development professionals,
Provocations for including academics, students, NGO
development workers and the staff of international
● Robert Chambers agencies, as well as the wider public.
IDS, 2012 ■ Available to buy from the IDS bookshop at:
Do we use obscure www.ntd.co.uk/idsbookshop/details.asp?id=
words to impress our 1278
colleagues – or
fashionable ones to Principle 10: public
win research participation in
proposals? How do poor people define environmental decision-
their poverty? How can we use aid making (DVD)
budgets most effectively? Are many of ● FIELD, 2011
our actions against poverty simple, direct Poor people in
and wrong? Provocations for developing countries often rely heavily on
Development is an entertaining and their immediate environment for their
unsettling collection of writings that livelihoods. However, they are often
questions concepts, conventions and underrepresented or absent from
practices in development. It is made up decision-making processes that affect
of short and accessible writings by their environments and the natural
Robert Chambers, many from the past resources that sustain their communities.
ten years and some from earlier, Principle 10 of the 1992 Rio Declaration
reflecting on the evolution of concepts on Environment and Development calls
like participation and of organisations for public access to information,
like the World Bank. Besides participation in decision-making and
provocations, there is mischief, verse and access to justice as key principles of
serious fun. The book is organised into environmental governance. Only when
four sections. The first, Word play, these principles are protected by the law
irreverently examines vocabularies of and embodied in government practices
development and how words are can decisions be equitable, responsive to
instruments of power. The second, people’s needs and environmentally
Poverty and participation, challenges sustainable.
concepts of poverty, presents The film Principle 10: public
empowering breakthroughs in the participation in environmental decision
current explosion of participatory making provides a snapshot analysis of
methodologies, and concludes with what the principle’s relevance in law and
can be done at the personal level. The practice. On the basis of various
third, Aid, is critical of past and present interviews and research in Ethiopia, the
procedures and practices in aid and 20-minute film reflects on some of the
points to feasible changes for doing work under way to improve
better. The provocations in the last environmental decision-making, existing
section For our future touch on values, barriers and challenges. Version with
ethics, gender and participation, Spanish subtitles forthcoming.
immersions, hypocrisy and paradigms, ■ Watch the film at:
and sees hope in children. The final http://vimeo.com/30856233
provocation invites readers to find For more information on this research visit
answers to the question ‘what would it FIELD’s website: www.field.org.uk
take to eliminate poverty in the world?’
206 65

Small-scale farming unprecedented event was chaired by the

and youth in an era of UN Special Rapporteur on the Right to
rapid rural change Food and took place on 1st–3rd February
● Felicity Proctor and 2012 in Accra, Ghana.
Velerio Lucchesi ■ Online: http://pubs.iied.org/G03349.html
IIED/HIVOS, 2012
This is the second in a Putting citizens at the
series of papers from heart of food system
the Knowledge governance
Programme: Small Producer Agency in ● Michel Pimbert
the Globalised Market. The paper focuses IIED Briefing, 2012
on developing and emerging economy Establishing inclusive
regions of the world, providing an governance of food
overview of trends in small-scale farming systems – where farmers
and agrifood markets, demographic and other citizens play an active role in
changes and trends in employment – designing and implementing food and
particularly that of youth. It reflects on agricultural policies – is not just a matter
the aspirations of rural youth and of equity or social justice. Evidence shows
identifies some of the drivers and that it can also lead to more sustainable
innovations that have engaged youth in livelihoods and environments. And yet,
agriculture – and which might help to across the world, food system governance
inform and shape the future. It identifies is marked by exclusionary processes that
some emerging policy implications that favour the values and interests of more
address small-scale farming and youth in powerful corporations, investors, big
an era of rapid change, including farmers and large research institutes.
knowledge gaps which, if filled, could How can we tip the balance and amplify
better inform the debate on the future of the voice and influence of marginalised
small-scale agriculture and on who will citizens in setting the food and
be the next generation of farmers. agricultural policies that affect them?
■ Online: http://pubs.iied.org/14617IIED.html This briefing describes six tried and
tested ways that, when combined, can
High level policy empower citizens in the governance of
dialogue between the food systems.
Alliance for a Green ■ Online: http://pubs.iied.org/17125IIED.html
Revolution in Africa
(AGRA) and small scale Putting farmers first:
farmers on the priorities reshaping agricultural
and governance of research in West Africa
agricultural research for ● Michel Pimbert
development in West Africa IIED Briefing, 2012
IED, APPG on Agroecology, CNOP, Kene How agricultural research
conseils, Centre Djoliba, IRPAD, 2012 is funded, organised,
This photo story highlights key moments controlled and practised
in a policy dialogue on agricultural can have a huge impact on small-scale
research for development that involved producers in the global South. In many
small-scale farmers and representatives of countries, such research is driven by
the Alliance for a Green Revolution in external funds, priorities and
Africa (AGRA). Over one hundred people technological fixes, such as hybrid seeds,
participated in the policy dialogue. This which can erode crop diversity. But food
 In Touch ● General resources 207

producers across the world are beginning commitments; in identifying the lack of
to raise their voices to ensure that joined-up government responses to
agricultural research better meets their climate change; and in ensuring that
needs and priorities. This briefing explains national policy-making does not forget
how a series of farmer assessments and the poor and vulnerable.
citizens’ juries in West Africa has helped The report is the first joint product of
farmers assess existing approaches and the Southern Voices Capacity Building
articulate recommendations for policy and Programme, or for short: Southern Voices
practice to achieve their own vision of on Climate Change. The executive
agricultural research. In 2012, a high-level summary is available in English, Spanish
policy dialogue between farmers and the and French.
Alliance for a Green Revolution in Africa ■ Online: http://pubs.iied.org/10032IIED.html
hopes to take this discussion to the next
level and develop a shared agenda that can Building climate
serve development and the public good. change adaptation on
■ Online: http://pubs.iied.org/17122IIED.html community
experiences: lessons
Southern voices on from community-based
climate policy choices: natural resource
analysis of and lessons management in
learned from civil southern Africa
society advocacy on ● Nyasha E. Chishakwe,
climate change Laurel Murray, Muyeye Chambwera
● Hannah Reid, Gifty IIED, 2012
Ampomah, María Isabel This publication, produced in
Olazábal Prera, Golam collaboration with WWF Southern Africa,
Rabbani and Shepard Zvigadza looks at how community-based natural
IIED, 2012 resource management (CBNRM) can
This report provides an analysis of the inform and contribute to climate change
tools and tactics advocacy groups use to adaptation at the community level,
influence policy responses to climate specifically to community-based
change at international, regional, national adaptation (CBA) to climate change. It
and sub-national levels. More than 20 provides a framework for analysing the
climate networks and their member two approaches at conceptual and
organisations have contributed to the practical levels.
report with their experiences of advocacy Using case studies from southern
on climate change, including over 70 case Africa, the publication demonstrates the
studies from a wide range of countries – synergies between CBA and CBNRM,
including many of the poorest – in Africa, most important of which are the
Asia, Latin America and the Pacific. adaptation co-benefits between the two.
These advocacy activities primarily target While local incentives have driven
national governments, but also community action in CBNRM, it is the
international and regional processes, evolution of an enabling environment in
donors and the private sector. the region, in the form of institutions,
Analyses and case studies show how policies, capacity and collaboration which
civil society plays key roles in pushing for characterises the scaling up of CBNRM to
new laws, programmes, policies or national and regional levels.
strategies on climate change, in holding ■ Online: http://pubs.iied.org/10030IIED.html
governments to account on their
208

Events and training

EVENTS up at the first meeting of the ICNP, as

needed.
Second meeting of the Open-ended Ad ■For more information see:
Hoc Intergovernmental Committee for www.cbd.int/icnp2/
the Nagoya Protocol on Access and
Benefit-sharing (ICNP) Participatory
●2nd–6th July 2012 Learning and Action
New Delhi, India 65 launch at the side
The ICNP will consider the following event at the
issues: Convention on
• the development of a programme budget Biodiversity’s 11th
for the biennium following the entry into Conference of
force of the Protocol; Parties (COP11, 8th–
• the elaboration of guidance for the 19th October 2012),
financial mechanism and resources organised by IIED
mobilisation for the implementation of the and the CBD Secretariat
Protocol; ●16th October 2012
• consideration of the rules of procedures Hyderabad, India
for the Conference of the Parties serving as An overview of the key lessons from PLA
the meeting of the Parties to the Protocol; 65 will be presented, along with some of
• elaboration of the draft provisional the experiences reviewed in this issue.
agenda for the first meeting of the Parties; More information will be available on the
• the need for and modalities for a global IIED website nearer the time:
multi-lateral benefit-sharing mechanism; www.iied.org
and ■For information on COP 11 see:
• continued consideration of items taken www.cbd.int/cop11
 In Touch ● Events and training 209

■ For more information see the RCPLA

Network pages in this issue and see:
www.theworkshop.in

TheWorkshop2012: The 16th Annual TRAINING

International Commune on
Participatory Development MOSIAC Inc. training courses
● 5th–12th September 2012 Mosaic.net International, Inc. is a private
Bengaluru, Karnataka, India consulting firm based in Ottawa, Canada
Organised by Praxis India, TheWorkshop offering innovative solutions to
provides a theoretical understanding of development issues. Development is a
participatory approaches/tools as well as complex process requiring a wide range of
the opportunity to apply them in the field. skills and experience. Mosaic’s network is
It provides an opportunity to debate on comprised of partners from Latin
and discuss relevant thematic issues. America, Africa and Asia and they work
While the diversity and the wealth of locally and internationally.
experiences participants bring with them
makes each workshop unique and Advanced results-based management
unrepeatable, the workshop has followed workshop
a common learning programme over the ● 30th July – 1st August 2012
last 15 years. This involves an University of Ottawa
introductory, common module on MOSIAC.net International Inc., 705
attitudes, behaviours and change (ABC), Roosevelt Avenue, Ottawa, Canada
interactive classroom sessions in pre- K2A 2A8
selected thematic modules, field work, This workshop is designed for those who
evening talks, film screenings and already have an understanding of RBM.
thematic group discussions.
The workshop objectives are: Stakeholder participation in planning,
• to provide an in-depth understanding of needs assessment, monitoring and
the principles, approaches and methods evaluation using PRA/PLA and SARAR
of participatory practices; methods (in Spanish)
• to provide a forum for exchange of ideas ● 4th–9th February 2013
and experiences; Tepoztlan, Mexico
• to inform participants of the latest Organised by Sarar Transformacion and
innovations developed by practitioners Mosaic.net International, Inc.
from across the world; ■ For more information on these courses
• to create a worldwide network of trained and to register see: www.mosaic-net-
PRA/PLA practitioners; intl.ca/index.html
• to provide a hands-on learning
experience through fieldwork; and VIPP training courses
• to make the participants capable of
using participatory methods in their VIPP (Visualisation in Participatory
thematic area of work. Programmes) training of trainers and
Over the past 15 years, the workshop global action workshop
has attracted more than 1400 ● 8th–12th October 2012
participants from 47 countries. Among St. Ulrich near Freiburg, SW Germany
them are policy makers, development This workshop is for experienced trainers
professionals from INGOs, NGOs and and facilitators to develop their training
CBOs, students and proactive individuals. project, to try out new methods and tools,
210 65

to discuss with fellow facilitators and

trainers and to join the global community
of VIPP trainers. The workshop will be
run by Maruja Salas, Neill McKee and
Timmi Tillmann as members of the VIPP
core group.

Asian VIPP training of trainers –

advanced-level workshop
12th–16th March 2013
Malaysia
■ For more information see:
http://vipp.wordpress.com
 211

E-participation

ANDES – Association for Nature and establishment of biocultural territories,

Sustainable Development – Asociación based on an innovative strategy that
para la Naturaleza y el Desarrollo combines conservation and sustainable
Sostenible use of agrobiodiversity and the landscape,
www.andes.org.pe/en the development of novel strategies of local
ANDES works cooperatively with livelihoods and poverty reduction. The
indigenous organisations at the Potato Park is the flagship project of this
community level to develop models of new conservation-development proposal.
adaptive management of biocultural
heritage that affirm the rights and
responsibilities of communities and
strengthen food sovereignty, health and
local livelihoods. ANDES uses
community development strategies based
on the cosmovision and traditional values
of the Andean culture, ensuring that its
interventions are holistic, democratic,
participatory and locally effective. Biocultural Heritage
In recent years, ANDES has become www.bioculturalheritage.org
recognised nationally and internationally IIED’s Biocultural Heritage (BCH)
in the field of indigenous rights over website is dedicated to promoting
genetic resources, traditional knowledge understanding and action to support the
and the protection and conservation of interlinked biological and cultural riches
centres of origin of Andean native crops of indigenous peoples and local
and the nature of the Andean landscape. communities. Biocultural Heritage
ANDES is a pioneer in the promotion and includes a wealth of biological resources
212 65

from genetic to landscape level, and long reviews and e-learning modules on key
standing knowledge and practices that legal frameworks; key publications such
are vital for food and health security. The as reports, articles, books, magazines and
website is divided into four sections: journals; short films, slideshows and
• About BCH: explores the functions of photo stories; networking opportunities;
biocultural heritage in the context of and links to existing community protocols
climate change, and the nature of from Africa, Asia-Pacific and the
biocultural systems as complex dynamic Americas.
systems. ■ Visit the page on legal instruments:
• Tools and materials: provides http://tinyurl.com/cp-legal
information and examples of tools that Full URL: www.community-
can be used to protect these systems and protocols.org/toolkit/additional-resources/leg
related community rights: community al-resources/legal-instrument
biocultural protocols, registers, products, See also on Facebook:
territories and partnerships. www.facebook.com/communityprotocols
• Policy and practice: reviews how the
provisions of international and national COMPAS
laws support, or undermine, biocultural www.compasnet.org
heritage, and how various organisations COMPAS (COMPAring and Supporting
are supporting BCH in practice. Endogenous Development) is a capacity-
• Outputs and partners: provides building programme to develop and
reports, publication and short films mainstream endogenous development
produced by the project Protecting methodologies for strengthening
Community Rights over Traditional biocultural diversity. It has field
Knowledge: Implications of Customary programmes with local partners in
Laws and Practices (2005-2009). developing countries, and its work
The website is updated regularly with includes the development of community
relevant research, and will soon include protocols.
information and outputs from a new EC
project: Smallholder Innovation for Convention on Biological Diversity
Resilience. (CBD): the Nagoya Protocol on Access
and Benefit-sharing
www.cbd.int/abs
The official CBD website on the Nagoya
Protocol. The fair and equitable sharing
of the benefits arising out of the
utilisation of genetic resources is one of
the three objectives of the CBD.

Democratising agricultural research:

making excluded voices count in food
and agricultural policy making
www.excludedvoices.org
Community protocols portal This action-research programme, with
www.community-protocols.org IIED and partners, aims to identify and
This portal is administered by Natural support processes that can help
Justice and contains comprehensive democratise the governance of food and
resources on community protocols, agricultural research. Initiated in 2007,
including: background and context; legal this project has become established in
 In Touch ● e-participation 213

four regions, with one country acting as the understanding of the ICCA
host for each region: West Africa (Mali), phenomenon with respect to varying
South Asia (India), West Asia (Iran) and historical and regional contexts; identify
the Andean region in Latin America and support field-based initiatives where
(Bolivia/Peru). The website includes ICCAs can be crucially safeguarded,
videos arising from some of these in- enabled, strengthened and/or promoted
country participatory processes. in practice; and support consequent
national, regional and international
Forest Peoples Programme policy. This website includes a number of
www.forestpeoples.org results and analyses generated by this
The Forest Peoples Programme supports process, as well as a wealth of
the rights of peoples who live in forests downloadable publications relevant to
and depend on them for their livelihoods. ICCAs.
It works to create political space for
forest peoples to secure their rights, International Institute for Environment
control their lands and decide their own and Development blog:
futures. Recent reports include those on Community protocols can bring real
the UN Declaration on the Rights of benefits for communities and combat
Indigenous Peoples (UNDRIP). biodiversity loss
http://tinyurl.com/cp-iied-blog
Kalpavriksh – Environment Action Group A blog post by Krystyna Swiderska, lead
www.kalpavriksh.org guest editor of this issue of PLA,
Kalpavriksh was estabished in India in providing some background on
1979 and works on environmental community protocols and outlining the
awareness, campaigns, litigation, participatory processes involved in
research and other areas. It has taken a developing an inter-community
position on a number of environment- agreement with the Quechua
development issues, more often than not communities.
confronting the State through measures ■ Full URL: www.iied.org/community-
ranging from protest letters to street protocols-can-bring-real-benefits-communiti
demonstrations. The Kalpavriksh es-combat-biodiversity-loss
website is part of the BioDWatch
listserve and the Campaign for International Society of Ethnobiology
Conservation and Community Control (ISE)
over Biodiversity. http://ethnobiology.net
ISE actively promotes and supports the
Indigenous Peoples’ and Community inextricable linkages between biological
Conserved Areas and Territories and cultural diversity and the vital role of
(ICCAs) indigenous and local peoples in
www.iccaforum.org stewardship of biological diversity and
ICCAs are natural and/or modified cultural heritage, which includes
ecosystems containing significant recognition of land and resource rights,
biodiversity values, ecological services as well as rights and responsibilities over
and cultural values, voluntarily tangible and intangible cultural and
conserved by indigenous peoples and intellectual properties. The ISE is
local communities, both sedentary and committed to understanding the
mobile, through customary laws or other complex relationships which exist
effective means. The ICCA Consortium between human societies and their
has been involved in a process to: deepen environments. A core value of the ISE is
214 65

the recognition of indigenous peoples as Poverty and conservation – the

critical players in the conservation of information portal of the poverty and
biological, cultural and linguistic conservation learning group
diversity. The ISE Code of Ethics for http://povertyandconservation.info
research includes a set of principles The Poverty and Conservation Learning
including PIC, and is available online: Group (PCLG) is a multi-stakeholder
■ www.ethnobiology.net/code-of-ethics forum, coordinated by the International
Institute for Environment and
IUCN Social Policy – governance of Development (IIED), for promoting
natural resources dialogue and fostering learning on the
http://tinyurl.com/iucn-gnrp links between biodiversity conservation
The IUCN Social Policy Unit works to and poverty reduction.
deliver conservation and sustainable
management of biodiversity and natural Tebtebba
resources from the global to local levels. http://tebtebba.org
Under this agenda, one of its priority Tebtebba (Indigenous Peoples’
areas of work is to manage nature for International Centre for Policy Research
human well-being and promote an and Education) is an indigenous peoples’
understanding that conservation and institution borne out of the need for
livelihoods are inextricably linked. This heightened advocacy to have the inherent
project advocates for legal, policy and human rights of indigenous peoples
institutional changes that promote respected, protected and fulfilled.
recognition and respect for the rights of Tebtebba is a word used by the indigenous
poor and marginalised natural resource- Kankana-ey Igorots of Northern
dependent people. By empowering Philippines, which refers to a process of
communities to hold officials, state collectively discussing issues and
agencies and local institutions to account presenting diverse views with the aim of
and take responsibility for their own reaching agreements, common positions
natural resource management, IUCN and concerted actions. Tebtebba’s website
believes that its work will help secure includes links to other relevant websites.
livelihoods and bridge the institutional
gap between conservation and human The Potato Park – Parque de la Papa
well-being. www.parquedelapapa.org
■ Full URL: www.iucn.org/about/work/ The official site (in Spanish and English)
programmes/social_policy/governance_of_ of the Potato Park – an Indigenous
natural_resources_project Biocultural Heritage Area (IBCHA) in
Peru.
People and Parks
www.peopleandparks.com The United Nations Environment
The South African People and Parks Programme
Programme (P&PP) engages local www.unep.org/communityprotocols
communities in preserving protected The community protocol section of
areas and was borne out of the World UNEP’s website is a database of protocols
Parks Congress held in Durban in 2003. developed by communities and other
The resource section of the website institutions to establish standards for
includes useful documents and engaging with communities regarding a
electronic resources relating to number of activities. It provides various
conservation in South Africa and the stakeholders with information, tools and
programme. resources to enable the culturally
 In Touch ● e-participation 215

appropriate interaction between a variety http://tinyurl.com/uebt-bd

of stakeholders and indigenous peoples Full URL: www.ethicalbiotrade.org/news/wp-
and local communities. It also links to the content/uploads/UEBT.note2_.BioCultural.Di-
Traditional Knowledge Commons, an alogue.BenefitSharing.2O12.pdf
open source non-commercial research ■ Benefit-sharing in practice: Talapetraka
platform. http://tinyurl.com/uebt-talapetraka
Full URL: www.ethicalbiotrade.org/news/wp-
The United Nations Permanent Forum on content/uploads/UEBT.note3_.Talapetraka.Be
Indigenous Issues (UNPFII) nefitSharing.2O12.pdf
www.un.org/esa/socdev/unpfii ■ Benefit-sharing in practice: Villa Andina
The Permanent Forum is http://tinyurl.com/uebt-villa-andina
one of three UN bodies Full URL: www.ethicalbiotrade.org/news/wp-
mandated to deal content/uploads/UEBT.note1_.VillaAndina.Be
specifically with nefitSharing.2O12.pdf
indigenous peoples’ ■ STD01: Ethical BioTrade Standard – 2012-
issues. The others are 04-11
the Expert Mechanism on http://tinyurl.com/uebt-std01
the Rights of Indigenous Peoples and the Full URL:www.ethicalbiotrade.org/news/wp-
Special Rapporteur on the Situation of content/uploads/STD01-Ethical-BioTrade-
Human Rights and Fundamental Standard_2012-04-11_ENG.pdf
Freedoms of Indigenous Peoples. The
Permanent Forum is an advisory body to Visualisation in Participatory
the Economic and Social Council with a Programmes (VIPP) community of
mandate to discuss indigenous issues practice
related to economic and social http://vipp.wordpress.com
development, culture, environment, This community of practice was
education, health and human rights. established by a core group of VIPP
Among other things, it seeks to promote facilitators and trainers. It offers a space
implementation of the UN Declaration for exchange and consultation about
on the Rights of Indigenous Peoples facilitation for fellow facilitators
(UNDRIPs). The UNPFII produced some worldwide. The members of the VIPP
guidelines for FPIC in 2005, in relation to community of practice share the same
mining, which came out of a technical practice of facilitation, even if they work
workshop. in different fields. VIPP now has a
Spanish website, where you can find
The Union for Ethical BioTrade (UEBT) details of the Spanish VIPP manual:
www.ethicalbiotrade.org/resources www.vipp.es
The resources section of the UEBT
website provides several documents that
may be of interest to readers. For
example, it includes three case studies of
benefit-sharing in practice, including one
dealing with biocultural dialogues. The
Ethical BioTrade standard also
specifically addresses the issue of prior
informed consent. Please find the direct
links below:
■ Benefit-sharing in practice: biocultural dia-
logues
216 65
 217

RCPLA
NETWORK

In this section, we update readers on Asia Region: Tom Thomas, Director,

activities of the Resource Centres for Institute for Participatory Practices
Participatory Learning and Action (Praxis), S-75 South Extension, Part II,
Network (RCPLA) Network New Delhi, India 110 049.
(www.rcpla.org) and its members. RCPLA Tel/Fax: +91 11 5164 2348 to 51
is a diverse, international network of Email: tomt@praxisindia.org
national-level organisations, which brings Website: www.praxisindia.org
together development practitioners from Jayatissa Samaranayake, Institute for
around the globe. It was formally Participatory Interaction in Development
established in 1997 to promote the use of (IPID), 591 Havelock Road, Colombo 06,
participatory approaches to development. Sri Lanka. Tel: +94 1 555521
The network is dedicated to capturing Tel/Fax: +94 1 587361
and disseminating development Email: ipidc@panlanka.net
perspectives from the South. For more
information please contact the RCPLA West Africa Region: Awa Faly Ba Mbow,
Network Steering Group: IED-Afrique, BP 5579 Dakar Fann,
Senegal. Tel: +221 33 867 10 58
RCPLA Coordination and North Africa Fax: +221 33 867 10 59
& Middle East Region: Passinte Isaak, Email: awafba@iedafrique.org
Center for Development Services (CDS), Website: www.iedafrique.org
4 Ahmed Pasha Street, 10th Floor,
Garden City, Cairo, Egypt. European Region: Jane Stevens,
Tel: +20 2 795 7558 Participation, Power and Social Change,
Fax: +20 2 794 7278 Institute of Development Studies (IDS),
Email: pisaak@cds-mena.org University of Sussex, Brighton BN1 9RE,
Website: www.cds-mena.org UK.
218 65

Tel: + 44 1273 678690

Fax: + 44 1273 21202
Email: participation@ids.ac.uk
Website: www.ids.ac.uk/ids/particip

Participatory Learning and Action Editorial

Team, International Institute for Environment
and Development (IIED),
80-86 Gray’s Inn Road, London WC1X 8NH,
UK.
Tel: +44 20 3463 7399
Fax: +44 20 3514 9055
Email: planotes@iied.org
Website: www.planotes.org

East Africa Region: Eliud Wakwabubi,

Participatory Methodologies Forum of Kenya
(PAMFORK), Jabavu Road, PCEA Jitegemea
Flats, Flat No. D3, PO Box 2645, KNH Post
Office, Nairobi, Kenya.
Tel/Fax: +254 2 716609
Email: eliud.w@pamfork.or.ke
 In Touch ● RCPLA Network 219

News from the Asia Region: update www.theworkshop.in. For more

from Praxis information email: info@theworkshop.in
Praxis – the Institute for Participatory
Practices – is a not for profit organisation Praxis activities
committed to mainstreaming the voices Praxis launched the Read aloud series of
of the poor and marginalised sections of participatory storybooks for children in
society in the processes of development. the 7–12 age group. Bala the bunny and
Based in New Delhi, with branches in other stories tells the stories of characters
Chennai, Patna, Hyderabad and London, whose right to voice their concerns and
Praxis works to promote participatory opinions about their own lives and
practices in all spheres of human livelihoods is muzzled. The stories have
development. Praxis carries out research been adapted from real life case studies
and consultancies, and also engages in based on research projects undertaken by
several self-funded initiatives to further Praxis over the past 15 years. The book is
the cause of development. available for purchase at:
www.praxisindia.org/?q=readaloud
The Praxis team has completed a
study on the life and struggles of
sanitation workers in Patna in the eastern
Indian state of Bihar. The study, A legacy
TheWorkshop2012 of stench, was released in March this year.
Praxis will be hosting its 16th Annual ■ Online: http://tinyurl.com/legacy-of-stench
Commune on Participatory Development Full URL:
from 5th–12th September 2012 in www.socialequitywatch.org/images/Files/the
Bengalooru, in the southern state of %20legacy%20of%20stench.pdf
Karnataka, India. This year’s theme is Praxis organised the first consultation
Make Participation Count. The format in the series Whose Reality Counts?, a
offers participants the opportunity to platform for dialogue facilitated by Praxis
learn about to explore challenges faced by various
participatory organisations in weaving human rights
methods during and social justice into the core of
the first six days evaluations and ways in which they been
of classroom overcome. Gender, Sexuality and
and out-of-class Development: Whose Reality Counts?
sessions and focused on different programmes that
fieldwork, and measure interventions on gender
attend modules empowerment with an emphasis on
to see how sexuality. Read more about the event at:
these tools, www.praxisindia.org/?q=node/239
methods and approaches work in
different contexts. The thematic Work with sexual minorities and injecting
application modules this year include: drug users
project cycle management; public Praxis is associated with a five-year
accountability; social return on programme measuring community
investment and political economy mobilisation among female sex workers,
analysis; disaster management; men having sex with men, transgender
campaign, advocacy and networking; and people and injecting drug users in six
a module to be evolved by the Indian states (Nagaland, Manipur,
participants. Details are available at Maharashtra, Andhra Pradesh,
220 65

Karnataka and Tamil Nadu). The aim is understand the changing face of citizen
to enable an effective transition of the action. Others have been working with a
HIV/AIDS intervention programme from project in Bosnia and Herzegovina, using
donors to the state and the communities digital storytelling and participatory
themselves. The design was evolved with video to evaluate a ten-year governance
comprehensive inputs from members of programme. And building upon our work
the community. Data collection and on the global financial crisis, we have
analysis for the third successive year has continued to examine how the food, fuel
been completed. and financial shocks affected poor people
■For more information about Praxis and and how they have negotiated coping
its work, see: www.praxisindia.org. strategies in developing contexts.
The Praxis YouTube channel shows videos of
previous workshops as well as other films PPSC blog
made by Praxis. See: Last autumn our new PPSC blog was
www.youtube.com/PraxisIndia launched. Giving space and voice to our
team and other collaborators, this site
News from the European Region: regularly posts informative, inspiring and
update from IDS provocative blogs that cover the full
spectrum of our work. Since its launch
Research updates the number of followers has been growing
The Participation, Power and Social daily and the overall audience week by
Change (PPSC) team at the Institute of week.
Development Studies has continued its ■ For the latest on the PPSC’s activities and
work in tackling social injustice and critical thinking, sign up at:
promoting participatory research for participationpower.wordpress.com
social change. Through the first
anniversary of the Egyptian uprisings, New publications
Mariz Tadros and others have been The team has produced a number of
analysing why and how the Arab resources in recent months. Robert
uprisings began and what this means for Chambers’ Provocations for development
human rights and public policy. They was published in April by IT Publications
suggest that citizen-led politics is being and comprises an entertaining and
left out of the formal arena and that this unsettling collection of writings that
will bear a cost not only in lives, but in questions concepts, conventions and
emerging policies that will compromise practices in development. Patta Scott-
people’s rights, dignity and well-being. Villiers’ inspirational work with a group of
Other team members are involved in a Ugandan youth
multi-year programme called Mobilising who learnt to
Men to Challenge Sexual and Gender use action-
Based Violence in Institutional Settings research
which asks what can men do to work techniques has
with women in challenging the resulted in
institutionalised nature of this sort of Strength,
violence? creativity and
Our work on ‘unruly politics’ (political livelihoods of Karimojong youth (see
actions that rupture the social and www.pastoralists.org). The team has
political order) has gained momentum. In produced two recent IDS Bulletins: Action
the last year, we developed a framework research for development and social
for using an ‘unruly’ lens to better change, edited by Danny Burns, came out
 In Touch ● RCPLA Network 221

in March and The pulse of Egypt’s revolt, October 2012 at a side event at the
edited by Mariz Tadros, in December. Convention on Biodiversity’s 11th
Recent working papers from the team Conference of Parties in Hyderabad,
include Women’s empowerment revisited: India. We hope to be able to continue to
from individual to collective power among launch and promote future issues in this
the export sector workers of Bangladesh by way, and establish ongoing informal
Naomi Hossain, and Shifting power? learning networks to share ideas and
Assessing the impact of transparency and lessons from articles published in PLA.
accountability initiatives by Rosie
McGee and John Gaventa.
■ More information is available at:
www.ids.ac.uk/go/bookshop.

Team members
The team has welcomed new member Panel on food security in Africa
Jerker Edstrom who works on The Pastoral and Environmental
masculinities, HIV and AIDS, and Network in the Horn of Africa (PENHA),
returning member Jas Vaghadia. We are in partnership with IIED, launched the
also pleased to have Naomi Vernon as Food We Want – Sustainable, Local, Fair
part of the team, working on Community- project at IIED’s offices in March. The
Led Total Sanitation. After many years event commenced with a discussion on
with the team, we are sad to say goodbye Food Security in Africa: Critical Issues for
to Georgina Powell-Stevens who has Small Scale Producers led by three
moved on to work on a major new project panelists: Michel Pimbert from the
elsewhere in IDS: we wish her well. Agroecology and Food Sovereignty team
■ The above are just a few highlights from at IIED, Micheline Ravololonarisoa,
the team’s work – for more information former Head of the Africa section of the
please see: www.ids.ac.uk org United Nations Development Fund for
Sign up for our blog: Women (now UN Women), and William
participationpower.wordpress.com Lume, Director of the Centre for Inter-
Email J.Stevens@ids.ac.uk African Relations (CEFIAR), based in
London. Both Michel Pimbert and
News from the European Region: Micheline Ravolonarisoa stressed that the
update from IIED majority of farmers in Africa are women,
and that there is increasing participation
Launching PLA by women in decision-making relating to
As mentioned in the Editorial, IIED held agricultural practices. Michel Pimbert put
a successful launch of PLA 64: Young forward the framework of food
citizens: youth and participatory sovereignty and an agricultural
governance in Africa at our new offices in production system that mirrors natural
Gray’s Inn Road, following the launch of cycles of production as a sustainable
PLA 63: How wide are the ripples? From model, and William Lume gave some
local participation to international historical background to the food security
organisational learning a few months’ issue in Africa. The panel discussion
earlier, which had been co-organised with ended with a question and answer
the Organisational Learning Network session, followed by a presentation on the
(OLN).1 PLA 65 will be launched in project itself by PENHA staff.

1 See: www.bond.org.uk/pages/organisational-learning-network.html
222 65

■Read IIED’s blog on the event at: small farmers at the centre. In the follow-
www.iied.org/agricultural-development- up to this unique and deliberative process,
business-usual-not-option West African farmers asked to have an
■Read more on the Food We Want website: open High Level Policy Dialogue with the
http://tinyurl.com/fww-launch Alliance for a Green Revolution in Africa
Full URL: (AGRA) and its main donors. This took
www.foodwewant.org/eng/News/Food- place in Accra, Ghana in February this
We-Want-Sustainable-Local-Fair-colourfully- year, chaired by the UN Special
launched-in-the-UK Rapporteur on the Right to Food, Professor
■For information on PENHA see: Olivier de Schutter. There were about 100
www.penhanetwork.org people present – among them 22
participants from AGRA, including its
Democratising agricultural research President, the President of ROPPA, 26
IIED and its partners have been facilitating West African farmers (men and women),
an inclusive process of farmer deliberation about 20 farmers from other regions
on what kind of agricultural research affected by the first Green Revolution, and
small-scale farmers and food processors three indigenous peoples from Thailand.2
want (www.excludedvoices.org). This is There was a video link up with the All
being carried out in the Andean Altiplano Party Parliamentary Group (APPG) on
of South America, South Asia, West Asia Agroecology at the UK Houses of
and West Africa. As part of this multi- Parliament, which enabled the participants
regional process, a series of citizens’ juries in Accra to dialogue with staff from the UK
was held in Mali over the last six years. Department for International
Their aim was to allow ordinary farmers Development, MPs and civil society
and other food producers, both men and members. Despite some technical hitches
women, to present and discuss their with the sound, the participants felt that
priorities on the governance of agricultural the policy dialogue set an important
research in West Africa, and make policy precedent for policy-making on the
recommendations. The farmer jurors made governance of agricultural research for
over 100 recommendations after cross- development in West Africa, bringing
examining expert witnesses. It was hitherto marginalised views of farmers to
recognised that there was a need for the table.
diversity and an inclusive agenda that puts ■Download the photo story at
http://pubs.iied.org/G03349.html. See also:
Farmer specialists at the citizens’ juries on
Democratising agricultural research, Mali Democratising agricultural research for food
Photos: Khanh Tran-Thanh

2 Le Réseau des Organisations Paysannes et de Producteurs de l’Afrique de l’Ouest

(Network of Farmers’ and Agricultural Producers).
 In Touch ● RCPLA Network 223

sovereignty in West Africa at Institute, the International Crops

http://pubs.iied.org/14603IIED.html Research Institute for the Semi-Arid
■ Read the IIED blog: www.iied.org/west- Tropics in India, and the University of
african-farmers-heard-uk-houses-parliament Hohenheim in Germany. Barbara is a
passionate advocate of participatory
Policy briefings methodologies – and wrote an article in
Two IIED policy briefings on the above PLA (then RRA Notes) on farmers’
research have been recently published – participation in watershed management
see our In Touch section for more in South India. We look forward to
information: working closely with her.
■ Putting farmers first: reshaping agricultural We are very pleased to welcome
research in West Africa Barbara, but we are also very sorry to be
http://pubs.iied.org/17122IIED.html losing another valued and well respected
■ Putting citizens at the heart of food system colleague, and another ardent supporter of
governance participatory research – Michel Pimbert.
http://pubs.iied.org/17125IIED.html Michel has been offered a Fellowship at
the Rachel Carson Centre for Environment
IIED websites and blog and Society at the University of Munich,
IIED launched its redesigned website in where he plans to continue some of his
April – and over the next few months we long-standing work with partners. Michel
will be updating and improving the joined the Sustainable Agriculture and
Participatory Learning and Action pages. Rural Livelihoods Programme (now the
See e-participation for more information Agroecology and Food Sovereignty Team)
on the website below and others. We at IIED 13 years ago, and has carried out
welcome your feedback! some radical and groundbreaking action
■ Visit the new website: www.iied.org research with partners around the world,
■ Visit also our new blog page: notably on the regeneration of food
www.iied.org/blogs systems based on social and ecological
■ For updates on the Democratising diversity, and on more inclusive forms of
Agricultural Research projects mentioned citizenship. His recent work on
above see: www.excludedvoices.org democratising agricultural research
■ For policy updates, guidance and resources culminated in the dialogue with AGRA
on biocultural heritage, see IIED’s website: and farmers in Accra earlier this year, as
http://biocultural.iied.org mentioned above. Michel has authored
several articles in PLA, including in this
Staff members issue, as well as numerous other
We are pleased to welcome Barbara publications promoting citizen voice and
Adolph to IIED’s Natural Resource power-equalising research. Michel has
Group. Barbara is coordinating and continuously supported and inspired the
consolidating the Institute’s work on food PLA editorial collective – always warmly
and agriculture. Barbara has worked in encouraging us in his distinctive style, and
agricultural research and rural livelihoods playing a key role on our strategic board.
for over 15 years, advising government He will be greatly missed but, as he says,
agencies, research organisations and civil he will continue to be part of this
society organisations working in sub- community of practice, and we are
Saharan Africa and Asia. Before joining delighted that he will remain on our
IIED, Barbara worked as a consultant for editorial board. We wish him every success
Triple Line Consulting Limited and as for the future and look forward to ongoing
senior scientist for the Natural Resources collaboration.
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For a full set of guidelines, visit our website Please include a brief abstract with your article
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A free guide to writing for the PLA series is available online
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Types of material accepted Participatory Learning and Action is intended to
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We welcome accounts of recent experiences in the field Contributions can be sent to: The Editors,
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from practitioners in the South. Articles should be co- UK.
authored by all those engaged in the research, project, or Fax: +44 20 7388 2826;
programme. Email: pla.notes@iied.org
In an era in which participatory approaches have often Website: www.planotes.org
been viewed as a panacea to development problems or
Resource Centres for Participatory Learning and
where acquiring funds for projects has depended on the use
Action (RCPLA) Network
of such methodologies, it is vital to pay attention to the
Since June 2002, the IIED Resource Centre for
quality of the methods and process of participation. Whilst
Participatory Learning and Action has been
we will continue to publish experiences of innovation in the
housed by the Institute of Development Studies,
field, we would like to emphasise the need to analyse the
UK. Practical information and support on
limitations as well as the successes of participation.
participation in development is also available from
Participatory Learning and Action is still a series whose
the various members of the RCPLA Network.
focus is methodological, but it is important to give more
This initiative is a global network of
importance to issues of power in the process and to the
organisations, committed to information sharing
impact of participation, asking ourselves who sets the
and networking on participatory approaches.
agenda for participatory practice. It is only with critical
More information, including regular updates
analysis that we can further develop our thinking around
on RCPLA activities, can be found in the In Touch
participatory learning and action.
section of Participatory Learning and Action, or
We particularly favour articles which contain one or
by visiting www.rcpla.org, or contacting the
more of the following elements:
network coordinator: Ali Mokhtar, CDS, Near
• an innovative angle to the concepts of participatory
East Foundation, 4 Ahmed Pasha Street, 10th
approaches or their application;
Floor, Garden City, Cairo, Egypt.
• critical reflections on the lessons learnt from the author’s
Tel: +20 2 795 7558; Fax: +2 2 794 7278;
experiences;
Email: amokhtar@nefdev.org
• an attempt to develop new methods, or innovative
adaptations of existing ones;
Participation at IDS
• consideration of the processes involved in participatory
Participatory approaches and methodologies are
approaches;
also a focus for the Participation, Power and Social
• an assessment of the impacts of a participatory process;
Change Team at the Institute of Development
• potentials and limitations of scaling up and
Studies, University of Sussex, UK. This group of
institutionalising participatory approaches; and,
researchers and practitioners is involved in
• potentials and limitations of participatory policy-making
sharing knowledge, in strengthening capacity to
processes.
support quality participatory approaches, and in
deepening understanding of participatory
Language and style
methods, principles, and ethics. For further
Please try to keep contributions clear and accessible.
information please contact: Jane Stevens, IDS,
Sentences should be short and simple. Avoid jargon,
University of Sussex, Brighton BN1 9RE, UK.
theoretical terminology, and overly academic language.
Tel: +44 1273 678690; Fax: +44 1273 621202
Explain any specialist terms that you do use and spell out
Email: J.Stevens@ids.ac.uk
acronyms in full.
Website: www.ids.ac.uk
participatory learningandaction

65
Many rural communities in the global South – including some 370 million indigenous peoples –
are directly dependent on biodiversity and related traditional knowledge for their livelihoods,
food security, healthcare and well-being. But with the loss of biodiversity, valuable resources such
as climate-resilient crops, medicinal plants and wild foods are being lost. Cultural diversity is
being eroded at an unprecedented rate and with it, ancestral knowledge of how to use and
conserve biodiversity.
This special issue of Participatory Learning and Action explores two important participatory tools
that indigenous peoples and local communities can use to help defend their customary rights to
biocultural heritage, natural resources and land:
Community protocols – or charters of rules and responsibilities – in which communities set out
their customary rights to natural resources and land, as recognised in customary, national and
international laws; and
Free, prior informed consent (FPIC) processes, in which communities decide whether or not to
allow projects affecting their land or resources to go ahead, and on what terms.
The issue reviews the experiences of communities in Asia, Latin America and Africa in developing
and using these tools in a range of contexts. It also looks at some government experiences of
establishing institutional processes for FPIC and benefit-sharing. It identifies practical lessons and
guidance based on these experiences and aims to strengthen the capacity of a range of actors to
support these rights-based tools effectively in practice. It aims to provide guidance for those
implementing the Nagoya Protocol and other natural resource and development practitioners, and
to raise awareness of the importance of community designed and controlled participatory processes.
Participatory Learning and Action is the world’s leading informal journal on participatory
approaches and methods, drawing on the expertise of guest editors to provide up-to-the minute
accounts of participatory approaches in specific fields. It provides a forum for participatory
practitioners – community workers, activists and researchers – to share experiences, conceptual
reflections and methodological innovations with others, providing a genuine ‘voice from the field’,
and is a vital resource for those working to enhance the participation of ordinary people in local,
regional, national and international decision-making, in both South and North.

ISBN: 978-1-84369-851-7
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