Final Report

PEAKS TO COAST FINAL REPORT

FROM THE GLACIERS TO THE COAST: BUILDING CLIMATE CHANGE AWARENESS AND RESILIENCE IN THE ANCASH AND PIURA WATERSHEDS OF NORTHERN PERU

FINAL REPORT

USAID CA #: 527-A-00-09-0000-00 SUBMITTED TO: USAID PERU

SUBMITTED BY: The Mountain Institute

This document has been made possible thanks to TMI, a global conservation organization, and the generous support of the American people through the United States Agency for International Development (USAID). The contents of this document reflect the authors’ vision but not necessarily those of TMI, USAID or the US government”

Date: November 4, 2012

ii Table of Contents

1. Executive Summary 1 Project strategies 1 Project sites 2 Results Framework 5 Results Framework: Activities 6 Project Results 8 Performance Monitoring: Project Results July 14 2009 – June 2012 11

2. Peaks to Coast Project: Overview of objectives and activities 15 Project Goal 15 Project Objectives 16 Project Activities and outcomes 16 1.1. Adult Education Program on adaptation to climate change and mountain ecosystem conservation validated 16 1.2. Community-based organizations have increased their capacity for social communication and advocacy in their municipalities 26 1.3. Community-based organizations have developed mountain ecosystem conservation and land use models in three micro watersheds 27 2.1. Municipal government technical staff and authorities have improved their capacities in climate change adaptation 29 2.2. Research and action agenda and science-citizen dialogue mechanisms have been developed at the level of the watershed 35 2.3. Municipalities organized in networks or commonwealths participate in the Regional Climate Change Adaptation Strategy 39

3. Gender Component 41 The Network of Women Councilors 42 Small projects with women groups 43

4. Lessons Learned and Recommendations 45 TMI lesson in the design of climate change adaptation projects 45 What did work: 45 What needs to be improved: 46 Good practices: 46 Lessons learned: 47 Peasant Communities empowered to participate in their local governments: challenges to improve cooperation 47 Lessons Learned 47 Community-based organizations: Can they champion ecosystem management and climate change adaptation? 48 The municipal commonwealth 49 What did work? 49 What needs to be improved 50 Women’s capacities in climate change adaptation 50 What did work 51 What needs to be improved 52 Lessons learned 52

5. Annex: Final external assessment (Executive Summary) 53

iii Acronyms

Acronym Spanish English

AGRORURAL Programa de Desarrollo Rural Economic Development Productivo Agrario Rural Program

CIAL Comité de Investigación Agrícola Local Agricultural Research Local Committee

CBOs Organizaciones de Base Comunitaria Community-Based Organizations

CNCC Comisión Nacional de Cambio National Climate Change Climático Commission

CONCYTEC Consejo Nacional de Ciencia y National Science and Technology Tecnología Council

CONDESAN Consorcio para el Desarrollo Consortium for Sustainable Sostenible de la Región Andina Development of the Andean Region

Chavimochic Proyecto Especial de Riego Valles Chao, Viru, Moche and Chicama Chao, Virú, Moche y Chicama Valleys Special Project

DGCCDRH Dirección General de Cambio Directorate General for Climate Climático, Desertificación y Change, Desertification and Recursos Hídricos Hydrological Resources (DGCCDRH), Environment Ministry

ERACC Estrategia Regional de Climate Change Regional Adaptación al Cambio Climático Adaptation Strategy

ENCC Estrategia Nacional de Cambio National Climate Change Strategy Climático

EWB Ingenieros Sin Fronteras Engineers Without Borders

FONIPREL Fondo de Promoción a la Fund for the Promotion of Regional Inversión Pública Regional y Local and Local Public Investment

GRA Gobierno Regional de Ancash Ancash Regional Government

GTH Grupo de Trabajo Huascarán Huascaran Working Group

HNP Parque Nacional Huascarán Huascaran National Park

IRG Grupo de Recursos International Resources Group Internacionales

JUSAL Junta de Usuarios de Riego San San Lorenzo Water User Lorenzo Association

iv Acronym Spanish English

LUP-UNALM Laboratorio de Utilización de Pasture Laboratory of the National Pastizales de la Universidad Agrarian University Nacional Agraria

MINAM Ministerio del Ambiente Environment Ministry

MMTC Mancomunidad Municipal Tres Three Watersheds Municipal Cuencas: Santa, Pativilca, Commonwealth Fortaleza

MOCICC Movimiento Ciudadano frente al Citizen Movement to Face Climate Cambio Climático Change (MOCICC)

PCM Presidencia del Consejo de Office of the Prime Minister Ministros

PMP Plan de Monitoreo del Performance Monitoring Plan Desempeño

PMP Plan de Manejo del Paramo Paramo Management Plan

PUCP Pontificia Universidad Católica del Pontifical Catholic University of Perú Peru

PPA Proyecto Páramo Andino Andean Paramo Project

REMURPE Red de Municipalidades Rurales Network of Rural Municipalities of del Perú Peru

REMUR ANCASH Red de Municipalidades Rurales Network of Rural Municipalities of de Ancash Ancash

REMURPI Red de Municipalidades Rurales Network of Rural Municipalities of de Piura Piura

RPPP Red de Periodistas de Provincias Network of Peruvian Province del Perú Journalists

SERNANP Servicio Nacional de Áreas National Administration of Natural Naturales Protegidas Protected Areas

SNIP Sistema Nacional de Inversión National System of Public Pública Investment

TMI Instituto de Montaña The Mountain Institute

UNASAM Universidad Nacional Santiago Santiago Antúnez de Mayolo Antúnez de Mayolo National University

v Acronym Spanish English

UPCH Universidad Peruana Cayetano Cayetano Heredia Peruvian Heredia University

USAID Agencia de Estados Unidos para United States Agency for el Desarrollo Internacional International Development

vi 1. Executive Summary

Climate change presents major challenges for Peru. Highland Peru is home to seventeen glacier ranges that are receding rapidly due to global warming (it is estimated that the average rate of temperature increase in the cryosphere zone of these tropical mountain ranges will be approximately three times the global average). Climate variability, change and glacial recession is a direct threat to the livelihoods of rural poor in Peru, a segment of Peru’s population that depends on agriculture and livestock, two resources that are particularly sensitive to changes in the supply of water. The coast of Peru, one of the driest deserts in the planet, is fully dependent on the hydrology of the western Andean escarpment. Therefore, the rapid loss of glaciers in the Andes poses a significant threat to the entire economy of Peru.

Climate change is a crosscutting driver of change that impacts multiple economic sectors, often in ways that are complex and difficult to predict. For instance, the recession of glaciers affects the regulation and supply of water for the entire basin, accentuating the competition for water between farmers and providers of electricity. Similarly, the recession of glaciers increases the exposition of mineralized rocks. This process worsens natural water pollution issues and exacerbates social conflicts in a country heavily dependent on mining.

Considering this context, the Peaks to Coast project was designed to work with mountain communities and local governments to address the challenges that face mountain ecosystems. Given the fact that water regulation affects multiple sectors, the project also took on the challenge of working at the scale of watersheds.

Project strategies

The Mountain Institute implemented the project in cooperation with the Network of Rural Municipalities of Peru (REMURPE).

At its core, the Peaks to Coast project endeavored to increase the capacities of mountain communities and local governments to adapt to climate variability and change by contributing to national strategies that foster collective action and cooperation at the scale of watersheds.

A central strategy of the project was its focus on building and strengthening the capacities of local institutions to adapt to climate change. Thus, the project (i) worked with men and women in peasant communities interested in participatory research related to ecosystems, water or climate change; (ii) pioneered the development of organizations like the Municipal Commonwealth, an association dedicated to the sustainable management of mountain ecosystems, water and cooperation to adapt to climate change; (iii) supported and co-financed the establishment of Foro Agua Santa, a citizens dialogue and information platform for the Santa river, one of the most complex watersheds in Peru from a geographic, social and political perspective; and (iv) worked closely with regional governments of Ancash and Piura to facilitate the development of climate change policies.

Peaks to Coast – TMI Final Report 1 The project included a distinct gender equity component that was implemented both at the municipality level (electing women to office), and the community level (supporting the capacities of women to respond to the impacts of climate change).

Project sites

The project was implemented in the two most important western ranges of central and northern Peru: 1) the Cordillera Blanca, the highest section of the Andean cordillera and 2) the paramo ranges of Piura, the lowest section of the Andes which has no glaciers. These sites were strategically selected to build cooperation between upstream and down stream populations and demonstrate the importance of protecting ecosystems located below the glaciers, like the humid puna and wetlands that have a role in the regulation of water.

More specifically, the project worked in the following areas:

Community Main Local Scaling Up and (Region) Ecosystems Organizations Cooperation

Cordillera Blanca- Humid puna -Local Research group Recuay Province Canrey Chico wetlands (CIAL) 19 communities in (Ancash) -Municipal Commonwealth commonwealth

Huasta Quenual native Local Research group Bolognesi Province (Ancash) forests (Polylepis (Forest restoration) 19 communities in spp) Community authorities commonwealth (Private Conservation Area) Municipal Commonwealth Santa river Water user Coastal desert NATURA (NGO) Santa watershed groups Water regulated by Water User groups Linkages (Ancash) Glacier Range Irrigation Projects

San Juan Cachiaco Paramo -Paramo Associations Community networking (Ancash) Cloud Forest -Ronda Campesina Paramo Reserved Zone

Samanga (2 sectors) Paramo Community networking (Ancash) Cloud Forest Paramo Reserved Zone

Quiroz river water Coastal desert 16 irrigation user groups Quiroz watershed users (Piura) Water regulated by Linkages paramo and forests

Figure 1. Map of project sites in Ancash. Coastal zones irrigated by Santa River and Municipal Commonwealth Three Watersheds in the headwater area

Paramo Ecosystem zone Pacaipampa and Ayabaca districts

Coastal zone JUSAL water users

Figure 2. Map of project sites in Piura: Coastal zones irrigated by Quiroz river and paramo highland communities

4 Results Framework

5 Results Framework: Activities

IR 1.1. Adult Education Program on adaptation to climate change and mountain ecosystem conservation has been validated.

 111. Elaborate communications baseline and communication strategy.

 112. Elaborate training modules (methodological guidelines, tools and training materials)

 113. Conduct training in climate change adaptation with mountain communities and ecosystem management.

 114. Implement communication activities

 115. Coordinate and conduct training in climate change adaptation with stakeholders/partners in lowland areas.

 116. Production of branding materials for the training courses and project presentation

IR 1.2. Community-based organizations have increased their capacity for social communication and advocacy in their municipalities.

 121. Develop Institutional strategy to incorporate gender in conservation activities and citizen participation in climate change adaptation

 122. Training of young leaders and local authorities in community radio tools

 123. Local community radio programs on ecosystem management and climate change implemented

 124. Training of local journalists and other media groups

IR 1.3. Community-based organizations have developed mountain ecosystem conservation and land use models in three micro-watersheds

 131. Develop a monitoring plan to follow activities with local communities.

 132. Select three micro-watersheds to implement models of mountain ecosystem conservation and land use.

 133. Memorandum of Understanding with communities and municipalities to elaborate conservation plans in the sites selected.

 134. Conduct diagnostic studies and analysis of the micro-watersheds selected.

 135. Develop native grassland management Project in Canrey Chico.

 136. Develop Private Conservation Area in Huasta.

6  137. Develop community project with rondas campesinas and women groups in Piura to promote Paramo Management Plans.

IR 2.1. Municipal government technical staff and authorities improve capacities for climate change adaptation

 211. Implement a Training of Trainers Workshop on Vulnerability and Adaptation Analysis.

 212. Conduct a case study on climate change adaptation in Santa River to provide context to V&A analysis (with IRG)

 213. Develop municipal level plans for climate change adaptation

 214. Provide technical support to local environmental commissions and development of municipal commonwealth

 215. Strengthen the capacities of municipalities for effective participation in the municipal commonwealth.

IR. 2.2. Research and action agenda and science-citizen dialogue mechanisms developed at watershed level

 221. Provide support to national and international researchers working on climate change in the project area.

 222. Organize meetings to provide science-based climate change information that supports the Regional Climate Change Strategy process

 223. Elaborate and publish science based information adapted to the needs of decision makers.

 224. Develop web-based communication tools

IR 2.3. Municipalities organized in networks or Commonwealths participate in the Regional Climate Change Adaptation Strategy

 231 Support the involvement of municipalities of Ancash and Piura in the respective Climate Change Regional Adaptation Strategies.

 232. Provide technical cooperation in climate change adaptation Initiatives to REMURPE, REMUR Piura and REMUR Ancash.

 233. Support the participation of REMUR Ancash and REMUR Piura the respective Climate Change Regional Adaptation Strategies

7 Project Results

The Peaks to Coast project achieved the results it was designed to deliver (the executive summary of the external assessment of the project can be consulted in Annex one of this report).

While the external assessment indicated that it is too soon to determine if the results achieved are sustainable, all outcomes achieved can be described as “no-regret” alternatives that build resiliency against climate change. These “no-regret” adaptations also have synergies among themselves. For example, increasing the capacities of community-based organizations to conduct participatory research on range land or forest management in pilot communities is fully consistent with the development of the Municipal Commonwealth and the Citizen Conference which are mechanisms to promote dialogue and public investment in communities. They can in the future support each other. Similarly, the fact that the project assisted the validation of land management models for the conservation and sustainable use of mountain ecosystems (community plans for adaptation to climate change or private conservation areas) provides the Municipal Commonwealth not only with examples to replicate but also with empowered, trained, local people.

Training in global climate change and climate change adaptation (Indicator A in the PMP Table)

579 people completed training over three years (349 men and 182 women). Trained people included (i) members of water user groups in the coastal zone of Santa and Quiroz rivers (that latter a tributary of Chira basin); (ii) mountain communities designated as pilot sites (four in the Piura paramo, one in Ancash that manages extensive areas of humid puna grasslands, an one in Ancash that holds the largest Polylepis spp forest outside Huascaran National Park); (iii) district and provincial municipalities staff and elected authorities; (iv) government officials in Ancash and Piura; (v) local journalists and journalism students, among others.

Increased adaptive capacities (Indicator B in the PMP Table)

150 people (100 men and 50 women): (1) completed training designed to support their environmental knowledge as individuals and land stewards and (2) actively participated in organizations that demonstrated capacity to implement concepts of vulnerability to climate variability and change in the form of plans, projects and other instruments relevant to adaptation. The organizations with increased adaptive capacity included: (i) coastal water user associations (e.g. JUSAL produced a climate change adaptation plan, co-financed information centers to educate their members and established a special water tariff to support paramo conservation); (ii) two communities in Ancash and four in Piura created organizations that have since developed adaptation plans and are implementing actions to improve the use of their resources.

Climate change adaptation proposals developed by communities (Indicator 1.1. in the PMP Table)

Twelve climate change adaptation project proposals were developed by communities and presented to their respective local governments. The communities of Cordillera Blanca and Huasta in Ancash prepared ten proposals. In Piura the communities of Samanga and San Juan prepared two proposals.

Land management and conservation interventions validated (Indicator 1.2 in the PMP Table)

Three land management and conservation interventions were validated:

 The first one is in the community of Cordillera Blanca, also known as Canrey Chico. The community developed a land use plan for their territory, identifying adaptation strategies. The community has approved a plan to restore their native puna grasslands and is implementing it.

 The second one is a Private Conservation Area (ACP), 726 hectares dedicated to the protection of quenual (Polylepis spp) forests owned by the community. The community followed a long process that resulted in the formal recognition by the Peruvian government of this protected area. The ACP has a detailed management plan that was also validated by the community at large.

 The third case is the proposal of a reserved zone to protect the paramo ecosystem of Piura and adjacent remnants of cloud forest (a total area of 160,000 hectares). The proposal was approved by the Regional Government of Piura and presented to SERNANP

Local government climate change plans, supporting normative, and public investment (Indicator 2.1 in the PMP Table)

Provincial and regional governments in Ancash and Piura approved thirteen adaptation projects. The “Three Watersheds” municipal commonwealth developed four of these projects and financial and technical support was negotiated with the Regional Government of Ancash to develop the technical profiles. Two of the sixteen projects developed by the “Three Watersheds” municipal commonwealth, were awarded $262,420 dollars by FONIPREL (Fund for the Promotion of Regional and Local Public Investment) to develop the technical project profile. These six projects (four funded by GOR Ancash and two by FONIPREL) were the result of a climate change adaptation plan developed by the commonwealth. These projects are legally and politically backed up by ordinances enacted by the elected councilors of the municipalities that belong to the commonwealth. The commonwealth also signed agreements with sixteen of the nineteen peasant communities in its territory. Seven of the sixteen projects were identified as high priority in the budget of provincial governments of Piura and Ancash.

Climate change adaptation initiatives incorporated in Regional Climate Change Strategy (Indicator 2.2 in the PMP Table)

Only Piura completed its Regional Climate Change Strategy (ERCC) within the time frame of the project. The ERCC’s primary strategic objective (SO4) is to conserve paramo ecosystems in the headwaters of the Chira basin. The specific activities of SO4 reflect experience gained by the project:

 Conserve and restore ecosystems that regulate water in the headwaters of the Chira Basin: paramo and cloud forests

9  Develop coordination mechanisms among watershed stakeholders  Support investments to promote the “harvest of water” (i.e. build reservoirs and protect natural wetlands).  Promote water funds to further watershed conservation

Note: TMI and REMURPI participated in the ERCC Task Force and worked in cooperation with the Regional Government of Piura.

Performance Monitoring: Project Results July 14 2009 – June 2012

INDICATOR BASE JULY SEPTEMBER SEPTEMBER SEPTEMBER 2011 JUNE CUMULATIVE 2009 2009 2010 2012 TARGET 0 0 160 160 0 320 PEOPLE TRAINED

(A) NUMBER OF PEOPLE TRAINED IN GLOBAL CLIMATE CHANGE, ADAPTATION ANALYSIS AND ECOSYSTEM BASED ADAPTATION STRATEGIES. ACTUAL 0 0 TOTAL 200 TOTAL 331 TOTAL 48 TOTAL 579 PEOPLE DISAGGREGATED DISAGREGATED: -38 WATERSHED TRAINED BY: COMMUNITY 281(177 REPORTERS (ANCASH) COMMUNITY 152 MEN AND 104 WOMEN) DISAGREGATED: MUNICIPALITY48 MUNICIPALITY 50 (31 -10 COMMUNITY RADIO MEN AND 19 WOMEN) YOUTH GROUP TOTAL MEN: 373 TOTAL WOMEN: 206 TOTAL MEN 141 TOTAL MEN: 208 TOTAL MEN: 24 TOTAL WOMEN 59 TOTAL WOMEN: 123 TOTAL WOMEN: 24 B. NUMBER OF PEOPLE WITH TARGET 0 0 0 80 80 160 WITH INCREASED INCREASED ADAPTIVE CAPACITY CAPACITY TO COPE WITH TO COPE WITH IMPACTS OF CLIMATE CHANGE CLIMATE VARIABILITY AND ACTUAL 0 0 0 123 27 150 WITH INCREASED CHANGE AS A RESULT OF USG DISAGREGATED: DISAGREGATED: CAPACITY ASSISTANCE JUSAL WATER USERS (IMPLEMENTED TRAINING (PIURA): 60 8 IN LOCAL RESEARCH IN INSTITUTIONALZIED LOWLAND WATER GROUP ON MEDICINAL SETTING) USERS PLANTS (ANCASH) DISAGREGATED: SANTA MUNICIPAL WOMEN : 29 -9 COUNCILORS TOTAL MEN :100 CANREY CHICO CIAL: -10 PARAMO TOTAL WOMEN: 50 20 MANAGEMENT PLAN (PIURA) FORESTRY GROUP HUASTA: 14 TOTAL WOMEN: 27

11 INDICATOR BASE JULY SEPTEMBER SEPTEMBER SEPTEMBER 2011 JUNE CUMULATIVE 2009 2009 2010 2012

TOTAL MEN: 100 WOMEN: 23 IND. 1.1. NUMBER OF CLIMATE TARGET 0 0 3 LOCAL 3 LOCAL PROPOSALS 0 6 PROJECT CHANGE ADAPTATION PROPOSALS SUBMITTED PROPOSALS PROPOSALS DEVELOPED BY SUBMITTED COMMUNITY-BASED ACTUAL 0 PROPOSALS 12 0 12 PROJECT ORGANIZATIONS AND LOCAL PROPOSALS BY PROPOSALS IIDENTIFIED COMMUNITIES FOR THEIR COMMUNITIES BY COMMUNITIES IN MUNICIPALITIES PRESENTED TO CLIMATE CHANGE MUNICIPALITIES ADAPTATION PLANS (CC CORDILLERA (ANCASH) AND PARAMO BLANCA, CC HUASTA, MANAGEMENT PLANS CC SAMANGA, (PIURA) PRESENTED TO CASERÍOS SAN JUAN MUNICIPALITIES AND SAMANGA) IND. 1.2. NUMBER AND TYPE OF TARGET 0 0 1 VALIDATED 2 VALIDATED LOCAL 0 03 LAND MANAGEMENT LAND MANAGEMENT AND LOCAL INTERVENTIONS MODELS CONSERVATION INTERVENTIONS INTERVENTION LOCALLY VALIDATED WITH THEIR ACTUAL 1 INITIATIVE 2 INITIATIVES 3 INITIATIVES 3 LAND MANAGEMENT MUNICIPALITIES VALIDATED THE VALIDATED BY LOCAL VALIDATED AND CONSERVATION COMMUNITY OF GROUPS: INITIATIVES APPROVED: HUASTA: (I) CORDILLERA CORDILLERA BLANCA/CANREY (I) CORDILLERA PRIVATE BLANCA/CANREY CHICO COMMUNITY BLANCA: LAND USE CONSERVATION CHICO COMMUNITY LAND MANAGEMENT PAND CLIMATE AREA OF PARIA LAND MANAGEMENT PLAN APPLIED BY THE ADAPTATION PLAN (IN HUASTA) PLAN COMMUNITY (APPROVED BY COMMUNITY) PARAMO RESERVED (II) PRIVATE ZONE FOR CONSERVATION AREA (II) PARAMO RESERVED CONSERVATION OF HUASTA ZONE PROPOSED BY COMMUNITY REGIONAL GOVERNMENT APPROVED (R.M. OF PIURA (160,000 Nº306-2011- 12/29/ HECTARES) 2011) (III) PARAMO (III) PRIVATE

12 INDICATOR BASE JULY SEPTEMBER SEPTEMBER SEPTEMBER 2011 JUNE CUMULATIVE 2009 2009 2010 2012 CONSERVATION AREA CONSERVATION AREA PREPSENTED BY (726 HECTARES) REGIONAL APPROVED BY MINISTRY GOVERNMENT TO OF ENVIRONMENT SERNANP

IND. 2.1. NUMBER OF LOCAL TARGET 0 0 03 PROJECT 03 PROJECT 0 06 CLIMATE CHANGE GOVERNMENT CLIMATE CHANGE PROFILES AND PROFILES AND 03 ADAPTATION PROJECTS PLANS, COUNCIL ORDINANCES 03 ORDINANCES ORDINANCES OF MUNICIPALITIES 1 [ORDENANZAS], AND NORMS APPROVED AND CLIMATE CHANGE PROJECTS APPROVED FOR 06 ORDIANNCES COMMUNITIES BY LOCAL AND REGIONAL GOVERNMENTS ACTUAL 01 PUBLIC 07 PROPOSALS 02 ADDITIONAL 13 CLIMATE CHANGE INVESTMENT PRIORITIZED IN THE PROPOSALS ADAPATTION PROJECTS PROJECT PROFILE 2012 MUNICIPAL PIA OF IDENTIFIED IN THE APPROVED IN (FOREST RECUAY, HUASTA, CLIMATE CHANGE PROVINCIAL AND RESTORATION SAMANGA, AND ADAPTATION PLAN OF REGIONAL GOVERNMENT RECUAY AND PACAIPAMPA THE MUNIUCIPAL BUDGETS IN SUPPORT BLOGNESI) COMMONWEALTH ARE OF THE 03 PROJECTS [FICHA DE FINANCED BY COMMONWEALTH AND ORDINANCES PROYECTO] PRIORITIZED FONIPREL PEASANT COMMUNITIES. 03 MUNICIPALITIES AND LISTED IN THE APPROVE PARTICIPATORY BUDGET ORDINANCES: ORDINANCES ORDINANCES TO OF ANCASH REGIONAL 7 ORDINANCES A TOTAL OF 10 IMPLEMENT GOVERNMENT 2011 (ORDINANCES ARE ORDINANCES ISSUED BY PROJECTS AS A COMPLEMENTED BY 16 THE MUNICPAL COMMONWEALTH ORDINANCES: LEGAL AGREEMENTS COUNCILS OF MEMBERS [MANCOMUNIDAD] 01 PCM RESOLUTION BETWEEN THE OF THE CREATES THE TRES COMMONWEALTH AND COMMONWEALTH CUENCAS COMMUNITIES) SUPPORT PUBLIC COMMONWEALTH AS INVESTMENT GOVERNMENT ENTITY (10 MUNICIPAL ORDINANCES LEGALLY

1 The Commonwealth expanded from an initial group of four to ten municipalities, therefore the number of ordinances correspondingly increased.

13 INDICATOR BASE JULY SEPTEMBER SEPTEMBER SEPTEMBER 2011 JUNE CUMULATIVE 2009 2009 2010 2012 SUPPORT CREATION OF THE COMMONWEALTH)

IND. 2..2. NUMBER OF CLIMATE TARGET 00 0 02 PROPOSALS 01 PROPOSAL 02 PROPOSALS CHANGE AND VARIABILITY SUMBMITTED TO THE APPROVED IN INCORPORATED IN ADAPTATION PROPOSALS OF REGIONAL CLIMATE REGIONAL CLIMATE REGIONAL CLIMATE MUNICIPALITIES LOCATED IN CHANGE STRATEGIES CHANGE STRATEGIES CHANGE STRATEGIES HEADWATERS THAT HAVE BEEN OF PIURA AND ANCASH INCORPORATED TO THE ACTUAL 0 01 PROPOSALS FOR 01 PROPOSAL FOR REGIONAL CLIMATE CHANGE PARAMO PARAMO CONSERVATION ADAPTATION STRATEGY (ERCC [FORMAL MEMBERSHIP CONSERVATION ACTIONS IDENTIFIED IN IN SPANISH) IN PIURA CLIMTE INCORPORATED AND THE REGIONAL CHANGE STRATEGY THE APPROVED CLIMTE STRATEGY OF CLIMATE TASK FORCE; CHANGE STRATEGY OF CHANGE ADAPTATION OF ACTIVITIES PIURA (ERCC) PIURA (ERACC) ACCOMPLISHED] (ACTIONS IDENTFIED UNDER STRATEGIC OBJECTIVE # 4 OF THE ERCC)

2. Peaks to Coast Project: Overview of objectives and activities

The Mountain Institute (TMI) designed the Peaks to Coast project in an effort to reduce Peru’s vulnerability to the glacial recession and the myriad of negative effects that climate change has on upland ecosystems that retain and regulate the water flowing into the western Pacific drainage. When the project began, TMI had nearly 15 years of experience working with remote mountain communities in Peru to conserve and manage their land and resources. TMI proposed to build on these institutional assets in order to explore a “set of collective actions and strategies” that, once validated through experience, could be presented as a climate change adaptation model. The model would provide “examples” for designing and implementing adaptation strategies in context-focused social, cultural, political and economic systems that characterize the Pacific drainage.

Recognizing the complex interaction between community, culture and resource conservation, the project was designed to deliver results that benefited remote mountain communities affected by climate change by 1) increasing their capacity to implement projects that conserve natural resources (and in turn, support the livelihoods and cultures of local people) and 2) promoting greater public involvement in climate change adaptation projects and discussions dealing with the management of natural resources

Project Goal

Set of collective actions and strategies have been validated in mountain headwaters of Ancash and Piura as an Adaptation Model to climate change impacts.

The project conducted activities that have provided experience on how to conduct vulnerability analysis and climate change adaptation activities in the ecological, social, political and economic context of the western Andes of Peru. The Peaks to Coast project responded to Peru’s vulnerability associated with the loss of glaciers through:

 Selecting headwaters in Piura and Ancash representative of Peru’s vulnerability  Implementing an upland-lowland framework  Developing adaptation capacities among communities, municipal governments, lowland water users and diverse stakeholder groups.  Facilitating development of institutional systems to implement climate change adaptation projects and thus improve conditions for sustainability.

These approaches resulted in tools, lessons and pilot cases that were systematized by TMI. This “model” is expected to provide a guide to more effective mountain ecosystem-based adaptation strategies in Peru. The project experience was captured in the document “Systematization of the Peaks to Coast Project”

15 Project Objectives

1. Capacity of communities and community-based organizations to manage high mountain ecosystems as an adaptation strategy to climate change has been increased and strengthened.

IR 1.1. Adult Education Program on adaptation to climate change and mountain ecosystem conservation has been validated.

IR 1.2. Community-based organizations have increased their capacity for social communication and advocacy in their municipalities.

IR 1.3. Community-based organizations have developed mountain ecosystem conservation and land use models in three micro-watersheds

2. Public policies for climate change adaptation have been established in local governments located in mountain headwaters of Ancash and Piura.

IR 2.1. Municipal government technical staff and authorities improve capacities for climate change adaptation

IR. 2.2. Research and action agenda and science-citizen dialogue mechanisms developed at watershed level.

IR 2.3. Municipalities organized in networks or Commonwealth participate in the Regional Climate Change Adaptation Strategy

Project Activities and outcomes

1.1. Adult Education Program on adaptation to climate change and mountain ecosystem conservation validated

The project trained rural communities in climate change adaptation, strengthening their skills and capacities to 1) improve the management of ecosystems that regulate water and 2) increase the opportunities communities members have to work jointly with the local government.

The following chart and narrative summarizes the strategies, activities and methods implemented by each component of the project. Training activities in both objectives are designed to be mutually reinforcing (e.g. On several occasions, trained research groups –such as the CIAL-- presented their activities results to municipal groups that were also undergoing climate change adaption training).

16 Table 1. Methodology and strategies in Peaks to Coast project.

RESULTS INTERMEDIATE RESULTS STRATEGIES AND ACTIONS

1. STRENGTHENING 1.1. Education program and  Community leadership OF GRASSROOTS Climate Change training AND COMMUNITY- Adaptation plan with  Design of Climate Change BASED community based Action Plan with CBOs ORGANIZATIONS organizations (CBOs). (CBOs) 1.2. Communication and,  Community radio policy advocacy with  Mass communication municipal governments. efforts 1.3. Territorial based models  Conservation areas and (conservation areas, community land use territory organization, planning projects with CBOs, etc.)  Community Adaptation to Climate Change projects (working with local women on medicinal plants and weaving projects) 2. PUBLIC POLICIES 2.1. Municipal capacity building  Women council member IN LOCAL training GOVERNMENTS  Stronger municipalities and policy advocacy  Water User Boards’ strengthening 2.2. Research and government  Water forum / science-citizen dialog  Conferences and lectures. groups 2.3. Commonwealth and  Strengthening municipal Networks in policy commonwealths advocacy  Provide support to the region’s climate change strategy development

TMI primarily used the following tools and methodologies to implement strategies described in Table 1:

 Facilitation Handbook for group learning, describing facilitation concepts, methods and tools (TMI 2005)

 USAID Handbook on vulnerability analysis and adaptation to climate change. Provided basic concepts adapted to different contexts.

 CIAL methodology for farmer-based local research on management of natural resources (e.g. native grasslands)

17  Community radio broadcasting skills for young people. A set of training modules on environmental leadership, oral communication skills, and technical training to use basic rural broadcasting equipment.

 Paramo Week. An awareness raising and mass education campaign for urban and rural people, including interactive events, street shows, lectures, competitions, plays, radio broadcasts and other creative attractions.

 Participatory workshops for rural community leaders lasting from one to several days and using facilitation methods to elicit local concepts and definitions of problems and solutions. Use of the Guión Metodológico for each session with communities.

 Watershed forums [Foro Agua Santa]. An open space for stakeholder dialog.

 Meetings, internships and field trips to watersheds in and around the region to learn from other experiences and motivate participants

 Integrated Conservation and Development projects (ICDPs): community based projects (ICDP Handbook, Instituto de Montaña, 2005).

Training courses for highland and lowland beneficiaries

Training rural communities in the highlands and water user groups in the lowlands of Ancash and Piura was linked to the elaboration of climate change adaptation plans. The key resource used for training was USAID’s Handbook “Adapting to Climate Variability and Change – A Guidance Manual for Development Planning”. Training focused on climate change, the importance of conserving ecosystems that regulate water, an adaptation planning. Key outgrowths of this activity included three Climate Adaption Plans in the region of Ancash and one in Piura.

In Ancash, the education program was successfully completed in two highland communities: Cordillera Blanca and Huasta. These communities were selected as pilot sites for two primary reasons: 1) because they are affected by the rapid loss of glaciers and 2) because both communities presented conditions to implement puna restoration as well as the reforestation and conservation of native forests. The Cordillera Blanca (or Canrey Chico) community has extensive native grasslands --or puna-- and Huasta holds the most extensive tract of native quenual forests (Polylepis spp) outside Huascaran National Park. As a result of this program, other rural groups in the municipal commonwealth can now observe and replicate the model provided by the Cordillera Blanca and Huasta.

(Note: Training activities were also completed with watershed user groups of the Santa extended irrigation system –Ancash and La Libertad regions.)

In Ancash, development of the dialogue group Foro Agua Santa, in partnership with IUCN and Huascaran National Park, became an effective training mechanism for climate change and integrated watershed management (300 participants in the first Foro in September 2011).

In Piura, the project provided assistance to water user associations in the Chira watershed to elaborate climate change adaptation plans.

18 General materials produced for the project (e.g. brochures, web based content, posters, calendars, banners, etc.) proved an effective mechanism for disseminating facts and information dealing with powerful impacts of climate change on resources and potential adaptation responses. In addition to producing such materials, the project also involved populating databases with basic social and economic information. In turn, the databases were used to develop adaptation strategies and produce displays, brochures and other materials to present their plans to the community

Local perceptions of climate change

The Peaks to Coast project is an adaptation project that was implemented to identify adaptation responses with residents of mountain communities. Therefore it was important to understand how stakeholders conceptualized the problem. The projects completed in both Ancash and Piura provide baseline studies on how people in rural communities (and along the coast) perceive climate change, mountain ecosystems services. The study provided valuable testimonials and information on local knowledge that was used to design a communication and training program. To supplement local knowledge sharing and training activities, young adults from Ancash and Piura hosted a community radio program that supported project activities in their communities. The testimonials collected of people describing the effects of climate change demonstrate the need for action to the public. As a result, the baseline study in the community of Huasta was expanded (with financial support of IUCN) to produce a more in-depth case study and a documentary film on local perspectives of climate change.

Ancash

Training communities

The training program on climate change was negotiated with the communities of Cordillera Blanca (also known as Canrey Chico) and Huasta. While there is a strong perception that climate change is affecting livelihoods, authorities and assemblies requested that the training be directed to solve the practical problems (for example finding solutions to over grazing or support for irrigation projects). With this understanding, the program was designed, commitments on each side were identified, and TMI and the communities signed a formal MOU. These formal agreements proved useful throughout the project.

The training program was organized along two tracks. First, local research groups (CIAL) were fostered in the two communities. Prior to completing the training cycle to elaborate vulnerability and adaptation plans --a process that took over a year of work-- these groups identified their main problems and immediately began working on solutions. These research groups required training and technical support from TMI to establish their organization, plan their action-research and then implement their activities. Twenty people were trained in Canrey Chico and fourteen were organized as a forest committee in Huasta. In Canrey Chico, the CIAL is already an

19 institutionalized organization and is recognized by the community in their governance structure.

The second track of the educational program included training on climate change and skills that allow for more active participation with the municipal governments. Training was organized in five modules. For example, one of the modules included the construction by community participants of a 3D model to represent their adaptation strategies developed for their territory. This tool proved to be an excellent way to capture and represent local knowledge of the territory. Canrey Chico dedicated a room in their main community building to the CIAL, representing their adaptation strategy through several exhibits. Training concluded with a variety of materials that help the community monitor the implementation of its adaptation plan.

On the one hand, tailoring the training activities to the needs of each community proved effective because it responded to needs felt by beneficiaries. However, the approach was also more demanding of limited project staff time and resources. For example, while Cordillera Blanca focused on grassland management and correcting the quality of water in their rivers for irrigation purposes, Huasta focused on protection of their native quenual (Polylepis spp) cloud forest. Also, in response to an interest expressed by local women, trainings in Huasta also focused on medicinal plants.

Training resulted in specific products in which the community research groups took leadership (see 1.3). Two hundred people were trained on climate change, on the role of municipal governments and citizen rights to participate in the participatory budget cycle.

Rangeland Land Use Local Leadership PASTURES Management & Planning and training water quality Climate Change CIAL Canrey Adaptation Chico

Community based research groups negotiate their activities with their local authorities and community general assemblies

FORESTRY Land Use COMMITTEE Community Local Leadership Planning and training Climate Huasta Conservation and Change Forest Restoration Adaptation

Time

Community based research and action groups working on problems relevant to their local livelihoods take on leadership roles during the training process that concluded in climate adaptation plans in their respective communities.

Local researchers from the communities of Canrey Chico and Huasta participate in an exchange workshop. Looking at effects of grazing on soils and water retention

Training water user associations in the coastal area of Ancash

The climate change education and training strategy directed to stakeholders on the coast was designed in consultation with beneficiaries. In cooperation with IRG (developers of the USAID handbook), an introductory course was designed and presented to multiple stakeholders. As a result of this activity, the water user associations of Santa district and the representatives of two large irrigation projects that use water from Santa River (CHAVIMOCHIC and CHINECAS) requested a full training course. (CHAVIMOCHIC and CHINECAS are the main users of water for irrigation on the coast.) It is worth noting that the current administration of Ancash Region has systematically contested CHAVIMOCHIC’s right to divert water from Ancash to the neighboring region of La Libertad.

Training was structured into three, two-day modules following the methodology and steps of the USAID handbook. Training concluded in an adaptation plan that highlighted the need for further information and policy incidence in the Regional Government to develop a Watershed Management Plan that incorporates the impacts expected of climate change. The coastal group also emphasized the need to increase awareness about the impacts of climate change on glaciers among residents in the lower section of the watershed and, more specifically, the implications of those changes on the water supply. A proposal to design an interpretation center on the coast was created and the group agreed to seek funding to build it.

Ultimately, training catalyzed in the development of the dialogue group Foro Agua Santa. This group was spearheaded by a group of 10 organizations that included stakeholders on the coast (with financial support of TMI and IUCN). Coastal water users trained by the project participated in the Foro, visited the communities and municipalities that participate in the Peaks to Coast project and initiated discussions to support conservation of mountain ecosystems.

Piura

Training paramo communities

Before the project began, four paramo communities in the highlands of Piura, two in Pacaipampa district and two in the Ayabaca district, had begun developing conservation and management plans for the paramo ecosystem (PMP). The project directed its efforts to help position the PMPs as a model for ecosystem-based adaptation to climate change in Piura’s watersheds, promoting recognition of these plans in Piura’s Climate Change Regional Adaptation Strategy (ERACC). The project supported the publication of the plans and the implementation of its suggested pilot activities (see 1.3). Within the framework of the Paramo Management Plans (PMPs), women groups received support to develop and implement PMPs.

Bringing the paramo to the coast

A major challenge facing effective implementation of climate change adaptation strategies in Piura is the lack of knowledge in coastal cities of the role played by the highlands in the regulation of water for the coast. In response to this issue, TMI

23 helped to organize a communications event, “Paramo Week”, that brought together over 15 organizations in partnership with the Regional Government of Piura. Organizers included highland communities and municipalities of the Ayabaca province located in the paramo and agricultural associations on the coast (e.g. Pro Mango, Pro Limón, Prosamer, CEPICAFÉ and Water Irrigation Committees that represent thousand of coastal farmers.).

“Paramo Week” was an intensive effort that strengthened relationships with the regional government, local newspapers and radios, NGOs, municipal governments, the national university of Piura, among others. It received significant public attention from the regional government and regional newspapers. Following the event, mountain ecosystems were prioritized in Piura’s Regional Strategy of Climate Change (see IR 2.3) and the paramos were declared a strategic ecosystem in Piura. Moreover, TMI Staff, JUSAL and other community partners were invited to present on the issue at several venues including, the IV National Environmental Management Congress; VII Eco-Dialogue congress; II Workshop on “Vulnerability analysis and action measures in peasant communities”; the III Workshop on “Consolidation of actions and projects for adapting to climate change”.

The project supported the publication of four management plan proposals produced by paramo communities. These publications helped efforts to conserve this ecosystem highlighted in Piura’s Regional Strategy of Climate Change (IR 1.3).

Training the San Lorenzo Water User Association in the coast of Piura

One strong ally that surfaced in the context of public awareness campaigns on the coast was the San Lorenzo Water User Association (JUSAL), a syndicate with approximately 10,000 waters users of Rio Chira. JUSAL expressed interest in Climate Change adaptation training and linkages with the paramo communities located in the headwaters of Quiroz River, a tributary of Chira River. JUSAL was interested in improving management of the watershed that provided water for their irrigation system. Training was completed in three modules (following the steps and methodology of the USAID handbook). The result of training was a vulnerability analysis and climate change adaptation plan which included as main strategies (1) the development of a special fund to support paramo conservation and (2) the establishment of an interpretation center to educate farmers and children about climate change and the importance of the highlands for their irrigation system. Both of these strategies were implemented. The center was established with technical support of TMI and it was used by JUSAL to educate children. The establishment of the paramo fund through a self-imposed tax on the water rate paid to maintain irrigation infrastructures is a promising example of lowland-highland cooperation to prepare for climate change.

Analysis of Results

It is important to categorize the results into two distinct groups: (a) at the level of local research groups from (b) results at a broader community scale.

(a) Supporting local research committees dedicated to improving the management of their natural resources (the CIAL in Ancash or the Paramo Management groups in Piura) has proven an effective mechanism to empower remote communities. The community-based organizations supported by the project demonstrate that they were

24 able to produce concrete outcomes to benefit their families and communities (for instance, the declaration of a private conservation area to protect quenual (Polylepis spp) forests and the installation of alternative grassland management practices in Canrey Chico. Community-based groups are capable of producing powerful results

The challenge facing local research groups is that they were limited by the relationship with their community. They are investing time and even their own resources to tackle problems that benefit the entire collectivity, but their efforts (as they perceive it) are not necessarily recognized properly. There is a need to work on improving the institutional aspects governing the relationship between community- based groups and the wider community.

(b) The training component–tasked with improving capacities to analyze vulnerability to climate change and plan adaptation strategies as a group—has been more challenging. Positive outcomes of the activity include: documented plans, 3D models to present the plans and improved understanding on how to engage their local governments. However, communal organizations are afflicted by institutional instability, strong competition among family groups, and conflict associated with shared resources. These factors have limited their capacity to move from planning to action.

Improving the governance of watersheds like Santa and Chira is crucial to promote sustainable adaptation strategies. Given the large geographic scale and social fragmentation of these watersheds, promoting cooperation is a complex and long- term process.

The rationale for including lowland groups in the training program on climate change adaptation comes out of a need to develop cooperation between coastal populations, which benefit from mountain ecosystem services, and communities in the highlands that are working to improve the resilience of those ecosystems. In the case of the San Lorenzo Water User Association (JUSAL) this proposition was supported and effectively implemented. As a result of their adaptation plans coastal farmers organized and implemented a fund to support highland conservation. In addition to the financial resources, both groups met and began discussing how to support paramo conservation plans in other forms. In the case of Santa water users in Ancash, training and adaptation plans also motivated these groups to participate in watershed level forums and learn and meet with local research groups working to improve management of the puna ecosystem. However, there is a significant difference between the cases of Piura and Ancash. In the former, there is a more direct geographical relationship between the paramos and the water reservoir (and irrigation system) of JUSAL. Thus, in Piura the highland-lowland linkages translated into tangible commitments and encourage direct cooperation between JUSAL and paramo communities of Ayabaca in the future.

In summary, supporting community-based research and action groups is a strategy that empowered participants produced tangible results that can be further developed and replicated. Improving communal governance institutions is also necessary to implement ecosystem-based adaptation strategies but these programs would be more effective if tied to broader educational programs (at the municipality or municipal commonwealth level.) Investing in climate change adaptation plans, education and awareness on the coast does improve conditions for cooperation. However, unless there are direct and clearly identifiable shared benefits between lowland and highland groups, as in the case of JUSL, the result are processes of dialogue that, important as they may be in the long term, may not translate into concrete adaptations.

1.2. Community-based organizations have increased their capacity for social communication and advocacy in their municipalities

Youth participation through community radio activities

The activities conducted under this intermediate result helped raise awareness, both in rural communities and the cities nearby, about efforts underway to respond to climate change impacts. The core activities included training youth on community radio techniques and skills and creating opportunities for these youth groups to play a role as social communicators and “watershed reporters” in their communities. The project structured the training in six modules and published training materials with specific content addressing climate change and integrated watershed management. As an incentive to support their efforts, community radio groups collaborated with radio stations that partnered with the program in the cities of Huaraz and Piura.

Ancash

The project supported youth groups in Canrey Chico and Huasta communities to develop their skills in community radio production and broadcasting. Twenty-six young residents from both communities received training in script writing and were thus motivated to participate in the climate change training events and local research activities. Community radio groups in Canrey Chico and Huasta produced most of the communication materials broadcasted by the project.

The project applied the same mechanism to the Foro Agua Santa, supporting forty participants associated with the Santa Rive Network of Local Correspondents. The project was developed in partnership with IUCN the handbook “Training Guide for Local Watershed Reporters in the Santa River” [Guía para la formación de corresponsales locales en la cuenca del Río Santa].

Piura

Two youth groups in the Province of Ayabaca received training in community radio production (10 participants total completed the training). They received hands-on training and produced all the communication materials required by project activities. TMI facilitated a partnership between these groups and Radio Cutivalú to foster conditions for sustainability after the project ended.

Analysis of Results

Rural communities must be able to communicate to the wider public and to their local governments that conservation activities in the puna are responses to climate change that benefit not only them but also the wider society. Creating public awareness increases the chances that their efforts will receive financial support from government or other agencies. Community radio was also considered an opportunity to involve younger people who can have an influence in their communities. This activity resulted in the decision among the community groups in Piura to become a formal association, indicating their interest and commitment to continue by

26 themselves developing this skill. Nevertheless, sustainability of these associations will require a longer period of time and support.

1.3. Community-based organizations have developed mountain ecosystem conservation and land use models in three micro watersheds

The project developed three models of mountain ecosystem conservation and land use:

1. The community of Cordillera Blanca/Canrey Chico in Ancash has established a demonstration site for puna grassland sustainable management. This site includes a field research station; hydrological monitoring stations in the puna and areas where the model is replicated.

2. The community of Huasta completed the process to create a private conservation area for quenual forests. Today it is a site where successful forest restoration practices can be observed.

3. Four communities of Ayabaca are implementing paramo management plans.

Ancash

The local research CIAL group Alli Pasto [“Beautiful Grasslands’] in Canrey Chico implemented a number of applied research activities, including active participation in the design of scientific experiments run by the Pasture Laboratory of the National Agrarian University (LUP-UNALM). These experiments test the relationship between improved grassland management practices and the retention of water in soils. The CIAL intervened to: design experiments that incorporated their ideas and interests; participated in the entire process of data collection and the analysis of results; and took the leadership to replicate the most promising results (the experiments took place in approximately one hectare and the first replica scaled up to 21 hectares in communal lands).

The results of the experiments conducted by the CIAL in 1 hectare are replicated in a collective plot with communal labor in a first plot of over 20 hectares

27 The CIAL also took leadership researching the prospects to clean their main Rio Negro watershed from contaminants. The CIAL trained to use water quality assessment kits and engaged with researchers from several universities (e.g. the local University School of Environmental Engineering and University of Amsterdam Institute for Biodiversity and Ecosystem Dynamics (IBED)) to discuss bioremediation, and other options to clean their river. With this research, the CIAL responded to a community need for clean water in order to develop their irrigation system.

The CIAL is fully recognized as an organization within the community structure. The community at large recognized the time invested by the group in these applied research activities as faena (community labor work) thus discounting workdays from their regular obligations. Nonetheless, there is still a degree of tension between the community of Cordillera Blanca and the CIAL, whose members claimed that the community did not fully recognized their efforts,

Canrey Chico also provided a base for scientific research on climate change (described in 2.2)

In Huasta (Ancash), the community forest conservation committee (the Heraldos de Llaucapunta [Heralds of Llaucapunta]) implemented a conservation agreement with TMI to support the restoration of quenual forests. The conservation agreement included a donation of sheep in compensation for the restoration of 15 hectares of quenual (Polyelpis spp) forests in community lands. The most significant result in Huasta was the establishment of the Private Conservation Area (ACP) Microcuenca de Paria, recognized by Resolución Ministerial Nº306-2011-MINAM, 12/29/2011.

Although the Heraldos de Llaucapunta participated in the formal establishment of the Private Conservation Area, the community formally conducted the process. Building capacities at the community level was challenging due to the fact that community authorities changed several times in the three-year process and each major step required approval of the community assembly. There is still significant work ahead to develop capacities at the community level to manage their ACP.

Piura

The Paramo Management committees that were initiated under the Paramo Project prior to the start of the Peaks to Coast Project received support to implement their conservation plans. (The Paramo Management committees are community research groups that follow a methodology similar to the CIAL of Canrey.)

Following the publication of four Paramo Management Plans, these plans were presented to the Catamayo-Chira project and the Regional Government of Piura to seek funding for implementation. Materials for thirty agro-ecology small projects in the paramo communities were funded by Catamayo-Chira ($27,700), while Peaks to Coast financed the technical support required to supervise their implementation. Proposals to scale up these projects were also presented to the municipal governments of Pacaipampa and Ayabaca and were among those identified as priority in the participatory budget cycle of 2011.

Analysis of Results

The significance of the work conducted in Canrey Chico by the CIAL, in cooperation with Peaks to Coast project, is the establishment of a research site for grassland management in the humid puna ecosystem (that is unique to Peru). There are no other sites similar to this north of Puno department. Furthermore, the site is unique in the sense that the local researcher group has been empowered to participate in an active way in the development and replication of technological alternatives. Canrey is also a demonstration site for the rest of communities in the Municipal Commonwealth and CIAL members are poised to provide their services as rural extension workers to municipalities and communities.

The experience gained in Huasta is can be used to guide the design of reforestation projects with public funds. Most reforestation projects financed by the Regional Government of Ancash are labeled as “climate adaptation responses”, yet they often use exotic species and lack participation of communities in their designed. The project in Huasta involved formal conservation tools and active participation of community-based groups.

In Piura there are paramo conservation plans under implementation by well- established local research groups. Piura’s Climate Change Regional Adaptation Strategy (ERACC) identifies conservation of the paramo ecosystem as an important adaptation strategy for the region and provides a positive policy framework.

2.1. Municipal government technical staff and authorities have improved their capacities in climate change adaptation

The Peaks to Coast project was designed to have an impact on the conservation and restoration of grassland ecosystems (the puna and paramo), which have a significant role in the retention and regulation of water. Rural mountain communities do manage the ecosystems that are in their own territory or their household property. However, the ecosystem itself and the territory is fragmented among manifold communities and owners. Therefore “ecosystem-based” adaptation solutions require that communities find incentives to cooperate among themselves towards development or conservation goals. In fact, over the last several decades there has been a tendency among peasant communities to divide their territory into smaller geographical units. The same is true of provinces and districts that have divided their territory with the creation of smaller local governments. While there is logic to this historical process because it facilitated the access to central government educational, health and other services, fragmentation of political territories makes cooperation more difficult and public investment less efficient. Therefore, the conservation of water sources and development of irrigation infrastructures was an opportunity for cooperation.

In the case of Piura, paramo communities developed their ecosystem management plans in close cooperation with their municipalities, creating a potential to develop a paramo commonwealth of local governments. While the political will was not strong enough among all majors to move forward with the idea, the paramo conservation plan acted as a unifying element nonetheless. The project in Piura also assisted the Regional Government in the process to elaborate its Climate Change Regional Adaptation Strategy (ERACC), instrument that includes paramo conservation and the promotion of a protected area unifying over 160,000 hectares of paramo territory. (In Ancash, local governments supported the initiative to build a commonwealth.

The relevance of cooperating with a commonwealth or within the framework of an ERACC is that capacity building activities and technical support in general is then embedded in local institutions.

Improving the capacities of technical staff and authorities in municipalities required enhanced knowledge of the place of their territory in the geography and economy of their respective watersheds. Educational materials for each relevant watershed where developed in Piura (Quiroz watershed) and Ancash (Santa, Fortaleza and Pativilca rivers).

Ancash

A baseline study conducted by REMURPE to assess the institutional development needs of the participating municipalities, recommended the establishment of a government commonwealth. Following this recommendation, the Peaks to Coast project worked with municipality authorities on educational and training activities dealing with climate change. As a result of this process, the four participating municipalities decided to establish a commonwealth to cooperate in climate change adaptation. In the process of developing the commonwealth, six more municipalities in the area requested to join. In total, ten municipalities (two provinces and eight districts) located in the headwater section of the three major rivers of Ancash joined this initiative

The project assisted the municipalities with training and opportunities to visit other commonwealths in Cusco (Hermanos Ayar and Altiva Canas) to discuss their experiences working alongside both local governments and peasant communities. The “Three Watersheds Municipal Commonwealth” (MMTC) in Ancash was eventually established with the objective of promoting integrated watershed management, local economic development and capacities in adaptation to climate change in a region where the rapid retreat of glaciers threatens the water supply. Local governments also supported the establishment of a Citizen Conference to include peasant communities through this consultation mechanism. MMTC training included a nine-month process to develop the MMTC climate change adaptation strategy. The adaptation plan also resulted in four climate-change adaptation projects of the MMTC that were registered in the National System of Public Investment. The base budget estimated for these four projects is 16 million soles, although the final amount will be adjusted during the design phase.

The following projects obtained support from the Fund for the Promotion of Regional and Local Public Investment (FONIPREL): 1) Improving the capacities for integrated watershed management in the Santa, Fortaleza and Pativilca rivers of the Three Watersheds Municipal Commonwealth”; 2) “Expansion and improvement of the irrigation infrastructure of 16 communities in the Three Watersheds Municipal Commonwealth”. The projects that have resources from the Regional Government of Ancash are: 3) “Restoration and sustainable management of native forests and

30 grasslands”; and 4) “Development of water dam system in the headwaters of Santa, Fortaleza and Pativilca rivers.” The Regional Government of Ancash accepted three additional projects in its budget cycle of 2013, but there is no funding identified yet to support the corresponding project profiles.

All projects were identified as a result of a climate change planning process following the methodology of USAID “Adapting to Climate Variability and Change – A Guidance Manual for Development Planning.

Development of the MMTC involved not only its formal establishment—in itself a demanding administrative process that requires the political commitment of local governments to the commonwealth—but also the foundation of the MMTC’s “Citizen Conference” and the “Technical Advisory Board”, two internal mechanisms that contribute to the sustainability of climate adaptation plans and activities.

The “Citizen Conference” hosts representatives from all 19 peasant communities to a dialogue group tasked with making recommendations to the Commonwealth regarding investments or any other proposed actions (as long as it is compatible with the goal and objectives of the MMTC). At the level of municipal commonwealths, the Citizen Conference is the equivalent of the municipal “Local Coordination Committees (CCL). The Citizen Conference participated in discussions about adaptation alternatives and identifying priority projects.

The “Technical Advisory Board” of the MMTC is composed of 22 persons who serve on a voluntary basis. The group includes representatives of member municipalities and specialists in engineering, social, education and economics. The project assisted this group in developing the adaptation plan of MMTC in consultation with rural communities. The project also helped the group become institutionalized (approving by-laws, meetings with the mayors in the MMTC Board of Directors, among others.) Together with Engineers Without Borders, TMI signed a tripartite memorandum of understanding with MMTC to support the design of climate change adaptation projects. Activities were implemented under this MOU in 2011 and 2012.

The project assisted the Technical Advisory Board to develop maps; a GIS system to analyze and track MMTC projects; and documents describing vulnerability to climate change, and the role of the MMTC territory in their respective watersheds. Studies were completed with assistance of UNALM the National Agrarian University at Lima (“Mountain Ecosystems of the Municipal Commonwealth Santa, Fortaleza and Pativilca”) and TMI staff (“Huascaran Biosphere Reserve, Ancash, Peru: Evaluation of Climate Change Scenarios”). These studies were used as part of the climate change adaptation training and planning exercises with the MMTC.

Improving the climate change adaptation capacities of the MMTC included activities to improve the cooperation between municipalities and rural communities. In addition to participation in the Citizen Conference, communities developed convenios with the MMTC. The convenio is a legal document that provides a rational for the investment of public funds in peasant communities that are private entities. Sixteen of the nineteen communities signed convenios with the MMTC for the implementation of the projects identified.

Once the process of legally establishing the MMTC (through the Secretariat of Decentralization at the Office of the Prime Minister (PCM)) was complete, the project provided technical assistance to develop several of its administrative mechanisms, like a strategic plan, annual work plans, and several administrative documents

31 required to open the Public Investment Programing Office (OPI) and the Project Development Office (UF). The project also helped MMTC obtain the administrative permit that allows for the transfer of funds from member municipalities and from the Ministry of Economy to the MMTC administration (SIAF, Integrated Financial Administration System). To obtain the SIAF, each one of the ten municipalities was required to enact a council ordinance [Ordenanza] committing to transfer from their own budgets their share to support MMTC administration (process was still underway in July 2012).

Piura

Project partner, REMURPI (Network of Rural Municipalities of Piura) took an active leadership role in activities that would develop climate change adaptation capacities in municipalities of Piura. REMURPI and TMI provided training on climate change adaptation to staff in the municipalities of Ayabaca and leaders of the rondas campesinas. Projects identified in the four community paramo management plans were identified as priority projects in the 2011 and 2012 participatory budget cycle. An Agreement was signed between TMI and the provincial level municipal government of Ayabaca to assist them in the design of these projects. The San Lorenzo Water User Association (JUSAL) lowland group, which benefits from paramo conservation, participated in these training meetings and presented preliminary results of their own climate change adaptation plan (focused on supporting farmers in the highlands).

Project staff participated in a technical group that provided support to the regional government, municipalities and communities involved in the initiative to declare the paramos a Reserved Zone [Zona Reservada] for conservation. TMI assisted highland communities providing them with information about the legal and other implications of a Reserved Zone in the paramo

In close association with REMURPI, training municipalities in the paramo of Ayabaca strengthened their capacity to participate in Piura’s Climate Change Regional Adaptation Strategy (ERACC). Through matching funds of the Paramo Andino project, REMURPI assessed the potential to develop a Paramo Commonwealth comprised of five municipalities in the provinces of Ayabaca and Huancabamba (in Piura) and two other municipalities bordering the territory of Cajamarca. Workshops with the municipal authorities and technical staff of these municipalities identified that there were advantages to developing a commonwealth to support paramo conservation, local economic development and adaptation to climate change. Unfortunately, the positive assessment was not paired with the level of leadership and consensus required from mayors to move from concept to implementation.

Analysis of Results

The MMTC in Ancash is an institution that demonstrates the importance of combining a focus on ecosystem-based adaptation, territorial development and integrated watershed management. Ecosystem-based adaptation strategies, e.g. forest restoration at the scale of watersheds, can be more effectively implemented if there is coordination among multiple communities, stakeholders, and municipalities. By assisting 10 municipalities in their process to establish the MMTC, the Peaks to Coast project contributed to the development of an institutional framework that can be replicated to promote climate change adaptation in mountain areas of Peru.

The process of developing the MMTC created opportunities for local governments to interact with rural communities, regional and central government. The Citizen Conference established by the MMTC was the first in Peru. The process of establishing the MMTC created the opportunity to interact with the Secretariat of Decentralization at the Office of the Prime Minister (PCM) that supported the MMTC with training and technical support. Through their membership in the MMTC, municipalities were able to coordinate and jointly lobby support for priority projects.

34 Thus, it can be concluded that climate change adaptation training conducted at the level of the municipal commonwealth was quite effective in translating ideas and activities into results.

In Piura, TMI also assisted stakeholders’ discussions on the potential of developing territorial/ecosystem institutions for paramo conservation and climate change adaptation, specifically the establishment of the Paramos Andinos Municipal Commonwealth. Because this initiative could not be implemented, training was accomplished only at the individual municipal government level. The impact of training at this level proved far less effective than training at a larger scale (e.g. the Ancash commonwealth.

2.2. Research and action agenda and science-citizen dialogue mechanisms have been developed at the level of the watershed

The evidence of the impacts of climate change on water supply is most visible and certain in the glaciated ranges of the tropics and sub-tropics, where the average increment of temperature is approximately three times higher that the global average. Nonetheless, there is considerable uncertainty regarding the scale, schedule or detailed knowledge of the consequences that the recession of glaciers will have. While the understanding of the local perceptions of climate change --and therefore the definition of the problems-- is central to the design of interventions that matter to people (see IR 1.1), the promotion of science and research is also necessary to reduce the degree of uncertainty and improve the effectiveness of interventions. For research to be effective, it is necessary that scientific findings are communicated to decision-makers and to the general public.

The project responded to this need first by developing linkages with researchers working in the project area in climate change adaptation and then by supporting, in partnership with IUCN, the development of the Foro Agua Santa as a mechanism to disseminate science-based knowledge to decision makers and local society at large.

Foro Agua Santa

IUCN and the Peaks to Coast project co-financed and helped to launch Foro Agua Santa as a dialogue mechanism. The initiative incorporated 10 organizations including: the Local Water Authority (ALA) and the Office of the Unit of Glaciology and Hydrology (UG) (both offices within the National Water Authority; the regional office of the Ombudsman Office (Defensoría del Pueblo); the local university and various NGOs. The group that organized the forum defined its mission as a “collective effort to build a vision and a shared agenda for action towards the comprehensive and sustainable management of the Santa River watershed to adapt to climate change.”

The initial event in September 2011, included water user associations, representatives of the municipal commonwealth MMTC, local governments, technical agencies of the regional and central government, universities and NGOs (310 participants). Following the first event, Foro Agua Santa maintained its activity, establishing a board of directors and holding regular meetings to plan future events. In 2012, the group actively participated in events like the International Water Day and organized a one-day Forum to debate water quality issues of the Santa River with municipalities and municipal commonwealths. A second event on social conflicts and

35 water quality was planned for November 2012. These examples reflect the commitment and vitality of the initiative.

The success of Foro Agua Santa illustrates the value of a venue that facilitates access to information and collaboration among social groups that otherwise have limited opportunities to meet in a watershed of this geographic scale (e.g. Santa river, 12,000 km2). The Foro mechanism also helps prevent conflicts over water. For instance the Foro was able to incorporate the la Libertad Region irrigation project CHAVIMOCHIC as a member. This inclusion helped reduce tensions with the Regional Government of Ancash that had systematically excluded this important water user from previous watershed meetings. The Foro is a promising venue to train individuals and organizations on climate change adaptation.

Conferences

The project was initiated with the Conference “Adapting to a World Without Glaciers: Realities, Challenges, and Actions” (7-15 July, Lima and Huaraz, Peru) which gathered 134 participants among scientists, development practitioners and policy makers. This event became an opportunity for TMI and the Peaks to Coast Project to develop cooperative relationships with researchers that then translated into publications and information that supported project objectives (see Publications below). Besides the initial conference, TMI also participated actively in the organization and assisted the following climate change adaptation events: to present project results:

 Climate Change and Protected Areas in Latin America (SERNANP, November 2010, Lima).  Glaciology and Glacial Lake Control: an Emergency Agenda (MINAM, TMI, PRAA, March 2011, Lima)  Building Consensus for Land Use Planning legislation in Peru (FEDEPAZ, TMI August 2011)  Open House of the Grasslands and Water and Peaks to Coast projects (TMI and LUP-UNALM, December 2011, Lima and Huaraz).

Additionally, over the timeline of the project, TMI staff participated in multiple conferences and training workshops on climate change adaptation, which were opportunities to disseminate project activities and results. These events included:

 Regional Ancash Forum on Climate Change (OXFAM America, Chimbote, September 2009)  Climate Change and Agriculture: Action Agenda for the Ministry of Agriculture (MINAG, Lima December 2009)  Remote Sensing Technology and Climate Change in Peru (CONIDA Peru Space Agency, Lima, July 2009)  Climate Change Adaptation and Peru’s Desertification National Strategy (MINAM Ministry of Environment, Chiclayo September 2010)  Climate Crisis (CAOI - Andean Network of Indigenous Organizations Huaraz, October 2010)  Biodiversity and Climate Change (National Congress of Peru, Lima, February 2011)  Climate Change and Water Scarcity: Human and Social Challenges in the Peruvian Andes (PUCP - Peru’s Catholic University, Lima April 2011)

36  VII Eco-Dialogue: Conserving Fragile Ecosystems - Protecting Sources of Water (Regional Government of Piura, Piura, June 2011)  Vulnerability Analysis to Climate Change in Mountain Ecosystems: Methodologies (IGP Peruvian Geophysical Institute, Lima, May 2012)  Ecosystem Conservation and Water Supply in the Huaura Watershed (IICA Peru Inter-American Institute of Agricultural Sciences, Lima, May 2011)  Glacier Recession and Water Supply in Peru (ANA-CARE Lima, July 2011)  Andes International Water Forum (IPROGA Institute for the Advancement of Integrated Water Management, Lima, November 2011)  Peru’s National Climate Change Strategy (MINAM - Ministry of Environment, Lima, April 2012)  Impacts of Glacier Recession in the Andes: Building an International Network on Adaptation Strategies (UNESCO – Man and the Biosphere Program, Lima, May 2012)  Climate Change Adaptation and Risk of Disaster Management in Peru (MINAM - Ministry of Environment, Lima, June 2012).  Understanding Paramo Hydrology under Climate Change (Regional Government of Piura – SEI Stockholm Environmental Institute, Piura, June 2012).

Publications, web sites and information centers

The project generated working papers, technical handbooks and policy notes that summarized research on climate change and social/bio-physical vulnerability taking place in the Ancash region. These publications supported with information the Foro Agua Santa, training activities with the “Three Watersheds Municipal Commonwealth” (MMTC), with water user groups in the coast, and project events in general.

Working Papers:  Byers, A. 2010. Alpine Grassland Restoration in the Ishinca Valley: Implications for Conservation, Communities and Climate Change (TMI)  Zamalloa, E. 2011. Local Government Competences for Environmental Governance (TMI)  Borg, M. 2012. The History of an Irrigation Canal: Climate Change and the Politics of Water in the Peruvian Highlands (TMI)

Technical Handbooks:  Villanueva, R. 2011. The Santa River Watershed: Main Features (TMI-IUCN)  Villanueva R. 2011. Climate Change Impacts in the Hydrological Functions of the Santa River Watershed (TMI-IUCN).  Villanueva R. 2011. Climate Change Adaptation Strategies for the Santa River Watershed (TMI-IUCN)  Rosario, M. and Ortega Y. 2011. Training handbook for local environmental reporters in the Santa River Watershed (TMI-IUCN).  Proceedings of Foro Agua Santa 2011 (TMI-IUCN)

Policy Notes:  Carey, M. 2010. Community Participation in Climate Change Adaptation in the Huaylas Valley: Policy Implications.  Bury, J; A. French, B. Mark, J. Mckenzie. 2010. Glacier Recession, Human Vulnerability and Water Resources in the Peruvian Andes (TMI).

37  Loayza and Elias R. 2011. Biodiversity as a Tool to Evaluate Water Quality in the Context of Climate Change in the Cordillera Blanca (TMI)

Web sites:

 Paramo Week (http://semanadelparamopiura.blogspot.com/)  Peaks to Coast site (http://cumbrescosta.mountain.pe/)  Foro Agua Santa site and geo-portal (www.foroaguasanta.org)

Information Centers  San Lorenzo Water User Association constructed an information center on Quiroz-Chira river watershed conservation and climate change established with technical and co-funding provided by the project (one watershed 3D models and 12 educational panels).  Natura – Chimbote. Project profile for an information center on Santa River basin and climate change adaptation in the coast developed with assistance and support of Peaks to Coast.  Canrey and Huasta peasant communities have rooms in their village dedicated to display 3D models of their territory and their adaptation plans.

Supporting Research on climate change and ecosystem-based adaptation

Within the framework of the Peaks to Coast project, TMI obtained matching funds from the MacKnight Foundation (TMF) to support field research on the influence of grassland land use systems in the hydrological functions of the puna. Research results contribute to our understanding of the importance of conservation of puna ecosystems as glacier recession advances. Research was implemented by students of the Pasture Laboratory of the National Agrarian University (LUP-UNALM) under the guidance of Professor Enrique Flores (two M.Sc. and two Ph.D. theses).

The project also promoted relationships and established institutional affiliations with several researchers working on climate change. Research associations included:

 Mattias Borg: social dimensions of climate change and water. Ph.D. candidate in Anthropology, University of Denmark)  Juan Castro: quenual (Polylepis spp) forest restoration in the micro Watershed of Paria (Huasta Private Conservation Area). Forestry Engineer Department UNALM.  Daniel Constable: puna hydrology in Canrey Chico (MSc. Forestry, Yale University)  Barbara Lynch: governance systems in Santa River watershed (Professor, Georgia Institute of Technology)  Laura Read: Addressing water availability and climate change issues in the Cordillera Blanca, Peru through technical analysis and community building strategies (M.Sc. Environmental Engineering, University of Texas at Austin).  E. Cammeraat: geo-hydrology and geo-chemistry of the puna ecosystem in Canrey Chico, Cordillera Blanca (Professor, University of Amsterdam, Institute for Biodiversity and Ecosystem Dynamics – IBED).  Jesus Aguirre Gutierrez, A. C. Seijmonsbergen, Jan Sevink: Water pollution hazards from geological formations in the Rio Santa region, Peru” (University of Amsterdam, Institute for Biodiversity and Ecosystem Dynamics – IBED).

38 Analysis of Results

The project was able to build relationships with a substantial number of researchers and these relationships translated into tangible information products. The information documents produced by the project with support of researchers provided guidance and credibility to multiple Peaks to Coast training activities. However, the goal of building an applied research agenda with local stakeholders and researchers remained elusive. While the Foro Agua Santa is a promising mechanism to disseminate scientific, climate change information to decision makers, it cannot be equated with a research agenda championed by local university groups. The research conducted in the puna by the rangeland laboratory of Agrarian University (LUP-UNALM) in partnership with TMI responds to a long-term research vision but it is at best a partial solution. The achievement of this result could have been improved by the identification of a step-by-step methodology to establish the research agenda at the beginning of the project.

2.3. Municipalities organized in networks or commonwealths participate in the Regional Climate Change Adaptation Strategy

The project supported capacity building of the Network of Rural Municipalities of Peru (REMPURPE) at the national and regional levels through contracts for services, making it possible to direct their skills in municipal development to the local governments participating in the project. TMI provided training in climate change adaptation to municipalities and REMUR-Piura and REMUR-Ancash staff participating in these activities. It should be noted however that REMURPE’s core mission is directed to local economic development and governance issues and therefore the organization does not placed the highest priority in environmental issues.

The increased capacity of the Network or Rural Municipalities of Peru (REMURPE) and local governments to assess climate change vulnerability and construct adaption plans through cooperative institutional mechanisms like the commonwealth (IR 2.1) will also increase their capacity to influence policies at the Regional Government level. This approach is compatible with REMURPE’s mission that involves public policy incidence to promote the interests of rural municipalities.

The intermediate objective of influencing regional level climate change strategies was achieved to a large extent in Piura where the Regional Government did provide leadership to further its strategy, thereby creating an opportunity for the participation of REMUR-Piura and municipal governments. Piura’s ERACC highlights as a key strategy the protection of ecosystems like the paramo that plays a significant role in the regulation of water. Strategic objective 2 indicates that the main vehicle for implementation of the strategy are local governments and objective 4 specifically targets restoration of the paramo ecosystem in the headwaters of the Chira and Piura basins as a central adaptation strategy.

In Ancash, the Regional Government officially launched the ERACC. However, the government did not provide the leadership required by legislation to convene stakeholders and develop the strategy. As a consequence, REMUR Ancash and TMI instead concentrated their efforts in the Foro Agua Santa as the venue to promote climate change policies in the Region.

39 Ancash

In 2010, REMUR Ancash, with technical assistance of the project team, organized climate change awareness workshops for all candidates competing for the position of mayors in the municipalities of Recuay and Bolognesi provinces, the area of project implementation. Candidates signed a declaration to signal moral commitment to include climate change adaptation if they were elected. All but one of the five municipal mayors confirmed, after taking charge of their local governments, their commitment to participate in the Municipal Commonwealth. In fact, five additional municipalities requested to participate in the commonwealth.

Piura

REMUR Piura organized a climate change awareness campaign with mayoral candidates to rural governments. The campaign persuaded the candidates to make a public commitment to include environmental and climate change adaptation objectives in their platforms for government. Moreover, REMUR-Piura actively participated in the process to design the Regional Climate Change Strategy, and in working groups that discussed the opportunity to establish a Reserved Zone to protect the paramo ecosystem.

National level

REMURPE staff designated to provide services to Peaks to Coast contributed to the project through special diagnostic studies, a general advisory role, policy incidence and coordination and supervision of the services provided by the regional nodes REMUR-Piura and REMUR-Ancash.

REMURPE conducted baseline studies of the municipalities involved in the project (IR 2.1) and recommended intervention strategies for the project (e.g. development of municipal commonwealths in Piura and Ancash). REMURPE also completed a study to assess the environmental competencies that could be transferred to municipal governments to more effectively implement climate change adaptation strategies (see under IR 2.2 the publication by Zamalloa 2011).

With technical and financial support of the project, REMURPE took part in the consultation process to revise the Wildlife and Forestry Law [Ley Forestal y de Fauna Silvestre 29763], promoting the role of rural municipalities in the forestry sector and climate adaptation. REMURPE was also designated as a member of the National Commission of Climate Change representing rural local governments of Peru. As a member of the Commission, REMURPE could monitor implementation of the National Climate Change Strategy (ENCC) and disseminate the experience gained through the project by working with local governments on climate change adaptation initiatives. REMURPE also provided coordination with and supervision of the services provided by REMUR Piura and Ancash to the project.

Finally, REMURPE participated in a citizen consultation process to promote a national law of Land Use Planning [Ordenamiento Territorial] during the last year of the project (see IR 2.2.)

40 Analysis of Results

REMURPE participated effectively at national level, facilitating access to government agencies like the Secretariat of Decentralization or the Office of the Prime Minister (OPM). The project helped REMURPE gain a position and experience in climate change adaptation. Thus it was invited by the central government of Peru to participate in the monitoring of National Climate Change Strategy. The regional branch of Piura was also able to absorb training in climate change, then train paramo municipalities and participate in the Regional Climate Change Strategy of Piura. The regional branch of REMURPE in Ancash was never established. Unfortunately, the Regional Government of Ancash launched its campaign to advance the climate change strategy of Ancash, but he process never went beyond (in July 2012, the Regional Government of Ancash launched once again the process to write the ERCC.)

3. Gender Component

The first step of the project was to facilitate a gender assessment of TMI Peru projects, through the technical support of an external specialist. This process involved all staff in an exercise to build a “gender system” from our own institutional values, experience and expertise.” Through this exercise, the staff arrived at a shared understanding of how gender equity and gender equality relate to our institutional work promoting the affirmation of local cultures, the conservation of mountain ecosystems and local economic development.

The “gender system” that we constructed was titled “Cuidar la Vida” (Nurture Life).

This concept (illustrated in the diagram above) was captured in detail in a working paper for internal use of TMI Peru. The concept was then used to present our institutional vision of the Peaks to Coast project to REMURPE, its regional branches, to stakeholders and beneficiaries of the project. The concept was placed in banners and project merchandising materials (like stickers).

The concept of “nurturing life” as the vision of the project had a strong cultural echo not only among peasant communities but also with local government officials. For this reason, Cuidar la Vida was quite important in introducing the need to respond to the threat of climate change. The value-based definition of territory and water worked in concert with project efforts to nurture and conserve watershed resources.

The notion of Cuidar la Vida helped TMI translate the abstract notions of “resiliency” “vulnerability”, “adaptation” “climate variability” or “climate change” into a broader vision: giving women the same opportunity to participate in all spheres of life is part of caring for life, and part of building a better society.

The gender specialist also worked with project staff to conduct gender diagnostics in communities of Ancash and Piura. Women in both regions have extensive knowledge about the alpine grazing areas, livestock rising, and local commerce (sale of chees or home garden products). The diagnostic also showed that women in rural communities (primarily in Ancash) requested assistance to improve their capacities to participate in local politics. Moreover, local women were interested in improving their knowledge of the social reality of their communities and districts; knowledge of their citizen rights; the development of skills to participate in community and district politics and government; accounting; and tools for public speaking and affirmation. In Piura, the culture that separates women from participation in the public arena is starker. Therefore, a special activity exclusively for women was necessary to promote their participation and their voice in the implementation of paramo management plans.

This diagnostic heavily influenced the design of the climate change adaptation modules prepared for communities (IR 1.1). During one semester in 2010 the project hired two female residents of the peasant communities of Cordillera Blanca/Canrey Chico and Huasta to provide extension services (reinforcing climate change concepts and visiting women in their homes) to encourage their participation in training events.

Once the project moved into field implementation it became necessary to host separate special activities for women in Ancash as well, to compensate existing differences and challenges that women face to in public arenas. In keeping with the two main objectives of the project, one set of activities worked specifically with rural women and the other was directed to assist women participate in local governments.

The Network of Women Councilors

In March of 2010, amid social protests in response to a mineral extraction project in Conococha Lake, the Mountain Institute invited the mayors and councilors of municipalities in the area of the lake to discuss this problem. During this meeting, women councilors expressed a need for technical support related to 1) environmental issues and 2) their participation in local governments. The process was discussed with REMURPE in light of their extensive experience providing assistance and promoting gender equity in local governments. The courses for the network gave their input and provided technical support.

In early 2011 the group of women councilors in Ancash decided to formally establish the Ancash network of women councilors, and elected their first board of directors. The project facilitated an exchange of knowledge and experiences between members of the Peaks to Coast network in Lima and female authorities in Piura. In late 2011, the network decided to create a legal entity and register it as an Asociación Civil.

Training modules designed and implemented for this group of female authorities (with support from REMURPE) covered information and skills required to become more effective members of their local governments (with climate change as one educational component among many others). The training modules and activities covered the following topics:

 Participative diagnostic of needs with councilwomen of the Huaylas Valley.  Facilitation tools and skills for working in groups.

42  The budget cycle of local governments and the National Public Investment System (SNIP).  Climate change and local economic development (2 modules)  Administration and finance systems in local governments (2 modules)  Government procurement bids and control systems.  Annual work plans of the network  Human rights

Testimony: the Ancash Network of women elected to municipal councils

The following testimony illustrates the situation of female elected authorities to municipal councils:

“(Male municipal) authorities marginalize us; decisions are made without consultation or we are just informed of their decisions. There is conflict between women council members and mayors. When we want to defend our rights, male authorities threaten us. There is little participation in public spaces. Men don’t take us into account. When they visit the communities, they don’t tell us because they don’t trust us and look down on us. They never trained us women councilors, so we were unsure of our roles and functions. We were lost, insecure and isolated. The authorities were afraid to train the women councilors. We lacked guidelines about our role as councilors and what to do during our tenure, our oversight role. We were under family (husband) pressure. At the beginning I did not feel well, then gradually began to feel more interested in our council members’ job as auditors. (Statements collected from several participants at the workshop for women councilors. May 2012).

In the case of Piura, there was an active network of women councilors already in place and supported by REMUR-Piura. Therefore the project helped the existing network providing information on climate change, the importance of the paramo ecosystem, and municipal issues.

Small projects with women groups

During training courses on climate change adaptation in 2010, women introduced the idea of cultivating puna medicinal plants in their home gardens in the community of Huasta. TMI provided small resources, training on cultivating medicinal plants and technical advice. The project also conducted research on medicinal plant projects managed by rural women (benchmark projects were identified in Cuzco).

The community-based group of women, medicinal plants producers of started with just 12 women, and expand to 65 households by the end of the project. Besides establishing the plots of medicinal plants in gardens, the group also visited the Santa Cruz gorge in the puna of Huasta to collect high-altitude medicinal plants and protect wild medicinal plants in the puna building fenced to prevent the grazing of livestock and sheep.

The group has a descriptive inventory of their principal medicinal plants identifying common names, main uses and medicinal recipes.

The prospective vision of the medicinal plants initiative depended on decisions by the group on what species they continue to grow and whether to move into commercial uses or keep production limited to family use.

43 In Piura, the Peaks to Coast project supported the implementation of paramo management plans (PMP) that had been formerly developed by the Andean Paramo Project, as described under IR 1.3. The challenge in Piura was that despite the fact that communities had committed to promote inclusion of women in the implementation of PMPs, in fact women did not participate like men and were not nearly as fluent as men on its process, objectives and meaning. This situation was mostly the result of a culture that restricts participation of women in politics. In response to the need expressed by women to improve their skills and allow for more active participation in the PMPs, the project assisted twenty women develop a weaving project that aimed at rescuing their traditional textiles. The project was implemented in two paramo communities (Totora and San Juan of Cachiaco) in Pacaipampa.

Training was delivered in five modules that emphasized facilitation skills, ability to communicate in public and building self-esteem. The name chosen by participants to describe their project, “Weaving our future”, made reference to their ultimate goal of participating more actively in the implementation of their PMPs.

44 4. Lessons Learned and Recommendations

TMI lesson in the design of climate change adaptation projects

Most tools and methods used by TMI to implement the Peaks to Coast project reflect a “collective learning” approach to facilitation. The USAID Handbook on Vulnerability and Adaptation (V&A) was followed closely when working with municipal governments and lowland water users, and used only as a conceptual reference in our work with peasant communities. The USAID handbook on V&A was one of several tools used by the project. TMI’s facilitation approach aimed at recouping local knowledge, uncovering local assets and awakening critical thinking among participants. This approach permeates all the methodologies used by TMI and is a pillar of sustainability.

Implementing climate change adaptation projects requires by definition dealing with complex geographic, socio-economic and governance systems. The project faced this challenge and searched for collective responses to climate change at different geographic and social scales. Perhaps the most significant challenges faced by climate change adaptation projects is to operate in complex contexts—with the added difficulty of dealing with uncertainty of future scenarios--and yet concentrate on the tools and processes that best contribute to reduce vulnerability. The following institutional provide suggestions to improve the design of climate change adaptation projects.

What did work:  The USAID Handbook provided a good foundation to have consistent concepts and helped the project maintain its focus on climate change. The handbook provided a framework that helped to keep project direction aimed as much as possible to the overarching goal of increasing the resiliency of society and natural systems. The project team showed a commitment to take the handbook as a framework and adapt it to context.

 The project’s was designed to be consistent with TMI’s vision, mission and history, capitalizing on past work in the region. The project is consistent with TMI’s Institutional Strategic Plan thus creating a strong commitment from the team to carry out the project. It also is a source of significant learning.

 The project was designed with sustainability in mind, for example the commitment to work in upland-lowland systems was an approach that opened opportunities for cooperation among stakeholders. Operating both at the ecosystem and watershed levels is innovative and implied a learning process for the organization.

 Societal cooperation to design and implement adaptation strategies over large territories was adequately supported by TMI’s institutional skills in the facilitation of social and organizational processes. This skills were applied for instance in the development of the municipal commonwealth.

45 What needs to be improved:  Design climate change adaptation projects with an explicit institutional learning component. Identify activities and processes that allocate more time and resources to monitor and evaluate strategies and project hypothesis and document the learning process of all participants. Learning processes and therefore monitoring and analysis should be a more intense component of projects.

 Project design involved a complex array of components and geographies. Operating in two separate geographies (Piura and Ancash) and highland and lowland systems in both places was extremely demanding. Design of future projects should carefully consider the need to identify priority strategies, methods, geographies and results to avoid excessive complexity. For example, focusing on the development of commonwealths as mechanisms to promote climate change adaptation tools and methods could provide a way to design more effective, less complex adaptation projects.

 The institutional capacity to quickly set up new project teams in multiple zones and operate with shared methodologies should be improved. For instance allocate more time and resources at project start up stage to organize all the training tools and train new staff and discuss the application of institutional tools and approaches to climate change adaptation processes.

 Social communication activities in the project were a significant component new to TMI core institutional expertise. Communication activities need to be better integrated with other project components.

 The turnover of municipal authorities following elections resulted in delays and uncertainties for several months. This sort of instability in inherent to working with local governments and therefore requires ex ante analysis and identification of best strategies. Local governments offer great potential to ground climate change adaptation strategies but they are institutionally weak.

Good practices:

 Taking time for analysis, thinking and writing reports is important in climate change adaptation projects that are characterized by uncertainty and therefore require to institutionalize effective monitoring and evaluation tools. Investing adequate time and resources in the learning processes of all stakeholders is a good investment.

 Document the extensive learning and lessons that have emerged from key project experiences like with the municipal commonwealth. Lessons learned documentation should be planned from the beginning.

 Allocate more time and resources to exchange activities between communities and regions (e.g. Piura and Ancash).

 In spite of staff turn over in year one, TMI eventually built a stable team that is gaining expertise in climate change adaptation in mountain areas. Team building is a long-term process and it requires a strategy and a portfolio of projects to retain teams.

46  Use of local Quechua language with women and community groups strengthened group self-confidence and leadership.

Lessons learned:

 Climate change adaptation projects have a strong component of process and this should be recognized in project design. These projects require more time invested in the consolidation of methodologies and outstanding monitoring and evaluation systems and analytic skills. Design of indicators over-emphasized qualitative measures that were not always the best to measure success.

 The team’s cooperation spirit must be constantly reinforced so they understand that the role of each one is not only to facilitate processes but also to contribute to group knowledge. In other words it is necessary to cultivate the analytic and reflective capacity of teams.

 Working with intensity on pilot communities that are engaged in natural resource management was effective but it is necessary to move in future stages to strategies that capitalize in the investment to reach out into broader territories like the municipal commonwealth.

 Building local institutions and improving their capacities to adapt to climate change is a long-term process. TMI should carefully map the expected evolution of this process in a development theory or hypothesis that should be constantly revised to provide strategic direction to the supporting organization (TMI).

Peasant Communities empowered to participate in their local governments: challenges to improve cooperation

The project hypothesis is that in order to promote effective ecosystem-based adaptation strategies it is necessary to narrow the gap that separates peasant communities from local governments. In this sense, we consider that the project strategy of supporting the municipal commonwealth and development of the Citizen Conference responds to a real need to promote cooperation between local governments and peasant communities. The Citizen Conference (the gathering of peasant communities in the territory of the commonwealth) is an institutional mechanism that can provide an effective framework for future training and scaling up from pilot communities to larger territories. The Citizen Conference is an example of a mechanism that helps to deal with the geographic and social complexity in climate change adaptation projects.

Lessons Learned

A lesson learned is that capacity development strategies for communities and municipalities must operate not only at the level of community-based organizations in which TMI has had more experiences but also at the communal level (elected authorities and general assembly). It is necessary to identify institutional development strategies that have as an explicit target to improve the capacities of community leaders and governance mechanisms.

47 These are the areas of work that TMI should develop further in order to work more effectively with peasant communities at the collective level:

 Improved knowledge of each one of the communities (livelihoods, traditions and customs, conflicts, power groups, etc.)

 Methodologies to develop local institutions (transparency, rules, incentives, etc.)

 Understand well community norms, regulations historic relationships inside the group in order to establish clear and more effective agreements of mutual cooperation with communities. Explore how to assist communities, in a culturally sensitive way, develop their own institutional goals, targets and mechanisms to monitor improvement.

 Capture TMI’s extensive experience with collective organizations of communities and elaborate a handbook on with general guidelines and principles, road map

Community-based organizations: Can they champion ecosystem management and climate change adaptation?

The local research group (CIAL) at Cordillera Blanca/Canrey Chico community assumed leadership and took actions to improve the management of pastures in their community. We have noted before that this is not an easy achievement given the control exerted by the community at large. From the perspective of the larger community it is feared that these groups may claim property or rights to use the land in exchange for the labor or efforts they did in favor of the larger community. The CIAL was able to plan and conduct research on topics relevant to the community and was also able to articulate its results, present them to their communities and lobby for decisions to implement results at larger scales. They were also capable of presenting their results to other audiences and were empowered in the process. The CIAL model presents great promise to be sustainable and could be potentially integrated in rural extension services of the Municipal Commonwealth.

In the case of the community forestry group in Huasta, they participated in forest restoration activities and motivated Huasta’s interest in conservation of Polylepis forests. They were motivated both by conservation agreements with the project and a sense of group identity, pride and recognition the community group that was protecting their forests for the benefit of the entire community. However, in this case it was a decision of the community authorities and the General Assembly to take control of the process to create the Paria Conservation Areas, thus undermining the role of the community forestry group. The authorities and General Assembly did have the power and use it to ban logging, cutting of trees for fuel wood, burning, and mining in the area of influence of the newly created Paria Conservation Area (all these agreements were included in the minutes of their general assemblies and therefore are real means that will help preserve these unique Polylepis forest ecosystems). However, without a specialized group (like the community forestry group) the implementation of the management plan for the Paria Conservation Area is uncertain.

48 In the specific case of youth groups working on community radio programs in Canrey Chico, Ancash, and San Juan de Cachiaco, Piura, their training translated in their decision to become legally registered entities (asociaciones civiles).

In total, building capacities of local communities to promote the sustainable management and conservation of mountain ecosystems supported the training of 230 men and 80 women in eight community-based groups in Ancash and Piura.

The experience working with community groups indicate that they have great potential to become leaders in the conservation and sustainable use of their natural resources. However, to be sustainable these groups face significant challenges, including the need to develop a more institutionalized and transparent relationship with their communities and they need some incentives which were provided by the project in the form of technical advise and small projects, a role that could be potentially played by the municipal commonwealth. All these organizations are still incipient.

The municipal commonwealth

The seed of the initiative to establish the Three Watersheds Municipal Commonwealth (MMTC) originated in a historical process that preceded the project. The MMTC was a response to an environmental conflict associated with resistance to the establishment of an open pit mine in Conococha Lake.

There were strong values already established around the “defense of water” among local governments and communities of this territory. In this sense support to the establishment of the commonwealth was built on local interest and social history, it was not an institution designed from the outside. The project did assist the municipalities to articulate their political commitment to the defense of water in technical terms and in relationship to the conservation and sustainable use of ecosystems and local economic development.

Our experience indicates that this mechanism offers great potential to articulate and implement in an effective way climate change adaptation initiatives. Nonetheless, there are also great challenges to sustainability.

What did work?

 Politicians are in tune with the needs and feelings of the population and climate change and water clearly are concerns in the minds of people. The project contributed to make the climate change problem part of the political agenda in Ancash. Sensitizing local government candidates in September 2010 resulted in expansion of the commonwealth (Cajacay, Antonio Raymondi, Ticapampa, Pampas Chico and Pacllón).

 Developing the commonwealth, a local activity, opened the doors to establish relationships with the Decentralization Secretariat in the Presidency of the Council of Ministers (PCM). This office in turn facilitated relationships with other central government ministries interested in water management in mountain areas, a controversial political issue in the country.

49  Association in the commonwealth facilitated approval of four projects that obtained funds to design project profiles (three more were listed as priority projects in the 2013 Ancash participative budget)

 Community leaders were actively involved in the Commonwealth identification of priority projects through the Citizens’ Conference. Communities identified six project concepts that were identified in the climate change plan as priorities.

 The commonwealth organized a multidisciplinary Technical Advisory Board that prepared the Climate Change Adaptation Plan. This team gathered professional of recognition, local Ancash people committed to improvement of their region. This is potentially a great asset for the commonwealth if it can mobilize it.

What needs to be improved

 To achieve the objective of peasant communities fully empowered to participate in and cooperate with their local governments to improve the management of their mountain ecosystems is a long-term process. If the commonwealth proofs over time that it is an effective operator and an effective venue to include communities in decision-making, then the gap between communities and local governments may be eventually reduced. TMI had limited financial resources in place to continue supporting the commonwealth when the project ended.

 Municipalities failed to appoint appropriate representatives to the multidisciplinary technical committee of the commonwealth. The pool of professional staff in the municipalities is reduced and it is a limiting factor. They have limited time and incentives should be identified to enhance their participation.

 Completing the administrative process to obtain the code (SIAF) that makes possible that the Ministry of Economy transfer funds from the individual budget of members to the commonwealth was a slow and cumbersome process: not completed yet at the end of the project. Achieving this technical goal is crucial to the sustainability of the commonwealth.

 The SNIP process to move from project idea to project profile and then to actually obtain the funds for implementation can be along process. Communities need to be educated on these administrative challenges to avoid frustration.

 The process of establishing the commonwealth is quite complicated and needs sustained technical support. It is necessary to map all the steps and resources needed to complete the process and have agreements with mayors to identify their respective contributions. More self-monitoring and stronger contributions from mayors are needed. There is a risk that the project does more than it should to keep the process of the commonwealth.

Women’s capacities in climate change adaptation

One third (33%) of the total number of people that received systematic training from the project was women: female municipal council members and community women groups working on medicinal and aromatic plants or weaving projects.

50 The project assisted women groups in Ancash and Piura to implement small projects. These projects were identified during the early steps of community training in climate change adaptation (see IR 1.1) and they helped motivate the involvement of women.

In Piura, although women had participated in the design of the paramo management plans (PMP), women had a marginal voice and presence compared to men. Women in Piura titled their project “Weaving Our Future” which indicates that even though they did not engage in an activity directly linked to natural resources, it showed an interest in improving their skills (while weaving) to be more active players in decisions related to their community PMPs.

In the case of Ancash women chose as their project the production of medicinal plants. This was an activity closely connected to the puna and Polylepis spp forests of the alpine environments where many of these plants are collected in order to sell it in local markets. Gathering wild medicinal plants and their production on home gardens is a growing economic activity developed by women who stay at home as their husbands migrate to earn off-farm income.

The emphasis of the gender strategy was to assist the development in Ancash of the Network of Women Councilors and in the case of Piura strengthening an existing network organized by REMUR Piura. The strategy was that through the strengthening of skills and knowledge on climate change adaptation issues among women elected to municipal Councils, they could become a voice for the interests of rural women in communities. In other words the project proposed to connect the two levels of activities. However, this was not achieved in practice and both lines of work run largely on parallel tracks.

What did work

 Women’s teamwork and promotion of cooperation. This activity became and opportunity to organize women around a shared interest and this facilitates discussion of their perspectives on climate change or adaptation projects. Women were very enthusiastic about exchanging medicinal plants among themselves, therefore fostering collective knowledge of plants and interactions among themselves. Medicinal plants production is an example of a livelihood activity that in the long term also contribute to social resilience.

 Medicinal plants (MPs) are important and interesting for women and families. MPs relate to family health which is often identified by women as a resource affected by climate change; MPs are also seen as an opportunity to generate revenue; and also they are a potent vehicle to discuss preservation of the puna ecosystem, local traditions and culture.

 Women in general are interested in medicinal plants, but there is a tendency for elder women to be more involved in the production of medicinal plants in their home gardens. It is necessary to understand the implications of age and not only gender differences.

51 What needs to be improved

 Apply the CIAL model to medicinal plants. Conduct experiments on seed harvesting and on adaption of high-altitude medicinal plants in lower areas of the community.

 Develop new projects to scale up work in medicinal plants with women in peasant communities. Create the opportunity for the network of Women Councilors to know the medicinal plants project, to interact with rural women and promote support of local governments for the initiative.

 Monitor more closely the systematic application of gender protocols across all project activities (work plans, promoting gender equity in grassroots organizations and activities, etc.).

Lessons learned

 Strengthening the administrative capacities of women councilors does not directly translate into motivation and actions to research and understand the interests of rural women living in rural communities and their special needs in terms of climate change adaptation. The capacity building needs of women councilors themselves is great and their attention was centered in their own needs. The concept of elected women councilors as representatives of the needs and perspectives of rural women is sound but is an outcome that requires special training, support and more time.

In the future TMI should recruit female facilitators fluent in Quechua language and perform a more active role facilitating the relationship between women in peasant communities and women elected to municipal councils. A more detailed strategy and methodology should be design to promote this linkage between female elected authorities and women organizations in peasant communities

52 5. Annex: Final external assessment (Executive Summary)

Project From the glaciers to the coast: Building climate change awareness and resilience in the Ancash and Piura watersheds of Northern Peru (USAID CA # 527-A- 00-09-0000-00)

By Dirk Hoffmann and Axel Krumsiek (international Consultants) Date: June 27, 2012

Location: https://dec.usaid.gov/dec/content/Detail.aspx?ctID=ODVhZjk4NWQtM2YyMi00YjRm LTkxNjktZTcxMjM2NDBmY2Uy&rID=MzI0OTAy

53 Executive Summary (Final External Assessment)

Between May 15th and June 15th of 2012 The Mountain Institute (TMI) carried out the final evaluation of its project: "From the Glaciers to the Coast: Building Climate Change Awareness and Resilience in the Ancash and Piura Watersheds of Northern Peru - Cooperative Agreement 527-A-00-09-0000-00", funded by USAID / Peru and implemented by TMI between July 15, 2009 and July 14, 2012. The consultant team consisted of Dirk Hoffmann (M.Sc.), senior consultant and team leader, and Axel Krumsiek (M.A.), junior consultant, both experts on climate change adaptation. The field visits to Lima, Ancash and Piura were held between May 17 and June 4, 2012. The objectives of the evaluation, according to the TORs for the mission, were to: Examine and verify I. the achievement of the objectives; II. the overall performance of the project; III. the strategy and tools used and developed; IV. the degree of capacity-building by communities and local governments; and V. the identification of best practices and lessons learned. The project "From the Glaciers to the Coast: Building Climate Change Awareness and Resilience in the Ancash and Piura Watersheds of Northern Peru" is an adaptation for climate change (ACC) initiative which responds primarily to the impacts of climate change on glaciers and mountain ecosystems which are crucial to the retention and regulation of the water supply (e.g., from the humid Puna in Ancash and Paramo in Piura). As part of its overall approach to result in a "Set of collective actions and strategies have been validated in mountain headwaters of Ancash and Piura as an adaptation model to climate change impacts", this project focused on two principal objectives: (1) The capacity of communities and community-based organizations to manage high mountain ecosystems as an adaptation strategy to climate change has been increased and strengthened. (2) Public policies for climate change adaptation have been established in local governments located in mountain headwaters of Ancash and Piura. These two objectives defined the main axes of intervention, which were on one hand the strengthening of communities, and on the other the strengthening of municipal capacity to adapt to climate change. The geographical scope of the project in the Ancash Region included the communities of Canrey Chico, Huasta and ten rural municipalities in the provinces of Recuay and Bolognesi. In the Piura region, the project involved the city of Piura and the communities of San Juan de Cachiaco and Totora, the municipality of Pacaipampa and the province of Ayabaca – located in the Paramo ecological region of highland Peru. The main development hypothesis of the project was that advancing the sustainable management of high Andean ecosystems provides an opportunity to also build capacity to respond and adapt to current and future climate change impacts. At the center of the conceptual approach was land and resource management at the local level, in the areas of peasant communities (Objective 1) and municipalities

54 (Objective 2). This strategy followed an ecosystem approach, while further integrating a second approach employed by the project, that of incorporating the whole watershed as a means of linking the upper and lower parts of the basin. The project applied the methodology presented in the USAID Manual "Adapting to Climate Variability and Change: A Guidance Manual for Development Planning" tailored to the contexts of the community, municipality and coastal water users. In relation to the achievement of project goals, analysis of progress towards the six main indicators have shown that, although there was some delay in the first year of implementation (2010), this gap was recovered during the second year of the project (2011) and was fully consolidated during the concluding eight months. Highlights included the formulation of Climate Change Adaptation plans, the formulation of project ideas for the participatory budgets for Ancash and FONIPREL, the formation of the “Three Watersheds Municipal Commonwealth”, consolidation of the role of the Local Agricultural Research Committee in Canrey Chico, the establishment of a Private Conservation Area in Huasta, as well as work with the private association of irrigators and the Board of Water Users of San Lorenzo (JUSAL) in Piura. The methodology proposed by USAID was used and adapted in developing plans for Adaptation to Variability and Climate Change with water users in the lower Piura (JUSAL) and the two pilot communities of Ancash (Canrey Chico and Huasta). Based on these field experiences, TMI found this to be a strong tool for developing shared concepts and objectives between the various stakeholders at the scale of watersheds. If we analyze the formulation of the two main objectives, the intermediate results and the project activities model, it is clear that they incorporated an ecosystem approach almost entirely. One consequence of this was that many of the activities and results obtained by "the watershed approach," such as support for the Board of Water Users of San Lorenzo, were not reflected in the original "Results Framework" for the project, but rather appeared as unanticipated results. At the level of intermediate results for the project, important achievements included organizing an international conference at the beginning of the project, various research publications, the creation of a Network of Alderwomen, the organization of the Santa River Basin Water Forum and bolstering public outreach through the Community Radio of Piura. The most significant accomplishment of the project at the municipal level was the establishment of the Three Watersheds Municipal Commonwealth (Mancomunidad Municipal Tres Cuencas - MMTC) in Ancash. The development and strengthening of this commonwealth by the project provided a means to address water management and natural resource issues in the context of climate change, and can be seen by itself as a key project contribution for climate change adaptation strategies. Beginning with five municipalities, and expanding to 10 municipalities in the second year, the MMTC covers a large area of the southern part of the Cordillera Blanca of Peru, enabling action at the large ecosystem scale. The strategic value of the MMTC lies in its legal authority and institutional capacity to implement public investment projects of major scale and impact (primarily through the Technical Committee) and to have mechanisms to convene communities and other civil society actors at the local political level (through “Citizen Conferences”). The project has shown vision and flexibility in understanding and using this new opportunity, which arose in 2010 with the approval of a regulatory framework for Peru’s Law on Commonwealths. It was recommended that TMI supports the process

55 of consolidation of the MMTC and use it as a learning opportunity, to inform both other municipalities in the region and nationally. The various partnerships established or strengthened during the Peaks to Coast Project have clearly been important factors in this project’s success, and have great potential as a platform for future work by TMI. For example, in the case of Piura, through training for the development of adaptation plans to climate change, the Board of Water Users of San Lorenzo (JUSAL) was encouraged to include activities to support the municipalities located in the Paramo in its planning. Another success factor that the evaluation team identified is the successful relationship TMI has established and maintained with both national and regional levels of government, which enabled or enhanced project interventions at the local level. The incorporation of a gender focus in the project was carried out through specific strategies: at the municipal level, primarily through the Network of Alderwomen of Ancash and Piura (a mechanism to promote and strengthen the participation of rural women in the field of local politics with a focus on adaptation to climate change), and at the community level through small productive projects (medicinal plants, weaving). However, these experiences and progress still need further consolidation. In its work in two distinct and geographically separate regions, the Institute has however reached some institutional limits. In particular, there were some imbalances in the operational and financial components favoring Ancash, and this is reflected by the different level of results achieved in the two regions. It is noteworthy that most of the results achieved are not yet consolidated and still need support. Although mechanisms to ensure sustainability were identified during the execution of the project, in order to ensure this sustainability the Institute must work towards greater institutionalization of results through mechanisms considered from the outset of project design. In this context, the strengthening of the MMTC and its Technical Committee as a public institution, specializing in land management projects to enhance natural and social resilience to climate change, is a very promising strategy. Additionally, we suggest that TMI analyze in more detail how to achieve more sustainable results through other organizational structures such as commonwealths, regional organizations like REMURPE, NGOs operating on the coast, or via water user groups strengthening cooperation with upstream populations. Guided and trained by TMI, they could play important roles in training and providing other support, especially in the area of community development. The Mountain Institute's role in the project has been that of an executor, organizer and facilitator. It is towards this last aspect that we believe the role of TMI should concentrate as it works to replicate and extend this pilot project to more communities, municipalities, and more generally across the Commonwealth. Our main recommendations for TMI are summarized as follows: We suggest that for future work, TMI utilize the approach of climate governance more systematically and from the outset of project implementation. This means, for example, executing a diagnosis of the field of social actors (political, economic and social), and the institutional and legal framework, at the time of the design of complex projects. This analysis, in turn, would help better define future project strategies and identify opportunities: In the area of organizational structure and internal capacity of TMI, our recommendations include improving cooperation between regional components of the organization, and establishing institutional mechanisms for the exchange of

56 experiences, best practices and lessons learned. We also recommend improving the monitoring system and its implementation to better document and monitor lessons learned and results obtained. At the conceptual level, we suggest further and more explicit development of concepts for adaptation, resilience and vulnerability; and application of these concepts in a systematic and comparable way; along with improving the design of indicators linked to plans related to climate change adaptation. We also suggest further integrating and strengthening the gender component through recruitment of specialized staff to position and monitor this important theme. In relation to project design, we recommend that the formulation of objectives at the "Results Framework" level also considers results for the watershed approach, and that the development of the "Results Framework" in the components of awareness and training should be geared more towards process and not only results. The dissemination of best practices and experiences gained is key to successful expansion and replication. In order to better visualize and disseminate the successes of the project, we recommend the following:  Complete the systematization of experiences gained by TMI.  Make available all documents and literature related to the Project.  Increased socialization of the Plans for Climate Change Adaptation.  Seek partnerships at the national level to further the development of guidelines, which can guide the work of other communities, municipalities and associations in adapting to climate change through ecosystem and watershed management.  Short term: Publish illustrated brochures on the most successful aspects of the project. In general, it can be concluded that the Peaks to Coast Project has developed a number of interesting and innovative experiences that are a good basis for the future work of TMI in the area of climate change adaptation based on an ecosystem approach in high mountain areas, as well as in facilitating dialogue and exchange between the upland and lowland areas through a whole watershed approach. These experiences will also provide valuable lessons learned and tools for the conceptualization and design of other projects focused on adaptation to climate change

57 Table of evidence, conclusions and principal recommendations (Final External Assessment)

Evaluation Question Evidence Conclusions Recommendations 1. How useful and effective was Conceptual approach was aimed at The "results framework" ignored the The formulation of objectives at the the conceptual model in relation climate change impacts on water, watershed approach and was also “results framework” level should also to the overall achievement of based on a "results framework" very focused on quantitative results consider results for the watershed project objectives and its through territorial interventions at two which did not reflect the complexity approach. contribution to the project goal? dimensions: of training processes for adaptation The development of the "results - Environmental dimension to climate change framework" for awareness and (linking approaches at the training should focus more on scale of ecosystems and processes and not just results watersheds) - Socio-Political dimension (communities/municipalities/ commonwealth) Many of the project activities in Piura Both work with the Regional We suggest a better integration of were aimed directly at the regional Government of Piura and with activities with the concepts and level JUSAL had no clear relation to the objectives of the project indicators and intermediate outcomes defined in the "Results Framework" The development hypothesis was The concepts of vulnerability, It would be advisable to further that good management of high resilience and adaptation to climate develop concepts of adaptation, mountain ecosystems increases the change do not appear to be resilience and vulnerability, as resilience of these ecosystems and sufficiently developed explicitly, but mentioned in the USAID manual for their populations and thus advances are instead implicitly included as part Adaptation to Variability and Climate adaptation to climate change of the core assumptions of the Change, in a manner more explicitly Project connected to the specific context of the Project Project assumptions were not met Project assumptions were made Mining issues warrant greater (with the exception of the Ancash opportunistically consideration in Adaptation for ERCC) Climate Change (ACC) projects in

58 Evaluation Question Evidence Conclusions Recommendations highland areas 2. Are activities carried out in a In relation to the results obtained, in There was a different dynamic in In the planning phase of the Project, manner consistent with the several cases goals for the first year each phase of the project. However, it should be emphasized that ACC general approach and were not met, while results in the compliance with project indicators projects are processes requiring assumptions of the project? second year surpassed goals can be considered between good social and political approaches which and very good need more time in the initial phase to achieve results Activities were carried out which The activities model produced by It is recommended that the Institute were not strictly consistent with the TMI had a broader focus than the focuses its planning on a smaller objectives and / or the primary focus two objectives of the Project number of major activities that have of the Project the same axis and work towards a common goal The Santa Water Forum and The intermediate results achieved by Intermediate results that match the cooperation with JUSAL followed a the Santa Water Forum and watershed approach should be watershed approach (linked with the cooperation with JUSAL did not reflected by the objectives lowland section of the watershed) contribute directly to achieving the Project objectives 3. Has the project implemented an The Network of Councilwomen Establishing the Network of We recommend continuing to adequate gender component in its formed an association of female Councilwomen was an activity under support capacity building climate change adaptation authorities in the municipality to the banner of gender issues, activities? strengthen the role of women in local including the strengthening of government municipalities that have a mechanism for institutionalization for sustainability In the communities of San Juan de Cooperation with the project We suggest two options for the Cachiaco and Totora, Piura, a "Weaving our Future" in Piura, to a future. The first would be to committee of weavers was formed in lesser degree, reflects the strengthen the thematic focus on response to the demand of the comprehensiveness needed in climate change adaptation, and the beneficiary group of women gender issues, mainly because it second would be classified as “side was a relatively isolated initiative activities”, but still important, which targeted only at women, while not would include strengthening the particularly strengthening the emphasis on gender approach in incorporation of existing knowledge core activities (with clearer

59 Evaluation Question Evidence Conclusions Recommendations relationship to the ACC) The community of Huasta in Ancash The experiences of Huasta in We suggest emphasizing the has begun a project growing promoting and harnessing potential for producing synergies in medicinal plants for sale, identified knowledge for women in the field of the future, to strengthen the role of by a group of local women as a medicinal plants demonstrates a women in the planning of ecosystem priority different approach in the added management and the development value of including women in the of local strategies for climate change processes of ecosystem adaptation conservation and ACC The Peaks to Coast Project strategy The Mountain Institute has begun to We recommend hiring someone sought to position the theme of bring the issue into the mainstream exclusively responsible for gender gender as a crosscutting issue issues, who can continues efforts to mainstream the issue and who would be dedicated exclusively to the conceptualization, integration and monitoring of the subject 4. Were project objectives Evaluation of levels of compliance There was some delay in the We recommend keeping in mind the achieved, and to what extent will has found that all six of the Project fulfillment of project indicators in the political and social processes are activities and practices continue indicators have been met (see Table first year of implementation, but very time intensive during the initial after the project has ended? in paragraph D1) these delays were more than stages of a project, due to the need recovered during the second year of to build confidence the project There was a greater intensity and There was an administrative, We recommend addressing this number of project activities in operational and financial imbalance imbalance between the regional Ancash, and general management of favoring activities in Ancash: this components in the future (for details, project was run from Huaraz resulted in better results and greater see Section F5) flexibility for projects in this region There are now numerous institutional These alliances have been important We recommended strengthening the partnerships that were either a result factors in the Project’s success, and strategic alliance with REMURPE at of the Project, or have been have great potential to increase the all levels to ensure sustainability and strengthened due to the Project future capacity of TMI to leverage expansion of local capacity building their capabilities to provide services measures in the area of ACC

60 Evaluation Question Evidence Conclusions Recommendations There was good coordination with The functions of REMUR Ancash Looking towards the future, it seems REMURPE at the national level and have largely been absorbed by the important to recover this "missing strong integration with the work of MMTC link" – bolstering the role of Ancash REMURPI in Piura REMUR in municipal strengthening The main beneficiaries defined by Active and ongoing participation in Continue efforts aimed at inclusion of the objectives of the project were the all activities and phases of the beneficiaries to maintain high levels communities and municipalities Project was observed of participation chosen for direct intervention Most of the results achieved are not Most of the results achieved need The Institute should work towards yet consolidated and still need continued support and medium-term greater institutionalization of results support, although some mechanisms financing through mechanisms considered for sustainability were identified from the outset in the design of during the execution of the project interventions. Furthermore, we suggest that TMI discuss in more detail how to achieve more sustainable results through cooperation with other organizations 5. Was the project managed The Mountain Institute has a core The Project has not always had We recommend hiring staff effectively to support the team which consists of 12 sufficient numbers of staff with exclusively responsible for gender objectives of the program? professional and logistical support relevant expertise, and there has at issues, municipalities and monitoring times been a lack of continuity in key - or alternatively redefining partially issues (gender, municipalities) – and systematically existing staff particularly due to not having a positions to work on these areas climate change specialist on staff more permanently from the start The director of the Institute This resulted in overlapping activities It would be desirable to distribute simultaneously served as General and an overload of responsibilities management responsibilities and Coordinator for the Peaks to Coast overall coordination of the project to Project two separate staff members TMI's work is based on long-range Within the portfolio of The Mountain We recommended optimizing the institutional commitments (from 15 to Institute, the Peaks to Coast Project tracking of results and lessons 20 years) to their beneficiaries had a close relationship with several learned, as well as the monitoring other projects. system and its general

61 Evaluation Question Evidence Conclusions Recommendations This continuity of staff between implementation to take advantage of different projects made it possible to these synergies to the fullest take advantage of certain synergies. The close interaction of projects in The Institute should continue to some cases resulted in difficulties strengthen these links, without distinguishing the specific neglecting to give visibility to which contributions of the Peaks to Coast activities belong to which projects Project, both within the Institute and at the level of beneficiaries The Regional Government of Ancash The Institute has reacted to the Maintain an open and flexible project failed to develop its Regional Climate inaction of the Regional Government objective and configuration, to take Change Strategy during the Project of Ancash in the development of the advantage of emerging opportunities ERCC very flexibly, by redefining objectives and indicators to cooperate with the creation of the Santa Water Forum TMI works with a variety of state The Mountain Institute, through the We recommend continuing to partners and civil society Peaks to Coast Project, has both strengthen alliances with strategic organizations to perform certain nationally and regionally established partners to enhance the range and activities and gain access to different and strengthened a network of effectiveness of interventions levels of government (national, strong partnerships to implement regional, municipal) projects for environmental conservation and ACC 6. What are the strategies The Three Watersheds Municipal The strategic value of the MMTC lies We recommend that TMI accompany suggested to support replication Commonwealth (MMTC) in Ancash in its legal authority and institutional the process of consolidation of the and dissemination of project together with 10 rural communities capacity to implement public MMTC and use it as a learning results? was and is focused on water investment projects with impact on opportunity (both regionally and management and natural resources an ecosystem scale nationally) in a context of climate change The Local Agricultural Research The CIAL links local aspects of the We recommend strengthening this Committee (CIAL) in CC Canrey economy (livestock) with Committee and transferring this Chico - Ancash is a mechanism for conservation and ecosystem experience to create similar participatory action research adaptation, providing a meeting organizations in Piura

62 Evaluation Question Evidence Conclusions Recommendations place for researchers and the community The Santa Water Forum in Ancash The Santa Water Forum is still in a The Institute should continue to provides a forum for dialogue state of incipient institutionalization; support the Forum with the clear between stakeholders from different dependent upon external financial goal of institutionalization ecological zones (watershed logic), and institutional support which has a regional perspective In Ancash a baseline of perceptions To systematically assess the impacts We recommend that the Institute and local knowledge on climate of the Project would require more strengthen the systematic production change adaptation was only baselines of solid baselines for each area of developed in the communications work component The concept of climate governance The Project was able to employ a We suggest that future work use the has not been established, nor multi-level approach (e.g. in work TMI approach to climate governance explicitly used with their regional partners and from the outset when implementing REMURPE) to achieve, strengthen projects and enhance local-level results We considered the three-year project The dissemination of best practices In order to better visualize and a phase of exploration and and experiences gained is key to disseminate the successes of the experimentation to discover the best expansion and replication. project, we recommend: collective practices for working in the • Completing the systematization of field of adaptation to climate change past experiences gained by TMI. in mountain areas • Increasing the socialization of Plans for Adaptation to Climate Change. • Seeking partnerships at he national level to further develop guidelines for climate change adaptation • Publish illustrated brochures on the most successful aspects of the project.