Social Development Papers Environmentally and Socially Sustainable Development Network South Asia Paper Number 38 December 2000 Participation in the Himalayan Foothills: Lessons from Watershed Development in India Trond Vedeld, SASSD, New Delhi This publication was developed and produced by the Social Development Family of the World Bank. The Environment, Rural Development, and Social Development Families are part of the Environ- mentally and Socially Sustainable Development (ESSD) Network. The Social Development Family is made up of World Bank staff working on social issues. Papers in the Social Development series are not formal publications of the World Bank. They are published informally and circulated to encourage discussion and comment within the development community. The findings, interpretations, judgments, and conclusions expressed in this paper are those of the author(s) and should not be attributed to the World Bank, to its affiliated organizations, or to members of the Board of Executive Directors or the governments they represent. Copies of this paper are available from: Social Development The World Bank 1818 H Street, N.W. Washington, D.C. 20433 USA Contents Abstracts ...................................................................................................................................... 4 Acknowledgements ....................................................................................................................... 5 1. Executive Summary .................................................................................................................. 6 2. Introduction ............................................................................................................................. 8 3. Methodology .......................................................................................................................... 10 4. Participation in The First Phase of IWDP ................................................................................. 11 5. The Shivalik Planning Context ................................................................................................ 14 6. The Preparation Process: Step by Step .................................................................................... 17 7. Achievements in Participation ................................................................................................. 19 8. Shortcomings in Participation .................................................................................................. 22 9. Effects of Participation on Design ........................................................................................... 25 10. The Nature of the Project Design ........................................................................................... 27 11. The Role of the World Bank .................................................................................................. 29 12. Challenges to Participatory Watershed Development ............................................................... 31 13. Conclusions ......................................................................................................................... 38 14. Issues and Emerging Opportunities ........................................................................................ 40 Annex 1. Comparison of Participatory Frameworks ....................................................................... 44 Annex 2. The Preparation Process: Step by Step-A Participatory Perspective ................................. 45 Annex 3: Subjective Assessment of Quality at Entry ..................................................................... 46 Annex 4: Indicators of Participation and Local institution Building ................................................ 47 References .................................................................................................................................. 48 Notes ......................................................................................................................................... 52 Abstracts T his study examines the degree of participa- assessment would have been more useful if com- tion of primary beneficiaries in the prepara- pleted earlier and focused better on operational tion of the Integrated Watershed Develop- recommendations. The assessment did, however, ment Project (IWDP) in India and the impact of feed into the project and village-level planning as such participation on the planning and design implementation started. Hence, even if the social process. assessment products did not have a major impact on the design, it affected the project-level pro- A considerable number of villagers were involved cesses and planning in a positive manner. Overall, in the social assessment and village development the project design was more a result of factors such planning, and were thus consulted on the overall as lessons learned from the first phase of the approach and choice of local-level project activi- project and experience embodied in the Bank team ties. The importance of women in the Hill economy and the executing agencies, rather than an effect of raised gender sensitivity in relation to resource direct beneficiary participation. management and income generation. The tribal study placed the particular requirements of pastoral The study calls for a more open and critical dia- transhumants firmly on the agenda for the project logue about ecological change and participatory preparation. However, despite considerable watershed development in the Himalayas with a achievements in participation, the social assess- greater variety of stakeholders, including academ- ment was finalized too late to have any major ics from various disciplines, other donors, private impact on the design of the Project Appraisal sector interests, civil society groups and local Documents. As planning instrument, the social farmers and herders. 4 Acknowledgments T his study is the result of interaction with Special thanks are due to David Marsden for project staff and managers through inter- thorough review and editorial assistance and to views, workshops, field-visits to selected Malay Neerav for language editing and encourag- sites, and document reviews. ing comments. The inspiring company of Parmesh Sha during the field-visit and training workshops The time spared by the project directors and with project staff is also greatly appreciated. David managers for discussions and filling in question- Marsden, SASSD, Washington, made the request naires is greatly acknowledged. for the work. Constructive and valuable comments were made on The study may be of value to development profes- the draft document by David Marsden and Mridula sional interested in the planning of participatory Singh. Comments or input to specific sections have watershed development and rural development, come from Hamdi Issa, T. C. Jain, Parmesh Shah, including field workers, practitioners, researchers Robin Mearns, Caes de Haan and Lars Lund. and policy makers. 5 1. Executive Summary T his study examines the degree of participa- was achieved on farmers' fields and in rural tion of primary beneficiaries in the prepara- communities with state officials increasingly tion of the Integrated Watershed Develop- working with and learning from farmers. ment Project (IWDP) in India and the impact of such participation on the planning and design Faced with a complex planning situation, the process. project established a three-tier and iterative social assessment process; i) a retrospective study to Using participatory watershed technologies, the examine earlier shortcomings with participation IWDP aims to reduce erosion, restore productive and capacity building; ii) a prospective social potentials, and alleviate poverty in the Shivalik assessment of village communities in the new Hills in the foothills of the Himalayas. The project micro-watersheds ­ accompanied by fifteen Village would restore about 200 000 hectares of land and Development Plans to test new participatory involve almost 2000 village communities in approaches; and iii) a tribal and transhumance Haryana, Himachal Pradesh, Jammu & Kashmir, study to explore the importance of pastoral groups, Punjab and Uttar Pradesh. their numbers and seasonal movements with animals. The project design allowed for an initial The study uses an institutional perspective to planning period of six to twelve months in order to illustrate the great variation in the planning context ensure flexibility related to the formation of village from one watershed to the next related to a dy- organizations and building of ownership to the namic resource-base, differences in community participatory approaches at local and project levels. characteristics and capacity, and variable external A considerable number of primary beneficiaries institutional arrangements. These varied relation- were involved in the social assessment and village ships suggest very site-specific conditions for local development planning, and many people were thus resource development. Until recently, a fairly consulted on the overall approach and choice of technocratic model of watershed development local-level project activities. The diversity in dominated in the Shivaliks, reflecting concerted gender, caste, and land ownership suggested attempts by external state agencies to prevent or approaches adopted to the local context and control what was perceived as "bad practices" by a targeted interventions. The importance of women growing number of farmers and herders. "Ignorant" in the Hill economy raised gender sensitivity in and "backward" farmers were encouraged to adopt relation to resource management and income a wide range of conservation practices and tech- generation. The tribal study placed the particular nologies to limit soil erosion. Often these ap- requirements of pastoral transhumants firmly on proaches failed to produce sustainable capacity for the agenda for the project preparation. The partici- management. In contrast to such top-down ap- patory village planning created awareness among proaches, the study argues that more recent success staff of the participatory approaches, while it also in watershed development both in Asia and Africa revealed weakness in staff capabilities to employ 6 Executive Summary them. It underscored the need for training and the management of village resources and village- reorientation of staff, as well as for recruitment of level organizations. Improved cooperative relation- additional female staff and staff with greater ships between village organizations and government experience in participatory tools and methods. staff are needed for resource management under Many of the issues raised by the Indian delegation private, common as well as state property regimes. It during negotiation were precisely of social and is essential to limit the amount of resources remain- institutional character. These related to conditions ing under de facto open access regimes and inappro- for achieving sustainable village institutions, priate management. The study recommends the reflecting an emerging conviction to the centrality project to take the following actions: of participation in the project watershed develop- · Enhance the incentive structures for ment strategies. community participation and build participation frameworks. Despite considerable achievements in participation, · Continue the work towards more client- the social assessment was started too late in the planning process to have any major impact on the oriented governance systems at project and state design of the Project Appraisal Documents. As level. planning instruments, the social assessments would · Create arenas for communication between have been more useful if completed earlier and communities and project staff and enhance partici- focused better on operational recommendations. patory monitoring and accountability at local level. The assessment did, however, feed into the project · Promote inclusive village property rights and village-level planning as implementation regimes which take into account established rights started. Hence, even if the social assessment of neighbors and mobile pastoral groups to re- products did not have a major impact on the sources within the boundaries of the new village design, it affected the project-level processes and regimes. planning in a positive manner. Overall, the project · Establish institutions for conflict manage- design was more a result of factors such as lessons ment. learned from the first phase of the project and · experience embodied in the Bank team and the Foster more critical research on the "envi- executing agencies, rather than an effect of direct ronmental orthodoxy" regarding explanation for beneficiary participation. degradation in the Shivaliks and the Himalayan foothills. The study reviews some of the assumptions behind the project approach and points to opportunities The study calls for a more open and critical dia- and challenges ahead. It argues that the project in logue about ecological change and participatory the different states is now in a position to start the watershed development in the Shivaliks involving a participatory implementation process. A key greater variety of stakeholders - including academ- obstacle to this process is the limited capacity of ics from various disciplines, other donors, private the implementing agencies for reorientation and sector interests, civil society groups and local lack of commitment to participation among some farmers and herders. The great national interest in of the mid-level project staff. Joint agreements and concern for environmental degradation in the need to be reached to ensure that both project staff Himalayas raises such openness as a major chal- and local users feel responsible and accountable to lenge for the project as well as for the World Bank. 7 2. Introduction T he aim of this study is to examine the ing poverty in five states (Haryana, Himachal participation of primary beneficiaries in the Pradesh, Jammu & Kashmir, Punjab, and Uttar preparation of the second phase of the Pradesh).2 Sustainability will be enhanced through Integrated Watershed Development Project, Hills participatory involvement of project stakeholders (IWDP II). The participation process has been and beneficiaries. An associated objective is to reviewed during the final stages of the project assist the states with institutional development and planning and preparation.1 Participation is defined consolidate progress already made in unifying by the World Bank as "a process through which approaches to watershed development among stakeholders influence and share control over various programs operating in the Shivalik Hills. development initiatives, decisions, and resources The project mainly involves two interrelated that affect them" (World Bank, 1996). components; i) watershed protection and develop- ment based on participatory approaches and More precisely the study addresses: treatment technologies; improved fodder and livestock services; and improved infrastructure; ii) · The achievements in participation of the institutional strengthening through community primary beneficiaries in the project preparation capacity building; income generating activities for stages and the impact of such participation on the women; policy reforms, studies and human re- preparation and design process. sources development. · The problems in trying to include primary In recent years watershed development has become beneficiaries and ensure their effective participa- a key vehicle for agricultural and rural develop- tion. · ment in rainfed areas of India. The Indian govern- The factors and relationships that have ment invests about USD 450 million in watershed supported or hindered primary beneficiary partici- management annually. The fact that watershed pation. development lends itself to participation and · The issues and opportunities to be consid- poverty reduction has made it popular also among ered for the future and recommendations to ensure donors and NGOs. This has happened despite more effective participation. conclusive evidence relating to the long-term · The role of the World Bank. sustainability of watershed development (Turton, 1998, Hinchcliffe et. al., 1999, ICR, 1999). The main objective of IWDP II is to restore the productive potential of the Shivalik Hills in the With community participation as an explicit goal in foothills of the Himalayas, using watershed treat- IWDP II, a gradual transfer of control and empow- ment technologies based on participatory ap- erment of local user groups, as implementation proaches. The project will help in decreasing soil proceeds, is a necessary requirement for ap- erosion, increasing water availability and alleviat- proaches to be perceived as "participatory" in this 8 Introduction assessment. The level of beneficiary participation structure or resource regime for watersheds and should involve collaborative decision-making and natural resources has its transaction costs, which some degree of shared control over the develop- relate to costs of negotiation, enforcement, infor- ment initiative, not just listening and consultation. mation, and keeping stock of resource flows, whether resources are under private, common or Participation is not a straightforward process and it state ownership. These costs are unevenly distrib- is hard to measure. Three observations on partici- uted among stakeholders, depending on the institu- pation, related to assessments of the planning and tional structure. If there is lack of compatibility design process of IWDP II, are worth noting. between formal laws and property rights, as enforced by the state, and local level institutions or · Firstly, participation can be perceived praxis, the transaction costs of policing and enforc- narrowly as a means to achieve more successful ing increase for most stakeholders. Local people project implementation (in an instrumental way). By experience such costs, socially and economically, involving the stakeholders, the project design would and they provide motives for bargaining and voice ensure that objectives and strategies respond to for fairer regimes. There might be large gains to all priorities and interests of the ultimate beneficiaries. stakeholders from a more adaptive institutional · Secondly, participation has a broader environment (North, 1990). significance as a part of all social relations in Primary stakeholders are mostly considered spontaneous or manipulated forms. Spontaneous synonymous with "primary beneficiaries" as the participation adds new and important dimensions men and women, communities, or local level to development. It is seen as having an intrinsic organizations expected to benefit from the project, value. The focus on participation represents a move but they can also be adversely affected people. from a development paradigm centered on technol- Beneficiaries represent the government's immedi- ogy and incentives for individual economic entre- ate clients and the Bank's ultimate clients. Second- preneurs (associated with the delivery of outputs ary stakeholders include the central government of and products) to one centered on institutions and India (the borrower), line ministries, project agen- enabling policy frameworks for local level capacity cies and staff, local government, NGOs, other building (associated with the development of donors, and other organizations with varied interests processes). In the context of IWDP II, participa- in the project (e.g. private sector and civil society tion, taking both perspectives into consideration, groups). Property rights or property rights institu- becomes a broader process that would aim to foster tions/regimes are defined as legitimate systems of more inclusive societies and client-oriented institu- rules, norms and regularized practices that determine tional cultures; more transparent and efficient as to who has access and control in relation to governance systems at local and project levels. benefit streams from resources, goods or services. Participation is then as much about involvement in Property is not to be understood as an object but as a social and political affairs, as in economic invest- social relation, a benefit stream. Property rights ments by the project in a narrow instrumental way. determine the allocation of wealth, power and status The flip side of participation is good governance in society and can enable or constrain behavior of (Putnam 1993, North 1990). This perspective individuals or organizations. Here, watershed is recognizes that development is a process that understood as a geographical area that feeds water to integrates social, institutional, technological and a drainage line (e.g. a river). But a watershed is also economic change. Development involves more the area from which communities living within it than simply an increase in income for individual make a living, more or less dependent on the local farmers arising from improved technology. resources. Hence, the management of the watershed · Thirdly, participation carries costs for is important for livelihood reasons as well as for people as well as governments. Any governance environmental protection. 9 3. Methodology T he study uses a property rights' (or institu- There are limitations to the methodology adopted tional) perspective on Natural Resources due to short field-visits and lack of direct observa- Management (NRM) in order to understand tion of the negotiation involved in the planning the planning context and the way in which the process. In order to gain more insight into the project planning team addressed various issues at interaction between various stakeholders, a ques- stake. A broad framework of institutional analysis tionnaire was sent out to the staff involved. Re- considers the patterns of interaction between the sponses were obtained from each of the project attributes of the physical resources, the community management at state level (five questionnaires) and conditions within which a situation takes place, and from key members of the Bank appraisal team (six the external institutional arrangements (Ostrom, questionnaires).3 The information thus gathered, 1990). The framework is based on the assumption strengthened the qualitative data from the inter- that reasons for success or failure in the planning views. and implementation of watershed development are extremely varied and they often depend on the The study provides an assessment of (community) micro- and macro-conditions within a given participation related to the objectives of the project context (cf. Turton, 1998, Kerr et. al. 1998, based on its own premises. However, it also raises Hinchcliffe et al, 1999). The data related with the some more fundamental and critical issues related planning process has been collected from detailed to the assumptions behind the project approach in review of project documents and studies, field- order to stimulate a broader discussion of the visits to selected sites, interaction with staff in opportunities and challenges ahead. The Project meetings and workshops organized by the author, Appraisal Document (PAD) is used as the main and interviews with Bank staff involved in the reference for the project design, in contrast to the preparation of the project. A limited number of Project Implementation Plans (PIPs) prepared at focus-group discussions were held in six villages project level. The assessment of the planning for a better understanding of the local context. In process has been complicated by the fact that the one village, observations were made regarding the two key levels of planning, the Bank level and the village planning process and the way in which the state/project level, are not always firmly connected project staff used participatory methods (PRAs). in objectives and participatory strategies. 10 4. Participation in The First Phase of IWDP (Hills) W here does the preparation and design of "Farmers have been first encouraged, then later the IWDP project fit into the historical coerced, to adopt technologies that are known to evolution of watershed development work. When these farmers fail to maintain or projects? otherwise spontaneously to adopt - these measures, then interventions have shifted to the remolding of Watershed Development: A Historical Back- local social and economic environments to suit the ground technologies" (Pretty and Shah, 1999:1) There is a long history of soil and water conserva- The soil and water technologies have often been tion in India, with the first accounts going back to standardized, with the new and "modern" displacing the time of the British rule at the end of the nine- what was perceived as old and "traditional". The teenth century. Two mechanisms have been instru- basic problem has been, however, that the imposed mental in these resource management processes, technological models and structures, which at first both of which aimed at changing agricultural may have looked good, tended to fade away. practices; i) the introduction of new technologies, especially on farmers fields; and ii) the introduction "Despite decades of efforts, soil and water conserva- of legal measures and new property rights institu- tion programs have had surprisingly little long-term tions, either through stricter state control (e.g. success in preventing erosion. On paper, the quanti- nationalization) or state-sanctioned privatization of tative achievements of some programs can appear common-pool resources, especially in relation to impressive. Throughout the world, terraces have forests, pastures, and water. Changes in property been built, trees planted and farmers trained on a rights systems were also introduced in order to cater massive scale." (Pretty and Shah, 1999:8). for large-scale canal irrigation schemes supported and subsidized by the state e.g. in Punjab and The authors illustrate how huge areas of land have Haryana. In India, as well as elsewhere, a fairly been protected in the short term through several technocratic model of watershed development has large scale soil conservation programs in nine dominated, reflecting concerted attempts by external African countries but conclude by saying that these state agencies to prevent or control what has been have not been long-term successes. perceived as "bad practices" by a growing number of farmers and herders. Through various policies "(I)n virtually all these sites, structures and prac- and measures, "ignorant" farmers were encouraged tices have not persisted. Project assumes that to adopt a wide range of conservation practices and maintenance will occur. Yet as farmers are treated technologies to limit soil erosion and degradation of at best as laborers for construction, they have few crop fields, pastures, and forests. In a critical review incentives to maintain structures or continue with of the recent history of soil and water conservation practices that they neither own nor have had a say in the USA, Africa and South Asia, Jules Pretty and in designing." (Pretty and Shah, 1999:8). Parmesh Shah maintain: 11 IWDP First Phase Participation In India, there are, however, positive lessons to be self-help groups were formed around economic learned from watershed development, and there is a activities such as water management and joint forest rich and recent literature to build on.4 Increasingly, management. The ICR maintains that "(N)otable the focus in watershed development has been progress has been made in this direction in all the shifted from project approaches and micro-level states". Visible change occurred in people's con- issues to the broader institutional and macro-policy sciousness regarding watershed management. The issues, which also happened through the planning farmers' response to various components varied, but and design of IWDP II. was large where benefits were immediate or experi- enced on individually held lands. Lessons From the First Phase of IWDP (Hills) However, the project faced problems on several Several of the key lessons from the historical accounts related to participation and sustainability, account are reflected in the experiences of the first (cf. ICR, 1999): phase of IWDP. While the project was "highly successful" in introducing technologies and · Few of the VDCs are self-sustaining, even promoting vegetative means for soil and water if more than half of them are claimed to be in conservation, it faced problems in fostering a operation, reflecting both lack of motivation at genuine participatory approach and long-term local level (due to habits of expecting government sustainability (Implementation Completion Report support) and lack of attention by the implementing (ICR), 1999). agency to the building of local capacity and commitment within a participatory approach (ICR, · A total area of more than 350,000 ha was 1999) treated (43% higher than planned at appraisal). · The VDCs are by and large controlled by Treatment of non-arable forest and village commu- dominant castes or classes without any adequate nity land accounted for about 45% of total project representation of women and weaker sections of investment. Arable area treatments covered almost the society. In Haryana, for example, the women 29, 000 ha (improved inputs, soil and water conser- that were supposedly elected to serve in the VDCs, vation). Maize average yields rose from 0,8 tons/ha did not even know that they had been nominated. to 1,4 tons/ha and wheat yields from 0,9 tons/ha to · Capacity building and training in social 1,8 tons/ha. Improvements in horticulture and livestock development were also significant (ICR, and participatory dimensions of the project was 1999:iii). The economic rate of return was esti- negligible amongst the executing agencies, and mated to be 17% for key activities (benefits from decision-making remained centralized. increased farm output, wood and non-wood prod- · Only in Himachal Pradesh were there ucts from the treated non-arable areas). NGOs present and active, and contributed to a · The project organized and built teams in broader civil-society awareness about the project the executing agencies with multi-disciplinary · Property rights to forest resources for competence. Borrower-performance was generally villagers were not explored and they still remain "good", or "very good" with strong project support unclear in law and practice resulting in conflicts by the four states (cf. ICR, 1999; Uttar Pradesh was and inefficient management of natural resources not involved in the first phase). · The project staff helped in the creation of Following the mid-term review of the project, a 480 Village Development Committees (VDCs) - needs-based approach to planning and implementa- meant to assist in the planning and implementation tion was introduced, and to a greater degree people of project investments and share responsibility for were consulted in the selection of activities and maintenance and protection. A large number of implementation (FAO, 1999). But the level of 12 IWDP First Phase Participation success in participation varied greatly across states ment Committees (VDCs) were not involved in the and villages (ICR, 1999:7). Fairly top-down actual planning and decision on treatment, choice approaches remained, and consultation at local of species, and silvicultural practices. According to level was often limited to interaction with a few the Project Management, among the nearly one local leaders. Successful watershed treatment was hundred VDCs created, only some of the Water obtained with great external inputs and "hand Users' Group today really serve meaningful outs". In Punjab, for example, the Village Develop- functions. 13 5. The Shivalik Planning Context I n the light of these experiences, one may ask - Project level constraints: what was the overall context of planning that · With some variation, good support to the the project preparation team met in the Shivalik project at the state government level and general Hills? To what degree did the contextual factors commitment to participatory approaches at top seem to enable a participatory approach? In theory, level of executing agencies. a watershed development project lends itself to · Five project agencies with great variation participation. However, in practice, it is not easy to achieve, as in the case of the Shivaliks in which in the understanding of participation and capacity circumstances were as follows: to use participatory methods; few social develop- ment staff and female staff. Resource characteristics: · Centralized government and project · Complex ecology, highly variable re- agencies with limited experience in participation and building of self-help groups. source-base in productivity and frequent site- specific environmental problems that arise out of a combination of climatic, natural, and human Policy and institutional level constraints at state factors. level: · Five states with different and unclarified Community characteristics: tenure rights and cooperative arrangements be- · Generally poor and socially differentiated tween farmers/herders and national systems in people and community groups with multiple liveli- relation to management of common-pool resources hood objectives, and perceptions different from (pastures, forests, water). outsiders' and `expert' view on ecological dynamics · Lack of coordinated approaches and and connections between land use in the Shivalik harmonized guidelines to project interventions; and downstream problems of erosion and flooding. compounded by compartmentalized Indian line · A local economy where women play a departments. central role in resource management, especially in · Weak infrastructure and access to markets; Himachal Pradesh and Uttar Pradesh. road-construction a main contributor to erosion and · Increasing population growth leading to land degradation. higher pressure on natural resources in some areas · Macro-economic and policy framework and contributing to agricultural intensification and with a tendency of high subsidies that potentially improved watershed management practices in some undermine local cost-recovery and sustainability of other (Holden and Sankhayan, 1998). project activities. · Local knowledge and tenure systems sometimes in conflict with state law and practice in Knowledge base: policing and enforcement of property rights. · Good knowledge of technical approaches 14 Shivalik Planning Context amongst the executing agencies. Scanty knowl- which STs constitute about three percent. In certain edge-base on the social, institutional and environ- pockets, these groups constitute close to 50 percent mental side. Lack of knowledge on the diversity of of the population. The population density varies, stakeholders, their views and interests, incentives but is generally high, reaching 1500 persons/sq. km for adoption of watershed technologies at farm in certain areas (like in Punjab). level, indigenous knowledge and local property rights and institutions. The Shivaliks are considered among the most degraded rainfed agro-ecosystems of the country, It was not an easy planning context. On the positive and hence, a priority area for watershed develop- side, there was considerable experience on techni- ment. Land-slides are common. However, there is cal aspects of watershed management, and good great diversity, variability and complexity in general support for the projects at state level. There climate and ecology, as well as uncertainty sur- was also experience with participatory approaches rounding the nature and causes of the degradation in the Doon Valley Project of Uttar Pradesh and problems. Rainfall averages 1000-1500 mm but other donor supported projects in Himachal there are notable local variations. Some of the Pradesh. In each of the states there was also rainfed areas experience drought and acute short- increasing interest and/or support for Joint Forest age of drinking water partly due to hydrological Management, which builds on similar participatory conditions and partly due to mismanagement of principles. On the negative side, as regards partici- land. It is also because 70 percent of the rainfall pation, the experience with the IWDP I was not takes place in the short period of monsoon after good and there was limited capacity to build upon. several dry months when vegetation cover is at its In addition, there were the problems of developing, lowest and crop land newly prepared for planting. in time, a common participatory framework for five Agriculture and forests (legally defined) each, states at five different levels of preparedness. A account for about 38 percent of the land in use. matrix overview of the strengths and weaknesses in Availability of land suitable for agricultural pro- the participatory design of IWDP I and II is com- duction varies greatly and ranges between 20 pared to the design of the relatively more success- percent and 65 percent of the area of the water- ful Doon Valley project in Uttar Pradesh, which sheds (REA 1999:viii). There are several types of was financed by EU (Annex 1). Before addressing forest (e.g. deciduous scrub, sub-tropical, tropical the question as to how the preparation team chose evergreen). Much of the forest is severely de- to deal with these contextual issues, some details of graded, but there are also well protected forest the project area, resources and property rights are areas. These areas would be mature enough for provided below. controlled timber extraction or for more proactive management in order to obtain a multi-layered Project Area, Land Resources and Population forest conducive to conservation The forests serve multiple purposes (fuel, fodder, fruits, timber, soil The IWDP (Hills) II covers a total area of more and water conservation). Livestock density is three than 500,000 hectares. The project intervention times higher than the national average and accounts would be concentrated in about 1, 900 villages in for 50-65 percent of the total income. In J&K 75-80 watersheds and 20 Districts. Some water- there are 250, 000 seasonal migratory herds, out sheds cut across Districts. The project would treat of a livestock population of 1.5 million animal and rehabilitate about 200, 000 hectares. The total units, meaning that transhumance is a significant beneficiary population is estimated at about one activity. Overgrazing is held to be the key million (of which 10, 000 are landless families and process leading to devegetation and erosion 5, 000 livestock herders). The population of according to the planning documents (REA, Scheduled Tribes and Scheduled Castes (STs/SCs) 1998). But some other reviewers suggest that is about 11 percent of the total population out of overgrazing, as a general problem, may be 15 Shivalik Planning Context exaggerated and be more of a site-specific Adjacent and further down on the mid-slopes there phenomenon than suggested (Saberwal, 1999). are private and common non-arable land used primarily for fodder and fuel, and in the lower Property Rights in the Planning Context reaches there is a concentration of arable private land around the villages. The project is based on Successful project interventions must adjust to local the watershed as a planning and implementation land use and land tenure systems (or property rights unit at local level. A watershed approach starts by regimes) as well as to local knowledge and skills. treating upstream non-arable areas often under The interest in investment in watershed management state or communal property, and moves down- among small farmers, whether individually or stream to treatment of private non-arable and collectively, will depend largely on tenure rights and private arable land. The subsidy level for each security of increased benefits from increased labor function or project component is conceived in the input. The understanding of property rights, rules, design to be lowest on private arable land (less and roles of different stakeholders is a critical than 50 percent) and highest on non-arable state starting point for watershed planning.5 Who decides property. This can be conceptualized according to what over whom in relation to access, management the following figure (Tab 1.). The project aims to and use of which resources? "treat" 88, 000 hectares of arable private land and 112, 000 hectares of non-arable land, mostly It is critical in this regard that each watershed is common-pool resources (pastures, forests, water). governed by a unique mix of tenure regimes and The non-arable land to be treated falls about subject to a variety of land use systems depending equally between private, common/ Panchayat and on a combination of state, private and common- state owned property. Underneath these broad pool resources. There are multiple owners and categories, there is a myriad of different institu- multiple users and uses in each context. Each tional arrangements constraining or enabling household invariably depends on the use of pri- resource management and use. State forest land is vately owned land for crop cultivation as well as of particularly importance in the project area of the the use of commons and/or state forest land for Hill states, especially in Uttar Pradesh, while fodder and fuel. Typically the upper reaches of the private irrigated and rainfed arable land is domi- watershed in Shivaliks are common-pool resources nant in Punjab and Haryana. Village common land (pasture, forest, water) under the jurisdiction of the is particularly prominent in J&K, Himachal state Forest Department or Revenue Department. Pradesh and Punjab (cf. REA, 1999). Tab.1. The Watershed according to property rights, project investments, and subsidy levels Downstream Upstream Private arable land Private non-arable Communal property State property 88,000 hectares arable (mostly in Punjab) 112,000 hectares of non-arable land Private agricultural Private and common- Common-pool resources State and common-pool resources (crops, live- pool resources (water, forests, grass) resources Stock) (water, forests, grass) Project investments: New crops, fertilizers, Grass planting, trees, fodder, fuelwood, fodder, fuelwood, Stall feeding, micro-irr. checkdams, rotational grazing, fruits, timber plantations Low subsidies Medium Subsidies High subsidies Source: Regional Environmental Assessment (REA, 1999) and PAD, 1999 16 6. The Preparation Process: Step by Step T he identification and planning of the second approaches and to control and regulate watershed phase of IWDP (Hills) started early in 1998. development at state levels. The lessons from the The preparation process drew heavily on the two national workshops set a framework for the first phase of the project - especially in terms of identification and preparation missions, headed by lessons learned on technological aspects of water- FAO/CP staff. The lessons appear up front in the shed development. Due to failures on the participa- preparation report and figure also in the Project tion side, the Bank management had insisted on a Appraisal Document (PAD). stronger participatory approach as a condition for a second phase, a process that had already started During the FAO-lead preparation mission, partici- following the mid-term review. patory methods were in little use, and the meetings held at the village level with local people, local Independently of the project itself, two national administrators and field-staff included a limited workshops were held by the GOI in April and May, number of people. In this sense the preparation in 1998, which in important ways influenced the many ways started off in a fairly traditional Bank planning. Staff from each of the states participated; manner, reflecting also that each of the states had some with written presentations. Experiences from very limited and varying experiences with partici- most major watershed projects in India were pation. The Hill states, particularly Uttar Pradesh, discussed. The recommendations from the work- were much more prepared than for example shops were as much concerned about governance Haryana and Jammu & Kashmir. Social develop- issues at higher levels of social organization, as ment staff that took part in the preparation mission, issues of participation at local level. insisted on the need for a three tier social assess- ment (SA) to be made part and parcel of the · A common Watershed Development Pro- preparation and start immediately; i) a prospective gram should be established with harmonized guide- study, ii) a retrospective study, and iii) a tribal and lines between the four line ministries involved. transhumance study. The social assessments were · initiated only after several months, too late for the A single window system should be estab- results to have any real impacts on the design. The lished and a coordinating body at district and state Project Concept Document (PCD) was finalized levels to manage or coordinate all resources and cleared in August 1998, before any of the earmarked for watershed development in the social assessment exercises had been started. The district. key issues raised internally in the Bank following · NGOs and donors should jointly support the clearance of the PCD were not related to local level institutions including Panchayats, VDCs participation, rather to the need for strategic and various self-help groups. 6 coordination, the need to strengthen the economic rate of return and cost-sharing arrangements, and The two first concerns reflect the wishes of a the need for a Regional Environmental Assessment centralized Indian government to obtain uniform (REA). On the social side, the need to examine the 17 Step by Step Preparation presence of tribal and nomadic groups in the and also with GOI officials. Important delays were project area, more closely, was restated. The noticed in preparation of the social assessment preparation of a REA was mandatory. As a plan- studies. Concern was raised about the recruitment ning exercise, it took away attention from the of the Participatory Coordinators and Facilitators, social and institutional aspects of the project the need for female staff, and training of staff, preparation. The work with the SA was largely left especially in relation to participatory methods and to the Social Development Unit, almost as an "add village level planning. on" to the project preparation. With the involve- ment of a forester from the Delhi office and with In February, 1999 the Social Development Unit extensive experience from Joint Forest Manage- launched this independent study to assess the ment (JFM), the participatory aspects of the project achievements and learn from the experiences of the got extra attention (December, 1998). In his back- preparation and design of the project. In April and to-office report he points to key concerns regarding May, 1999 social development staff carried out successful participation, such as capacity at project additional missions in order to interact more with and village level, and lack of appropriate property project staff, raise social issues and explore the arrangements related to use of common lands. This planning process at local level. mission forms a backdrop to the appraisal mission of February, 1999 which was just after another As the date for the loan negotiations got closer, the important workshop organized by the Indian Social project staff were heavily charged with work Institute in New Delhi: Watershed Management - related to a set of studies, establishment of a Towards Unifying Participatory Approaches. common financial management system, procure- ment rules and procedures, and coordination of The Bank team now expressed concern about project strategies between the five states. At the delays in several areas, particularly those related negotiations, many of the issues raised by the with the development of the financial management Indian side were precisely of social and institu- system. From the Task managers' side, the policy tional character - related to conditions for achiev- reforms on cost-sharing and coordination remained ing viable local institutions, reflecting an emerging the key issues to be addressed by the project. conviction to the centrality of participation in Meetings were held at higher levels in each state project strategies. 18 7. Achievements in Participation Social Assessment and Beneficiary Participation ment Plans (VDPs). The VDPs would allow the project staff to test new approaches in order to get The project preparation was built on two important a better grasp of the work, and provide a mecha- and innovative features. Firstly, the design allowed nism for involving the villagers in planning and for an initial planning period of six to twelve prioritizing investments and management. months. The aim was to allow flexibility related to · A tribal and transhumance study which the formation of the village level organizations, identified transhumant pastoralism as an important building ownership, and establishing agreements activity, both for the transhumant population and for the approaches to village and micro-watershed for sedentary groups that have animals in custody planning. Secondly, the project established an with these herders. The study placed transhumant iterative social assessment, based on the prospec- activities firmly on the agenda for project prepara- tive studies and the village development plans, tion and informed the design. which would be combined with the development of a Participatory Monitoring and Evaluation System The prospective studies combined with the Village (PM&E). Each year a prospective study would be Development Plans were the key mechanisms for undertaken to cover the new villages to be included involving primary beneficiaries in the preparation in that particular year. In this way, the time lag phase. They covered about 25 percent of the total between the first planning meeting of beneficiaries number of new villages to be addressed the first and project staff and the start of implementation year, and about 5 percent of the total number of would be minimized, a dilemma often found villages over the five year project period (about difficult to resolve under lengthy Bank planning 100 villages). It was assumed that these different procedures. These studies would, in turn, feed into studies would involve extensive use of PRAs at a more defined framework for participation. village level. For various reasons, only about 50 PRAs were undertaken (see below). This is still a It is an achievement that a three tier social assess- considerable number. In addition came the involve- ment was accepted and carried out in each of the ment through the three Village Development Plans. five states, consisting of: Yet the problem from a participatory perspective · A retrospective study of the impacts of the was not so much the numbers involved as the previous projects on the development of local weakness in use of the participatory methods, institutions and their effects on watershed develop- presentation of findings, and lack of inclusion of ment. results in the Project Appraisal Document. · A prospective study of the new micro- watersheds to be included in the first year of These PRAs served two purposes. Firstly, many operation in order to identify key social develop- people in these villages became aware of the new ment and participation issues. This was accompa- project that would initiate activities the same year. nied by three micro-watershed or Village Develop- To some extent, they were also consulted and 19 Participation Achievements informed about the new approaches. Secondly, workshops at national level were also used besides creating awareness, some new skills were actively by the Bank team members for interaction developed among the project staff, particularly with the project staff. through the work with the Village Development Plans. This was the only SA exercise that was In Himachal Pradesh as well as in Punjab, a directly carried out by the staff in the field. The remarkable change in attitude towards participa- PRAs incorporated many of the methods found in tion became apparent amongst the senior staff in the PRA tool-set (e.g. resource mapping, social course of the preparation process, especially as mapping, problem ranking, and prioritizing of the top-management became convinced of a need resource management problems). to shift course (as had already taken place in Uttar Pradesh).8 There might have been several Other than the national workshops, which were reasons for this shift in attitude, one being the held independently of IWDP II, there were expo- lessons learned from the first phase. Another sure-workshops and brief training exercises in would be the internalization of successful experi- participatory approaches and village planning ences from other donor-supported projects in the undertaken by social development staff of the region e.g. in Himachal Pradesh (DFID, GTZ) and Bank. These one-day workshops with about 100 in the Doon Valley of Uttar Pradesh (EU). Exten- staff members helped to boost awareness, skills and sive discussion with the Bank team including interest in participation.7 The projects had, by then, social development staff, is also likely to have also started their own training exercises. contributed to this change. The recruitment of new social- science staff and female Participatory Overall, the extra input by social development staff Coordinators may also have led to a change in had set participation higher on the agenda in the internal attitudes and cultures. At national level, last few weeks before negotiations than what might the general support from the central Indian otherwise have been the case. Social development government to watershed development, as well as staff involved in the planning phase were con- good commitment to the project at state level, cerned with broader aspects of the participatory facilitated the planning. A breakthrough came approach and not just with social mitigation related with the acceptance of community institution to potential adverse effects that the project might building as a focal activity, and with local invest- have had on tribal/nomadic groups or on people ments required to be approved by the VDCs affected by road improvements. through the village plans in collaboration with the project agencies. Consultation with Secondary Stakeholders A positive outcome of the three Village Develop- The preparation process outlined above indicates ment Plans (VDPs) was that the project staff that there were many and in-depth consultations became aware of its own lack of skills and capacity with the key secondary stakeholders at the in PRA methods and ways of interacting with project, district, state and GOI levels. In this people. The SA process might, therefore, have been sense, the preparation was clearly satisfactory. more important for influencing project capacity The Team met staff and directors who were and future participatory work, than the SA prod- actively involved and had important views on the ucts. Some of the social studies greatly improved project. There were also a few meetings of more pending comments from the social development informative character at local level with front-line staff. Overall, the SA process had importance for staff and representatives of local government. placing social and institutional issues on the Through consultative meetings, decisions were agenda. As such it "may have prepared the way for taken jointly and the final strategy gradually more intense involvement of stakeholders in the evolved through a collaborative process. The future," as suggested by the Bank staff. 20 Participation Achievements According to key members of the preparation team, suggest that only "information sharing" took place. the SA process brought out critical issues such as: Second, while the combined Bank team, both i) the lack of capacity of implementing agencies, ii) technical and social development staff, maintains gender issues and the need for social unit staff and that project and state officials have "collaborated", female staff and iii) the diversity of stakeholders project managers in each of the states perceive that and lack of capacity at the local level. The ques- they have only been "consulted" in the planning tions surrounding the SA process may also have process. The most significant difference in percep- opened up new avenues of enquiry regarding the tion is between technical and social development broader participatory approach besides placing staff of the Bank regarding the level of primary particular social issues on the agenda, such as the beneficiary participation. This difference in issue of transhumant pastoralism. perception is also reflected in the two groups' different ranking of the overall achievements of the The perception of the overall "level of participa- preparation process in terms of primary stakeholder tion" by different stakeholders, according to the participation. While the technical staff (as well as World Bank's definition of participation, can be the project managers in the states) claim that illustrated as in Tab.2. This overview is based on overall achievements in primary stakeholder the use of questionnaires and points to certain participation was "satisfactory", social develop- differences in views, especially in relation to the ment staff hold that it was only "marginally satis- extent of primary stakeholder involvement, which factory". These findings reflect important differ- needs some explanation. Firstly, while the technical ences in perception about what participation entails Bank staff perceive primary beneficiaries to have ­ or should entail - and also that we live in a world participated to a level of "consultation" (one to a of multiple realities. Such differences in views are level of "empowerment"), social development staff well known within the Bank, yet difficult to bridge. Tab. 2. Level of participation as perceived by different stakeholders* Stakeholders Level of participation Level of participation Level of participation according to technical according to social according to project Bank staff development Bank staff managers at state level Beneficiaries/ groups Inf, Con, Col, (Emp) Inf Inf, Con Intermediary NGOs Inf Inf, Con Con Local government Inf, Con Inf Con Field staff Inf, Con, Col Inf (Con) Con District administrators Inf Inf, Con Con Project/state officials Inf, Con, Col Inf, Con, Col Con * Levels of participation: Inf: Information sharing, Con: Consultation, Col: Collaboration, Emp: Empowerment Note: Based on answers to 11 questionnaires (5 project executing agencies, 6 Bank staff). The limited number of persons involved in the survey (and methodological problems in categorising views), suggests that these overviews are only indicative. Yet, the main findings are confirmed in interviews. 21 8. Shortcomings in Participation Management of the Social Assessment Process (SA) few local people were involved in different sequences of the PRAs. People ended up with little The overall intensity of beneficiary participation say in the discussions, and little control over the was largely determined by the social assessment outcomes. First of all, this reflects capacity limita- process (SA). Despite a considerable number of tions among those agencies and staff members people being reached and taking part in PRAs carrying out the social assessments. Secondly, it through the SAs, several problems arose in the reflects local capacity limitations among people, execution of the PRAs that limited the effects of subject to top-down officials over decades, in these achievements on the project planning process: articulating common views in an abstract discus- sion over potential project interventions. Thirdly, it · Participatory methods (PRA) were used can also be an indication of weakness in the only in some of the social assessment studies, and participatory methods themselves, in the sense that often in a very mechanical way involving a limited they are not always well adapted to the institutional number of village leaders (excluding women and context, time and budget limitations, and capacity less influential/tribal groups). of those that are involved in employing them. · Only in Uttar Pradesh and to some extent Quality of the Social Studies in Himachal Pradesh did the staff have experience with the use of PRA; in Haryana and J&K the The social studies were mostly undertaken by local methods were not even known. · consultants in each of the states, with relatively The prospective studies were all carried close and long-established ties with the executing out by consultants, with little involvement and agencies. The exception was for the prospective commitment of the staff of the executing agencies. study in Haryana, undertaken by Tata Energy · The consultants involved were neither Research Institute ( Teri), which is a well-reputed familiar with stakeholder analysis nor capable of consultant firm based in New Delhi (Teri, 1998). presenting the diversity of views and interests of This study was also of much higher standard and different stakeholders (meaning thereby that they more critical than the other reports. It is the only did not make use of the PRAs properly). report that provides a proper analysis of the formal · The SAs were prepared late, were mostly property-rights laws and informal ways of coopera- weak on operational recommendations and did not tion between the project agency and local people address key elements in the TORs related to the related to access and use of various resources. This planning process. shows that competence and a certain degree of autonomy vis-à-vis the implementing agency may Participation was relatively widespread, but thin. matter. In general, the low quality of the SAs is an Judging from interaction with the staff (and indication that they were carried out mostly as a participation in one village-level PRA exercise), requirement by the Bank. Perhaps with the excep- 22 Participation Shortcomings tion of Haryana and Uttar Pradesh, the prospective the design, arguing that "the recommendations/ studies, including the Transhumance studies, fell actions of these studies have been or will be incor- short on the following critical aspects: porated in the Village Development Plans". This is a valid argument, provided it is acted upon in relation · Presentation of stakeholders and differ- to the Project Implementation Plans (PIMs) and ences in views and interests related to land use and future village plans. It underscores the general land tenure and relationships between stakeholders agreement among project managers and the Bank · Evaluation of key institutional and social staff that the SA exercise had, to a "large degree" or to "some degree", been important for placing social organizational issues; e.g. strengths and weak- and institutional issues on the agenda. Several of the nesses of implementing agencies in interaction project managers highlighted the Transhumance with local people · studies as particularly useful for bringing out new Examination of the policy and legal information about pastoral groups in the project framework for management of common-pool area. Ten out of eleven respondents agreed that the resources (which may be found under state, com- need for a participatory approach was strengthened mon, or private property regimes) in the course of the preparation process. · Definition of the participation framework · Prioritization of issues and operational Limitations in Project Agency Capacity and implications Commitment · Identification of parameters and mecha- The most frequently mentioned factor among the nisms for monitoring and evaluation respondents that affected participation in the first phase of IWDP was "project capacity and commit- The SA reports provided some useful socio- ment among staff". A further problem mentioned economic baseline information for project plan- was the "blueprint approach" and "lack of flexibil- ning, even if an overall participatory framework ity" in design. Despite positive attitudinal and and project strategy could not be worked out from structural changes taking place, the feedback from these alone. It seems that the consultants (as well the workshops at project level as well as from the as the project staff) did not really understand how SAs, suggested that the village development plans stakeholder analysis was to be carried out. Only in (VDPs) were developed by project staff in a fairly Haryana and in Uttar Pradesh were there some use blueprint fashion. Good intentions might have been of PRA methods. Moreover, the projects perceived present, but at this early stage there was little SAs as products, rather than as a process to achiev- ing more involvement of people. As observed by genuine negotiation with a broad spectre of com- one SD staff member, who felt that the SAs to munity members. The PRAs were used primarily "limited degree" were utilized in the design: for information extraction. Most prioritization of investments and analysis was done by project staff "The shift in perception required to move from after leaving the villages. The village plans were products to process, from seeing these pieces of fairly complex and thick documents and not analysis as means to an end rather than as ends in presented back to the villagers in a consultative themselves will be difficult to overcome - but the manner. Project staff found it difficult to do whole purpose of the project (through implementa- participatory and open ended appraisals, reflecting tion) is to build this understanding". their limited capability to use the VDPs as building blocks for strengthening community capacity in In contrast, two of the task managers as well as the planning and management. The VDPs were project manager in J&K, held that the results of perceived mainly as budgeting tools for the alloca- the SAs "to a large degree" were incorporated into tion of resources to each watershed, as in the past. 23 Participation Shortcomings Social and Environmental Policies: Absence of "A more plural policy debate would draw in a Civil Society's Involvement broader range of views and experience, scrutinise the uncertainties in the scientific data and their The NGOs were involved in the first phase of implications, tackle the issue of complexity and IWDP only in Himachal Pradesh and Uttar diversity and the need for local solutions, and Pradesh. The project agencies have now agreed to provide positive messages from local level actions hire an experienced consultant/NGO to provide to counter pessimistic global views." (Scoones and more long-term technical backstopping and advice Toulmin, 1999:86). on training and capacity building. However, NGO involvement is still very limited. They see clear opportunities for like-minded agencies to play a constructive role in this field and Watershed management in the Himalayas is a scope for partnerships between governments and national concern and several civil society actors farmers/CBOs/NGOs/ Academics in identification have are involved. In order to clarify the confusing of issues and opportunities. The experience from mix of positions that exist on management ap- Andhra Pradesh, where participatory management proaches of the Shivaliks, workshops and public of forest and water was introduced in a relatively meetings could have been utilized more strategi- open and transparent manner, showed how active cally at the project level.9 The importance of involvement of a wide variety of stakeholders opening up the debate to a wider set of actors has increased the awareness of common problems and been stressed in a recent book on land management `buy-in' to controversial policy and institutional policies in Africa (Scoones and Toulmin, 1999). reforms (Vedeld, forthcoming). As claimed by The book challenges "simplistic generalizations" Aycrigg in an internal Bank assessment: about the "degradation crisis" in African agricul- ture related to soil fertility management ­ as often "If policy formulation is not conducted with broad- reflected in government documents and studies. based participation the project strategy and policies The two authors suggest that the problems of land that emerge often do not reflect the needs and degradation might be overstated by government priorities of the primary stakeholders" (Aycrigg, officials - and as a general environmental problem. 1998). They argue for a more careful, broader and nu- anced approach to land management, and the If policies are determined behind closed doors, as consequent need to support solutions tailored to might often happen in Bank-assisted project farmers' interests and perceptions of problems and preparations, less successful adoption at national the local circumstances they face. and local level might be the result. 24 9. Effects of Participation on Design T he problems in assessing the effects of sustain project investments, given the short project participation notwithstanding, it can safely period (five years), led to a stronger focus on local be said that the effects of direct primary capacity building through a greater variety of stakeholders on the design of the project have been training measures (para-professional, farmer-to- marginal. In an indirect way, such effects may have farmer and exposure visits). been more significant and affected the formulation · The potentials of a revolving fund as a of project approaches. Moreover, the direct consul- focal activity for building village organizations, tation and collaboration between project staff lead to several discussions on the modalities for the (secondary stakeholders) and Bank staff resulted in operation of a village development fund. a set of issues raised with obvious design and operational implications for the participatory Furthermore, each of the social studies had opera- approach, such as: tional implications and effects on the design. The retrospective studies, which were carried out by · Project risks associated with limited consultants, brought out the weakness of the first capacity of implementing agencies raised the need phase of IWDP (Hills) in the formation of village for large scale training, exposure visits, and institutions and the involvement of the communi- systematic capacity strengthening. ties. They also brought out issues of sustainability · Concern over centralized decision-making of project investments and lessons that could be (by mid-level staff), brought forward proposals to built upon related to local institution building. The reorganize and decentralize decisions to field- prospective studies provided useful socio-eco- teams with larger decision-making authority and nomic baseline data for the future planning pro- focus on incentives for field-work and field-staff. cess, even if the degree of stakeholder analysis and · Concern over the cost-sharing policy that institutional analysis was weak in all the reports. The tribal and transhumant studies contributed to a the Bank team proposed for community level greater understanding of migration routes and investments, led to more in depth discussions, systems of grazing rights, which were not well adoption of a phased approach, and more pressure known by the project agencies. exerted at policy level to initiate reforms related to both to benefit-sharing and harmonization of cost- In order to evaluate the importance of the SAs for sharing principles across states. · the design, the project managers and Bank staff Insistence on the important role played by were asked to rank the studies that were perceived women in the Hill economy, resulted in an in- as most critical for the design. While the Bank staff creased push for female staff, a focus on gender tended to choose the FAO/CP preparation report issues, and project measures to improve income and the Regional Environmental Study, the ranking generation for women. by the project managers was more mixed. Two · Problems of weak capacity at local level to among them emphasized the FAO/CP report 25 Design Participation (Himachal Pradesh and Haryana), while the other Overall, the quality of the PIPs is weak on three held the retrospective (Punjab) and the conceptualizing the participatory approach. This transhumance studies (J&K and UP) to be most raises the dilemma of the two parallel, but important. Three Bank staff and two project somewhat disconnected planning processes that managers included the prospective study (SA) seem to have occurred. One is the Bank-led among one of the three most important studies for planning and design, which builds on the FAO/ the design. However, rather than "the SAs", the CP preparation report, Bank team experience, respondents held "lessons from the first phase of and lessons learned from other (donor) projects, the project" as the most important factor for the and ends with the Project Appraisal Document design of the participatory aspects of the project (PAD). The project-level planning process, by (eight among the eleven respondents rank this first, contrast, is mainly based on each project's the three remaining as second or third factor).10 experience and studies managed by the project, Only as the third factor of importance for the and to a much lesser degree on experience from design, did project managers place "direct primary other (donor) projects and innovative thinking stakeholder participation" and the "combined from outside the state. The degree of discrepancy social assessments/social studies". The Bank staff in objectives and strategies is considerable, and rather emphasized the "lessons from other donor can be observed by comparing the PAD with the projects" as factor number three. PIPs. Differences in how project objectives are interpreted between each of the states can also Perhaps more importantly than directly influencing be observed in an overview provided by the the design of the PAD, the social studies had an Regional Environmental Assessment (REA, impact on the formulation of the Project Implemen- 1999). This "disconnect" between the PAD and tation Plans (PIPs) at project level, although to the PIPs is a major problem that must be con- varying degrees. They would probably also affect fronted as the implementation proceeds. The the village development planning, as already problem arises from asymmetry in information mentioned. For example, in J&K the formation of flow, lack of interaction and communication Village Development Committees (VDCs) are between partners, as well as differences in accepted in the PIP to be central to the success of perspectives about the need for participation and the project. The transhumant issue figures promi- what participation actually entails. Information nently in the PIPs of J&K, Uttar Pradesh and seems to flow easier from the projects to the Himachal Pradesh, even if it is still unclear how Bank, than the other way around. While the each project will address the issues in concrete "knowledge" Bank sits on a huge database terms. It is in these states that transhumant pasto- related to watershed development and participa- ralism is most significant. In Haryana, on the other tion, the flow of information to the projects is hand, the PIP only superficially mentions the limited. There may also be varying capacity at village level institution building, and transhumant project levels for absorbing information and new issues are not even raised. ideas. 26 10. The Nature of the Project Design What does the project design finally look like, as 4,4 million for policy support and human resource captured in the Project Appraisal Document development/training, and USD 41,6 million for (PAD)? Generally speaking it consists of: project coordination and management and informa- tion (PM&E and GIS). The large amount allocated · Objectives "to restore the productive for project management reflects the need felt for potential" based on "participatory approaches" institutional strengthening and training. But it is through village planning with PRAs and capacity also an indication of the large (transaction) costs building of newly elected village institutions involved in organization, offices, vehicles, and (VDCs) responsible for resource management equipment. decisions, based on formally agreed Village · The main component on "water protection Development Plans (VDPs) or micro-shed plans, and development" (USD 139,2 million) would be implementation, and PM&E of activities (with a geared towards water management and in situ budget of USD 6,2 million). moisture conservation in order to boost production · A general poverty orientation in the sense and income and hence participation. that "the project would focus on the most degraded · An important component to strengthen watersheds in the Shivalik Hills, and, thus, on some policy reforms and studies, mainly to address two of the poorest populations in India" (PAD, 1999:4- issues; i) The fragmented and uncoordinated 5). The performance indicator to this end would be approach by several ministries and agencies, ii) "increased household income of marginal and The reduction of subsidies in order to improve small farmers, the landless and women". potentials for long-term sustainability, as well as · "Targeted" poverty support, formulated so the need to improve the benefits. The project that the project would "aim to ensure that benefit envisages more decentralized decision-making, streams reach the more marginalized and vulner- organization in interdisciplinary field-teams, and a able elements of those populations", including focus on integrated approaches and local level institution building. "those who subsist on the most marginal of re- sources as well as women". The tribal/transhu- A crude (and subjective) content analysis of the mance studies would guide strategies to reach such Project Appraisal Document (PAD) has been done groups (without clear budget allocations). A minor on a broad set of criteria. The overall "quality at budget allocation was given for income generating entry" is assessed as "satisfactory", although with activities for women (USD 1, 6 million) (PAD, certain reservations (cf. Annex 3). 1999:4). · A strong focus on "institutional capacity Above is an overview of the key elements and logic building" at project level (with an allocation of of IWDP II (Tab. 3.). The main challenge of the USD 53,8 million). The component included USD approach is to build economically and financially 6,2 million for community capacity building, USD viable local institutions, cf. the three lower rows. 27 Project Design The experiences of IWDP I as well as the general support. The scope for withdrawal, say replication on a literature on watershed development are that local large scale, often remains weak. Before returning to institutions ­ even after several years of support ­ tend how such challenges can be addressed, a brief review to remain highly dependent on continuous external of the role of the Bank is provided. Tab.3. Nature of investments, viability and degree of external dependence of local institutions* Social Economic Improved land Improved Transfer of rights/ Investments investments management of management of change in property Individual fields communal or state rights regimes, law forests and policy Nature of Capacity Seeds, new breeds, Check-dams, Forest protection, Transfer of usufruct investment support for chuff cutters, bio- micro-irrigation, gully plugging, rights, access and use or supply VDCs/VDPs gas plants, infra- horticulture, check-dams, control regulation, legal community structure livestock, private of grazing recognition of rights and infrastructure plantations village organisations Local High High High High, if individual High demand benefits from timber/ non-timber produce. Low for upstream CPR treatment Nature of Public/ Private Private with Common/state/ Common/state with property common state restrictions/ some private private usufruct rights regime interventions usufruct rights Ecological n.a. Positive Positive, but of Large-scale from Change critical to obtain viability small scale forest management improved practices Economic Low; due to High, depends on High, depending Low, unless rights Critical in order to viability risk of low cost-recovery of Technical viability and benefits secured obtain economically capacity for forest management and VDC capacity from timber viable property maintenance and viability of in maintenance and non-timber regimes and win-win VDCs products situations Financial Depends on Potentially high Medium/high, Low/Medium. High Very high if gains from Viability local Depending on if rights and reduced transaction conditions Approach benefits are secured costs are considered External High High High, but with High, but with High, but high Dependence Potentials to potentials to potentials for become viable become viable self-management Source: Field notes, Shivalik Hills, 1999 28 11. The Role of the World Bank A positive participatory planning process Implementation Plan (PIP) as their final planning started with a committed Bank team and budgeting tool, a document they largely capable of developing close relationships prepare themselves, while the Bank staff perceive with government staff in each of the states. Support the Project Appraisal Document (PAD) as the key from Bank management was there in the sense that design document. it required a participatory approach. To varying degree, issues and proposals were raised by each of The Bank and members of the preparation team the project managers in the five states that affected had considerable experience with watershed the project in a participatory direction. development, though more with the technical aspects of watershed development than with its As regards the capacity of the combined project institutional aspects. The Bank team was strength- planning team, it is interesting to note that while all ened by peer reviewers and social development the team members of the Bank rank the "experi- staff with long-term experience in participatory ence embodied in the Bank Team" as one of the work. However, despite general commitment to a two most important factors for the design of the participatory approach among the Team members, participatory aspects of the project, none of the the involvement of primary beneficiaries and their project managers actually do so (cf. Footnote 10). impact on the design of the PAD faced constraints In fact, they rank this as factor four or lower. at the Bank level: Conversely, none of the Bank team members rank "executing agency experience" among the three · Time and budget constraints limited Bank most critical factors for the participatory design team members time in the field and possibility for (except for one member who rank this as the direct interaction with stakeholders second most important factor). At face value, these · Even if the SA efforts were quite extensive, contrasting perspectives on who brings the partici- patory aspects into the design, seem to represent an the management of the SA process faced problems, interesting lack of mutual recognition of experi- partly due to a late start, partly due to it receiving ence and capacity. The two perspectives may also less priority than other tasks and events, both at illustrate different "world views" of people belong- project and Bank levels. ing to different institutions, drawing upon different · The FAO/CP team prepared the project in a sets of experiences, and viewing the planning fairly traditional way, with limited beneficiary context from different locations and angles (from participation. the field versus from Delhi and Washington). They · The format of the Project Appraisal Docu- may also reflect the disconnected planning process ment (PAD), which builds on cost/benefit analysis, and different views of what the real planning does not quite lend itself to appraisal of institutional products and processes are meant to be. The approaches (which ideally would cover analysis of project agency staff seem to perceive the Project institutional change and change in transaction costs). 29 The World Bank's Role · There existed tensions, for the most part approach. In fact, all respondents, both Bank staff healthy ones, between technical and social devel- and project managers, claim that the need for a opment perspectives on participation, for example participatory approach was enhanced through the related to the formulation of the participatory preparation process. The respondents were also approaches, risk perceptions (e.g. whether the key generally positive to the involvement of social risk was co-ordination/harmonization of policies development staff. According to one of the peer versus capacity problems of implementing agen- reviewers, the direct involvement of social devel- cies), the degree of poverty targeting, and stress on opment staff had positive impacts; "Yes, dramatic technical versus social performance indicators improvements resulted in scope of issues being addressed and mechanisms proposed for dealing The process of planning and executing the SAs, with them". A project manager in Himachal despite their limitations, positively affected views Pradesh claimed that "Some of the ideas given by among Bank staff members about the participatory them (SD staff) were extremely useful". 30 11. Challenges to Participatory Watershed Development T he lessons from the first phase of IWDP sustainable manner? As noted earlier, most water- show that it is possible to achieve signifi- shed development projects in India have experi- cant results on the ground, even with "top- enced similar problems as IWDP I. The "islands of down" approaches. It is now important to build on success" are not many, neither in India, nor in other strong points, learn from the weak points, and continents (Kerr et al. 1998, Turton, 1999, foster a sense of ownership to institutional re- (Hinchcliffe et al, 1999, Reij, Scoones, Toulmin, orientation at project level in all the states. An 1996, Oygard, Vedeld, Aune, 1998, Pretty, 1995). important process of change in the attitudes and Such "land-based" approaches to rural develop- approaches has started. At the project agency level, ment are being criticized along several dimensions commitment from the top is reflected in efforts to and each of these dimensions provide a formidable decentralize decision-making to integrated field- challenge to the second phase of IWDP: teams, recruitment of female and social develop- ment staff, and training in PRA and local institution · The objectives of land-based conservation building. At each of the states' level, there is, for approaches should be better adapted to the multiple example, a general willingness to move towards goals and realities of local farmers and herders, better cost recovery, reduction in subsidies, reforms who express less fear about overgrazing, deforesta- of property rights, and greater community partici- tion and land degradation than project or line pation. One should not forget, however, that a agency staff. precondition for the achievements on the ground in · The establishment of new formal village the first phase of IWDP was large government institutions for resource management should reflect investment support and subsidies. Local contribu- local knowledge and the potentials of local or tions in terms of labor remained below 15%. It is indigenous local institutions for self-management. obvious, that the future operation of IWDP and · The village development plans should maintenance of watershed activities undertaken in become mechanism for village planning (simple, phase one, "depend largely upon the sustainability flexible, low cost), rather than remain a planning of the Village Development Committees, set up and budgeting tool for outside staff. with project support", as maintained in the Imple- · Male village elites should not be allowed mentation Completion Report (ICR, 1999:v). to dominate offices and benefits arising from the project activities. Herein lies the major challenge now confronting · Neighbors and mobile resource users IWDP II. How to build self-help groups and (herders) should be included in village committees community-based organizations and institutions for and have a say in determining new property the long-term and sustainable management of the boundaries that limit their former access rights Shivalik watersheds? How to enable individual (e.g. to fuel, grazing, or minor forest produce). farmers and herders to improve management of · Local communities should be gradually both private and common-pool resources in a empowered in order to control access and acquire 31 Participatory Watershed Development Challenges decision-making authority. tives? How can the project agencies become more · More emphasis should be placed on effective, supportive and participatory in their systematic capacity building and training and operations? Key dilemmas and challenges that institutionalization of the participatory approach. IWDP II confronts are raised here, reflecting · The participatory approaches should be certain modifications or reinforcements of the project approach as captured in the design. adapted to existing cooperative arrangements between state agencies and local groups in order to Bridging Knowledge Gaps and Opening up the increase dialogue and pace, and ensure opportuni- Debate ties for replication and scaling up (Lewis, 1997). First of all, if it is accepted that while farmers and Overall, there is uncertainty over the long-term herders should have a firm say in management of institutional and ecological sustainability of most fields and pastures, the project agency staff should rehabilitated watersheds (Turton, 1998). But there have a good and unbiased understanding of the are also several positive experiences to build upon. state of crop fields, pastures and forests from an According to the recent book "Fertile Ground - The ecological perspective. Bridges must then be built Impacts of Participatory Watershed Management", over potential knowledge gaps in order to find success stories or break troughs in Asia, Africa or solutions and approaches acceptable to local Australia have come on farmers' fields and in rural farmers and herders. The debate on degradation communities with agricultural professionals increas- and environmental management in the Shivaliks of ingly working with, and learning from farmers the Himalayas offers a confusing mix of perspec- (Hinchcliffe et al., 1999:12). The authors point to tives and positions on causes and management many positive impacts on economic, social, and strategies. The dominant view - reflected in all environmental conditions. The book stresses the planning documents including the Regional Envi- following common elements that contributed to the ronmental Study (REA) - is typically alarmist and successful cases; elements that have also been raised Malthusian. Focus is on high and increasing human as important in the assessments of IWDP I (cf. ICR, and livestock population densities leading to 1999, Hinchcliffe et al., 1999:371): increased degradation, due mainly to bad practices · on farmers' fields and extraction of fuelwood and Approaches were built on the remarkable fodder far exceeding the annual biomass produc- self-recuperating capacities of soils, vegetation and tion on common and state land. There is a curious watersheds. lack of reference to studies with a critical view of · Focus was on locally-adapted resource this "environmental orthodoxy" (perceiving a conserving technologies that provided immediate downward spiral of poverty, population growth, returns to farmers, rather than on externally- environmental degradation) (Forsyth and Leach, derived technologies. 1999). By giving local communities the full blame · Mobilization was geared towards groups or for degradation of natural resources, broader factors operating at national or regional level are communities at local level, rather than focusing on easily lost. individual farmers, building on local capacity and skills. · An alternative and Boserupian view is, however, Governments and executing agencies were also present in the debate on degradation in the supportive, and worked in partnership with each Himalaya. One study from Himachal Pradesh other and with farmers. found that, in spite of rapidly increasing popula- tion, the performance of the state in protecting the How can IWDP at this stage adjust and direct environment is generally encouraging. There are policies and practice towards these proven alterna- new technologies being spontaneously adopted 32 Participatory Watershed Development Challenges related to terracing, land levelling, improved "menu" of externally proven technologies, and drainage of canals and use of lift irrigation, in- technologies developed locally over time. Vegeta- creased intensity of cropping and new crops, more tive and biological measures should be encouraged, use of manure and mixed cropping systems. There such as green manure, cover crops, mulching, are also policy, institutional and infrastructural composting and reduced tillage (as suggested in the reforms that have enabled this type of agricultural planning documents, FAO, 1999:2). Knowledge intensification (Holden and Sankhayan, 1998). In about the social processes determining technology another review of pastoral politics, overgrazing is innovation and intensification on farmers' fields claimed to be generally overdramatized within the might be as important as knowledge about the Forest Departments of Punjab and Himachal technology itself. If participation is to be achieved Pradesh (Saberwal, 1999).11 This research ques- successfully, local knowledge does matter (Reij, tions the direct connection between land use Scoones, Toulmin, 1996). The capacity of individu- practices of a growing population in the Himalayas als and groups to innovate and experiment must be and annual suffering of the inhabitants of the Indo- nurtured. Recent evidence suggests that the need is Gangetic floodplains. Natural factors, including not for ever-increasing amounts of new technology, periodically heavy rainfall, and effects of forest but for more open communication, so that local extraction by timber corporations, road building knowledge and views can be incorporated in the and other development projects are some of the joint planning and management. "What needs to be factors held up against the effects of small farmers made sustainable is the process of innovation and herders (Saberwal, 1999, SCE, 1991). The itself" (Hinchcliffe et al., 1999:372). Many of the importance of natural factors as forces of degrada- watershed technologies, such as gully-plugging, tion, such as tectonic uplift and naturally-occurring check dams, and plantations, require a combination gullies, is supported by studies in the Middle Hills of individual and collective efforts in investments of Nepal and the Hills of Northern Thailand. In and management. Hence, support is needed both these cases it was also found that farmers spontane- for institutional and technological innovations, but ously adapt land management practices to reduce in different mixes for different activities, user the impact of population growth and environmental groups, and property rights systems. change (cf. Forsyth and Leach, 1998). The impor- tance of avoiding "simplistic generalizations" Building A Participatory Framework about a degradation "crisis" and of tailoring watershed development to farmers demands and The success of a participatory approach depends on the local circumstances they face, is supported in how effectively a top-down initiative can be turned several more recent studies from India (Turton, into a broad-based participatory process that gradu- 1998, Hinchliffe et al., 1999). Such findings also ally includes ever larger shares of the population. A have relevance for "whose knowledge and voice unique approach in each of the project agencies should count" (Leach and Mearns, 1996, Holland, needs to be nurtured. A critical starting point would 1998). be a participatory framework and a participatory action plan, which defines a simple and step-wise Exploring Locally-Adapted Technologies and approach to participation and local institution Indigenous Knowledge building. Given the bureaucratic tradition in the project agencies, the plan could in a formal way - at In order to adapt the land-based watershed ap- least in the early phases - give guidance on each step proaches to the multiple livelihood goals and required in the process and with appropriate moni- realities of farmers and herders, it is necessary to toring indicators to report on as work progresses. start by exploring present changes in knowledge, Some critical elements to be incorporated in the technologies and institutions. The project must find participatory framework are listed in the Table in the the right balance between presenting a ready made concluding section of the paper. 33 Participatory Watershed Development Challenges Identifying Appropriate Focal Activities factors, one being the level of social capital and history of civic engagement in the community or Local institution building requires the identifica- micro-watershed concerned (Putnam, 1993). It is tion of a focal activity. Experience shows that the important to assess local capacity and the degree to formation of a Village Development Plan (VDP) which existing local institutions can be built upon. It itself is not likely to form the key rallying point for makes sense to start with those villages with proven the Village Development Committee (VDC) capacity to organize. Given the social complexity of (Oygard, Vedeld and Aune 1999). A focal activity watersheds in the Shivaliks, the best approaches to needs to be carefully tailored to each village and institution building would be mixed, involving group of farmers and provide significant economic different forms and levels of organizations, both and/or social benefits, both to the individuals indigenous and new more formal institutions. Group participating and to the organizations created. formation can either be of a building block type; Proven examples of focal activities are such as smaller groups are formed to cooperate at broader water harvesting or micro-irrigation for farmers level, or of a more direct type; forming a village or fields, credit groups, and fodder farms (babbar panchayat institution directly. Direct approaches tend grass). Social services such as water supply, which to work best with good and charismatic leadership. are in great demand, can also be used (as recog- Building block models may require more external nized in the planning documents). input, but can become more robust over time. Net- works and links to broader partner organization Limiting "Shadow Participation" should be encouraged (panchayats, business enter- prises, NGOs and civil society organizations). The The project builds on a concept of "reciprocal commit- forms and levels of organizations to be developed ment" in the sense that entry point activities are must be adopted to function and context. Since encouraged by the project agency to gain local access communities are split in factions (caste, gender, age), and acceptance for watershed management (e.g. water economic interests, and power it may be useful to supply). Dispersal of funds for an entry activity is build from smaller self-help groups among more contingent on local commitment to protect the water- homogenous units e.g. women credit groups, youth shed. In the Doon Valley project women agreed to associations, irrigation farmers. It is important to take develop a fodder tree plantation, provided they were a sequential approach to group formation; starting given assistance in establishing a tailoring enterprise with simple and economically beneficial activities, (Thapliyal et al. in Hinchcliffe et al, 1999). But moving to more demanding activities as capacity reciprocal commitment as a carrot-and-stick system of develops e.g. land use and tenure conflict manage- micro-conditionality easily leads to "shadow participa- ment. In order to reduce cost and ensure participation, tion". People participate in the environmental conser- the Village Development Plans (VDPs) should be vation activity only because they expect benefits from simplified and made easier to understand and to be the entry activity (or from labor payments involved). acted upon locally. Massive training of para-profes- Once these benefits have been achieved, people's sionals, farmers and leadership is essential. interest in long-term management of the environmental conservation activity may easily fade. Hence, sustain- Promoting Equity and Inclusive Institutions able approaches require close linkages between watershed conservation and development that provides As learned through IWDP I, there are a set of benefits to individuals and groups. mechanisms through which local elites typically capture offices and benefits from a watershed Building Capacity at Local Level project, often at the expense of weaker groups (Turton, 1998, ICR, 1999). One of the mechanisms The capacity to respond adequately to external to limit the influence of dominant elites is to initiatives varies greatly, depending on many encourage Government Orders that involve gender, 34 Participatory Watershed Development Challenges caste and tribal/transhumance representation in and willingness to listen and learn (Chambers, newly established institutions. Another is to gear 1997, Holland, 1998, Aycrigg, 1998, Blackburn, the extension system towards targeted support, e.g. 1998, Shah and Shah, 1995). The transformation of hire women staff to build women self-help groups. bureaucratic cultures is a slow process (even if change can also come fast under benign circum- A central feature of IWDP II is to encourage the stances). In the project agencies concerned, staff introduction of formal and state-sanctioned Village possess considerable knowledge and tend to remain Development Committees (VDCs). The VDCs will with a perspective as themselves as the experts in gain more control of resource management at the watershed development. Many are not interested in expense of indigenous or informal arrangements. If participation (or feel threatened by it). It is there- the newly formed VDCs are dominated by local fore likely that incentive structures for working elites, the new regimes may have negative effects with communities are critical to change attitudes, on marginal groups. Moreover, if the demarcation perhaps more so than lack of capabilities (although of land around villages related to Village Develop- the two are related). Policies and legal changes ment Plans (VDPs) is understood as a strict prop- alone, will not change practices. While change in erty right boundary, it may undermine the rights of attitudes are important among top-management, neighboring villages and mobile pastoral groups to more firm changes in institutional cultures will fuelwood, fodder and minor forest products. emerge only as face-to-face communication and Finally, the restrictions on use of forest land in more intense interaction between staff and local general, undermine the livelihoods of different people take place over longer periods of time. Staff marginal groups. Such rights of access to local must discover for themselves that participation is resources can be long standing and even recorded beneficial and solves problems for them. Training in the cadastral survey (Chakravarty-Kaul, 1996). and institutional capacity building on a massive and systematic basis is essential and stressed in the Focusing On Systematic Institutional-Capacity project design, as well as in the general literature Building on participatory watershed development in India (Mascarenas, 1998, Shepherd, 1998, Gujja, A significant change in the ways in which project Pimbert, Shah, 1998, Turton, 1998, Hinchcliffe et agencies interact with rural people is a necessary al.,1999). Farmer-to-farmer extension, visitation condition for success. It is essential that the staff and peer-training through exposure visits, and move away from a prescriptive treatment approach organizational learning are key mechanisms to to one of catalysing and facilitating. Rather than strengthen existing extension systems. Through planning, dictating, and enforcing, agency staff exchange visits, farmers observe, discuss, and learn should facilitate, convene, and negotiate. With about innovative practices and ways they can be reference to the situation in Andhra Pradesh Julia adopted. The use of para-professionals and village Falconer (peer reviewer) observed: agents is central to increase outreach, cut costs and internalize learning (Hinchcliffe et. al, 1999, Shah "What I have seen in Andhra Pradesh at least some of the and Shah, 1999). best, innovative participatory JFM is supported by some of the worst plans and PRA exercises - key has been shift in relationships and flexibility in the program to change Clarifying Rights and Building Cooperative investment priorities from year to year". People see gains Agreements only when trees or grass starts growing, then commitment comes among people and staff; "it is the process that A key lesson learned from IWDP I was the need to counts" (Julia Falconer, Pers. Mess.,1999). clarify property rights and opportunities for communities and individuals to benefit more from This requires first and foremost that project and local resources, decide on and manage own affairs line-agency staff acquire new skills, new attitudes, (ICR, 1999). Farmers are at present severely 35 Participatory Watershed Development Challenges limited in their access to common-pool resources in including a general ban on open grazing. If large many localities. Further partnership and manage- pasture areas are closed off from open grazing ment can be seriously undermined if more transpar- under the project, and only cut-and-carry systems ent systems of cooperation do not evolve (ICR, allowed, it is important to realize that a larger share 1999). To this end, the on-going transition of of the crop land might need to be diverted to institutional arrangements between people and support livestock.13 project/line agencies for grazing and forest re- sources in every state need to acknowledge the Promoting Supportive Macro-Policy Frame- requirements for a combined strategy for simulta- works neous development of forest land, common lands/ wasteland, and private land.12 New cooperative In assessing the range of options available ahead it is tenure arrangements cannot easily be regulated by important to keep in mind that successful micro- Memorandum of Understanding (MOU) under the watershed management depends on many factors, project, since legal and administrative reform at where the broader macro-policy and institutional state or national levels is required, for example in circumstances, such as tenure law, market access, relation to state forest land and Panchayat land. and price policies, greatly determine the potential Some examples of strings that create problems are: benefits to individual farmers. The watershed itself · Limitations on open grazing, which hinder may not always be the most appropriate planning pastoral groups and livestock development in unit for rural development, partly since the action general. space and income activities of village members and · The nationalization of non-timber forest organizations, have a much larger span than those set by the territorial boundaries of the watershed produce (NTFPs), which has introduced govern- (Kerr et al., 1998, Turton, 1998). In order to identify ment control of marketing in favor of traders, and relevant macro-policy strategies, it is essential to created monopolies against the interest of marginal build on lessons from other watershed management collectors of these items. · projects in India, as well as outside experiences. In Restriction on trees and timber extraction, Machakos in Kenya where farmers terraced their which limits opportunities for appropriate forest farms and adopted soils and water conservation management both under private, communal and techniques spontaneously, a set of factors were state forest land. considered important, such as: change in tenure from common to private; good base of indigenous Overgrazing is held in the planning documents to knowledge, tradition for community organization be the key factor behind erosion and land degrada- (social capital); favorable access to markets; and, tion in the Shivaliks (REA, 1998). But a general remittances from migrants invested in soil and water ban on open grazing, as suggested by the project in conservation technology (Tiffen et al, 1994). the Memorandum of Understanding (MOU), is a major concern in many villages, since livestock is Since the project attempts to reconcile objectives an important economic activity. Sweeping recom- of soil and watershed management with improved mendations will often not reflect local variations in livelihoods for poor farmers, a recent policy study grazing pressure and management systems. If for soil fertility management in Africa offers some restrictions are to be introduced, a proper dialogue critical lessons: is important under any tenure system; private, communal as well as forest land (cf. Teri, 1998:75). "..if the aim of improving soil fertility management is to In Haryana, for example, the project agency contribute more broadly to sustainable rural livelihoods, misinterpreted the MOU during the preparation of there are various pathways which can be followed. Such village development plans, and made all VDC choices include: direct interventions to improve soil members agree with all the general guidelines, status,supporttomicro-financeandformalcreditsystems, 36 Participatory Watershed Development Challenges improvingmarketaccess,strengtheningfarmerknowledge ditions for withdrawal and scaling up have to be and skills, and improving organizational linkages which identified early and incorporated in the project promote better learning and sharing of ideas. Design of a strategy. The key challenge is to develop local strategyforimprovingsoilfertilitymanagementneedsto considerhowbesttocombineinterventionoptionsin groups and committees that are economically different places and different levels, over a period of viable and independent of external financial severalyears"(ScoonesandToulmin,1999:5). support. In the Doon Valley project there are more than 200 Resource Management Organiza- Incorporating Preconditions for Withdrawal tions (GAREMAs) with proven capacity to And Scaling Up manage resources and relatively large village revolving funds. These funds are preconditions If approaches to micro-watershed development for a successful withdrawal policy (Berry, are to be sustainable and replicable, the precon- 1998).14 37 12. Conclusions T he participatory aspect of the project design the pastoral transhumance in the area. It also was more a result of factors such as lessons pointed to the need for a gender sensitive approach, learned from the first phase of the project reflecting the particular importance of women in and experience embodied by the Bank team and the the Hill economy. The results of the assessment are executing agencies, rather than direct beneficiary likely to feed into the village planning. But as participation. The preparation of the project has planning instruments, the social assessments would started the process of pushing local level institution have been much more useful if carried out within a building to the forefront of the project agencies' meaningful time frame and focused better on work. The project in the different states is now in a operational recommendations. position to start the participatory implementation process. However, there is still some resistance to · In retrospect, an important achievement of the institutional reforms, especially among the mid- the social assessment process was to create capac- level staff. The capacity of the implementing ity for and commitment to the approach among the agencies for reorientation remains a key obstacle to project staff. participation, especially in Haryana and J&K. Nevertheless, fruitful consultations and collabora- It seems that the main purpose of a project prepara- tion between project managers and Bank staff tion process remains to lay down the ground rules during the preparation phase and their changing for the project and the participation of all stakehold- attitudes have raised expectations about successful ers, while ensuring that the policy and institutional performance in the other states. framework is enabling. By and large, that is what the · project preparation did, as reflected in the PAD. It The period ahead can be used to counter remains a problem, however, that the quality of the the relatively thin (although widespread) participa- Project Implementation Plans (PIPs) at project level tion of primary beneficiaries in the initial planning is weak on conceptualizing participation and local period. Through the more intense village-level level institution building within the broader policy planning that starts now, approaches can be al- and institutional arrangements of the Shivaliks. lowed to evolve in response to local needs and demands. The challenges now confronting the participatory approach should not be underestimated, especially · Although the social assessment (social since time is short and budgets limited. More than analysis + participation) started too late for the 1 900 villages are meant to be covered over a products to have any major impact on the design, it period of five years. Time constraints make genu- affected the project-level processes and planning in ine collaboration and ownership of the process at a positive manner. The social assessment helped village level difficult to achieve. What is perhaps reveal capacity limitations of project agencies, as most critical is that joint agreement is reached on well as social diversities, for example in relation to procedures and incentives/sanction systems that 38 Conclusions encourage both project/state agents and local users the two? Which arrangements promote successful to feel responsible and accountable to the manage- watershed development and which limit? How can ment of village resources and village-level organi- approaches be modified to mitigate limiting factors? zation. Project and state interventions should be How can a more enabling and supportive policy and restricted to certain functions and events, as far as institutional arrangement be enhanced? It is critical feasible, so as to allow autonomy and local arenas that the executing agency staff gets convinced of the for management to emerge. It may be necessary to benefits of participatory management and the encourage a shift in attention from the community dangers of ignoring local institutions and knowl- itself to the relationships between the community edge. Large reduction in transaction costs and win- and the state/project agency. Which cooperative win situations are likely, if more adaptable agency institutions and policies are in operation between practices and joint arrangements emerge. 39 13. Issues and Emerging Opportunities The planning process raises a set of issues and professional curriculum and skills training, decen- opportunities related to participation in the imple- tralization of organizations, and reforms of man- mentation phase, both at project and Bank levels. agement. Project level opportunities · Undertake assessment of changes through introduction of participatory learning, monitoring If more genuine participation is the aim, strategies and evaluation systems. for massive training and institutional capacity building are required developed by each of the These elements would be part of an overall "par- project agencies at state level. The aim would be to ticipatory framework". In order to enable participa- build "learning organizations". Such systematic tory watershed development, certain reinforce- capacity building would typically seek to: ments of the existing project approaches can be · proposed along the following lines (Tab. 4) build- Enhance incentive structures for commu- ing on Reij, Scoones, Toulmin, 1996, Hinchcliffe et nity participation beyond information and consul- al., 1999, as well as the experience with IWDP so tation. far. · Create arenas and networks for communi- As indicated, there are many areas in which the cation with communities and for on-going dialogue project agencies can strengthen performance or re- among community members and between commu- orient strategies. Some very specific actions might nity groups. include: · Encourage joint approaches that increase · Promote inclusive property rights: contacts and linkages between farmers and external Introduce measures to ensure rights of neighbors institutions, in order to foster better policies and and mobile groups to resources within the bound- practices. aries of new village regimes; recognize that tenure represent a bundle of rights and that split rights in · law and practice have existed through history. For Establish and maintain partnerships example, under a cooperative agreement related to involving members of the wider community and a designated state forest area, a Village Develop- civil society, local government, other line agencies, ment Committee (VDC) may receive exclusive panchayats, private enterprises, local politicians. property rights to the growing woody biomass, while they and their specified neighbors may enjoy · Enable institutional reforms through co-existing access rights in relation to gathering of change in attitudes of personnel, widespread dead wood, grazing and non-timber products (K. training and competence-building, changes in Sivaramakrishnan, 1996). 40 Issues and Opportunities Tab. 4. Enabling participatory watershed development · Start by exploring indigenous soil and water technologies and blends between these and research, the way farmers have spontaneously adapted such technologies to social and institutional conditions · · Spend more time in the field and look up recent research with the aim to understand the problems, rather than to provide ready made solutions from a menu of technologies; test out different ideas, first on a small scale · Raise awareness, build confidence and negotiation skills among leaders as well as marginal groups; develop group cohesion and collective-action capacity, not only individual capacities; enhance networks and partnerships · Undertake joint participatory planning and diagnosis of problems, exploring different views and among different groups of people, using a range of participatory appraisal techniques and adapting agreements to the local conditions; enhance creativity · Use a very simplified system of village planning to reduce costs and make village development plans local-level tools for management of both private and common-pool resources · Focus in the initial year on building group and village level capacity through exposure visits, farmer-to- farmer sharing, exchange workshops and training of village leaders, para-professionals, and front-line staff · Acknowledge that local communities are differentiated and adjust approaches accordingly · Work with small self-help groups that rally around viable economic focal activities as building blocks for the Village Development Committees; start with simple activities, then move to land use, tenure and conflict management, build links to local government · Finance less activities directly, reduce subsidies, and increase cost-sharing gradually; focus more on social fencing and use the natural regeneration capacity of soils and vegetation · Develop plans for capacity strengthening; work systematically on improving attitudes, communication, skills and project agency cultures; ensure devolution of power and resources to village institutions and evolution of transparent systems of co-operation and interaction · Work towards making the approaches part of state-wide and national agricultural programmes, where reforms of policy, property rights, and institutions are central to enable more rights and benefits to individual farmers and herders · Incorporate a withdrawal strategy early in the preparation process · Teach communication skills: Teach · Stimulate participatory monitoring and community groups negotiation skills and develop evaluation and use of sign-boards: Stimulate an their bargaining position, for example, of the active participation of communities, NGOs and collectors of minor-forest produce by developing district level officers in monitoring and learning, the capacity of the local VDC committee through both related to the physical progress and to the increasing their knowledge on prices, quality and performance of the project agency and staff in marketing opportunities order to increase ownership to the process and 41 Issues and Opportunities foster accountability and transparency. Promote the ment projects. use of sign-boards outside each forest area in order · Re-visit the Social Assessments (SAs): If to inform people about what rights they have in the the Bank does not utilize the SAs fully and the forest concerning ownership of land and products, project agencies perceive the SAs mainly as a Bank involvement in management, and marketing of requirement, something needs to be done. One resources and benefits. option could be to develop the SA as a directed and · Foster critical research: Encourage more participatory process (less focus on the product) critical research on the "environmental orthodoxy" and avoid making it into a broad based socio- in the Shivaliks and the Himalayan foothills. economic baseline study. This would entail that · Encourage client-oriented agencies: Bank staff (as well as project staff) would be more Work towards a more pro-poor and client-oriented involved, working together with communities to governance system, in order to meet local demands develop indicators and systems for Participatory and save transaction costs to society. This would Monitoring and Evaluation (PM&E). The focus include reducing the resources falling under de would shift from generating information for an facto open access property rights regimes today. external audience towards facilitating a process of institutional learning (cf. Robin Mearns and David Bank level opportunities Marsden, Pers. Mess. 1999). This could also imply that the SA process become of smaller scale and Bank level opportunities for improved participatory focused on informed and context related issues watershed development are project specific as well (less breadth, more depth). Different solutions as more general: should probably be adapted to different contexts. · Demonstrate gains from participation · Encourage better consultancy services: by measuring transaction costs: If the achieve- If the performance of consultants closely attached ments in primary beneficiary participation reflect to implementing agencies is weak or non-critical in limited capacity and commitment of the imple- undertaking social assessments, the Bank should menting agencies, it is important that evidence be encourage a better selection of independent con- demonstrated at project agency level of the value- sultants and more close supervision of their work addition in terms of improved performance and and follow-up of their recommendations. The Bank reduced (transaction) costs of reoriented agencies. should also consider to support training of consult- Improved participation can support goals of good ants/NGOs to do stakeholder analysis, institutional governance related to more effective, transparent analysis, and village development planning. and accountable agencies. Good governance at · Strengthen joint processes: The Bank state and project level is also what fosters better should study more closely the disconnect between governance at the local level, in terms of more the Project Appraisal Document (PAD) and the engaged and viable institutions and sustainable Project Implementation Plans (PIMs) regarding project investments. A special opportunity for the perception and adoption of participatory ap- Bank is to attempt to measure the gains from lower proaches. As a reflection of the relatively weak transaction costs of new institutional arrangements PIMs on integration of participation, a new form of for the different partners in the participatory project planning document could be considered reforms. prepared through a joint process; for example as a · Adopt more flexible planning processes: flexible project implementation plan prepared by In order to avoid dilemmas arising from rigidity in the project but with closer interaction and support the project cycle and Bank planning procedures, of Bank staff/consultants. This has been done the project adopted a flexible learning approach for successfully, for example, in Vietnam (cf. Lars the first year, which proved fruitful. It can therefore Lund, SDU, New Delhi, Pers. Comm., 1999). be recommended for similar types of rural develop- · Build bridges: Given a world of multiple 42 Issues and Opportunities realities, efforts are needed within the project to degradation in the Himalayan foothills, the Bank and build bridges across different world-views, for the project agencies should encourage more open- example, between "local" knowledge and "scien- ness about the scientific uncertainty surrounding tific" knowledge and between social, technical and their management, and increase the dialogue about economic perspectives on development in the participatory watershed development with a greater Shivaliks. variety of stakeholders, such as local farmers, · Encourage partnerships and openness: NGOs, academics from various disciplines, other Reflecting the national concern for environmental donors, and private sector interests. 43 Annex 1. Comparison of Participatory Frameworks IWDP I (1990-1998) Doon Valley (1993-2001) IWDP II (1999) (planned) Approach Top-down and highly Top-down initiative turned into Top-down initiative to be turned subsidized; cost sharing from bottom-up mobilisation; still into bottom-up mobilisation; high 10-14 % on most investments centralized w. high subsidies subsidies remain Project area 185, 400 hectares 500, 000 hectares Area treated 352, 000 hectares 110, 000 hectares 200, 000 hectares Watersheds 46 watersheds 2 Districts/ 7 watersheds 75 sub-watersheds Villages 480 village committees 113 by mid-1998 (target 250) 1 920 villages; 1 million Total costs 92,8 mill US 19,5 mill US 193 mill. USD Primary Limited to consultation with More broad-based collaboration Aims to develop broad-based beneficiary local leaders collaboration participation Micro-watershed Blue-print and supply driven More flexible and demand driven Scope for flexibility and planning participation Village 480 VDCs created but no Many and well functioning VDCs are central mechanisms for Development capacity building. VDCs. To lesser degree village planning and Committees Dominated by local elites dominated by local elites. implementation Links to None established, except Only when VDCs are robust. Planned but modalities not spelled Panchayats informally at local level Not yet done. out Revolving Funds Not established Revolving funds of Village Development Funds Rs 30-60 000 envisaged Common Not clearly spelled out Remains unclear Not analysed adequately property right Private non- Important for investments n.a. (not found in UP, mostly in Important area of intervention, not arable land Punjab only) well analysed Forest land rights Insecure rights; weak rights Same as for IWDP I Rights to be clarified (state) NGO No NGOs involved Some NGO involvement in NGO envisaged in involvement training training/backstopping Capacity of Non-existent on PRA, good Relatively good, also on Variable capacity project agencies on technical aspects participation Gender staff and No/few female staff; Many female staff and gender Important female staff in UP, HP, focus no gender focus focus and Punjab. Transhumance Perceived as a problem and Perceived as a problem, but Specific aims to include through groups not included dialogue established separate plans Poverty reduction Positive effects on income Some, but benefits to SCs/STs Aims to improve income in poor among poor groups are relatively lower areas Achievements on Significant area treated, Significant increase in crop n.a. the ground improved forest cover, more yields and income. New income grass, reduced run-off and generating activities e.g. siltation, increase in yields mushroom, poultry and income Monitoring and Weak and conventional; GIS Evolving system towards Participatory M&E envisaged, but evaluation system failed participatory monitoring not finalized Withdrawal None, but encouraged 5-10 year plans agreed with Not very explicit requirement, but policy VDCs encouraged Sustainability High dependence on external Many VDCs capable of Substantial risks of dependency support, especially related to sustaining important activities remaining after a five year project common land period 44 Annex 2. The Preparation Process: Step by Step-A Participatory Perspective Events of importance/ Date Action by states/project Comments World Bank action 98/99 level agencies Two national watershed April/ Participation of project staff Organised by MOA and MORAE with important management workshops May 98 lessons for the projects FAO identification mission May 98 Staff and villagers consulted Recommendations on SAs. with SDU staff briefly but no use of PRAs FAO/CP preparation Jul/ No PRAs at local level Recognises the broad participatory strategy built on mission with SDU staff Aug 98 VDCs and VDPs PCD cleared; built August Unclear to what degree Issues addressed: strengthen economic rate of return, basically on FAO report 98 beneficiaries and partners were cost-sharing, Regional Environmental Study, earlier experience involved. tribal/transhumance, co-ordination One-day workshop Aug 24 With senior project staff Organised by the Rural Dev. Department Co-task leader in Delhi Aug 98 Hold discussions with UP staff Suggests that the village revolving fund is a major mission visits Doon Valley and project managers at the EC strength project in UP commission Preparation mission follow- Sept/ Villagers consulted but no use Decision on SAs. TORs for the REA/Watershed up, participation of SDU Oct of PRAs. Mostly discussions Development Strategy. Key concerns; co-ordination staff 98 with staff. and subsidy/cost sharing issue. Supervision mission IWDP Dec 98 Field-visits by project and Bank Raise issues of heavy subsidies, weak participation, with review of forestry staff sustainability on common lands, capacity at project component and village level Workshop on Watershed Jan 99 Outside IWDP II Included diverse representatives of civil society, state Management officials, and project managers. Appraisal mission with Feb Pressure for preparation of Raised several issues and conditions for negotiations; SDU staff from 1999 various studies (SAs), staffing, SAs, Tribal/Transhumance study, three VDPs, social Washington training, PIPs, procurement, staff, policy reforms (on cost/benefit sharing), and MOUs, Operational Manuals, participatory monitoring. Financial management financial management takes a lot of attention. Social Development Unit March Discussions with all project Raised issues of participatory planning and field-visit 99 directors/staff implementation SDU meeting with April 99 All Directors met with SDU in Raised issues of staffing, training, progress with SA Directors the Bank studies, roads component and general issues on participation. One-day workshops on April 99 Altogether 100 staff members Workshops in order to enhance understanding of participatory framework from all five projects participatory planning and management participated Social assessment studies Feb- The projects prepared The SAs are generally weak, not very operational, May SAs/Tribal studies and VDPs arrive late. PRAs either not carried out, or done 99 w. help of consultants mechanically (VDPs). Project implementation April- Carried out by project staff/ The PIPs focus mainly on technical interventions; plans (PIPs) May Consultants participation accepted as of key importance. 99 Shivalik Watershed May Carried out by project staff/ Focus completely on natural regeneration. Little on Management Strategy 99 Consultants social analysis, participation, property rights and policy Loan negotiations April 99 State representatives and Key issues for negotiation were the financial Directors to Washington management system, cost-sharing, but also a set of participation and institutional issues Social Development staff May 99 Training of staff Training in village planning and visits to Haryana, HP and UP Implementation May 99 Received by project staff for Positive on physical treatments, yield and income Completion Report discussion and field-work increase; less positive on participation 45 Annex 3. Subjective Assessment of Quality at Entry Based on a set of " quality of entry" criteria, the overall quality is subjectively assessed to be "satisfactory" (3) {as compared with "highly satisfactory" (4), "marginally satisfactory"(2) and "unsatisfactory" (1)}. For each criterion, a score has been awarded below.15 · Strong borrower "ownership" of project objectives and components, particularly those involving critical policy, institutional and/or financial reforms - 2-3. · Active stakeholder participation in project design and implementation - secondary stakeholders 3, primary stakeholders 2. · Clarity of project objectives and component description (and clear logical connections between the two) - 3. · Effective incorporation of lessons learned from previous projects in the same country and with similar objectives and designs; 3-4 in PAD, 2-3 in other documents. · Identification of critical risks - 3. · Adequate project preparation prior to Board presentation - 3. · Careful implementation (and supervision) planning, including specification of key performance indicators - 4-3. · Realistic assessment of borrower institutional capacity for implementation - 3. · Avoiding excessively ambitious objectives and/or overly complex design - 2-3. · Using social assessment to identify and begin to involve in project preparation and implementa- tion - key stakeholders, as well as potential conflicts over alternative patterns of resource use - 3. · Analysis of the property rights regime in the project area - 2-3 . · Careful analysis of the incentives to resources users to adopt resource conservation practices being promoted - 3. · Obtaining an understanding of the basic ecosystem functioning and services associated with particular resources involved - 2. · When limited understanding of the ecosystem dynamics, long term applied research included - 2. · Piloting and learning from experience - 4. · Ensuring that approaches and technologies are replicable - 2-3. · Ensuring that approaches demonstrate new technologies and change perceptions and motivations of resource users and government officials - 3-4. · Careful M&E in terms of actual economic, social, and ecological costs, benefits and implications for sustainable resource use - 3-4. 46 Annex 4. Indicators of Participation and Local Institution Building The project agencies have reached different stages in the development of Participatory Learning, Moni- toring and Evaluation. There are plans for participatory and community-based systems for monitoring to be introduced for improving transparency and accountability in the management of funds and assets. Impact indicators for monitoring would need to focus on community and institutional change, as much as on the adoption of new technologies and practices. Self-evaluation can be introduced to enrich the learning process, both at the local and project agency levels. Some indicators for measuring progress and impacts of local institution building at the village level are provided below (building on Atkins/UP Desco, 1997). These indicators relate to such factors as organization and membership, leadership, formation of rules, rule enforcement, income generation, operation of accounts, degree of external dependence and long-term viability. 1. History of civic engagement and level of social capital in the village (high, medium, low). 2. Number of groups, members and percentage of members compared to total possible. 3. Focal activity of groups, level of local demand (high, medium, low) and income potentials. 4. Age of groups and stability of membership. 5. Leadership characteristics and change (age, caste, year of education). 6. Homogeneity of groups (caste, ethnicity, religious, land ownership, cattle, wealth). 7. Regularity of meetings and records thereof. 8. Formation of guidelines, boundary rules and rules for internal use of assets. 9. Rules for exclusion and systems of enforcement (concrete cases). 10. Local and low cost arenas for conflict management in operation. 11. Inputs provided for education, awareness and motivation. 12. Participation in training. 13. Number of para-professionals trained, financed and in operation. 14. Income generation and contributions through membership fees or savings by some or most members. 15. Number and levels of loans extended by the group to members. 16. Level of resource mobilization from the local Bank. 17. Involvement of self-help groups in broader community affairs. 18. Interaction by local leaders with outside groups and agencies. 19. Level of funding in saving account and degree of external dependence. 20. Economic and financial viability (high, medium, low). 47 References Adolph, Barbara, 1998, Partnership and Policies Blakie, P., 1985, The Political Economy of Soil for Change, The Role of Self-Help Groups in the Erosion in Developing Countries, New York: Watershed Development Process, A Study of Longman Development Studies. Experiences from Andhra Pradesh, India, London: ODI. Blakie, P. and H. Brookfield, 1987, Land Degrada- tion and Society, London and New York: Routledge. Atkins/UPDesco, 1997, Village Organisations, Institutions Report no. 4, August-October 1997, Chakravarty-Kaul, Minoti, 1996, Common Lands WS Atkins Int. Ltd. and UPDesco Ltd., European and Customary Law, Institutional Change in North Union/Watershed Management Directorate, India over the Past Two Centuries, Delhi: Oxford Dehradun. University Press. Aycrigg, M., 1998, Participation and the World Chambers, R., 1997, Whose Reality Counts? Bank: Successes, Constraints, and Responses, Putting the First Last, London: Intermediate Draft for Discussion, Social Development Papers, Technology Publications. Paper no. 29, Washington: World Bank. CSE, 1991, Floods, Flood Plains and Environmen- Berry, A. and S. M. Joshi, 1998, Doon Valley tal Myths. The Third Citizens' Report, The Centre Project: Evolution of Participatory Approach for for Science and the Environment, New Delhi. Watershed Management, Paper for National Workshop on "Watershed Approaches to Rainfed Fairhead, J. and M. Leach, 1996, Misreading the Farming: Strategies for Integrated Watershed African Landscape: Society and Ecology in a Development in Hill Region", May 1 and 2., New Forest-Savanna Mosaic. Cambridge & New York: Delhi. Cambridge University Press. Behnke, R. H. and I. Scoones, 1993, Rethinking Fairhead, J. and M. Leach, 1998, Refraiming Range Ecology: Implications for Rangeland Deforestation. Global Analysis and Local Reali- Management in Africa. In: R.H. Behnke, I. Scoones ties: Studies in West Africa, London: Rutledge. and C. Kerven (eds) Range Ecology at Disequilib- rium. New Models of Natural Variability and Forsyth, Tim and Melissa Leach, 1998, Poverty Pastoral Adaptation in African Savannas. London: and Environment: Priorities for Research and Overseas Development Institute & IIED. Policy - An Overview Study, Prepared for the UNDP and European Commission, IDS: Sussex. Blackburn, J. (ed. with J. Holland), 1998, Who Changes? Institutionalizing participation in Devel- FAO/CP, 1999, Integrated Watershed Development opment, London: Intermediate Technology Publica- Project (Hills II) Project, Preparation Report, Main tions. Report and Annexes, Vol. 1-7, Rome: FAO. 48 Grewal, S. S., 1996, Land and Water Management World Bak Research Project on Rainfed Agricul- in India: An Assessment of Success and Failure in tural Development. the Implementation of Programmes, Paper for National Workshop on "Watershed Approaches for Leach, M. and R. Mearns, 1996, The Lie of the Managing Degraded Lands in India", New Delhi. Land: Challenging Received Wisdom on the African Environment, Oxford: James Curry. GOI, 1997, Proceedings of the Brain Storming Session on Watershed Development, Nov. 20, Leach, M., Mearns,R., and I. Scoones, 1997, Vigyan Bhavan, New Delhi. Environmental Entitlements: A Framework for Understanding the Institutional Dynamics of Gujja, Biksham, Michel Pimbert, and Meera Shah, Environmental Change. Discussion Paper 359. 1998, Village Voices Challenging Wetland-manage- Brighton: Institute of Development Studies, ment Policies: PRA Experiences from Pakistan and University of Sussex. India. In: J. Holland 1998, Whose Voice? London: ITB. Lewis, J., 1997, Community-Based Natural Re- Hinchcliffe, F., Thompson, J., Pretty, J., Guijt, I. sources Management in West Africa, in Serageldin, and Parmesh Shah, 1999, Fertile Ground. The I. and D. Steeds (eds): Rural Well-Being. From Impacts of Participatory Watershed Management, Vision to Action. Proceedings of the Fourth Annual London: Intermediate Technology Publications. World Bank Conference on Environmentally Sustainable Development. Series no. 15. Washing- Holden, S. and Prem L. Sankhayan, 1998, Popula- ton: World Bank. tion Pressure, Agricultural Change and Environ- mental Degradation in the Western Himalayan Lobo, Crispino, and Marcella D'Souza 1998, Region of India, Forum for Development Studies Qualification and Capacity Building of NGOs and no. 2, Oslo: Norwegian Institute of International Village Self-Help Groups for Large Scale Imple- Affairs/Norwegian Association for Development mentation of Watershed Projects. Experience from Research. the Indo-German Watershed Development Project in Maharastra, Paper at National Workshop on Holland, J. (ed. with J. Blackburn), 1998, Whose "Watershed Approaches for Managing Degraded Voice? Participatory Research and Policy Change, Lands in India", New Delhi. London: Intermediate Technology Publications. Mascarenhas, J., 1998, The Participatory Water- Jodha, Napat S., 1998, Wastelands Management in shed-development Implementation Process: some India: Myths, Motives and Mechanisms, Paper for practical tips draws from OUTREACH in South National Workshop on "Watershed Approaches for India. In: Blackburn, J., 1998: Who Changes? Managing Degraded Lands in India", New Delhi. London: ITP. Kadekodi, Gopal K., and Aslam Perwaiz, 1998, Morrow, Daniel, 1999, Assessing Borrower Owner- Dimensions of Wastelands and Common Property ship Using Reform Readiness Analysis, PREM Resources in India, Paper for National Workshop notes, Public Sector, No. 25, June, 1999, Washing- on "Watershed Approaches for Managing De- ton: World Bank. graded Lands in India", New Delhi. Ninan, K. N.. 1998, An Assessment of European- Kerr, J., Pangare, G., Pangare, V. L., and P.J. Aided Watershed Development Projects in India George, 1998, The Role of Watershed Projects in from the Perspective of Poverty Reduction and the Developing Rainfed Agriculture in the Indian Poor, CDR Working Paper 98.3, January 1998, Semi-Arid Tropics, Draft Paper, April 12, ICAR/ Centre for Development Research, Copenhagen. 49 North, D., 1990, Institutions, Insitutional Change, Other Stakeholders, World Bank Discussion Paper and Economic Performance, Cambridge: Cam- no. 333, Washington: World Bank. bridge University Press. Saberwal, Vasant K., 1999, Pastoral Politics. Ostrom, Ellinor,1990, Governing the Commons, Shepherds, Bureaucrats, and Conservation in the The Evolution of Institutions for Collective Action, Western Himalaya, Calcutta/Chennai/Mumbai: Cambridge: Cambridge University Press. Oxford University Press. Oygard, R., Vedeld. T, and J. Aune 1999, Good Samra, J. S. and B. L. Dhyani, 1997, Elements of Practices in Drylands Management, Noragric Participatory Watershed Management in India, Agricultural University of Norway/Environmental Central Soil & Water Conservation Research & Department, World Bank, Washington: The World Training Institute, Dehra Dun. Bank. Scoones, I., 1994, Living with Uncertainty. New PAD, 1999, Project Appraisal Document for the Directions in Pastoral Development in Africa. Integrated Watershed Development Project (Hills- London: Intermediate Technology Publications. II), April 14, 1999, Rural Development Sector Unit, South Asia Regional Office, World Bank. Shah, Anil, C., 1998, Challenges in Influencing Public Policy: an NGO Perspective. In: J. Holland, Pretty, J., 1995, Regenerating Agriculture. Policies 1998: Whose Voice? London: ITP. and Practices for Sustainability and Self-reliance. London: Earthscan Publications. Shah, Parmesh and Meera Kaul Shah, 1995, Participatory Methods: Precipitating or Avoiding Pretty, J. and Parmesh Shah, 1999, Soil and Water Conflict? PLA Notes 24: 48-51. Conservation: A Brief History of Coercion and Control, in Hinchcliffe et al., 1999, Fertile Ground, Shepherd, Andrew, 1998, Participatory Environ- London: IT Publications. mental Management: Contradiction of Process, Project and Bureaucracy in the Himalayan Foot- Putnam, Robert D., 1993, Making Democracy hills. In: Blackburn, 1998. Who Changes? London: Work. Civic Traditions in Modern Italy, New ITP. Jersey: Princeton University Press. Sinha, S.P. and P. K. Verma, 1998, Copor Manage- REA, 1999, Regional Environmental Assessment ment of SHRMS Management of SHRMS: An of the Integrated Watershed Development Project Alternative Innovative Operational Approach for (Hills II). Watershed Development, Paper for National Workshop on "Watershed Approaches for Manag- Redwood III, J., R. Robelus and T. Vetleseter, ing Degraded Lands in India", New Delhi. 1998, Natural Resource Management Portfolio Review, Environmental Department Paper no. 58, Sivaramakrishnan, K., 1996, Co-Management of Washington, D. C.: World Bank. Forests: Are We Overly Pre-Occupied with Prop- erty Rights?, In CPR Digest, March 1996, IASCP, Reij, C., Scoones, I, and C. Toulmin, 1996, Sus- New Haven: Yale University. taining the Soil, Indigenous Soil and Water Conser- vation in Africa, London: Earthscan. Teri, 1998, Prospective Study - Socio-Economic Analysis of New Areas under Kandi IWDP (Hills) Rietbergen-McCracken, J. (ed) 1996, Participation Phase II, Haryana, Teri Project Report no. 98/RE/ in Practice. The Experience of the World Bank and 63, New Delhi. 50 Tiffen, M., Mortimore, M., and F. Gichuki, 1994, ments. International Workshop on Community- More People, Less Erosion. Environmental Recov- Based Natural Resources Management, May 10-14, ery in Kenya, Chisester: Wiley. Washington, D.C., World Bank. Turton, C. (with B. Groom and M. Warner), 1998, Vedeld, Trond (forthcoming), Participation in Scaling-Up Participatory Watershed Development Preparation. Lessons from World Bank-assisted in India, A Review of the Literature, Network Projects in India, Social Development Discussion Paper no. 86, London: ODI. Papers, SASSD, Washington: World Bank. Uphoff, N., 1998, Community-Based Natural World Bank, 1996, The World Bank Participation Resources Management: Connecting Micro and Sourcebook, Environmentally Sustainable Devel- Macro Processes, and People with Their Environ- opment, Washington: World Bank. 51 Notes 1. The author of the paper took part in the review the land and the resources and how they are of social studies and provided some input to the managed, i.e. management rights (the right to preparation process in its final stages. Hence, there regulate internal use), exclusion rights (the right to is an element of action research in producing the determine who will have an access right and how), paper. The Project Appraisal Document (PAD) is and rights of alienation (the right to sell/lease dated April 14, 1999. rights) (Ostrom, 1990). 2. The project also includes the Karewas in Kashmir, 6. Two other recommendations were that i) entry which are separated from the Shivaliks of Jammu by activities from the list of village pressing needs the Pir-Parjal mountain range. The Shivalik and the should be encouraged to motivate participation, ii) Karewas differ in soil, climate and elevation. more credit funds should be mobilized from local banks cf. also Proceedings of the Brainstorming 3. Two technical staff members jointly filled in one session on Watershed Development, GOI, 1997. questionnaire. 7. One may, however, question the capacity to acquire 4. Turton, 1998, Kerr et. al. 1998, Hinchcliffe et new skills through training only (or the quality of the al., 1999, Kadekodi and Perwaiz, 1998, Grewal, workshop). Following a whole days workshop among 1996, Jodha, 1998, Sinha and Verma, 1998, Lobo project staff in Haryana on participatory methods and D'Souza, 1998, Berry, 1998, Adolph, 1998. (PRA), a letter was later sent to the Bank with appreciation for the interesting introduction given to 5. A property right is a claim to a benefit stream "Project Report Appraisal" methods (PRA) ! that some higher body, the state or a local body will agree to protect through the assignments of duty to 8. Given the tradition for hierarchy, command and others to observe the claim. Property can be control systems, firm commitment from the top is perceived as a bundle of rights distributed on needed, if set backs are to be avoided among mid- and different rights-holders and different functions lower-level staff. Ownership and reform readiness (related also to specific resources). The state may come as high level staff start to formulate organiza- legally hold all rights to land and resources in tional changes in their own way, express will to Forest land, but de facto many rights are assigned implement changes and build support for the process to local people or people acquire such rights (e.g. among broader groups of staff members (Vedeld, access rights to fuelwood, grazing, fruits). The forthcoming). Visionary leaders tend to play a crucial bundles of rights according to functions can be role in successful reforms (Morrow, 1999). distinguished according to two critical functions; 1) How rights are operated in terms of access and use, 9. Even if effects of NGO participation and aca- i.e. access rights (e.g. trespassing) and usufruct demic research on public policy can be hard to rights (right to use), and 2) Who owns and controls achieve (Shah, 1998). 52 10. The respondents were asked: What factors were progressive having accepted that members of in your opinion the most important for the design Forest Protection Committees are entitled to 100 of the participatory aspects of the project ? Please percent of the benefits from timber and non-timber rank the four most important; a) Lessons from the products from the state forest areas they are first phase of the project, b) Experience embodied allocated rights to manage. in the Bank Team, c) Experience embodied in the executing agencies, d) Outcome from the social 13. Jodha estimated that without access to common studies, e) Direct primary stakeholder participation, pool resources to support livestock, about 50% of f) Combined social assessment (social analysis + the crop land would need to be diverted to fodder participation), g) Lessons from other donor crops (Jodha in Turton,1998:11). Manure and projects. drought power are also important benefits from the commons. 11. To this end, there are studies from India show- ing that a ban on grazing can even be ecologically 14. The project has adopted a practice of matching unsound, pending the objectives of the conserva- the labor contributions by the villagers with an tion (Gujja, Pimbert, Shah, 1998, Saberwal, 1999). equal cash amount to the village account. Hence, stimulating people to work, and channelling 12. At present, the five states are reviewing the important finances directly to the village. But it existing systems of rights and benefit-sharing also means a 100% project financing of the water- between state agencies and local people (e.g. shed treatment. concerning rights to pastures, transhumance, use of non-timber forest products (NTFPs), and timber 15. Most of the "quality of entry" criteria have under different property regimes). To this end, been selected from a recent review of the World twenty two Indian states, out of twenty-six, have Bank-assisted Natural Resource Management issued enabling resolutions permitting partnerships Projects (cf. Redwood III, Robelus and Vetleseters, with local people. Andhra Pradesh is the most 1998). 53