Document(s) 9 of 24

Introduction

SINCE THE MID 1990s, legislative reforms in Colombia have been enacted to decentralize state resources and promote participation in local development. By law, 20 per cent of the national income is disbursed to municipalities and indigenous cabildos (community authorities) which are now responsible for resource allocation and use.² The experience of the Association of Indigenous Cabildos of Northern Cauca (ACIN) shows how a grassroots organization can take advantage of the opportunities made possible by these legal reforms. The ACIN now exercises greater authority over its territories, and has adopted a participatory planning, monitoring and evaluation approach that proves the relevance of participatory approaches for indigenous communities to manage their own development processes, and to achieve their objective of strengthening local culture and their people's self-reliance. As a result, the ACIN is increasingly regarded as a legitimate 'partner' in development by the different social, institutional, economic and political forces that operate in the region.

This chapter summarizes the experience of the ACIN in designing and implementing a community-based monitoring and evaluation (M&E) system for their development plans and programmatic work. Details are given about the steps of process design, indicator development, monitoring and community validation processes.

The ACIN as an organization

The ACIN is a legal entity that represents 12 cabildos of Paez Indians, spread over seven municipalities in a region that is known for its sugar cane production and other industrial sectors. Based on the New Constitution of 1991, the ACIN is recognized by the state as an autonomous, public organization with the power to represent and negotiate with other public and private entities. In 1993, the ACIN had a membership of approximately 90,000 individuals, or 20,000 families, 60 per cent of whom belong to indigenous communities and 40 per cent are small farmers belonging to other ethnic groups. Together, they live in a territory that spans a total of 170,000 hectares and which constitutes an ecological and cultural unit.

Through their organization, the communities exercise real political power in the region. At the provincial level, their own law takes precedence; their political and judicial systems remain active and are locally recognized. National civil law does not apply and the judicial branch of the state may not intervene, even in the case of trials of non-indigenous individuals who commit crimes within the territory, unless the community so desires.

The ACIN is responsible for the administration and development of the provincial indigenous territory. As a result of decentralization policies, the ACIN now has greater access to state resources, which are being used to meet basic needs at the local level.³ The organization is currently involved in developing their own systems of education, healthcare, natural resource management, and enterprise development. These programmes are designed to achieve equity, sustainability and regional self-sufficiency, in order to ensure the future well-being of the population. Activities include:

• agroforestry
  
  
• water conservation
  
  
• integrated management of small animals in schools
  
  
• improving food security through seed production and technology development
  
  
• commercial enterprises, including a dairy farm, a sugar mill, a marbleand limestone-processing plant, and a wholesale food business, among others.

These enterprises and activities are administered by staff from the organization, with professional and technical assistance from non-governmental organizations (NGOs), universities or others hired to provide training, technical assistance or advice. Decision making is undertaken in general community assemblies and councils of the cabildos. The ACIN itself employs five staff, with 100 to 150 collaborators at any given time.

The region

The territory under ACIN's jurisdiction is important in ecological, economic and political terms. The area spreads over snow-capped mountain peaks, moorlands, lagoons, forests (which are considered sacred places) and flat lands. As a major source of water, the territory irrigates 36 per cent of the nation's sugar production area and supplies water to important economic and industrial sites, including regional pipelines and a hydro-electric dam. However, 85 per cent of the lands are seriously degraded due to heavy settlement and land production. The area has always been attractive to private investors. There are large mineral deposits in the region, which continue to draw mining companies to the area. There is also an expanding sugar cane agro-industry.

Just as it is important in ecological and economic terms, the territory is also politically significant. As a result of the recent legal reforms, indigenous political representation has been strengthened both locally and nationally. In the last elections, the number of seats held by indigenous members in municipal councils increased from 12 to 28. At the national level, there are now two indigenous representatives in Congress. These are important political victories because political power in the region has traditionally been dominated by economic interest groups represented by the major political parties.

This changing political situation has gone hand in hand with the process of indigenous communities recovering land from large-scale farmers and regaining control of important economic activities in the region, including mining and trade. Industrial and agro-industrial companies increasingly recognize indigenous authority over the territories, and are building alliances with the ACIN to achieve mutual economic benefits.

The territory is also an important strategic crossroads where armed guerrillas, drug traffickers, and military and paramilitary groups operate. This has resulted in many deaths and massacres in the area at the hands of armed forces, including those of the state. As the main political authority in the region, the ACIN is presently supporting efforts to bring these groups to the negotiating table, but direct confrontations continue to occur.

Community development planning, monitoring and evaluation

The recent legislative reforms have not only strengthened indigenous control over its territories, but also provide a major opportunity to promote community participation in local development. In 1993, the ACIN embarked on a participatory process to formulate local development plans for each cabildo. This led to the design and legal recognition of 11 cabildo development plans for the 13 cabildos and one zonal (provincial) development plan for the whole area, which was designed to enable indigenous communities to manage their resources efficiently and to strengthen their cultural values.⁴ As a result of this planning process, communities have defined their unique form of development: this includes education and preventative healthcare systems that incorporate the Paez' particular cosmovision and cultural practices, and their own concept of economic development based on self-sufficiency. The planning process also put in place a system for the monitoring and evaluation of development plans and projects, so that communities remain actively involved in their implementation, management and oversight. Proposals presented by the community served as the basis for formulating local government programmes, adjusting local development plans, and evaluating and adapting the ACIN's programmes and projects at the provincial level. In other words, the M&E process itself has become an integral part of local development planning.

The M&E system assesses all sectors of development (i.e. education, health, natural resources, the economy and institutional development), and where these sectors interrelate (i.e. the cultural-productive, the cultural-environmental, and the productive-environmental aspects) (see Figure 7.1), seeks to base learning on the overall objective of harmonious relationships between the environmental, socio-economic and political aspects of the Paez's life.

Communities themselves define the indicators for M&E, based on their own world views and cultural practices. The methodology used is simplified in order to work directly with the community and facilitate local understanding. The process enables communities to review the expected results of their development plans and projects, adjust their goals, formulate new strategies and projects, and learn how to record information systematically (which they carry out themselves). It allows communities to interpret, compare and analyse data based on indicators defined by themselves from the outset. In effect, communities assess their development at different levels, by looking at overall performance within the family and community, the organization, and local society in general (i.e. at the municipal and provincial level).

Figure 7.1: Our development plan: expected fruits of our labour

The entire planning, monitoring and evaluation process is designed and conducted primarily through a body known as the assembly. Each assembly is a community meeting of about 300 to 600 people, held over three days. It is a large gathering of men and women, adults and youth, children, leaders and government officials, and others who collectively take part in decision making. Assemblies are usually held in different localities each time, during which all veredas (communities) are represented. In general, each vereda sends no less than 12 community representatives, with two members representing each of the six sectors (education; health; institutional development; agricultural-environmental; sports, recreation and culture; and households). What is decided by the assembly is regarded as official and is adhered to. These decisions carry authority and are therefore respected and taken into account by community leaders, local governments, working committees and advisers. The assembly is used to inform, develop awareness, and train members of the community. It provides a forum for community discussions to define local priorities and goals with regard to life, health, education, policies, justice, natural resource management and the economy.

So far, development planning has been undertaken in 13 cabildos in seven municipalities of la Zona Norte, which included the M&E of a total of 11 local development plans. Drawing up the local development plans and establishing the M&E system were both lengthy processes. Local development planning initially lasted between two to three years, while developing the M&E system took about a year. The development plans were drawn up over 14 three-day assemblies, with one assembly held every two or three months. The following section focuses in particular on the M&E of local development plans and projects.

Different levels and steps in M&E

The M&E process undertaken by the organization involves three cyclical levels (see Figure 7.2):

• a three-year evaluation cycle of the local development plan
  
  
• an annual evaluation cycle of local development projects
  
  
• a monthly monitoring cycle of project activities.

At each level, the M&E work is conducted in a series of stages or steps.

Figure 7.2: Cycle of monitoring and evaluation

First level

At the first cyclical level, local development plans which have been drawn up are evaluated every three years. The three-year evaluation cycle corresponds to the period of governance of the local administration, because every three years a new administration is elected, and development plans evaluated and adjusted. M&E at this first level occurs in several stages and takes place in four assemblies for each cabildo. Before the assemblies are held, a consejo de planeación (planning council) is selected by community representatives and is approved by the municipal mayor or governor of the cabildo. The consejo is represented by two members from each sector and co-ordinates the M&E work, including gathering information and documenting agreements reached in the assemblies.

The entire process is held in each cabildo or municipality that is monitoring and evaluating its development plan, and lasts for four months. In some cases, the M&E work was initiated during the first quarter of the three-year period beginning in 1995, while others began M&E work during the final months of the three-year period in 1997, which has then carried over to the next period. In total, 44 assemblies (four assemblies for each of the 11 development plans being monitored and evaluated) have been held. During the first assembly, the community defines or revisits its vision of the future or what it would like that future to be, and establishes development criteria by comparing present and past situations. Visual representations are used to provoke discussion amongst the different sectors and to reach consensus on the community's vision of its future. For instance, the present situation is analysed by reproducing data from using geographic information systems and other information on maps and models, which are small, three-dimensional scale models of the local area. These visual aids are used to define bound-aries, land use, coverage of services and any other information regarded to be necessary for decision making. The first assembly is also used to revisit the existing local development plan, identifying the achievements, strengths and weaknesses of each sector – based on the goals they had set out to achieve for the next three years.

The second assembly involves identifying expected results by sector, based on the vision and development priorities defined in the first assembly. From each vereda, and each of the six sectors of work, representatives are present throughout the four assemblies so as to ensure continuity. The expected results or achievements are prioritized and grouped into categories and variables, and indicators are selected for each. This work is undertaken by posing thought-provoking questions to the participants both in general plenary sessions and smaller groups. For instance, one such question raised may be: 'If this is your vision of the future, what concrete results do you hope to accomplish or achieve over the coming three years?'

After the second assembly, a workshop is held by the consejo de planeación, which reviews the indicators formulated by the assembly and converts them into questions. These questions are then used to develop surveys in order to collect baseline information. The surveys are answered collectively in large group meetings held in each vereda, with guidance from consejo members. Once the surveys have been filled out, the information is systematized and summarized in tables that show expected results, the corresponding indicators, monitored information, and achievements attained.

In the third assembly, the surveyed information is presented. The indicators are compared against the goals previously set, and additional goals are identified for the period that the local administration or municipal council will be in office (three years). Participants analyse the information in working committees set up to represent each sector. Information is then transferred on to bar graphs or histograms to indicate achievements and the new goals. Based on these figures, the assembly is able to compare the local situation across the different sectors.

The general analysis and findings of the third assembly are brought to each local vereda, where the community analyses its own situation and may even compare their performance with that of other veredas or the municipality. To conduct their own analysis, local communities receive summary reports containing visual information (i.e. bar graphs) that details the expected results and their respective indicators. The entire process of analysing data in a general assembly and then in local communities helps ensure that the goals and findings are verified and receive broad-based support from the communities.

In the fourth assembly, the local development plan, the goals, and activities are revisited and adjusted based on the evaluation findings and analyses. Goals are prioritized by the assembly, looking at the strengths and weaknesses that help or hinder the achievement of these goals, and strategies identified to attain prioritized goals. Development projects, which should support the local development plan, are then formulated with the help of the consejo and sectoral representatives from the community. These projects are then presented to the assembly for approval.

Throughout this entire M&E process, the consejo de planeación plays an important role, co-ordinating M&E work, providing facilitation support, etc. In between each assembly that is held, they conduct workshops and training activities in various localities. However, the consejo works together with a range of other individuals and groups who have helped in developing the M&E system. They include: a professional educator, a medic, an agronomist, a recreation specialist, an expert on family/household issues, a statistician, a map maker, and two planning coordinators. Community teachers, promoters (promotores), and leaders have also contributed. All of these individuals have assisted in some way in designing a participatory M&E (PM&E) process and have helped to select appropriate goals and indicators, data gathering instruments, and methods for analysing data.

Second level

The second level outlines the process for monitoring and evaluating the projects which have been approved by the assembly. Specific goals and expected results are defined for each project. Indicators are then identified, and a baseline study is carried out. The methodology used to conduct M&E at this level is the same process used for the local development plans at the first level (i.e. through assemblies, workshops, etc.). Projects are evaluated each year by the management committees responsible for their implementation. These committees comprise community leaders, promotores, the direct beneficiaries of the project (community members), the technical and professional personnel involved in the project, local NGO representatives, and representatives from other participating institutions, as well as public officials from cabildos, municipalities and the ACIN. The annual evaluations are usually held in two or three workshops, which last for three days each.

Third level

Project monitoring and continuous recording of data take place at this third level. Monitoring is conducted monthly and is carried out by the same management committees in charge of project implementation. The committees conduct workshops that allow them to collect monitoring information as well as to provide trainings to support project-related activities. They also carry out field visits and present periodic reports to the cabildos.

Results and findings from project M&E become part of the community's collective 'memory' which kindles and affirms their vision of the desired future. For the communities, the future is created by learning from and better understanding past experience: 'the future comes from behind, it is like a river.' Every three years, the assembly comes together with outgoing and incoming authorities to re-examine this 'vision'; it reviews and readjusts the expected results of development plans and projects, and once again begins a new cycle of planning, monitoring and evaluation. The M&E process itself is continually being reviewed and improved as the programmes and projects of the ACIN are implemented. The next section looks more closely at how communities select indicators and how results are viewed at both local and national levels.

Defining indicators and viewing results

As discussed earlier, indicators are defined to monitor and evaluate local development plans as well as development programmes and projects of each sector. The process for defining indicators uses an adaptation of the grassroots development framework (GDF) (see Figure 7.3) developed by the Inter-American Foundation (Ritchey-Vance, 1998; Zaffaroni, 1997; see also Chapter 3 of this volume).⁵

Indicators are selected to evaluate two main areas of work: (i) the development plans and projects; and (ii) the institutions involved in their implementation. The indicators defined are culturally meaningful and help communities assess the quality of their development plans and projects. Three expected results are identified; indicators are then selected for each expected result (see Figure 7.4).

Figure 7.3: Categories and variables of the development framework, ACIN

The first expected result is the strengthening of local spirituality, religiosity and the cosmic vision of the community's relationship with nature. This is viewed in terms of improving education, health and natural resource management. The second looks at the concept of reciprocity, which is achieved through forms of communal work, such as the mingas, and the collective distribution of the means of production and profits. Values of reciprocity are also used to assess the content of educational programmes and local health conditions. Thirdly, the respectful use of land is considered by assessing indigenous production systems, such as the tul (i.e. agroforestry, indigenous irrigation systems, etc.).

However, at the core of defining these goals (or 'results') and their respective indicators is the concept of harmony which communities regard as the ultimate expected result. In other words, 'harmony' is the desired state of well-being, signifying equilibrium and describing the harmonious relationship between nature, spirits that inhabit nature, people, and the community. Hence, ideas of unity, land, and culture form the central elements of the ACIN and the communities, and therefore must be incorporated into all development plans, programmes and projects.

Figure 7.4: Expected fruits of our labour-our institutions

Box 7.1 provides some examples of indicators and results defined for agroforestry programmes.

Selected indicators are also designed to assess the institutions that influence how plans, programmes, and projects are formulated and implemented. These include the ACIN, the local government (cabildos and municipalities), and private business. Three different aspects of institutional development are assessed, namely administration, orientation and planning, monitoring and management. The indicators listed in Box 7.1 address the categories identified in the development plan (see Figure 7.1) such as coverage (cobertura), sustainability (permanencia), efficiency or sound management of resources, planning and programming to ensure effectiveness, training and technical assistance for building local skills in technical and legal management, autonomy and decision-making power in keeping with local values and practice, and, finally, participation as a means for ensuring local accountability and equity.

Indicators identified by communities are compared and matched with national indicators. By doing so, indigenous communities are better able to communicate local experiences and findings based on the parameters set by the state, which requires the efficient and effective use of resources allocated to the territorial entities. Expected results at the community level, which are comparable to those identified at the national level, include such indicators as the efficiency of the health and education sectors, (i.e. in terms of coverage (accessibility) and sustainability of activity and conservation of natural resources). However, in some instances, communities still select indicators based on their own prioritized objectives, which are locally meaningful and unique to Paez indigenous culture but which may differ from those set by the state – for instance, communities focus on achieving self-sufficiency rather than surplus production.

Local impacts of the PM&E process

The ACIN's M&E process has allowed indigenous communities to take advantage of new opportunities brought about by the recent legal reforms. Communities are playing a greater role in defining their own development process, and reaffirming their own knowledge and culture. At least four main impacts on the community may be highlighted as a result of the PM&E process:

• strengthening community participation
  
  
• increasing public accountability
  
  
• becoming better decision makers and managers
  
  
• changing power relationships and creating horizontal relationships.

Strengthening community participation

This process has encouraged the entire community to become actively involved throughout the development process, from planning, implementation, monitoring and evaluation. Community members, regardless of their formal education backgrounds, take part in decision making and learn how to develop a common vision, reach consensus, analyse information, and work towards achieving their goals. All discussions take place using the local language in order to encourage all members to participate and to capture unique aspects of the local culture. Even those who are non-literate are encouraged to participate by using visual forms of communication (i.e. bar graphs, histograms, maps, models, videos, photographs, etc.). Thus, communities are able to visualize their objectives, check their progress, and verify their achievements, recognize obstacles, and re-adjust goals and expected results accordingly.

Reaching consensus and making collective decisions have been critical outcomes of the PM&E process. However, conflicts have also been generated because the process allows contradictions and differences between individual and group interests to be aired. Therefore, an idea or action rejected by the general assembly often results in harboured grudges and resentments, which, in turn, have caused some to work against the entire process-for instance, in one municipality, a popular mayor was killed by an opposition group. Nevertheless, because much of the M&E work is carried out through the assemblies, it is generally difficult for any one individual or group to dominate or manipulate the process. In some instances, the process had weakened the traditional influence and power of politicians in the assemblies, but many young people are now emerging as important leaders as they take on greater roles in co-ordinating assemblies and overseeing M&E activities.

Increasing public accountability

In promoting increased community participation, the M&E process has also built local accountability into the development process. Communities assess their own institutions who are held liable in terms of fulfilling their commitments and responsibilities. There is also greater local awareness with regard to how local governments (municipalities and cabildos) allocate resources and design programmes and projects. Communities now help in formulating investment plans and determining budgets, which, in turn, creates a local sense of responsibility in moving their development plans forward and achieving their objectives.

Becoming better decision makers and managers

The process has also been important because it generates information and improves local understanding regarding the use and management of state resources. Communities are better able to assess their overall performance over time, know where they are and where they are headed in terms of achieving development objectives, and may even compare their achievements with other communities. Hence, they become better decision makers and managers of their own development process. This entails knowing how to formulate plans and projects, allocate resources, and seize other opportunities that would allow them to improve daily life. Developing these local capacities is especially critical, as state resources are increasingly limited and communities are required to demonstrate efficiency and effectiveness.

Changing power relationships and building horizontal linkages in the region

As communities recognize their own potential and exert greater control over their territories, the process is transforming traditional power relationships and establishing horizontal linkages across the region. Communities now see themselves as legitimate stakeholders, especially in the development of their territories – for instance, information generated from the M&E process is being used by communities to negotiate and establish alliances with both the private sector and national government. Indigenous communities have forged partnerships with private businesses, and are discussing how natural resources (i.e. large mine deposits) under indigenous control can be utilized for their mutual benefit. Communities also use the M&E information to negotiate with government at regional and national levels to gain greater access to state resources. Information is further used to advocate more appropriate and practicable policies which favour the interests of indigenous communities. Currently, the ACIN and other indigenous representatives are working to pass laws on indigenous healthcare, education, natural resource management and food security.

Document(s) 9 of 24