Community implementation of adaptation measures in forests and agroforestry systems

The EbA measures implemented in the sub-basin focused on water and soil ecosystem services, on productive diversification and on mitigating the impacts of climate change on crops and community assets. Together with >100 producers from the upper part of the sub-basin, fruit and timber trees were introduced into agroforestry systems bordering 7 water sources, and organic agriculture was encouraged, allowing families to diversify their income and reduce the vulnerability of their crops, productive infrastructure and housing, which are affected by strong winds. This, in combination with soil and water conservation practices (hillside irrigation ditches, non-burning and crop residue incorporation), has helped to reduce soil erosion caused by extreme rainfall, as well as improved moisture retention in crops, soil fertility, and water infiltration and capture in the area. The EbA measures not only generate more resilient agro-ecosystems, but also increase the availability of water, which benefits >400 families in the sub-basin. These actions have raised awareness of the need for ecosystem and adaptive approaches to territorial management in the face of climate change.

  • Improving the state of soils is not only a way to ensure increased productivity, but also in the medium term, helps to reduce the tendency for migratory agriculture, as it ensures that families can work the same plots for many years. This influential factor favours the uptake of soil conservation practices by families.
  • Plan Trifinio began years ago a forest incentives scheme for forest owners with the aim of contributing to their protection and with that, to water capture in the basin.
  • The staggered planting of crops with fruit and timber trees is a very effective way to raise awareness of the benefits of associating trees with crops. It makes it possible to tangibly see how agroforestry systems can help to address the impacts of climate change and diversify family income.
  • The implementation of agroforestry systems and soil conservation practices should allow crop diversification and increases in income to accrue in a short period (using basic grains, avocado, etc.) and not only over the medium and long term (use of pine trees and cypress). For this to materilize requires joint planning between the producer and the technical advisor.
  • It is important to take into account land tenure where water sources are located. Municipalities commonly own only the water springs and not the lands that surround them. This entails working with the owners of the forests and lots that surround the water sources, to protect and/or restore those lands and allow the installation of pipes to provide communities with water.
"Action learning" and monitoring to increase capacities and knowledge

Supporting producers to implement EbA measures that improve their productive practices and increase the resilience of agro-ecosystems, generates an "action learning" process that allows other actors to witness the benefits of these measures and creates conditions for their sustainability and up-scaling.

  • The socio-environmental vulnerability of communities and their livelihoods is examined, in a participatory way, in order to then prioritize EbA measures and their location.
  • Technical support is provided to producers, complemented with their traditional knowledge, to plan and implement the EbA measures (improvements to agroforestry systems).
  • Training and exchanges of experience are carried out on transboundary cooperation; integrated management of water resources; AbE; policy frameworks and legislation on water and climate change; and policy influencing and communication.
  • Monitoring of food and water security is carried out with 14 families.
  • The governance and management capacities of community and municipal entities linked to water resource management is strengthened.

The increase in skills and knowledge strengthens social capital and contributes to community empowerment and to valuing ecosystem services and their management for the benefit of all.

  • Climate change and, in particular, the availability of water, are factors that concern stakeholders in the sub-basin, which increases their willingness to take part in dialogue, constant learning, the search for solutions and joint actions.
  • Plan Trifinio has been implementing conservation measures in the territory for years and works closely with local producers and actors. The institution also has ample experience with participatory processes, which is another enabling factor for successful “action learning” processes.
  • To achieve changes at the landscape level, work must first be grassroots, at the community level. For this, strengthening the capacities of Water Committees, which are part of the Community Development Associations (ADESCOs), so that they can widen the scope of their interventions beyond sanitation requirements, has been crucial.
  • Exchanges of experience (e.g. with actors from the Goascorán River basin and with other ADESCOs from other parts of the basin) were an effective mechanism to reinforce collective learning and demonstrate the advantages of transboundary collaboration.
Achieving ecosystemic governance for adaptation

Governance for adaptation requires an ecosystemic vision, whereby actions implemented in the field for building up the resilience of natural resources focus more on protecting watershed ecosystem services (forest-water-soil) and less on responding only to problems found at the level of individual farms. For this reason, the prioritization of restoration areas is key, since it must be with a view to improving water capture and also productivity (local livelihoods). The three types of EbA measures implemented in the Goascorán River basin were: 1) restoration of water sources, 2) soil conservation, and 3) agroforestry systems. This combination recognizes the interdependence of the forest-water-soil components and allows communities to witness positive changes over intermediate periods, which in turn increases their confidence in the "natural solutions" being introduced for water and food security. Territorial management with a basin or micro-basin vision also contributes to the ecosystem approach that is required for sustainable development, that is, one that is adaptive to climate change.

  • Climate change, and in particular, the availability of water for human consumption and agricultural use, are factors that concern most micro-watershed stakeholders, which increases their willingness to prioritize actions that favour water recharge zones and disaster risk reduction.
  • Once prioritized EbA measures were implemented, improvements in the conditions of the water recharge zones and in the organizational and governance capacity of the communities became evident, also helping to consolidate the concept that forest cover is a collective "insurance” in the face of climate change.
  • The self-motivation of communities (around water and their livelihoods) and the leadership of key local actors are determining factors in achieving good governance for adaptation and in the successful implementation of EbA measures.
Achieving flexible governance for adaptation

Adaptation to climate change is immersed in a series of uncertainties regarding future climate impacts and development trajectories. Therefore, adaptation must proceed under a flexible “learning by doing" approach, integrating flexibility into legal and policy frameworks, and into sequential and iterative decisions that generate short-term strategies in view of the long-term uncertainties. In Goascorán, the lack of regulatory and policy frameworks for the management of shared basins limits the capacity to jointly respond to climate change - and therefore to be flexible and learn. This limitation was remedied by integrating adaptation into various management instruments at the micro-watershed, municipal and national level, and in transboundary agendas between local actors. The effectiveness of these (and other new) frameworks should be evaluated in interim periods, to allow for revisions and adjustments as knowledge about climate change increases; the same is true for EbA measures in the short term. The information that underpins these iterative processes must integrate Western science with local knowledge. In this way, it is possible to be flexible and identify new adaptation options and criteria for its evaluation.

  • A key aspect of governance for adaptation is the institutional and policy frameworks that back or facilitate it, and that confer it flexibility or not. In this sense, it was possible to take advantage of the window of opportunity offered by the updating of the Municipal Environmental Plans (El Salvador) and Municipal Development Plans (Honduras), the preparation of the National Adaptation Plan of Honduras, and the use of the legal figure of “Technical Tables” in El Salvador; all of which consecrate the value of governance for adaptation.
  • It is important to monitor and evaluate any improvements achieved through EbA, in order to use on-the-ground evidence to inform and substantiate changes to legal, policy and management frameworks, and in this way apply a flexible approach to adaptation governance.
Achieving participatory governance for adaptation

The participation of all basin stakeholders has been at the core of the conformation and training of new governance structures for the Lituy (Honduras) and Honduritas (El Salvador) microbasins. The integration of grassroots (community-based) organizations, such as water boards, producer associations, women's or youth groups, Community Development Associations and educational centers, has been important. Locally, the leadership shown by teachers, women and community authorities contributed significantly to social mobilization and the adoption and scaling-up of EbA measures, making these actors an essential part of the "learning by doing" processes of communities. The result is self-motivated communities that participate and take on responsibilities. At the basin level, the Goascorán River Basin Council on the Honduran side was expanded, while in El Salvador, the most appropriate figure to accommodate the broad membership required was the Environmental Technical Table, which is why two Tables (for the northern and southern areas of La Union) were created and strengthened. Many of the members have become advocates for the work of the Tables with the aim to have these structures recognized by local authorities and legalized in the medium term.

  • Local actors are interested in coordinating actions and improving basin management, which contributes to making governance mechanisms and platforms effective and sustainable.
  • MiAmbiente (Honduras) has the legal obligation to accompany the conformation of Micro-basin Committees across the country, and this must be preceded by a socio-ecological characterization that first allows each micro-basin to be delimited.
  • Having previous experience in carrying out participatory processes is an enabling factor for the successful conduction and conclusion of such processes (e.g. when prioritizing certain interventions).
  • To have strategic alliances with different organizations is key, especially with municipality commonwealths (ASIGOLFO and ASINORLU), in order to promote spaces for dialogue and agreements regarding the waters shared between Honduras and El Salvador.
  • The accompaniment of MARN (El Salvador) is necessary when addressing environmental issues and the adequate management of water resources, especially in a transboundary context. Once the negotiation with local actors had begun for the conformation of the Environmental Technical Tables, the support and participation of MARN’s Eastern Regional Office was important in order for these groups to be valued and regarded as governance platforms for the Honduritas River microbasin, in the absence of a formal institution for watershed management.
Achieving multidimensional governance for adaptation

The work in Goascorán targeted several levels of decision-making to reinforce the basin’s governance through the vertical and horizontal articulation of socio-political platforms; all of this in order to achieve a multidimensional (multilevel and multisectoral) governance model for adaptation. At the community level, EbA measures were implemented in the field to improve food and water security. With municipalities, adaptation to climate change was incorporated into Environmental and Municipal Development Plans. At the micro-basin level, two Micro-basin Committees (one on each side of the border) were created as multi-stakeholder governance platforms, receiving training, preparing internal regulations and plans, and enabling wide-ranging advocacy (e.g. civil society, municipalities and municipal commonwealths). At the basin level, in El Salvador, where several Technical Tables operate, two Environmental Technical Tables were established for the north and south of La Union in order to articulate the basin’s shared management, and linkages were sought with the Goascorán River Basin Council that operates on the Honduran side. At the national level, the recent National Adaptation Plan of Honduras comprises the EbA approach, as does the new Regulation of the Honduran Climate Change Law

  • Honduras has a legal framework (Water Law) that creates the entities of Basin Councils and Micro-basin Committees, unlike El Salvador. With this, the Micro-basin Committee established in El Salvador, although very functional, lacks legal backing, which prevents it from managing projects and administering funds.
  • Significant synergies were achieved with other projects in the Goascorán basin (e.g. BRIDGE and “Nuestra Cuenca Goascorán”), especially in coordinating actions to strengthen basin-wide governance and scaling up the EbA approach.
  • To strengthen governance at multiple levels, it is essential to initiate work with grassroots groups (community level) and with existing local governance platforms, such as, for example, Community Development Associations (El Salvador), to then scale-up to higher levels based on the experience acquired and the results achieved.
  • The project known as BRIDGE left the following lesson learnt, which is also relevant here: "Water diplomacy does not necessarily follow a straight path. Effective strategies need to incorporate multiple dimensions and a phased approach, interconnecting existing structures and those under construction in the basin."
Strengthening governance for adaptation

 Within Chiapas rural governance structures, the ejido Assembly is the main social platform where participatory decisions are made regarding natural resources. Ejido land tenure in Mexico is an example of individual and communal tenure co-existing within communities. Communal lands are titled in the name of the community leaders. Ejido Azteca and Alpujaras are partly witin the Tacana Volcano Reserve.

 

With a view to increasing the ejidos adaptive and management capacity main actions undertaken under this solution were:

  • Training on climate change legal and policy frameworks was delivered to ejido leaders and municipalities officers.
  • Development of the Local Strategy for Sustainable Development under Climate Change of La Azteca ejido.
  • Conformation of ejido's Water Committees. 
  • Public presentations on events such as the VII National Congress on Climate Change Research. Leaders shared the benefit of soil conservation practices and forest protection to water security.

 

  • The communities living within the river basin -organized through the ejido assemblies- are strong advocates for the sustainable use of resources/conservation for improving water and food security and ecosystem-based adapation.
  • Technical knowledge and leadership skills are important to inspire the rest of the community and ensure decision making for communal lands in the Assembly with a view of building up resilience.

 

  • With the ejido Assembly making decisions regarding the use of common goods and ecosystem services, governance for adaptation is strengthened. However, there still lacks further organization of the ejido’s social capital and articulation with other organizations, civil associations and the municipality, in order to convert the problems faced by the owners and possessors of forest lands into opportunities.
  • Governance must continue to be strengthened in order to give sustainability to EbA actions, so that their continuity is not dependent on external assistance.
Strengthening governance for adaptation

Within ejido community structures, the ejido assembly acts as a governance platform and is the highest decision-making body. Achieving the approval of the assembly was a key step to initiating and then increasing mangrove restoration efforts in the Conquista Campesina ejido. A community program was developed for the conservation of wetlands and aquatic systems through the voluntary conservation of lands nominated as "ecological easements". Thanks to its work around the mangroves, the ejido’s organization has improved and generated more institutional linkages, both with state and federal entitites. This also opens up opportunities to up-scale adaptation needs to higher levels of government. With this aim of political advocacy, ejido members participated in the VII National Congress on Climate Change Research, sponsored by the recently re-activated Chiapas Climate Change Advisory Council, to present the benefits of EbA as well as proposals for their priorities to be taken into account in the State’s climate change policy. Assisting the ejido’s social organization therefore helped to enhance governance for climate change adaptation from the local to the state level.

  • The support of the ejido assembly favours the implementation and monitoring (M&E) of EbA measures. This is a social reseach with household surveys that is to be applied during rainy and dry season.
  • The National Congress on Climate Change Research, involving the newly re-activated Chiapas Climate Change Advisory Council, offers a window of opportunity for stakeholders, such as the ejidos, to present their needs and proposals related to climate change, before different state entities.
  • The ejido’s organization and the technical support were key for the implementation of restoration and monitoring actions, and also in the adoption of agreements, the up-scaling of EbA, and the accessing of financial resources under federal programs (CONAFOR’s Payment of Environmental Services).
  • Given the mosaic of property regimes that exist on the coast of Chiapas, the best alternatives for protecting coastal ecosystem services and local livelihoods are those derived from conservation mechanisms for which the main driving force is the active participation and empowerment of the users and owners of the natural resources.
Achieving ecosystem approach for adaptation

Under an ecosystem-based adaptation approach and a micro-basin vision, efforts in Esquichá focused on improving livelihoods and ecosystem resilience in order to reduce climate change vulnerability. Tropical storms and hurricans such as the Stand affected communities in the past (water infraestructure, erosion or loss of water springs). Applying an ecosystem approach was part of strengthening governance for climate change adaptation in the Esquichá micro-watershed.

 

Measures implemented are: 

  • protection and recovery of forests in water recharge zones. E.g. protection of pine forests (Abies guatemalensis) that harbour water sources that supply populations in the lower part of the micro-basin.
  • Restoration of degraded lands and stabilization of slopes
  • Implementation and optimization of agroforestry systems.

Additionally, there was broad acceptance of the need for a more integrated approach to water resource management, partly due to the water scarcity that communities suffer during the dry season and in the upper parts of the micro-basin. The concept of environmental social responsibility was also promoted among communities, whereby upstream communities take measures that benefit downstream communities. 

 

  • Climate change, and in particular the availability of water, are factors of concern to most micro-watershed stakeholders, which increases their willingness to prioritize actions that favour water recharge zones and disaster risk reduction. In Esquichá, the occurrence of extreme events in previous years had strongly impacted several communities, causing damage to both assets (crops, housing, productive infrastructure) and water resources.
  • In order to proof the effectiveness of implemented EbA measures contributing to the climate change resilience of communities, and thereby building confidence in the strategy adopted, the first step was to promote reforestation in the upper parts of the micro-basin (where water sources are found) or in areas affected by landslides, as well as community work around forestry nurseries. These actions helped to consolidate the concept that forest cover is a "collective insurance" in the face of climate change.
  • Valuing the ecosystem services of the basin helped to see adaptation as a task for all communities, a way to obtain benefits for both the Esquichá micro-basin as well as other communities located further down in the Coatán River basin.
Achieving flexible governance for adaptation

Governance options and responses for adaptation to climate change are new and must be constantly evolving; desicions and governance pklan need to be flexible; hence adaptation must move forward under a flexible approach. This is possible with the application of EbA measures with a "learning by doing" while using best available sicientific information on climate scenarios and informing policy local and national instruments.

 

Climate vulnerability in Esquichá was assessed using the CRiSTAL tool ( “Community-based Risk Screening Tool – Adaptation and Livelihoods.")

 

After a first planing of EbA activities, actions for integrating flexibility were:

 

  • The periodic evaluation of field EbA actions and the adoption of short-term decisions
  • Monitoring and evaluation results will be key to include important adjustments
  • Inclusion of EbA measures in the Microbasin Management Plan
  • Assessment of measures to inform the municipality Development Plan.
  • Informing of results to competent authorities as the municipality of the Forest Institute (INAB). This has lead INAB to seek tools to improve the way incentives are assigned and to identify communities located in key water catchment areas.
  • Political interest in mainstreaming EbA and water security criteria into forest incentives programs has grown.
  • Political interest of the municipality of Tacaná.
  • Tecnical capacity of the municipality of Tacaná.
  • The information must integrate the sciences (physical, biological, economic and social) with traditional and indigenous knowledge.
  • The "action learning" or “learning by doing” approach is a key part of achieving flexibility in adaptation governance. Constant improvements should always be sought and those practices, strategies and policies that contribute to increasing socio-environmental resilience should be appraised. As a result of this approach, members of the Esquichá River Microbasin Council are more aware, on the one hand, of the legal and policy frameworks that facilitate multidimensional governance and the articulation required to address climate change and, on the other, of the need to monitor and evaluate, over time, the benefits that ecosystems bring for adaptation and local livelihoods.