Response to:USAID/DCHA/CMM

Annual Program Statement FY 12 Conflict Mitigation and Reconciliation Programs and Activities

(Funding Opportunity N° APS-OAA-12-00001)

Strengthening the process of effective and sustainable transforming dialogue for preventing and transforming socio-environmental conflict in three of Peru’s Amazon regions (Amazonas, Loreto and San Martin). 

USAID Mission in PeruProposal submitted by:

CARE PeruIn association with ProDialogo and Red Social.

Technical ProposalCountry: Peru

March 9, 2012

Information about the official authorized to negotiate in CARE’s name:Milo StanojevichDirector, CARE PeruAv. Santa Cruz 659, Jesus MaríaLima 11, Perúmstanojevich@care.org.peTelephone: +51 14171100Fax: +51 14334753

Executive summary

This proposal aims at introducing a intervention strategy that contributes to building a culture of peace and strengthening governance in territories and populations where there are mining and hydrocarbons explorations, in the context of a national economic growth. The strategy focuses on areas such as forest concessions. It aims to address challenges such as reducing inequalities and achieving effective social inclusion, especially in Amazon regions where indigenous communities live in concession areas marked for exploration. This is one of the main principles of the current government of Peru. It must be mentioned that currently more than 70 % of the Amazon area is under concessions for activities related to the exploitation of hydrocarbons, in locations where approximately 80% of the indigenous territories are taken by hydrocarbon concessions, which increases the possibility of conflicts. The current and future situation of the mining concessions, the hydrocarbons and forestry issues in the Departments located in the Peruvian Amazon will give way to potential social conflicts, if effective and real insertion strategies and mechanisms are not developed as well as respect for the rights of the associated indigenous communities. Currently in Amazonas there is 01 valid concession contract, 02 in San Martín and approximately 30 concessions are in operation in Loreto and 08 are in qualification process1. With regard to forestry concessions, San Martín and mainly Loreto have forestry concessions oriented to lumber processes.

The identified Problem is the increase of confrontation practices of fixed attention and violence in the society with regard to socio environmental conflicts. Against this background, Care Peru proposes this intervention strategy. The Medium Term Goal of the Project is to Contribute to the institutionalization of a culture of dialogue for the prevention and transformation of socio-environmental conflicts and in that way to make possible to create intercultural democratic governance in the Peruvian Amazon area as well as a sustainable development. For all that the project’s aim is to Promote effective and sustainable models of Transformational Dialogue, for the prevention and transformation of socio-environmental conflicts in 03 regions of the Peruvian Amazon area (Amazonas, Loreto, San Martín), that are the referrals for replication by the National and the Regional government. The project will achieved through the following outcomes: i) Spaces for Transformational Dialogue that are recognized and effective for the prevention and trans- formation of socio-environmental conflicts; ii) Men and women leaders of indigenous people in the intervention area are empowered for the full exercise and promotion of their rights and for multi-stakeholder intercultural dialogue, and iii) the Regional and Local Governments of the area develop and implement governance mechanisms for the prevention and transformation of conflicts, and to generate learnings for the public policies.

The Project is scheduled for a period of 30 months in the regions of Amazonas, Loreto and San Martin and is oriented to socio-environmental conflicts related to extractive activities of renewable and non-renewable natural resources where local communities that include the indigenous people are participating.

Total project cost in US$

Amount requested from USAID $ 1 196, 221.76CARE matching funds $ 107, 449.10Total project cost in US$ $ 1 303, 660.86

1 According to information provided by the Ministry of Energy and Mines (MEM)-2012.

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1. Technical narrative.1.1.- Approach and Methodology:

1.1.1.- Context & Conflict Analysis.

Despite the fact that progress has been made by the institutions on the prevention and transformation of conflicts nationwide, conflicts are still a problem that affects the governance and development of the nation in the framework of a culture for peace.

According to the Social Conflicts Report N° 95 of the Office of the People’s Ombudsman 2, in January 2012 out of 228 total conflicts nationwide, 129 (57%) are socio-environmental, basically with regard to hydrocarbons, mining and, to a lesser extent, to forestry issues. The trend of the socio environmental conflicts has increased from year 2008 to this date, but in years 2009 and 2010, 47% and 46.5% of the conflicts were of a social environmental character. From 153 active conflicts, 106 are socio environmental (69%). Of the 77 active conflicts that currently in a dialogue process for January, 75 % (57 cases) refer to socio environmental conflicts, and 10,5% (8 cases) refer to National Government issues. The main responsibility with regard to the social conflicts that have been recorded is relevant to the National Government, with 143 cases (62.7%); followed by the Regional Governments, with 23.3% and the Local Governments, with 10.5%. These governance issues are urgent challenges for improved effectiveness in conflict management, displayed in an increased trend during the last five years with regard to active conflicts and a stationary trend for the latent and the resolved conflicts.

In Departments located in the Peruvian Amazon there have been serious problems during the last years3. In August of year 2008, indigenous people from the Amazon area protested against the government decrees related to the sale of land areas that to some extent are located in the indigenous communities, for the exploitation of oil and gas. After 11 days of protesting activities with participation of almost 12,000 indigenous people, the Legislative Power repealed the Decrees 015 and 1073. In June 2009, there was a violent fight between indigenous people and the Government near Bagua, in the Department of Amazonas. The conflicts took place after more than one month of protests made by the indigenous peoples against the decrees issues by the government during the period (2006-2011), and the Executive Power repealed the decrees number 1090 and 1064.

It must be mentioned that currently more than 70 % of the Amazon area is under concessions for activities related to the exploitation of hydrocarbons, in locations where approximately 80% of the indigenous territories are taken by hydrocarbon concessions and that increases the possibility of conflicts. Loreto, Amazonas and San Martin cover a large part of the indigenous communities and Amazonian ethnic people. Loreto has 705 indigenous communities, Amazonas 254 and San Martín, 90 (2007)4. The intervention proposal is centered on these 03 Departments that despite the nationwide economic and social progress of the last years, they continue to be territories of high human poverty and low development. Notwithstanding the reduction of the monetary poverty rates nationwide, the levels are still high in various Departments of the Peruvian amazon, as for year 2010, the poverty rates were 44% for Amazonas, 49% for Loreto and 31% for San Martín, while the extreme poverty (indigence) rates (2009) were 25%, 27% and 12%. The gaps of the social indicators between urban and rural areas are large ones, and according to UNICEF (2010)5, the poverty rate among the people of 2 Office of the People’s Ombudsman 2012. Report of Conflicts N° 95 (January). Lima. OXFAM (2010), Poverty, Inequality, and Development in Peru. Annual Report 2009-2010.3 OXFAM (2009), Mining Conflicts in Peru. Critical condition, March.4 INEI, Census of the Indigenous Communities in the Peruvian Amazonian Area 1993 and 2007.5 UNICEF (2010), Condition of Indigenous Children in Peru.

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Amazonian mother tongue was 81% and extreme poverty was 41%, while chronic malnutrition of children among the indigenous Amazonian people can be in an average of 50-60%. Up to this date, there were 02 active conflicts and a possible 01, in Loreto 05 active conflicts and 02 possible ones, in San Martín 02 active conflicts and 02 possible ones. See annex 6.

There are context factors that may give way to probable future social conflict situations: i) Regulation of the law for Previous Consultation Law, because a sector of the indigenous population considers that the Previous Consultation Law must be modified; ii) Process for the Regulation of the Forestry and Wildlife Law, because a sector of the indigenous population considers that the Law must be modified, and iii) The implementation of the REDD+ process (Reduction of Pollution derived from Deforestation and Forests Degradation) in Peru because a sector of the indigenous population considers that the demands with regard to territory rights must be solved first, iv) informal and illegal small scale mining, and v) expanded energetic infrastructure, among others.

1.1.2.-Theory of Change.

From the analysis of the above context the following problems are derived from the socio environmental conflicts in the priority Departments: Loreto, Amazonas, San Martín.

The identified Problem is the Increase of confrontation practices of fixed attention and violence in the society with regard to socio environmental conflicts.

The main direct causes 6: are: (1).- the weak dialogue culture among the social and institutional stakeholders; the lack of legitimacy and prestige of the dialogue spaces because of its low effectiveness; (3).- the sector policies that do not have an intercultural perspective and respect for indigenous people rights; (4).- Promotion of public and private investments (mining, hydrocarbons, hydro electrical, bio-fuel, road infrastructure) that underestimate the social and environmental impacts; (5).- Administrative and legislative processes that are not consulted with the indigenous people; (6).- Fear of the population with regard to environmental pollution and degradation and to lose their lands; (7).- Lack of trust with regard to evaluation and environmental control tools (EIA7, PAMA8, ECA9) because of the historical negative background; (8).-The Government limited prevention capability, (9).- Culture of illegal issues in the increased extractive activities (illegal and corrupted trade chains) and (10).- Confronting local leaderships.

In front of this problem, this proposal sets forth a Strategic Change (MediumTerm Goal): To contribute to the institutionalization of a culture of dialogue for the prevention and transformation of socio environmental conflicts that make possible to have intercultural democratic governance in the Peruvian Amazon area as well as a sustainable development.

This change will be possible only through an interaction of the Government, the Private Sector and the Civil Society, with Complementary Roles10 that will generate synergy.

6 As indirect, underlying or structural causes: Social exclusion, Historical processes of social exclusion of original peoples, Inequity, Lack of trust and of structural legitimacy with regard to the Government and its institution s. Lack of presence, efficiency and action of the Governments, Different cosmovision among the stakeholders with regard to development options for the Amazonian area, populist and clients style of the government that give way to confronting conditions, Centralism, Corruption practices in the Government and Society7 Environmental Impact studies.8 Adequation and Environmental Management Programs.9 Environmental Quality Standards.10 The Roles required from the Government entities, the Civil Society and the Private Sector, to go progressively from a situation of problem to that of strategic change, are shown in the enclosed scheme.

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The Purpose of the intervention (Project) aligned to the proposed Strategic Change is to promote effective and sustainable modalities of Transformational Dialogue for the prevention and transformation of socio environmental conflicts in 03 regions of the Peruvian Amazon area (Amazonas, Loreto, San Martín), that are reference points for replication by the National and Regional Government. The project intervention period is 30 months.

To achieve the proposed objective, 03 Components/Outcomes are proposed:

R1 Spaces for Transformational Dialogue that are legitimate and effective for the prevention and transformation of socio environmental conflicts.

R2 Men and women leaders of indigenous people in the intervention area are empowered for the full exercise and promotion of rights and the multi stakeholder intercultural dialogue.

R3 The Regional and Local Governments in the area develop and implement governance tools for the prevention and transformation of conflicts, generating learning for public policies.

Annex 1 shows the scheme of the theory for change of the Project. Annex 2 shows the strategies, methodologies and tools to be implemented in the Project.

1.1.3.- Gender Integration.

By ‘gender’ the project understands the “social differences between women and men learned during the life cycle, which despite being deeply rooted in all cultures, change over time and vary greatly within and between cultures”11. Gender – together with class, race and age – helps to shape the roles, power and resources available for women and men in any culture. Hence the project defines Women’s Empowerment as “the sum total of the changes necessary for women to become aware of all their human rights – the combined effect of the changes in their own aspirations and potential, the context that surrounds them and conditions their choices, and the power relations through which they negotiate their choices”, dimensions defined as: Agency (Changes in their own aspirations and potential), Relations (Power relations through which they negotiate their choices) and Structure (context that conditions their choices).

The project will hold effective and sustainable activities for improving gender relations in the project area (Loreto, Amazonas, and San Martin), as part of a strategy sustained throughout the intervention:

Conducting an analysis of the initial status of the gender perspective, determining as one of the main variables the distribution of roles and time in social and production issues among the men and women in the communities in the project area, in order to have a starting-point for defining specific intervention in the roles of men and women in preventing and transforming socio-environmental unrest.

Conducting a thorough, participatory and gender-sensitive analysis of the prevention and transformation of socio-environmental unrest.

In its facilitation role, CARE will encourage greater government presence, particularly of the education and health sectors, that help reduce the social gaps between men and women in the intervention area (reducing the literacy gap between men and women in the community, gaps in

11 CARE, Gender Policy, 2008.

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child and maternal health between indigenous women and women in cities and intermediate cities).

Fostering community mechanisms for women to devote more of their time to accessing capacities in rights for their empowerment, capacities promoted by the project.

Fostering gender equality as a strategic objective in the Amazon communities’ action plans and management mechanisms.

Raising the awareness of the community authorities in the project area about the importance of gender for sustainable development.

Fostering growing participation and protagonism by women in the consultation process regarding timber and hydrocarbon projects.

Encouraging the emergence of new women community leaders, with enough knowledge to give adequate support to dealing with local unrest.

1.1.4.- People-to-People Approach.

From the transformation approach, the conflict is part of the human relations; therefore it is an opportunity for a constructive change. The conflicts are something that requires changes in the context of their origin, in the persons involved, in the relationship that exists among them, and in the cultural patterns and its dynamics. A real dialogue in the proper conditions permits this constructive change. Of course, to assimilate and practice this implies a change in the paradigm of the people involved.

The People to People approach contributes to that change, because emphasizes the person and the relationships and links that they establish in the spaces where they are interrelated: consensus tables, negotiation tables, and/or dialogue tables in the Amazonian region. While the objective is to obtain immediate outcomes that might be important in order to achieve a specific objective in these spaces, the experience has shown that they are not effective to solve conflicts. During the conflicts, the dynamic of interaction and relationships in these spaces are affected by opposed positions, interests and prejudices that are proper of the ridigity that comes with the fact of belonging to a certain organization or social group. Under the PP approach the interpersonal links are not considered, there is not intervention of a burocratic structure, or without the obliged charge of a group representation.

The Dialogue Group Mining and Sustainable Development (GDMYDS) is the first entrepreneurial and government leaders attending the meetings agreed to participate in a personal way, with flexibility, and in that way not being forced to adopt agreements to satisfy the social demands. This fact favored the flow of knowledge among the stakeholders and the direct exchange of ideas. In this way, representatives from the communities, NGOs and the government started gradually to value this space, where participation has been increased. In an area where the “dialogue tables” start to lose prestige, the GDMDS validated a different methodology: to create links among those that are used to attack and to accuse each other, without forcing them to look for solutions for the specific conflict reasons. Specifically, the people to people approach has permitted the participants to overcome moments of disagreement and polarization, where the GDMYDS has been able to meet once more its communication goal. Its current success permits it to extend its experience to new relation networks, such as the Amazonian case, a process that is supported by our proposal.

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1.2. - Implementation Plan:

1.2.1.- Implementation.

To achieve the above outcomes and objectives for the project, and thereby contribute to the Medium Term Goal (Strategic Change) indicated in the Theory of Change, we propose developing the following activities:

R1 Legitimized and effective Transformative Dialogue spaces for the prevention and transformation of socio-environmental conflicts.

1.1. Identify the context of conflict and social dynamics in the area of intervention. It involves analysis at three levels: a) systemic analysis of intervention scenarios for understanding the cohesive forces and opposing forces present in every social system, b) mapping and characterization of the typology of conflicts that occur in the context, properly characterizing the context, positions, interests and needs of each of the stakeholders involved in processes of conflict where there are interrelationships between the extractive activities and the indigenous peoples; c) identifying and analyzing in depth the specific cases to be addressed by the project. This phase will be used to review the dividing and connecting factors of the Action without Harm approach, which is noted above. Based on this information, we will implement an Observatory during the period of project implementation, which will then be transferred to local and regional authorities that will ensure its sustainability. This Observatory will support the monitoring and analysis of episodes of conflict that may occur.

1.2. Strategic analysis of the spaces and processes of local and regional dialogue on socio-environmental conflicts around extractive activities and indigenous peoples. Consistent with the previous activity, we will develop a participatory and effective strategic analysis with a multicultural and gender perspective, making it possible to identify Potential, Limitations, Challenges and Risks, consistent with the analysis of Strengths, Weaknesses, Opportunities and Threats. Both analyses (context of conflict and social dynamics, and strategic analysis) will allow better decisions and assertive measures to the intervention in conflict prevention and transformation, underscoring the multi-stakeholder dialogue.

1.3. Development of a Participatory Action Plan for the management of spaces for dialogue in the areas of project intervention: Participatory process in which local stakeholders define objectives, strategies and actions for proper management of dialogue spaces, taking strategic analysis as input, namely of the context of conflict and social dynamics. This includes the use of participatory methodologies with gender and multicultural approaches. The implementation of the Participatory Action Plan will be systematized throughout the project in order to obtain permanent learning from the process, as part of the project’s Knowledge Management strategy.

1.4. Strengthen the technical organizational and leadership capabilities of the participating stakeholders in the dialogue spaces and processes for socio-environmental conflict prevention and transformation: Capacity building refers to information, communication, consulting, technical assistance, training and support to local organizations involved in such a way as to strengthen their ability to participate successfully in processes of dialogue, conflict prevention and transformation, and an organizational culture conducive to the effective management of these processes. We understand that a trigger for better citizen performance regarding existing conflicts

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is adequate and transparent information on the associated processes. The training of indigenous leaders would include the possibility of extending scholarships in courses on socio-environmental issues in the academic institutional framework of the Universidad Antonio Ruiz de Montoya.

1.5. Create networks of spaces for shared learning and dialogue processes building on experiences in other regions (DIALOGUE) and nationally (GDMDS12): Establishment and strengthening of informal and non-formal13 learning spaces on dialogue. This includes review of Case Studies on participatory methodologies, friendly virtual networks and internships between dialogue spaces and conflict transformation. This activity enhances the work that the DIALOGUE project has been conducting.

1.6. Diagnosis and development of tools and methods for practicing a constructive multicultural communication that will build confidence in the framework of a culture of prevention, and transformation of socio-environmental conflicts: It involves knowing what methods of multicultural communication are effective and what tools and methods for multicultural communication can be developed in such a way as to strengthen the processes of information, communication and training of local stakeholders. This takes into account the rights to information of local populations and the incorporation of the Communication for Development14, as well as Accountability, where CARE has valuable tools and learning15.

1.7. Activities of socialization and sensitization regarding the transformative dialogue approach from the space to society: Through this activity, we will seek to generate a social consciousness in the stakeholders conforming spaces for dialogue and in the indigenous peoples regarding the benefits and the social value that dialogue produces for peaceful coexistence and in respect of differing points of view, all of which we believe will contribute to deepening democracy in the 3 departments in the area of intervention.

1.8. Strengthen the capabilities and socially responsible practices of the stakeholders (companies, communities, and the State): Social responsibility is only called upon for business practices, but it is also important to move towards a society in which all players act on principles of social responsibility. A trend identified in this regard is that most multinational companies in areas of mining and hydrocarbons have Corporate Governance strategies and subscribe to the United Nations Global Compact16, which establishes a set of principles aligned with Corporate Social Responsibility. In that sense, the project will seek to enhance such practices, through sustained processes of dialogue with companies in the area. Nevertheless, the principles of Social Responsibility may still be valid for the State and for Civil Society Organizations, so they will be promoted and socialized by the project.

R2 Men and women leaders of indigenous peoples in the area of intervention empowered for the full exercise and promotion of rights and multicultural multi-

12 Mining and Sustainable Development Dialogue Group http://www.grupodedialogo.org.pe/ 13 Based in the theory of institutions.14 When communication is linked to development, it does so “not only as an auxiliary and methodological contribution to it, but as the very object of transformation of society and the individuals who comprise it. The approach provides us with Communication for Development, and argues that communication is a key factor in facilitating people's access to information; therefore also enabling people themselves to take control of their own lives and set their own agendas in relation to political, economic and social development. In particular, it can help amplify the voices of traditionally excluded sectors, incorporating them into the public and political debates of society as a whole.”15 CARE International. Humanitarian Accountability Framework, February 2010.16 www.un globalcompact .org .

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stakeholder dialogue.

2.1. Strengthen leadership skills as a factor of constructive social transformation: This is aimed at overcoming confrontational leadership styles based on insufficient or distorted information, or that are based solely on fear. This will appeal to techniques of human development and human reconstruction to recover the sense of unity with the whole of the community and society. In the development of training courses for indigenous people, we will make use of reference materials such as those of the Interamerican Institute of Human Rights17 and the International Labor Organization (ILO).

2.2. Promote equitable gender relations in the processes of conflict prevention and transformation: Although the gender approach is transverse to the project, it is important to develop specific activities that based on a good analysis of gender relations enable the development of strategies and specific actions to increase the effectiveness of the conflict prevention and transformation processes. Such equitable gender relations are concerned mainly with: Time frames for women dedicated to participatory processes, the promotion of new female indigenous leaders, and a better balance between productive and social roles between men and women, where all these changes must be produced in conformity with multiculturalism and specifically the culture (in its most wide expression) of the area's indigenous communities.

2.3. Technical assistance to organizations representing indigenous peoples in the implementation of mechanisms for participation and prior consultation in regional Amazonian processes and national processes where local Amazonian stakeholders participate: Consultation is underway on the Forestry and Wildlife Regulation and the development of sectoral regulations. It is therefore important to develop technical support activities that enable the empowerment of local stakeholders for effective participation in these processes. It also aims to support consolidation in the implementation of the Regulation of the Prior Consultation Law, currently in the legislature, for its impending enactment.

2.4. Facilitate formulation, prior consultation, validation and implementation of safeguards and standards for the protection of social and environmental rights in extractive activities and natural resource management with a gender perspective: The standards and social and environmental safeguards are very important tools to ensure respect for the rights of indigenous peoples. It is important to accompany the communities and organizations in the review and enhancement of these standards so as to increase confidence in these tools of social control.

2.5. Strengthen programs for community environmental evaluation and monitoring (Community Environmental Evaluation and Monitoring and Community Forestry Oversight programs): The community environmental evaluation and monitoring programs have great potential for the exercise of the rights of local communities while developing frameworks of confidence between businesses and communities. It is important to strengthen these experiences with capabilities, technological resources and equipment.

2.6. Strengthen multi-stakeholder spaces of observation and control over the development of renewable and nonrenewable extractive activities in socio-environmental conflict scenarios: It is important that the existing observatories on hydrocarbons and Protected Natural Areas can magnify their impact on civil society and especially on indigenous peoples. This requires creating the conditions for access to these platforms and knowing how to use the information in a strategic manner in the processes of conflict prevention and transformation.

2.7. Promote shared learning of best practices of dialogue at the community level: The inventory of effective practices of community dialogue, their promotion and improvement will contribute to making visible the importance of dialogue as a tool for conflict prevention and

17 www.iidh.ed.cr/

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transformation, as does identifying ways and mechanisms that may be useful for the practice of multicultural dialogue in multi-stakeholder spaces related to socio-environmental problems and conflicts.

R3 Regional and Local Governments of the area develop and implement mechanisms of governance for the prevention and transformation of conflict, generating lessons for public policy.

3.1. Conduct a diagnosis of public policies and regulations aimed at the prevention and transformation of socio-environmental conflicts applicable to the project’s area of influence: There is a need to systematize the diagnoses of public policies and regulations aimed at the prevention and transformation of socio-environmental conflicts, and give them added value so that they can serve as input for both best practices and the political advocacy on those aspects that must be improved or corrected as applicable. This will guide the work of the project in the intervention areas in relation to articulation of local, regional and national public policies.

3.2. Conduct a diagnosis of the State, private and community institutional framework for the prevention and transformation of socio-environmental conflicts: There are important advances regarding the institutional framework for conflict prevention and transformation, but it is important to strengthen the capacity to not stay only in the treatment of crisis but to move towards the institutionalization of dialogue approaches and conflict transformation so that there is a more effective impact for a culture of dialogue and peace. The work will focus on the local and regional institutional framework in the area of project intervention. Support agendas will be derived from both diagnoses (public policies and State institutional framework).

3.3. Strengthen capacities of the regional socio-environmental conflict management units and the offices of Indian Affairs of Local and Regional Governments for the prevention and management of socio-environmental conflicts: The decentralization processes in the subject of dialogue and conflict transformation have a very uneven development in different regions of the project intervention. We need to strengthen the capacities of these bodies of regional and local government so they can take a more direct role in these social processes in the aspects in which they have competences, based on the diagnosis of public policy and the State institutional framework aimed at prevention and transformation of socio-environmental conflicts.

3.4. Develop case studies representative of socio-environmental conflicts that generate evidence for public policies of prevention and transformation of socio-environmental conflicts: It is important to understand the dynamics of socio-environmental conflict prevention and transformation under conditions delimited in such a way that they can offer lessons of best practices and political advocacy.

3.5. Build a knowledge management system on socio-environmental conflict prevention and transformation permitting the capitalization of lessons learned and promoting best practices: It is important to overcome the activism that exists in organizations and move to an organizational culture oriented to lifelong learning. It is therefore necessary to generate creative and innovative spaces for social learning to enable the use of intellectual capital in the processes of conflict prevention and transformation, not only at the professional level but of all stakeholders involved in these processes.

3.6. Encourage political advocacy processes of spaces for dialogue with proposals that incorporate the transformative dialogue approach: The project activities must be aimed at improving public policy on the subject, with a view to contributing to the creation and strengthening of an infrastructure for dialogue and peace. In this regard, based on learning validated and innovation expressed in the form of intervention, advocacy mechanisms will be

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established with Regional Governments and the National Government regarding the institutional reforms needed for them to meet increasingly effective roles in the prevention and transformation of socio-environmental conflicts. For this, CARE counts with an internationally validated approach and a Toolkit to operationalize the strategy18.

3.7. Provide advice to a process of national consultation on a policy framework incorporating dialogue mechanisms and protocols: The characteristics and attributes of prior consultation processes respectful of international standards are being modeled in Peru. It is important to contribute to this modeling to make the query actually help redefine the relationship between the state and the indigenous peoples and promote the meeting of a context of multicultural democratic governance.

1.2.2.- Do No Harm.

The Do No Harm (DNH) tool was used to design the project. This takes into account an analysis of the context where there is unrest, an identification of the connecting and dividing aspects, an analysis of the project activities and the resources to be transferred, enabling the team to make the corresponding adjustments and comments. Promoting dialogue for conflict transformation as a project involves maintaining rapport and fostering communication between government, indigenous peoples and companies. While using this tool and a sensitive approach to the unrest, it is important to remember that regardless of good intentions, any intervention may have a negative effect on the context of the unrest, unless a series of factors are analyzed.

The first step with, DNH in analyzing the unrest was to analyze the regional system that defines a territory where there are local and regional governments, in the Peruvian government structure. But there are also indigenous peoples, organized groups of local people, communities, etc. Within this system there are also a series of players in the market who are related to the community groups with a variety of interests and obviously in different ways. The team went on to analyze the connectors and dividers. The dividers are the divisive elements - people, groups, messages, emblems, and customs etc., which do not help dialogue or disturb the peace. Some of these are: illegal timber merchants or miners, the pollution of some of the rivers, radical leaders, and companies which have no transparent social responsibility mechanisms. However, there are also connectors such as: respect for nature and the biodiversity, the rational use of water, which can be found among the main players identified. Elements like the Prior Consultation Act can be a divider (if the communities do not agree with the mechanisms established in the law or its regulations) or a connector (if the communities see this law to be progress in the recognition of their cultural rights). The DNH analysis is dynamic, and so the tool will be used again in the project implementation stage (follow-up and monitoring).

1.2.3.- Local Engagement and Sustainability.

The Project proposal is to work with representative indigenous organizations at both national and regional level in the work areas (Amazonas, Loreto, and San Martín) through work agreements for the strengthening of technical and organizational capabilities for the prevention and transformation of socio-environmental conflicts. The indigenous people with whom the project will work are: Awajún, Matses, Kichua, Shapra – Candoshi, Achuar, Shuar and Chayahuitas. Work agreements will be signed with AIDESEP, CONAP and the regional federations in order that they may be involved in the whole management process of the project. Accountability mechanisms will be included in order to increase trust among the involved stakeholders.

18 http://www.care.org/getinvolved/advocacy/tools.asp

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The project will work with representative indigenous organizations at national and regional level, in the areas where it operates (Amazonas, Loreto and San Martin) through agreements for technical and organizational capacity-building on the prevention and transformation of socio-environmental conflict. The peoples the project will be working with are as follows: Awajún, Matses, Kichua, Shapra – Candoshi, Achuar, Shuar and Chayahuitas. The project is making agreements with AIDESEP19, CONAP20 and the regional federations, aiming to involve them throughout the project management process. These will include accountability mechanisms in order to enhance the trust between those involved.

The sustainability of the project is based on a technical, a social and an institutional dimension. In this sense in the project implementation phase, the following conditions will be guaranteed:

a.- Technical aspects:

Providing the members of the existing dialogue channels with tools and methodologies effective for the issue, which will be developed and provided by the project.

Transferring technical capacity (conflict watchdog, existing IT applications for follow-up for conflicts etc.) for regional and local government, so that they in turn can gradually take on more proactive roles in preventing and transforming conflict, using as a reference the panorama of existing forest and hydrocarbon concessions, and investment projections in lands associated with those used by indigenous peoples.

b.- Social aspects:

Guaranteeing the effective empowerment of the indigenous populations in Rights, in community surveillance mechanisms and in their roles in consultation processes.

Fostering the emergence of indigenous women leaders who contribute strategic thinking on the existing channels for dialogue.

c.- Institutional aspects:

Defining the primary and secondary hearings, adequately. Providing technical assistance (strategic and operational) for the regional civil unrest

management units, for them to play dynamic roles in addressing these. In addition, strengthening the local and regional government indigenous affairs offices.

19 http://www.aidesep.org.pe/index.php?id=2. AIDESEP is a national organization and is chaired by a National Council representing six decentralized organizations from the north, center and south of Peru. It has 57 federations and territorial organizations, representing the 1,350 communities where the 350,000 indigenous men and women live, and who belong to 16 linguistic families.20 conap.org.pe. Confederation of Amazonian Nations of Peru.

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Annexes

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Annex 1: Scheme of the Theory for Change of the Proposal for the Prevention and Transformation of Conflicts

Growth of confrontational, polarizing and violent practices

in the society with regard to social environmental conflicts.

Medium Term Goal (Strategic Change)

Roles of the Key Stakeholders

ProblemCausesDelegitimation & lack of prestige of the dialogue spaces, due their low effectiveness effecteffecivenesspor su baja efectividad.

Weak dialkogue culture cultura del dialogo.

National Government: To implement a national system for the prevention and transformation of social conflicts, oriented to improve

the institutions and the regulatory and procedures framework in the Mining and Hydrocarbon, Forestry and Environment sectors.

To strengthen the participation and consulting tools for the design and implementation of sector policies (Mining, Hydrocarbons, Forestry and Environment) and in the Investments Policy (MEF, PROINVERSIÓN).

To advance in the reordering of fiscal resources from the royalties. Regional Governments: To implement their capabilities with regard to territorial organization and environmental management in the

framework of the prevailing legal system. To strengthen the integration capability of the Regional Amazonian GovernmentsLocal Governments:

- Promotion of indigenous organizations in the participatory budgets and social surveillance mechanisms.

- Strengthening of indigenous affairs offices.- Strengthening of inter municipalities partnerships.

Civil Society:- To participate in an organized way, using the official Government tools.- To promote the enforceability in a framework of respect and peace.- To promote participatory environmental monitoring.

Private Sector:- To communicate the corporative policies of social and environmental responsibility.- Transparency of information regarding environmental monitoring and accountability.

Indigenous organizations:- Improve their representation and representativeness.- To have consensus agendas.- To have democratic organizations and to promote new leaderships.

NGO:- Transparency and accountability.- To make visible its political agenda.- To contribute to the empowerment of local stakeholders and to the sustainability of the processes with

conflict awareness.- To provide advisory service in a responsible way without replacing the role of the social stakeholders.

To contribute to the instituionalization of a culture of dialogue for the prevention and transformation of socio environmental conflicts in the framework of an intercultural democratic governance in the Peruvian Amazon area and the sustainable development.

Promotion of public & prívate investments (mining, hydrocarbons, hydro--electrical,biofuel, road infrastructure) that consider the social and environmental impacts.

Limited prevention capacity of the government.

Sector policies that do not have an intercultural perspective and respect for the human rights of the indigenous people.

Increased culture of illegacy with regard to extractive activities(illegal and corrupted trade chains).

Fear of the people to environmental pollution and downgrading and to lose their lands.

Distrust with regard to the evaluation tools and environmental inspection (EIA, PAMA, ECA) due to the historical negative background.. The population has limited

information about participation.

CARE Intervention. Purpose: To promote mult-stakeholder dialogue styles that are effective and sustainable, for the prevention and transformation of socio environmental conflicts in 03 regions of the Peruvian Amazon area (Amazonas, Loreto, San Martín), that are the referrals for replication by the National Government as well as by the Regional Government.

Components

The Regional and Local Governments in the area develop and governance tools for the prevention and transformation of conflicts, generating learning with regard to public policies.

Men and women leaders of indigenous groups in the intervention area are empowered for a full exercise and promotion of rights and multi-stakeholder intercultural dialogue.

Dialogue spaces for multi stakeholders, that are recognized and effective for the prevention and transformation of socio environmental conflicts.

14

Annex 1.A: Around The Transformational Dialogue

The Transformational Dialogue21 is a qualitative change for the Dialogue and it has the following features:

Genuine: the dialogue is a practice that becomes a communication tool of direct interaction “face to face” for a round trip in horizontal line: it is a communication attitude of active listening, tolerance, respect and good faith, and in a communication process for a change in the persons and their relationships, and to obtain all that it is important to have spaces, platforms and mechanisms organized in a methodological way.

Multi stakeholder: a real dialogue cannot be only among those that think in the same way and defend the same interests (inter group dialogue), it must be among various stakeholders and in a plural way (inter group dialogue) and the aim must be to integrate the various levels (decision makers, influential people, base stakeholders).

Intercultural: implies awareness and willingness to recognize and to incorporate, in conditions of equality and respect, the cosmovision of the other people in a shared learning dynamic oriented to build new common narratives about the problems and conflicts. This includes care for the organization issues and process methodology to include this perspective.

Sustainable: for the dialogue to be of a transformation character it cannot be an isolated and unlinked event, it is a continued and not ending process that requires time, creativeness and commitment in order to build new social processes for a positive change.

In the Government sector, it is evident that there is a limited institutional capacity to deal in an integrated way with the issue of transformation of socio environmental conflicts. Likewise, the regulation treatment is in deficit despite the fact that it must be recognized that there has been significant progress with regard to environmental laws during the last decades but the rhythm has not been the same with regard growth of investment in mining and energy nationwide. Some of the main limitations that have been identified in the way the Peruvian Government has been dealing with regard to social conflicts are22: i) There is not an integrated system for the management of conflicts among the various government sectors and levels, ii) In the processes there is not enough involvement of stakeholders and civil society institutions representatives, iii) The dialogue processes have few outcomes and do not transform the relationship among the stakeholders, iv) The negotiation processes are tense and with a difficult implementation and follow up of the agreements made, v) The internal sector processes for the evaluation of the problems (environmental, mining, etc.), of monitoring, consultation and communication, have deficiencies due to the technical lack of a preventive perspective of conflict analysis and of capabilities to facilitate dialogue and collaboration processes; vi) There is a partial analysis of the problems because there is not an intercultural perspective of the conflicts. In the sense The Transformational Dialogue can be of strategic value to help overcome critical aspects of the current context.

21 The transformational dialogue is the one that permits the stakeholders to change their positions, speeches and attitudes based on a predisposition to an encounter and to inter-learning. For that it considers the dimensions of a personal, relation, cultural and structural change.22 Huamaní, Giselle y Macassi, Sandro. 2011. Management of socio environmental conflicts. CIES. Lima, 32 p.

Annex 2: Strategies, methodologies and tools to be implemented in the project (Model).Components Expected outcomes Strategies Methodologies Tools

Dialogue spaces

(multiple stakeholders platforms with

transformational and constructive dialogue

mechanisms)

Dialogue spaces that are developed in a framework of trust, affection, willingness to cooperate

The spaces experiences re replicable, sustainable, adaptable and motivating.

The information flow and transparency in the dialogue spaces for multi stakeholders contribute to have trust and consensus.The men and women that participate in the dialogue processes of the multi stakeholders are in favor of dialogue as the best way to deal with the conflicts and to create consensus.

- Strengthening of the networks for transformational leadership that disseminate the dialogue principles into other spaces. .

- Promote dialogue starting with a trustful initial group that may begin to create and share the dialogue principles and continue growing as expanding rings.

- To set up a basic route for outcomes, by all the group members that are the space promoters.

- To promote a minimum organization structure without an organization chart or difficult functions .

- “Demineralize” the dialogue.

- Inter learning from one farmer to another as a tool for the strengthening of capabilities .

- The two parties dialogue, opened in informal spaces in a process to create awareness and conviction.

- Action without damage- Social responsbility

- Inter learning workshops and meetings.

- Joint field visits to evaluate cases.

- Forums- Social networks

Empowerment

(Empowered men and women leaders exercise

their rights in prevention and transformation of socio environmental

conflicts)

Indigenous men and women leaders participate in a proactive and positive way in the multi stakeholders spaces for dialogue.

The men and women leaders propose with defendable arguments the environmental, social and economic agendas in front of the public and private sector.

Assertive men and women leaders transmit and listen with respect and self assurance.

Strengthening of individual and organizational capabilities for dialogue, coordination and consensus.

Strengthening of women’s capabilities to participate actively in multi stakeholders dialogue processes.

Generation of spacesGeneration of networksOrganization of agendasDissemination of dialogue principles.

- Inter learning- Personal development and

human reconstruction- Social responsibility- Analysis focused on gender- Onthological coaching.

- Inter cultural workshops for ínter learning

- Virtual and presential networks for inter-learning.

The indigenous organizations improve their representation and representative level.

The gender relationship in the indigenous organizations has been improved, with regard to the prevention and transformation of conflicts.

Institutionalism

(Strengthening of the Regional and local

government with regard to prevention and transformation)

- The regional units for conflicts management working in the framework of their duties.

- The Indigenous affairs offices are recognized and involved in processes for the prevention and transformation of conflicts

- The learnings and proposals generated and used by the Project are now public policies for the prevention and transformation of conflicts.

- Include in the dialogue spaces agendas with potential to be transformed rapidly into a public policy. Conformation of multi- -stakeholders work commissions to prepare proposals.

- Coordinate the proposals with other sub national or national spaces working on the same issue.

- Public social communication on the agendas and their objectives.

- Analysis of specific cases to deal and obtain learnings.

- Combined participatory technical work (Community of peers) to prepare proposals.

- Action without damage- Transparency and

accountability- Social responsibility

- To discuss through public forums the emblematic regional issues .

- To organize technical work groups for the agendas.

- Use of networks, means and spaces for public meetings (parks, schools, participatory budget, celebrations).

17

Annex 3: Monitoring and Evaluation Plan (including Logical Framework)

IMPLEMENTATIONDESIGN

EX-POST EVALUATION –IMPACT

Activities Follow-up

OPERATING PLAN

Feedback to improve project implementation

Feedback

Knowledge Management in the Project Cycle

Situational diagnostic: problem identification and priority*Development approaches*Lines of action or strategies*Base-line design*Ex-ante evaluationRelevanceCoherenceViabilitySustainabilityImpact

BudgetsLogical framework

MANAGEMENT (Administrative)-Organizing- Planning activities and goals-Directing-Monitoring and evaluating process)-Prospective systematization

EXECUTION (Programmatic)-Training-Technical assistance-Support for organizations- Applied research (based on hypotheses produced during project)

Effectiveness in complying with purpose, outcomes and activities

Efficiency in use of economic resources for implementing activities

-Project effects and impacts

Source: training materials of the Peruvian International Cooperation Agency (APCI).

Monitoring and Evaluation Plan.

The project manager will have an knowledge production process. The knowledge will be based on: Information produced by follow-up which will make it possible to take better monitoring

decisions. Information from the base-line (initial evaluation of project indicators) and a mid-term

evaluation, for identifying gaps and hence making adjustments towards the end of the project. The lessons learned from Prospective Systematization23, which will be implemented from the start of the project.

The research hypotheses arising from the implementation phases, which can provide new information for public sector policies (mining, hydrocarbons) and government action for preventing and transforming socio-environmental conflict.

Information from the Final Project Evaluation, which will provide factors for replication and for advocacy.

23 Since this is held from the beginning of the project, it applies a methodological process that follows the stages of design, experiment, validation, product preparation and publicity. It is better than corrective or retrospective systematization.

Table. Basic Definitions of Project Follow-up and EvaluationFollow-up Evaluation

Management process/tool for to development project management, geared to: Verifying the proper implementation of

programmed activities and their products.

Verifying the efficient use of the resources disbursed for implementing activities human, material and monetary).

Process / tool for: Determining the effects and impacts

(expected and unexpected) on project implementation, as an analysis of the factors that potentiated or limited the changes.

Verifying the achievement of expected outcomes at the end of the project.

Verifying compliance with the hierarchy of objectives in the logical framework.

19

Logical Framework of ProjectObjectives Hierarchy Goals Objectively verifiable

indicators Means of verification Assumptions

Medium Term Goal: Contribute to the institutionalization of a culture of dialogue for the prevention and transformation of socio-environmental conflicts that enable the construction of multicultural democratic governance in the Peruvian Amazon and sustainable development.

Reduction of number of new socio-environmental conflicts in the departments of Loreto, San Martin and Amazonas at the end of the project.

Average number of annual socio-environmental conflicts in the departments of Loreto, San Martin and Amazonas.

The Ombudsman’s Social Conflicts reports

The Conflict report of the President of the Council of Ministers (PCM)

Purpose: Promote effective and sustainable modes of Transformative Dialogue for the prevention and transformation of socio-environmental conflicts in 3 regions of the Peruvian Amazon (Amazonas, Loreto and San Martin), which will constitute models for replication by the National and Sub-national State.

Reduction of the number of social conflicts of the destructive type (violent) in the area of intervention (Loreto, San Martin, Amazonas) at the end of the project.

Improvement in the Social Capital of the population in the area of socio-environmental conflicts.

Government replication of model, methodologies and tools developed in the project intervention for the prevention and transformation of socio-environmental conflicts.

Number of socio-environmental conflicts with destructive properties existing in the departments of Loreto, Amazonas and San Martin.

Percentage of the population in the area of socio-environmental conflicts that expresses a positive attitude towards dialogue as a means of resolving conflicts.

Percentage of the population in the area of intervention that states having confidence in their leaders and institutions.

Social Conflict Observatory and Conflict Prevention System developed by the project and implemented by the National Government.

Surveys (Baseline, mid-term, final evaluation)

Regular monitoring reports

National and regional governments to implement mechanisms of Transformer Dialogue, with focus on transparency and with respect to the rights of indigenous people.

In line with national and regional policies, incorporate considerations that respect the rights of indigenous people and insure their participation in sectoral processes (energy, mines, etc).

Components/ResultsR1: Legitimized and effective Transformative Dialogue spaces for the prevention and transformation of socio-environmental conflicts.

Increase in socio-environmental conflicts that have gone from being "destructive" to "constructive and transformative."

Increase in confidence of the area population in the spaces of dialogue.

Increase in the

Number of socio-environmental conflicts.

Number of "destructive-violent" socio-environmental conflicts.

Percentage of the population in the area that trusts the existing dialogue spaces and their

Surveys (Baseline, mid-term, final evaluation)

Regular monitoring reports

National and regional governments authorities recognize specific instances of dialogue in the three areas (Loreto, Amazonas, San Martin), with the participation of the

representativeness of the spaces of dialogue promoted.

Strengthening of Social Responsibility practices.

leaders. Percentage of members

of spaces for dialogue from the indigenous communities that have formal representation.

Presence of national dialogue mechanisms in project areas (EITI24) and Tripartite Dialogues on Hydrocarbons.

indigenous community leaders.

R2: Men and women leaders of indigenous peoples in the area of intervention empowered for the full exercise and promotion of rights and multicultural multi-stakeholder dialogue.

Increase in the empowerment of male leaders and female leaders of indigenous communities.

Percentage of male and female leaders and who say they have full control over decisions affecting their lives.

Percentage of female leaders who say they have full control over decisions affecting their lives.

Percentage of indigenous female leaders in respect of the total number of leaders.

Surveys (Baseline, mid-term, final evaluation)

Regular monitoring reports

Indigenous leaders effectively access and monitor participation mechanisms promoted by the Government.

R3: Regional and Local Governments of the area develop and implement mechanisms of governance for the prevention and transformation of conflict, generating lessons for public policy.

An increasingly relevant role of Regional and Local Governments in the prevention and transformation of social conflicts.

Number of transformed socio-environmental conflicts whose transformation has been led by the Regional and Local Governments in the area.

Surveys (Baseline, mid-term, final evaluation).

Regular monitoring reports

Government entities, including regional governments such as Loreto, San Martin and Amazonas, apply tools and methods of prevention and conflict resolution.

ActivitiesComponent 11.1. Identify the context of conflict and social dynamics in the area of intervention.

Increased knowledge regarding the context of conflict and the areas of intervention.

Diagnosis of the context of conflict and social dynamics developed using participatory

Periodic monitoring reports.

The assumptions at the activities level (operational) will be specified in the design

24 The Extractive Industries Transparency Initiative (EITI) is a strategic alliance that brings together global governments, extractive industries (mining, oil and gas), civil society groups and international organizations to use transparency criteria in payments made by mining, oil and gas companies to governments and in revenues that governments receive from these companies, so that these resources are used to promote development. On a worldwide basis, there are currently 33 countries that are implementing this initiative; Peru was the first country in Latin America to join, Guatemala and Trinidad and Tobago have decided to be part of this initiative, and the entry of other countries in the region is expected. The Peruvian government pledged to continue the pattern of international EITI work on transparency, for which it requested the voluntary assistance of representatives of mining and oil and gas companies, and of civil society organizations, in a Working Committee to implement this initiative, with the issuance of the DS No. 027-2006-MS. In 2011, the Permanent Multisectoral Commission for Transparency in Extractive Industries was created by D.S. No. 028-2011-EM, which permanently established the role of the EITI Peru Working Committee.

21

methods. Monitoring mechanisms

to detect social conflict are designed and put into practice.

phase of the project baseline.

1.2. Strategic analysis of the spaces and processes of local and regional dialogue on socio-environmental conflicts around extractive activities and indigenous peoples.

Decision making in the spaces of dialogue carried out based on addressing: potentials, challenges, limitations and threats.

Strategic analysis of the developed spaces and processes dedicated to local and regional dialogue.

Periodic monitoring reports.

1.3. Development of a Participatory Action Plan for the management of spaces for dialogue in the areas of project intervention.

The spaces for dialogue in the field of intervention guided by goals and objectives on governance, participation, democracy and transparency.

Participatory plans of the dialogue spaces developed in the three zones (Loreto, Amazonas and San Martin)

Periodic monitoring reports.

1.4. Strengthen the technical organizational and leadership capabilities of the participating stakeholders in the dialogue spaces and processes for socio-environmental conflict prevention and transformation.

The stakeholders (social and institutional) of the spaces for dialogue know and apply effective techniques and methods for processing conflicts in their area.

Number of actors involved in implementing tolos and methodologies to process/resolve social conflicts (mainly social and environmental conflicts) in their areas

Percentage of actors (social and institutional actors) who demonstrate knowledge of techniques and methodologies to resolve social conflicts

Periodic monitoring reports.

1.5. Create networks of spaces for shared learning and dialogue processes building on experiences in other regions (DIALOGUE) and nationally (GDMDS25).

Regional and local authorities, regional and local officials and technical staff, and leaders of the spaces for dialogue, participate and utilize shared learning networks as a basis for improved performance of roles.

Network(s) of shared learning based on national (GDMDS, DIALOGA) and international experiences.

Periodic monitoring reports.

1.6. Diagnosis and development of tools and methods for practicing a constructive multicultural communication that will build confidence in the framework of a culture of prevention, and transformation of socio-environmental conflicts.

Implementation of cross-cultural communication tools on economic, social and environmental issues, and on dialogue.

Number and percentage of spaces for dialogue where intercultural communication tools have been developed.

Periodic monitoring reports.

1.7. Activities of socialization and sensitization regarding the transformative dialogue approach from the space to society.

Increase in awareness among members of the spaces for dialogue and community

Percentage of members who support the dialogue as a method to resolve

Periodic monitoring reports.

25 Mining and Sustainable Development Dialogue Group http://www.grupodedialogo.org.pe/

22

leaders regarding the importance of these instruments for conflict resolution.

conflicts.

Number of stakeholders trained in Dialogue Transformation

1.8. Strengthen the capabilities and socially responsible practices of the stakeholders (companies, communities, and the State).

Public entities in the field (Regional Government of Loreto, Amazonas and San Martin) and private entities (hydrocarbons, mining, forestry concessions) operate correctly applying the principles of Social Responsibility.

Number of prívate entities in the field of hydrocarbons, mining and forestry consessions who know the implications of the United Nations Convention 169 OIT (Indigenous and Tribal Peoples)

Number and percentage of private entities in the area who subscribe to the EITI agreement.

Number of public private entities involved in dialogue spaces for social conflicts

Regional standards (Loreto, Amazons, San Martin) which incorporates criteria for the participation and inclusion of communities in land management, (including forestry concessions, medium-scale mining, land use, ecological economic zoning, etc).

Periodic monitoring reports.

Component 22.1. Strengthen leadership skills as a factor of constructive social transformation.

Attainment by indigenous male and female leaders of in-depth knowledge of the international framework of Human Rights (DESCA26) and international frameworks on Sustainable Development and Indigenous People (including adaptation to climate change and the REDD27, and REDD+28

Number of male and female leaders trained in governance and dialogue.

Periodic monitoring reports.

26 Derechos Económicos, Sociales, Culturales y Ambientales. Incorpora también el Derecho al Desarrollo.

23

mechanisms.) 2.2. Promote equitable gender relations in the processes of conflict prevention and transformation.

Progress made in gender equality and empowering women in the area of project intervention.

Increase in the percentage of time dedicated by women to particpate in decisions (a reduction in the percentage of time dedicated to household chores).

Percentage of indigenous leaders who are women.

Periodic monitoring reports.

2.3. Technical assistance to organizations representing indigenous peoples in the implementation of mechanisms for participation and prior consultation in regional Amazonian processes and national processes where local Amazonian stakeholders participate.

To provide technical assistance to indigenous organizations in the area of intervention by the project, for them to participate in the implementation of the consultation mechanisms regulated by law.

Percentage of indigenous organizations participating in the project who receive technical assistance to participate in consultation mechanisms.

Periodic monitoring reports.

2.4. Facilitate formulation, prior consultation, validation and implementation of safeguards and standards for the protection of social and environmental rights in extractive activities and natural resource management with a gender perspective.

Male and female indigenous leaders know and apply management mechanisms regarding social and environmental standards and safeguards.

Percentage of men and women leaders supported by the project who have sufficient knowledge of the Standards of Social and Environmental Safeguards, and trade practices.

Periodic monitoring reports.

2.5. Strengthen programs for community environmental evaluation and monitoring (Community Environmental Evaluation and Monitoring and Community Forestry Oversight programs).

Male and female community leaders within the project area develop monitoring and oversight practices steadily.

Percentage of men and women leaders participating the project who are aware of monitoring and oversight practices

Percentage of men and women leaders participating in the project who develop monitoring and oversight processes.

Periodic monitoring reports.

2.6. Strengthen multi-stakeholder spaces of observation and control over the development of

Implementation of a Social Conflicts Observatory

Observatory of Social Conflicts in the three

Periodic monitoring reports.

27 Actividades que reducen las emisiones de la deforestación y degradación de bosques (REDD).28 Conservación, manejo sostenible de los bosques y mejoramiento de las existencias de carbono forestal (REDD+).

24

renewable and nonrenewable extractive activities in socio-environmental conflict scenarios.

(especially socio-environmental) for the 3 within the project areas (Loreto, Amazonas and San Martin).

Indigenous male and female leaders know and use the Social Conflicts Observatory for better decision making.

areas where the project will be implemented

Percentage of indigenous leaders with sufficient knowledge to participate in the Observatory of Social Conflicts.

2.7. Promote shared learning of best practices of dialogue at the community level.

Implementation of mechanisms for community multicultural shared learning.

Periodic monitoring reports.

Component 33.1. Conduct a diagnosis of public policies and regulations aimed at the prevention and transformation of socio-environmental conflicts applicable to the project’s area of influence.

Significant knowledge regarding the progress in implementing the policies aimed at prevention and transformation of socio-environmental conflicts in the area of the project.

Diagnosis made Periodic monitoring reports.

3.2. Conduct a diagnosis of the State, private and community institutional framework for the prevention and transformation of socio-environmental conflicts.

Significant knowledge regarding the public institutional, private and community framework within the project.

Diagnosis made Periodic monitoring reports.

3.3. Strengthen capacities of the regional socio-environmental conflict management units and the offices of Indian Affairs of Local and Regional Governments for the prevention and management of socio-environmental conflicts.

Regional and local units linked to the prevention and transformation of socio-environmental conflicts and promotion of indigenous rights have the technical and institutional capacities to promote their corresponding roles within the framework of their competences.

Number of regional and local goverments who have mechanisms to manage social conflicts

Number of officials and technicians from the three regional governments (Loreto, San Martin, Amazons) who are trained in the use of tools and methodologies to prevent social conflict

Periodic monitoring reports.

3.4. Develop case studies representative of socio-environmental conflicts that generate evidence for public policies of prevention and transformation of socio-environmental conflicts.

Decision makers involved in regional and national processing of social conflicts, know the main lessons learned in the cases studied in the project.

Number of case studies of systematic environmental conflict

Periodic monitoring reports.

3.5. Build a knowledge management system on socio-environmental conflict prevention and transformation permitting the capitalization of lessons learned and promoting best practices.

Organizations and institutions use explicit knowledge for making decisions about social conflicts.

The development of a knowledge management system

Number of public and

Periodic monitoring reports.

25

private entities who use the knowledge management system

3.6. Encourage political advocacy processes of spaces for dialogue with proposals that incorporate the transformative dialogue approach.

Regional and local governments in the area of the 3 departments (Loreto, Amazonas, and San Martin) implement methodologies and tools generated by the project.

Number of prevention methodologies and tools developed to manage environmental conflicts.

Periodic monitoring reports.

3.7. Provide advice to a process of national consultation on a policy framework incorporating dialogue mechanisms and protocols.

Increasing participation of the social organizations and the public and private agencies involved in the national consultation on the dialogue processes in investment areas.

Advocacy in regional and national media regarding the national consultation.

Number of social organizations, and public and private entities involved in the national consultation on dialogue processes in the areas of investment.

Periodic monitoring reports.

26

Annex4: Operational Plan for Year 1.

ActivitiesYear 1

QuartelyI II III IV

Activity 0: start of project activities.Coordination meeting between partners.Strategic Planning.Preparation of the triennial POA.Preparation of annual POA.Implementation of human talents.Organization and implementation of office.Development of baseline.Training of facilitators.Monitoring by the advisory team (CARE, PRODIALOGO, SOCIAL NETWORK).1.1. System identification and social dynamics in the field of intervention.1.2. Strategic analysis of the spaces and processes of local and regional dialogue about environmental conflicts around extractive and indigenous peoples.1.3. Development of a Participatory Action Plan for the management of spaces for dialogue in the areas of project intervention.1.4. Strengthen technical and organizational capabilities and leadership of the stakeholders conforming spaces of dialogue for conflict prevention and transformation of social and environmental.1.5. Creating networks of shared learning spaces and experiences rescuing dialogue processes in other regions (DIALOGA) and nationally (GDMDS).1.6. Diagnosis and development of tools and methods for practicing a constructive intercultural communication that will build confidence in the framework of a culture of prevention, and transformation of environmental conflicts.1.7. Shares of socialization and awareness to transformative dialogue approach from space to society.1.8. Capacity building and socially responsible practices of the stakeholders (enterprises, communities, state).2.1. Strengthen leadership skills as constructive factor of social transformation.2.2. Promote equitable gender relations in the processes of prevention and conflict transformation.2.3. Technical assistance to organizations representing indigenous peoples in the implementation of mechanisms for participation and consultation in regional and national processes Amazon where local stakeholders participate.2.4. Facilitate formulation, consultation, validation and implementation of safeguards and standards for the protection of social and environmental rights in extractive and natural resource management with a gender perspective.2.5. Strengthen programs for community environmental monitoring and

evaluation (Program Evaluation and Oversight Community Environmental Monitoring and Community Forest).2.6. Strengthening multi-stakeholder spaces of observation and control over the development of extractive activities in renewable and nonrenewable Socioambiental conflict scenarios.2.7. Promoting good practice shared learning dialogue at Community level.3.1. Making the diagnosis of public policies and regulations aimed at prevention and conflict transformation applicable to the field of social and environmental influence.3.2. Make a diagnosis on the state institutions, private and community for the prevention, conflict transformation and social and environmental.3.3. Strengthening capacities of the regional units of socio-environmental conflict management and office of Indian Affairs and Regional Local Government for the prevention and management of environmental conflicts.3.4. Develop case studies representative of environmental conflicts that generate evidence for public policy of prevention and transformation of environmental conflicts.3.5. Building a knowledge management system on conflict prevention and transformation of social and environmental permitting on the lessons learned and promoting good practice3.6. Encourage advocacy processes of spaces for dialogue with proposals that incorporate transformative dialogue approach.3.7. Accompany a process of national consultation on a policy framework incorporating dialogue mechanisms and protocols.

28

Annex 5: Institutional Performance and Past Performance References

.1.- Institutional Capabilities and Past Performance

1.1.- Installed capability and experience to ensure the outcomes and expected activities, the following scheme is provided:

i. A Coordination Committee integrated by CARE, ProDiálogo and Red Social. This committee will meet every two months to monitor and define the Project strategies and progress.

ii. A Project advisory team with the partners will be responsible for strategic advisory service on the following issues: i) Dialogue and Transformation of Conflicts (ProDiálogo), ii) Governance and Political Incidence (Red Social), iii) Social responsibility (CARE).

iii. A Project team with CARE Peru staff that have wide experience on the issue will be responsible for the Project implementation: A Program Coordinator (Segundo Davila) is 10% responsible of the Area of sustainable

development and Climatic change of CARE Peru, will be responsible for the implementation of this initiative, and he has more than 25 years of experience with development projects.

A full-time Project Coordinator (Rodrigo Arce Rojas) with experience in dialogue and facilitation of social processes as Project director at national and international level will be the Project director, thus ensuring the implementation of strategies that will permit to meet in an effective way the Project purpose and outcomes.

A specialist in Indigenous Rights and Gender (Elvira Raffo) Two Area Coordinators, one for the office of Amazonas/San Martín and the other for the

Office in Loreto that will be supported by 02 facilitators, one for each space. Administrative, financial and communication support, and Monitoring & Evaluation at part

time.

1.2.- Institutional Experience:

CARE International is an institution with wide experience and presence in more than 70 countries promoting a sustainable human development. CARE Peru has existed for 40 years, consolidating its presence as an organization that facilitates development processes in partnership or association with public and private organizations, with local governments and the National Government in order that the poorest and discriminated people may be able to have the recognition of their rights, and creating conditions that may promote gradually the eradication of poverty, inequity and exclusion. In this regard and looking for the alignment of our projects and programs with the Millennium Development Goals and to meet the national goals and commitments, the projects and programs of CARE Peru follow three main strategies: A) The generation, validation and dissemination of new patterns or strategies for changes in the social processes, B) To provide support to the government and other stakeholders for the replication, adaptation and implementation of successful strategies that have been validated and have shown impact, c) Political incidence for the definition, implementation and institutionalization of public policies . For this, the institution organizes its intervention in strategic programs that have a program strategy and theory of change for the forthcoming 5 – 10 years, developing Projects and initiatives that will permit the operation of the proposed strategies, that include the rights, gender and intercultural approaches, and a group of institutional principles that ensure the programming quality of our

29

interventions, such as empowerment, work in partnership, accountability, opposition to discrimination and violence, and the search for sustainable outcomes.In this framework and taking into account this convocation, we have selected a total of 6 projects that have been developed during the last 5 years by CARE Peru and its partners, and they are according to the institutional experience required with regard to the management and solution of socio environmental conflicts and the promotion of rights of the indigenous people that have been financed with the contribution of European Union, USAID, the Embassy of Finland and DFID through CARE UK. The projects that are being considered, the initial and completion dates, the donors, the financed budget as well as the contact information for each initiative are : ( see the next chart). In Annex 8 are the details with regard to outcomes, achievements and learning for each one of the 6 mentioned projects.

Name Project start date

Project completion

dateDonor

Total financed by donor US$

Donor contact (name)

email

Mitigation of Conflicts in Peru - "DIALOGA 02/02/2011 06/09/2013 USA, Gov

- USAID 1,197,180.00 Claudia Rohrhirsch crohrhirsch@usaid.gov

Second phase of the Project Support forf the Strengthening of Capabilities of the People’s Ombudsman for the

supervision of the socio environmental management of

extractive activities and the advocacy intervention in socio environmental

conflicts

22/06/2010 22/12/2010 Finland, Gov . 74,000.00 Gustavo

BenzaGustavo.Benza@formi

n.fi

Support for the strengthening of capabilities of the People’s

Ombudsman for the supervision of the socio environmental management in mining activities and the advocacy intervention in socio environmental

conflicts

15/10/2009 15/05/2010 Finland, Gov . 84,000.00 Gustavo

BenzaGustavo.Benza@formi

n.fi

Promotion of the indigenous peoples rights for the management of natural resources in the Amazonian area in

Bolivia, Ecuador and Peru

01/02/2010 10/10/2012 CARE UK – CIUK 48,767.60 Gaia Gozzo gozzo@careinternation

al.orgEuropean

Commission

692,217.60 Tatiana García

Tatiana.GARCIA@eeas.europa.eu

Development of capabilities for the management of socio environmental

conflicts in mining activities.20/04/2006 30/04/2009

United Kingdom,

Pvdo - Oxfam GB

262,946.00

Rights, Cultural Identity and Indigenous People Participation. The

case of the Awajun People02/01/2007 31/12/2009

European Commissio

n576,535.44 Tatiana

GarcíaTatiana.GARCIA@eea

s.europa.eu

Institutional Experience

Summary of projects implemented

Project 1General project information

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Name: Conflict Mitigation in Peru (“DIALOGA”). DIALOGA is supported by the United States Agency for International Development (USAID): Cooperative Agreement N° AID-527-A-11-00004). The project aims to improve the personal, relational and structural conditions needed to mitigate conflict and foster the sustainable development of Peru. CARE Peru is the entity in charge of implementing the project in alliance with: Asociación Civil Labor; ProDiálogo; Seguimiento, Análisis y Evaluación para el Desarrollo (SASE) and Redes para el Desarrollo Social (Red Social). Starting date: 02/02/2011. End date: 09/06/2013

Intervention Area: Peru – National level. Apurímac, Arequipa, Cajamarca and Cusco – Department level.Donor: United States Government (USAID). Cooperative agreement N° AID-527-A-11-00004Budget requested from donor: US$1,197,180.00. Total budget: US$ 1,321,795.00Impact, effects and outcomes achieved: The outcomes of the first year were:Component 1: Forums for Dialogue.- Dynamic dialogue group in interaction with government agencies, civil society and companies. Operating through forums and their virtual network, with average participation of 120 people. In Arequipa: The Arequipa Dialogue Group has been set up, is dynamic, reached an agreement with the Cerro Verde mining company. Apurímac: Technical Group on Mining reorganized its coordinating committee and technical secretariat. It has designed its agenda with a view to addressing conflicts. A center for dialogue set up by the government, company and civil society. Cajamarca: a center for dialogue composed of eight people has reaffirmed its commitment to promote dialogue.Component 2: Forum for Hydrocarbons.- A preliminary forum created as the Amazon Forum, in alliance with the Piura University Business School (PAD) and the NGO Tendiendo Puentes. A preliminary agreement with the Cusco regional government to promote the Camisea technical committee. Component 3: Leadership capacity-building. Fifteen leaders who belong to the Dialogue Group’s National Leaders Network have a coordination committee, linked to the dialogue process with Cerro Verde in Arequipa and is beginning to appear in national media. At regional level: eighty leaders aware of conflict transformation and dialogue in Arequipa, Cajamarca and Apurímac.Component 4: Consensus on practices and agendas based on natural resources. Agendas: one agenda completed for improved EIA and a Consultation Act Commission actively working. International Dialogue Meeting held with a view to establishing a Latin American network. Four monitoring committees set up.Main lessons learned in the first year:The People to People approach has been incorporated in these channels and the trust and links produced by this approach have led to greater inter-relations, which helps to develop consensus. The channels must be flexible and creative in a changing context and not rigid.

Project 2General project informationName: Second phase of the Project for Capacity-building with the Ombudsman for supervising the socio-environmental management of extractive activities and the Ombudsman’s intervention in socio-environmental conflict.Code: 689. Code (PER): PER105. Code (Fund): PE643.

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General objective: To help strengthen the Ombudsman’s capacity to supervise the environmental management of the extractive industries and its intervention in socio-environmental conflict, with the perspective of prevention, management and transformation of environmental conflict. Starting date: 06/22/2010. End date: 12/22/2010.Intervention Area: National – town: Peru – National / Cajamarca, Lima and Piura – Department level.Donor: Finnish Government. Budget: Gov. Embassy. Requested from donor: US$: 74,000.00. Total budget: US$ 76,276.00

Impact, effects and outcomes achieved: The outcomes of the project’s second phase were:Component 1In the period reported the government has passed twenty-three laws on socio-environmental management applicable to energy and mines sector activities, in which the Ombudsman has intervened directly and indirectly with the aim of guaranteeing the protection of citizens’ rights. It has provided expert advice on matters related to environmental regulations applicable to the extractive industries and to preventing, managing and intervening in socio-environmental conflict, for the Ombudsman’s branch office staff. The division sent a number of letters to the competent authorities of the socio-environmental management of the energy and mines sector, in order to provide them with information about various socio-environmental problems, and made the relevant recommendations in order to avoid breaches in fundamental rights. Finally, in the period reported some twenty-three laws were enacted, in which the Ombudsman moved to guarantee the defense of the rights of the person. Component 2Formulating, designing and printing training modules and leaflets on aspects of socio-environmental management applicable to extractive activities for regional government officials. Three training workshops were held for regional officials on socio-environmental issues. Training workshops for regional officials on certain aspects of the socio-environmental management of energy and mining sector activities, and issues related to environmental management and the institutional framework in general. Main lessons learned:The Ombudsman needs to hold training workshops for all its staff on socio-environmental issues and civil unrest management, so that the Ombudsman branch commissioners have the same standards and receive feedback, in order to attend cases adequately. The Ombudsman should continue with the work of publizing people’s rights, since throughout the project it has been evident that people living in remote areas have no knowledge of their environmental rights and obligations. Hence it is fundamental that the Ombudsman staff travel to these areas at least twice a year.

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Project 3General project informationName: Capacity-building with the Ombudsman for supervising the socio-environmental management of mining activities and the intervention of the Ombudsman in socio-environmental conflict. Code: 616. Code (PER): PER105. Code (Fund): PE600.General objective: Strengthening the Ombudsman in the supervision of the environmental management of extraction activities and its intervention in socio-environmental conflict, with a conflict prevention, management and transformation approach.Start date: 10/15/2009. End date: 05/15/2010.Intervention Area: National – town: Peru – National / Ancash, Apurímac, Cajamarca, Cusco, Lima and Piura – Department level.Donor: Finnish governmentBudget: Total budget: US$ 66,600.00.Impact, effects and outcomes: Component 1: The project has developed technical tools for: environmental inspection, socio-environmental management of mining, hydrocarbon and electricity activities. It designed guidelines and protocols for the supervision of citizens’ participation in mining activities, for public hearings, the supervision of the prior agreement and a set of guidelines: conflict and humanitarian action. In addition, a protocol for the Ombudsman to act in civil unrest.Component 2: The project has strengthened public participation in socio-environmental affairs: lead pollution in Callao, the declaration of a state of emergency in Cerro Tamboraque, informal mining in Cajamarca, the installation of a petrochemical plant in the Paracas National Park buffer zone, etc. It has also successfully addressed crises, as in the declaration of the state of emergency in Cerro Tamboraque, with meetings with the working party in the area.Component 3: The Ombudsman has made intervention and monitoring visits for managing socio-environmental conflicts with Project funds. It has also travelled to monitor various conflicts with its own funds, and attended to forty-nine cases in this period, in the project area. Main lessons learned:It is important that Ombudsman staff all use standard criteria in addressing cases and unrest linked to extractive activities. Training is fundamental, but with validated and approved cases and tools. The training events have demonstrated that it is more efficient to hold these events in the regions, because participants are more engaged.

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Curricula Vitae of Primary Team (Key)

CURRICULUM VITAESEGUNDO E. DÁVILA MUÑOZ (Senior coordinator in governance in the proposal).

sdavila@care.org.pe

Master’s degree in Management of Development Programas and Advocacy, with key experience in directing and implementing urban and rural development projects and programs, especially in the field of economic development, social development, food security, climate change and strengthening public and civil society agencies.Recognized background in the management of development approaches, methodologies and the application of strategies and tools for building the capacities of families, community and grass-roots organizations and regional and municipal governments in urban and rural areas. Proven capacity in human and financial resources management (programs of up to US$30mn) and administration resources management. Broad experience working with public and private entities, international cooperation and NGOs. Proven capacity for establishing institutional networks as strategic alliances and partnership.

I. Work experience:

Current position.

Coordinator of Sustainable Development and Climate Change Area. CARE Peru, since July, 2011

Previous positions:

1) Program Coordinator: Sustainable Economic Development, Climate Change, Food Security and Nutrition, Rural Housing. CARE Peru.

Period: October, 2006 – June, 2011.

2) Post: National Coordinator of the REDESA Program (Sustainable Food Security Networks), Title II CARE –USAID.

3) Position: Regional Director

In the departments of Ayacucho, Huancavelica and Apurímac. Year: January 1, 1999 to July, 2003.

In the departments of Puno, Cusco and Arequipa. Year: April 1, 1997 – December 31, 1998.

In the departments of La Libertad and Ancash in the Chimbote and Casma provinces. Year: June 1, 1992 – March 30, 1997.

In charge of the following programs:

Food Security. Nutrition. Health, Water and Sanitation. Maternal and Reproductive Health. Child Survival. Economics. Education. Micro-finance.

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Micro and small businesses. Agriculture and natural resources. Strengthening local organizations.

4) Position: Area Chief.

In the Constitutional Province of CallaoYear: February 1, 1990 – March 14, 1992. In the southern sector of Metropolitan LimaYear: March 15, 1992 – June 30, 1992. (3.4). - Post: Microcredit Project Representative

Year: February 1, 1988 – January 30, 1990.

II) Education-Training.

(1). - Main:Degree School Year

Master’s degree in Political Science International University - Spain 2002 -2004

Master’s degree in Development project and program

management

Cayetano Heredia University 2001- 2003 (dissertation pending)

San Martín de Porres Private University Economist 1981- 1986

(.2). - Other courses -seminars:Course Organized by: Year

United Nations Climate Change Conference (COP 16), held in, Mexico. United Nations November 29 -2010

December 2010.

Active Employment Policies for the Rural Sector. Held in Spain and Portugal.

International Training Centre, International Labour Organization

2007

Seminar on Climate Change. Sao Paulo, Brazil Care Brazil 2008

InterAmerican Development Bank– Washington - USA Leadership course 2003

Management Development Program. Held in Miami.

Universities: Monterrey- Mexico.

ESAN- PeruINCAE – Costa Rica

1998

Political advocacy and the rights approach. Care USA 2000Management of tools for micro and small businesses. Care USA 1995

Human resources management El Pacifico University- Peru

1990

English Langrow 2011

III. - Publications.

Article: Participatory budgets and local management strategies published by CARE, in their publications for advocacy in the food security program (REDESA), 2007.

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Rodrigo Arce Rojas (Project coordinator in the Proposal). rarce@care.org.pe

Holds a Master of Science degree in Forestry and Resource Conservation and a bachelor’s degree in Forest Engineering from the National Agrarian University (UNA), as well as a bachelor’s degree in Business from the “Maria Rosario Araoz Pinto” School for Professional Education. Has completed the Governance and Political Management Program jointly organized by the Catholic University of Peru (PUCP) and George Washington University and holds a specialized certificate in Climate Change and the Kyoto Protocol from the Latin American Institute of Sciences. Has participated in international events in socio-environmental management and conflict resolution in Lima and Quito. Has facilitated and co-facilitated training workshops on socio-environmental conflicts. Has been a speaker in diverse trainings. Since April 2010, serves as the Coordinator of the Project “Promoting the Rights of Indigenous Populations in Natural Resource Management in the Bolivian, Ecuadorian and Peruvian Amazon” in CARE Peru. Has worked for international organizations like the WFP and WWF. In the country, has worked at the Research Institute of the Peruvian Amazon (IIAP). Has worked as a consultant for GIZ, Amazonian Initiative (IA), Conservation International (CI), OXFAM, ICRAF, SNV, Project Counseling Service, Frankfort Zoological Society (SZF), Ministry of the Environment, General Directorate of Forest and Wild Fauna in the Ministry of Agriculture, among others. Has teaching experience at the post-graduate level in the National University of San Marcos (UNMSM) and the Ricardo Palma University (URP). Has been an advisor to small-farmer and indigenous organizations like the Madre de Dios Department Agrarian Federation (FADEMAD), the Peruvian Indigenous and Small-farmer Agro-forestry Coordinating Body (COICAP) and the Peruvian Confederation of Amazonian Nationalities (CONAP). His work has allowed him to establish relations with indigenous Asháninkas, Awajún, Shipibos and Yáneshas.

Specialist in rural development with a rights-based focus, with pertinent experience in forest management, community forest management, forestry certification, agro-forestry, climate change, participation in Protected Areas and agro-biodiversity. Specialist in capacity building, community relations, rural education, training of facilitators for processes of participatory democracy, dialogue, conflict transformation, political advocacy, public policy, interculturality, as well as participatory natural resource management processes at the professional, technical and field promoter levels. Facilitator of social processes and business development (strategic planning, organizational development).

Specialist in participatory methodologies and participatory research.

Work Experience: 2006 until 31 March 2008. Research Institute of the Peruvian Amazon (IIAP)/ European Union.

Advisor in community forest management in the Community Management Project of Floodable Forests in the Peruvian Amazon. Responsible for capacity strengthening and production of training material in socio-cultural and management aspects of community forest management. Coordinator of project formulation teams. Development of proposals and methodologies for intercultural links between the project and partner communities through the interaction with Result Leaders and Regional Facilitators. Director of the Forest Radio School. Scope: Ucayali basin in the Ucayali and Loreto regions.

2005-2004. IIAP/ United Nations Development Programme (UNDP). In Situ Conservation of Native Crops and Wild Relatives in Peru. Operations Manager. As a management facilitator,

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contributed to the project’s strategic alignment, creation of operative plans, monitoring plans, work plans, operative strategies and the formulation of projects and proposals for funding. Formulation of institutional policies. Creation of communication strategy, participation in mid-term evaluation, and creation of project closure strategy. Monitoring coordination responsibilities included creation of monitoring and evaluation reports and coordination of the project’s facilitators program. Advisor and assistance provided to the National Coordinating body in project management. Scope: 12 (Andean, Amazonian, and Coastal) regions in the country.

1999 – 2003. World Wildlife Fund (WWF). Officer for Forests. Responsible for training in forest management. Leadership in the formation of the Peruvian Forest Stewardship Counsel for Forest Certification, participatory formulation of the good management standards for wood and cashew production, approved by the Forest Stewardship Council. Scope: Peruvian Amazon.

1999-1996. Forest, Trees and People Programme (FTPP-WFP). National Facilitator for Peru for the FTPP. Global program on community forestry with close regional work with Ecuador. Facilitation of local development processes and participatory training in participatory methodologies, socio-environmental conflict management, curriculum development, participatory management of natural resources by local organizations, gender and equity, participatory conservation, communication for development, training of promoters/ facilitators. Selected achievements include the institutionalization of the Community Forestry Course in the National University of the Peruvian Amazon (UNAP) and the National Agrarian University of the Jungle (UNAS).

Pertinent Training: Training workshop on lessons learned with a conflict-sensitive approach in the project

“Promoting the Rights of Indigenous Populations in Natural Resource Management in the Peruvian Amazon”. Herramientas de Acción sin Daño [Tools for Action without Damage]. Santa Cruz, Bolivia. 21 to 22 March 2011.

Training workshop: Conflict-sensitive approach in the project “Promoting the Rights of Indigenous Populations in Natural Resource Management in the Peruvian Amazon”. Tools for Action without Damage. Moyobamba. 6 to 10 September 2010.

Long-distance workshop: “Alternatives to development, post-extractives and transitions”. Latin American Center for Social Ecology (CLAES). 19 October to 23 November 2010.

Seminar Workshop “Corporate Social Responsibility: an opportunity that involves everyone”. Latin American Alumni Network- Peru (Re@l)- InWent. Lima. 12 to 14 December 2008.

First Latin American Convention of Facilitators (CONLAF). Lima, 29 to 31 October 2011. III National Convention of Facilitators, Lima. 26 to 28 June 2010. II National Convention of Facilitators, Lima. 27 to 29 June 2009. I National Convention of Facilitators, Lima. 1 to 3 May 2008.

Participation in Pertinent Events:

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2009. IV Regional Forum on the Transformation of Socio-environmental Conflicts in Latin America “Interculturality and Transformation of Socio-environmental Conflicts”. Latin American Future- GTZ- Simon Bolivar Andean University. Quito. 5 to 6 November.

1998. International Workshop Course on Socio-environmental Conflict Management. This event was organized by the Ecological Forum/ RAAA, the Ilo Labor Center and the Latin American Observatory for Environmental Conflicts. It also had the support of the Forest, Trees and People Program, the Bartolome de las Casas Center (CBC) and E-LAW. Lima, 24 to 25 June.

1998. International Workshop Course: Socio-environmental Conflict Management. Organized by the Ecological Forum, RAAA, Latin American Observatory for Environmental Conflicts. Lima, June.

Publications:Has the following publications, among others:Arce, R. and Porro R. 2010. Energy Policies, Forests and Local Communities in the Ucayali Region, Peruvian Amazon. ICRAF Working Paper no. 117. Nairobi, Kenya: World Agroforestry Centre. 38 p.Linares, Carlos; Arce, Rodrigo; Pinedo, Danny; de los Ríos, Mauricio; Silva, Max; Ramírez, Gustavo and Saúl Rojas. 2010. La Veeduría Forestal Comunitaria. Una respuesta a los retos del manejo forestal comunitario. [Community Forest Oversight. A response to the challenges of community forest management] Edited by the Research Institute of the Peruvian Amazon (IIAP). Pucallpa, 107 p.Empresa Brasileira de Pesquisa Agropecuário/ Brazilian Company for Agricultural Research. Embrapa Amazônia Oriental. Ministry of Agriculture, Livestock and Food Supply. Global Center for Agroforestry. 2009. Agroforestería en los trópicos: aportes para un enfoque integral entre lo biofísico y lo sociocultural. [Agroforestry in the tropics: notes on a comprehensive approach between the biophysical and the socio-cultural] In: Alternativa Agroflorestal na Amazônia Em Transformação.[Agroforestry Alternative in the Amazon in Transformation] Roberto Porro. Technical Editor. Embrapa Informação Tecnológica. Brasília, DF pp: 559-570.Facilitación de Procesos sociales. [Facilitation of Social Processes] 2007.CARE/ Strengthening Program, Health Rights Program, and the Peruvian Network of Consultation Initiatives for Local Development. Lima. 295 p.De excluidos a protagonistas. El desafío de promover capacidades locales. [From being excluded to becoming protagonists: The challenge to promote local capacities] 2004. Peruvian Network of Consultation Initiatives for Local Development. Tarea. Lima, 167 p. (Co-authored with W. Herz).Orientaciones a los facilitadores para la formulación participativa de los Planes de Desarrollo de Capacidades. [Guidance for facilitators for the participatory formulation of Capacity Development Plans] 2004. Working Document. Series: Capacity Development in the Decentralization Process. CARE/ Strengthening Program. Lima. Guía del Facilitador. [Facilitator’s Guide] 2004. The Peruvian Network of Consultation Initiatives for Local Development. DFID/AVINA. 60 p.

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Elvira Raffo Meiggs (Specialist in indigenous rights and gender in the proposal)erafo@care.org.pe

Elvira Raffo is a lawyer, holding a degree from the National University of San Marcos (UNMSM) with master’s level studies in Management of Social Programs in the Cayetano Heredia Peruvian University (UPCH); she currently is studying a Master’s degree in Human Rights at the Catholic University of Peru (PUCP). She has a specialized certificate in Project Management from the Peruvian University of Applied Sciences (UPC).

Has professional experience in human rights, indigenous peoples’ rights, and gender as applied in the design, implementation and evaluation of development and democratic governance programs and projects, implemented in Peru and in other Latin American and Caribbean countries. Has worked and fomented the strengthening of civil society networks and dialogue with a diversity of social actors for advocacy and social conflict management.

WORK EXPERIENCE CARE PERU August 2011 to present

National Coordinator of the Project “Promoting the Rights of Indigenous Populations in Natural Resource Management in the Bolivian, Ecuadorian and Peruvian Amazon”.

Evaluation of the Pro Joven [Pro Youth] Project – Bolivia March 2011

Consultant in charge of conducting the final evaluation of the first phase of the project: “Pro-Youth Educational Innovation on Sexual Health”. This initiative had goal of working on health and sexual and reproductive rights, including HIV/AIDS and was implemented in four rural municipalities of La Paz and Cochabamba. Project financed by the Danish NGO Axis.

IBIS PERU PROGRAMS OFFICE January 2007 – April 2011

National Coordinator of Programs for IBIS Peru

Represented IBIS in Peru according to powers delegated by the Regional Director and applied IBIS global strategies and policies. Participated in planning, strategy design, implementation and monitoring processes for the programs of Indigenous Governance and Intercultural Governance and Intercultural Bilingual Education, developed in a participatory manner in dialogue with indigenous communities and organizations, decentralized public institutions and NGOs. Proactively fomented, having significant results, the incorporation of issues of gender, participation and political advocacy, ensuring the application of an intercultural approach in programs’ and projects’ design, management and results.

The pertinent initiatives include the leadership of the project “Interculturalizing Gender Equity” (2007-2010), which was implemented in Peru, Ecuador and Bolivia, as well as the creation of the project “Indigenous Women Free from Violence”. In the field of health, fomented the work on HIV/AIDS and indigenous people, designed strategies that conducted diagnostics in indigenous communities, and following these designed the project and the leadership of the team that implemented the projects; additionally fomented other pertinent and innovative initiatives that reinforced the prior, free and informed consultation processes with indigenous people and organizations.

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Participated and led multi-cultural teams with a strong ethics, respect for diversity and cultural identity, promoting teamwork.

CATHOLIC RELIEF SERVICES CRS/PERU 4 August 1996 – December 2006

Manager of Civil Society and Human Rights Department

Was responsible for the design, monitoring, evaluation and technical assistance for the civil society and human rights program and projects (1997- 2007). Worked on issues of human rights, peace building and social conflict resolution, corporate social responsibility, and citizen participation and oversight. To reinforce impacts and results, fomented and directly worked in integrated projects with the Rural Development and Micro-finance Programs; incorporated issues of citizenship, gender and advocacy in public policy.

Among the pertinent projects included: “Justice and Peace in Peru” (1996-1997), “Culture of Peace and Conflict Transformation in Peru” (2000-2004), “Land and Mining” (2000-2005), “Participate Peru” (2002-2007).

Fomented peer learning and systematization of experience processes in the Civil Society Program, as well as the discussion and dissemination of results.

Technical Assistant in the Global Solidarity and Civil Society ProgramCatholic Relief Services- Latin America 2000 – 2005

Between 2000 and 2005 was a part of CRS’s Latin American Global Solidarity team; provided technical assistance in project design in human rights, political advocacy, and rural development. Conducted CRS work with civil society networks. Participated in the evaluation of the CRS/ El Salvador program (2002); was in charge of the production and review of projects in human rights, education for peace, and strengthening civil society that were presented in other CRS programs in Latin America. Provided support in citizen participation and peace building programs in the Latin American region.

EPISCOPAL COMMISSION FOR SOCIAL ACTION (CEAS) 1986 – August 1996Coordinator of the Training DepartmentStarted working in CEAS as an assistant in the Training Department for human rights, responsible for the promotion and dissemination of human rights in parishes and dioceses in Lima- Peru. During this period, reinforced volunteer work with law students to promote human rights, designed and organized workshops and daily-long activities with youth and young adults, women, and Catholic Church networks in different regions of Peru.Has produced educational materials, designed education programs in human rights and participated as a speaker in the workshops for different audiences (rural communities, justice operators, police officers, and social and community organizations). Has participated in national and Latin American human rights networks and coalitions.

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PROFESSIONAL TRAINING

National University of San Marcos (UNMSM), Lima, Peru 1979 – 1985Bachelor’s Degree in Law and Political Science

Cayetano Heredia Peruvian University (UPCH), Lima, PeruStudies at the Master’s level in Management of Social Programs 2000 - 2001

Peruvian University of Applied Sciences (UPC) Specialized certificate in Project Management April-October 2004

Catholic University of Peru (PUCP), Lima, Peru 2010 - present

Currently studying in the Master’s Program in Human Rights

PARTICIPATION IN SEMINARS AND WORKSHOPS

Participation in the Corporate Social Responsibility Congress organized by Ethos in Sao Paulo, Brazil, June 2005.

Participation in the program evaluation team of the CRS program in CRS / San Salvador, El Salvador, 2001.

Participation in the training workshop in methodology in political advocacy: San Salvador, 2000. Course organized by the Washington Office on Latin America (WOLA).

Participation in the World Summit on Education for Adults held in Cairo, Egypt, 19- 25 September 1995.

Participation in the First Specialized Course on Human Rights in the Andean Region held in Santa Fe de Bogota, Colombia, 25- 30 October 1993.

Participation in international seminars organized by DEPAS/CELAM in Human Rights and Peace Building.

Participation in the Second Course-Workshop in Training in Human Rights for Latin America held in Santiago, Chile, 14 June – 15 July 1989.

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Team participationThe following staff has been foreseen for the implementation of the work team:

Position Name % funded

by USAID

% of time

dedicated to the

initiative

% CARE

Counterpart

Program Coordinator Segundo Dávila 10% 10%Project Coordinator Rodrigo Arce 70% 100% 30%Advisor for Indigenous Rights and Gender

Elvira Raffo 50% 100% 50%

Advisor for Communication for Development

CARE 100% 25%

Advisor for dialogue spaces CARE 30% 30%Administrative Assistant Diana Toche 10% 10%Financial Analyst Lucía Zamora 10%Advisor for Monitoring, Evaluation and Learning

Roberto Elguera 10% 10%

(2) Area offices Coordinators To be defined 100(2) Facilitators To be defined 100

Project Organization Chart:

Project Coordination Committee (CARE-Red social and

ProDialogo)

Project Coordinator (CARE)

Dialogue and transformation (ProDialogo)

(CARE)

Specialist in Indigenous Rights and Gender (CARE)

(CARE)

Program Coordinator (Governance and Incidence CARE)

All Social Responsibility (CARE)

Governance and incidence (Red Social)

Responsible Office San Martín - Amazonas

Facilitator Amazonas- San Martin

Facilitator Loreto

Financial Analyst (CARE)

Administrative Assistant (CARE)

Monitoring and Evaluation Advisor

(CARE)

Responsible Office San Martin - Loreto

Partners’ Advisory

Team

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Annex 6. Description of the main current socio-environmental unrest in the proposed area of intervention for the project.

Socio Environmental Conflicts in the Departments of Loreto, Amazonas and San Martín (2012)29.

Depart-ment

Nature of the socio environmental conflicts-features

Key stakeholders in the process

Current situation

Conflicts trend

Loreto Hydrocarbons, Protected Natural Areas; indigenous people living in voluntary isolation; fear of environmental pollution/ oil spills.

CommunitiesIndigenous FederationsMinistry of Energy & Mines Ministry of CultureEnterprises

There is dialogue

Increased: indigenous people reject hydro-carbon concession exploitation due to environmental impact fears.

Amazonas  Hydrocarbons, Mining, Protected Natural Areas

CommunitiesIndigenous FederationsMinistry of Energy and MinesMinistry of CultureEnterprises

 Dialogue exists in case, but not in others

Increased: indigenous people reject the mining concessions due to fear to the environmental impact in basin headwaters. Increased artisan mining in the Cenepa river basin.

San Martín Forestry, Protected Natural Areas, territorial rights

CommunitiesIndigenous FederationsRegional GovernmentsMinistry of AgricultureMinistry of the EnvironmentEnterprises

 There is dialogue

Increased because of the rejection of the indigenous and local people to forestry concessions. Indigenous people sector reject the implementation of REDD+30 projects.

Source: Office of the People’s Ombudsman.

Region Case of Socio environmental ConflictAmazonas Case: Native communities in Cenepa are opposed to formal and informal mining in the

Cordillera del Cóndor, because there was no prior consultation and for fear of pollution of the Rivers Sawientsa, Comaina, Marañón and Amazonas, and damage to the Ichigkat Muja National Park, the Santiago – Comaina Reserve and the Tuntanain Community Reserve.Location: District of Cenepa, Condorcanqui province.Main stakeholder: Organization for the Development of Border Communities of El Cenepa (ODECOFROC), Dominguza Aguaruna Federation, the Organization for the Development of the Alto Comainas Indigenous Communities (ODECOAC), the Afrodita SAC mining company, informal miners, the Awajún -Wampis native communities of El Cenepa, the Ministry of Energy and Mines, the Vice-Minister of Cross-Cultural Affairs.Secondary players: Condorcanqui provincial municipality, the Regional Natural Resources and Environment Department of the Amazonas regional government, the Peruvian Jungle Inter-ethnic Development Association (AIDESEP), the Peruvian army.Case: The Amazon Peoples’ Coordinating Committee and some communities from Santa María de Nieva are opposed to the concession contract of Lot 116of the Maurel Et Prom Perú SAC company for fear of potential pollution and because there was no prior consultation. Other indigenous organizations accept the company.Location: Santa María de Nieva district, Condorcanqui province.Main stakeholders: Amazon Peoples’ Coordinating Committee, Inayuam and Kashap native communities, Ciro Alegría village, Maurel EtProm company (formerly Hocol), Ministry of Energy and Mines, Upper Marañon Communities Organization (OCAM), the River Nieva Aguaruna Communities Federation (FECONARIN), the Dominguza Aguaruna Communities Federation.Secondary stakeholders: Ministry of Energy and Mines: Energy and Environment Affairs

29 More information is noted in the relevant annex.30 Reduction of Pollution derived from Deforestation and Forests Degradation.

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Department, Vice-ministry of Cross-Cultural Affairs.

Loreto

Case: Secoya indigenous federation (Airo Pai) and the Kichwa del AltoPutumayo federation are opposed to the entry of PETROBRÁS, which aims to drill oil deposits in Lot 117, because they were not consulted prior to the concession being granted and because this overlaps the Güeppí reserved area and the proposed Protected Areas of Napo - Tigre and Napo – Curaray.Location: Napo and Putumayo river basins, district of Putumayo, Maynas province.Primary stakeholders: Kichwa Indigenous Federation of Alto Putumayo IntiRuna (FIKAPIR); the Secoya Indigenous Federation of Peru (OISPE); Ministry of Energy and Mines; PERUPETRO, PETROBRÁS.Secondary stakeholders: government Natural Protected Areas Service (Ministry of the Environment, Güeppi reserve division, Teniente Manuel Clavero district municipality, Teniente Manuel Clavero district Governor’s Office, Vice-ministry of Cross-Cultural Affairs.Case: the Matsés native community and its fourteen outlying villages,Located between the Yaquerana and José Gálvez river basins, they reject hydrocarbon exploration in oil lots 135, 137, 142 and 152 on their lands, affirming they were not consulted.Location: Matsés native community, Yaquerana district, province of Requena.Main stakeholders: Matsés native community, Peruvian Jungle Inter-ethnic Development Association (AIDESEP), Pacific Stratus Energy Company Ltd., Occidental Oil & and Gas of Perú company and Ministry of Energy and Mines. Secondary stakeholders: COFOPRI, Loreto Regional Agriculture Department,Ministry of Energy and Mines Department of Energy and Environment Affairs,Vice-ministry of Cross-Cultural Affairs.Third group of stakeholders: Prime Minister’s Office: Civil Unrest Management Office.Case: One sector of the Morona native communities and their representative organizations are opposed to hydrocarbon industry activities on Lot 64 by the Talismán company because of the potential environmental pollution and lack of prior consultation, which has given rise to discrepancies within the representative organizations.Location: District of Morona, Alto Amazonas provinceMain stakeholders: Shuar del Morona organization (OSHDEM), the Shapra del Morona Federation (FESHAM) and the Morona Indigenous Association (AIM), Achuarti Iruntramu (ATI), Achuar Chayat Organization (ORACH), the Regional Indigenous Peoples’ Coordinating Committee (CORPI) Achuar del Morona Federation (FASAM), Talisman Petrolera del Perú LLC company.PERÚPETRO, Peruvian Achuar Nationalities Federation (FENAP).Secondary stakeholders: Vice-ministry of Cross-Cultural Affairs, Ministry of Energy and Mines: Department of Energy and Environment.

San Martín

Case: Residents of the Aguas Verdes villages have a dispute with the Alto Mayo Protected Forest Department over their settlement in the protected area.Location: District of Pardo Miguel, Rioja province.Main stakeholders: Residents of the villages of San Pablo del Alto Mayo, Perla del Mayo, Triunfo, Paraíso and La Libertad del Alto Mayo and others, in the district of Pardo Miguel Naranjos, district municipality of Pardo Miguel, the Alto Mayo Forest Protection Department, National Protected Areas Service (SERNANP).Secondary stakeholders: San Martín regional government, Special Prosecutor’s Office for the Environment, San Martín.

Source: Ombudsman (2012), Report on Civil Unrest N° 95, January, 2012.

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Fig. 1: Land plots with contracts for oil operations in Peru (2010)

Source: Ministry of Energy and Mines (MEM).

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Fig. 2: Forestry concessions for lumber and non-lumber use (2012).

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Fig. 3: Amazonian ethno-linguistic groups (2010)

Source: taken from UNICEF, The condition of Indigenous Children in Peru, 2010.

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