A case study approach is characterized by an in-depth exploration of the subject of study in its context (Newing, 2011). As one type of observational research, namely, the type of research that involves observation rather than intervention, a case study design involves
“detailed data collection about a single case or situation” (Newing, 2011:46). Case studies provide rich and in-depth information about a particular situation and when conducted with rigour can provide information beyond the actual case that is studied (Hodkinson &
Hodkinson, 2001). A case study approach can be used to accomplish several objectives:
from generating and testing theories to describing unique, unexpected or unusual situations, or establishing the mechanisms behind causal relationships (Eisenhardt, 1989;
Hodkinson & Hodkinson, 2001). The main criterion for case study selection is the relevance of the case for the research objective. The researcher can opt for an average case of a specific phenomenon (typical case study), or for an extreme case where a phenomenon is only seen under specific or extreme circumstances (outlier case study) (Mills, Durepos, & Wiebe, 2010).
In this dissertation, I selected Colombia as a case study country of focus for personal and academic interests. On the one hand, I aimed to contribute to the understanding and practice of PES in the country in which I was born. On the other, Colombia has at least three special features that make it a relevant case study: first, it is the second most biodiverse country in the world after Brazil, and along with Mexico, has the highest increase in rates of deforestation in Latin America (Armenteras, Espelta, Rodríguez, &
Retana, 2017). Second, environmental policy in Colombia is decentralized which means that unlike other countries like Costa Rica, Ecuador or México, Colombia does not have a national PES programme but rather several dispersed initiatives. Notwithstanding, Colombia has developed a PES law (Law No. 870, 2017) that is aimed at providing the
legal framework for publicly-funded PES initiatives across the country. Third, Colombia’s PES law has one particularity which is linked to the historic context of the country: the law was issued as part of a group of laws that contribute to territorial peace-building in a post-conflict context, following the 2016 Peace Accord with the FARC guerrilla after five decades of armed conflict. The PES law notes that every publicly-funded PES must target conflict-ridden municipalities or areas where illicit crops are grown (Law No. 870, 2017, chapter II, Art. 8). These characteristics make Colombia both a typical and an extreme case study The country shares many features with other countries in the tropics with similar patterns of deforestation and has several PES schemes under implementation, but it is unique in terms of the historical moment in which the national PES legislation has come into existence and the particular linkage of the latter and some of the already ongoing PES initiatives with peace-building efforts.
The fact that the Colombian PES experience is decentralized makes it more relevant to conduct multi-sited research, since it becomes possible to capture regional specificities.
In Chapter Three, I identify the discourses underlying the implementation of PES in Colombia from a discourse analysis relating to four Colombian cities. These cities were selected based on their relevance and convenience for identifying different understandings of PES by relevant actors spread throughout the country. Bogotá is the capital city of Colombia and hosts the national government, several national and international operating PES agencies, and representatives of civil society groups and ethnic organizations. Cali is located in south-west Colombia and is a hub of PES initiatives with more than seven active programmes. Medellín is the second main city in Colombia and hosts the largest PES scheme in the country: Banco2. And Buenaventura is located in the pacific coast and is the geographical node that connects afro-Colombian communities across the Colombian pacific region. The PES discourses identified in
Colombia provide evidence that contributes to understanding the permeation of PES thinking in global environmental policy and practice.
The selection of Cundinamarca’s sub-national PES scheme for Chapter Four was based on its policy relevance: the “Yo protejo, agua para todos” (YPAT) programme is the first publicly-funded PES scheme in Colombia, financed through regional government budgets. This scheme underwent several design changes since its emergence in 2015 and therefore provided a relevant case study to document what drives institutional changes in PES. Additionally, Cundinamarca’s biophysical characteristics were another factor that made this an interesting case to analyse. Cundinamarca is a highly deforested department1: only 0.1% of its total surface is still covered by forests (IDEAM, 2018), and it is home to the largest Paramo ecosystem in the world, Sumapaz, which is critical for the provision of water to over 7 million people in the neighbouring Department of Bogotá.
Single-crop potato farming in the highlands, extensive cattle ranching, and high-altitude mining have resulted in increasing threats for water provision in the department. The analysis of YPAT provide insights for the future design and implementation of this and other publicly-funded PES programmes where reforestation and ecological connectivity are crucial, either in Colombia or beyond.
El Caraño, located within the Amazon piedmont, is the case study for Chapters Five and Six, and it offers a completely opposite perspective compared to Cundinamarca. This territory is part of the Amazon foothills in Caquetá, a region that links the Andes with the Amazon basin, a key biodiversity ecotone and an area with a high risk and rates of deforestation (IDEAM, 2018). Seventy-four per cent of the territory of the villages that
1 A department is an administrative and political sub-national organizing unit. Colombia is made up of thirty-two departments which in turn are made up of several municipalities. Each department has its own Governor (Gobernador) who acts as the maximum authority within its
were part of this study is still forested with primary forests (Vélez et al., 2016). Because of its crucial role in armed conflict, Caquetá is an epicentre for post-conflict interventions aimed at territorial peacebuilding and the implementation of productive projects to substitute illegal coca crops plantations. Hence, it is expected for many PES programmes to start operating in this area. The lessons of this case study are relevant for colonization frontiers in the Latin American tropics, where deforestation is mainly driven by agriculture and cattle ranching and where PES alone might not be sufficient to tackle the pervasive threats to forest conservation.
Table 2.1. Summary of data collection methods and sample size
Chapter No. and Question Main data collection
method Participants
Ch. 3 – How is PES
conceptualized in Colombia? Q-methodology 41 interviews with relevant actors involved in Colombia’s PES debates and implemented schemes (Bogotá, Medellín, Cali, Buenaventura)
Ch. 4 - What drives
institutional change in PES? Semi-structured
interviews and survey 14 interviews with actors directly or indirectly involved
Survey 64 farmers on an agricultural
frontier in the Amazon Piedmont