A G R I C U LT U R E A N D R U R A L D E V E L O P M E N T 44834 Sustainable Land Management Sourcebook Sustainable Land Management SOURCEBOOK A G R I C U LT U R E A N D R U R A L D E V E LO P M E N T Seventy-five percent of the world's poor live in rural areas and most are involved in farming. In the 21st century, agriculture remains fundamental to economic growth, poverty alleviation, and environmental sustainability. The World Bank's Agriculture and Rural Development publication series presents recent analyses of issues that affect agriculture's role as a source of economic development, rural livelihoods, and environmental services. The series is intended for practical application, and we hope that it will serve to inform public discussion, policy for- mulation, and development planning. Other titles in this series: Forests Sourcebook: Practical Guidance for Sustaining Forests in Development Cooperation Changing the Face of the Waters: The Promise and Challenge of Sustainable Aquaculture Enhancing Agricultural Innovation: How to Go Beyond the Strengthening of Research Systems Reforming Agricultural Trade for Developing Countries, Volume 1: Key Issues for a Pro-Development Outcome of the Doha Round Reforming Agricultural Trade for Developing Countries, Volume 2: Quantifying the Impact of Multilateral Trade Reform Sustainable Land Management: Challenges, Opportunities, and Trade-Offs Shaping the Future of Water for Agriculture: A Sourcebook for Investment in Agricultural Water Management Agriculture Investment Sourcebook Sustaining Forests: A Development Strategy Sustainable Land Management Sourcebook © 2008 The International Bank for Reconstruction and Development / The World Bank 1818 H Street NW Washington DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org E-mail: feedback@worldbank.org All rights reserved. 1 2 3 4 11 10 09 08 This volume is a product of the staff of the International Bank for Reconstruction and Development / The World Bank. The findings, interpretations, and conclusions expressed in this volume do not necessarily reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denomina- tions, and other information shown on any map in this work do not imply any judgement on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. Rights and Permissions The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permis- sion may be a violation of applicable law. The International Bank for Reconstruction and Development / The World Bank encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. For permission to photocopy or reprint any part of this work, please send a request with complete information to the Copyright Clearance Center Inc., 222 Rosewood Drive, Danvers, MA 01923, USA; telephone: 978-750-8400; fax: 978-750- 4470; Internet: www.copyright.com. All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, The World Bank, 1818 H Street NW, Washington, DC 20433, USA; fax: 202-522-2422; e-mail: pubrights@worldbank.org. Cover photo: Erick Fernandes/World Bank. Cover design: Patricia Hord. ISBN: 978-0-8213-7432-0 e-ISBN: 978-0-8213-7433-7 DOI: 10.1596/978-0-8213-7432-0 Library of Congress Cataloging-in-Publication Data Sustainable land management sourcebook. p. cm. Includes bibliographical references and index. ISBN 978-0-8213-7432-0 -- ISBN 978-0-8213-7433-7 (electronic) 1. Land use--Environmental aspects. 2. Sustainable agriculture. 3. Rural development--Environmental aspects. I. World Bank. HD108.3.S874 2008 333.73--dc222 2008022135 C O N T E N T S Preface ix Acknowledgments xi Abbreviations xiii PART I SUSTAINABLE LAND MANAGEMENT: CHALLENGES AND OPPORTUNITIES 1 Chapter 1 Overview 3 Structure of the Sourcebook and Guide for Users 4 The Need for Sustainable Land Management 5 Definition of Sustainable Land Management 5 Drivers and Impacts of Global Change 6 Production Landscapes:The Context for Land Management 9 Land Management Trade-Offs 12 Confronting the Effects of Land Use 13 Selecting and Using Appropriate Indicators for SLM and Landscape Resilience 13 Diversity of Land Management Systems and Poverty Alleviation 13 Future Directions for Investments 16 PART II MAJOR FARMING SYSTEMS: INVESTMENT OPTIONS AND INNOVATIONS 21 Chapter 2 Introduction 23 Chapter 3 Rainfed Farming and Land Management Systems in Humid Areas 25 Overview 25 Potentials for Poverty Reduction and Agricultural Growth 25 Investment Note 3.1 Science and Local Innovation Make Livestock More Profitable and Friendlier to the Environment in Central America 27 Investment Note 3.2 An Approach to Sustainable Land Management by Enhancing the Productive Capacity of African Farms: The Case of the Underused and Versatile Soybean 34 Investment Note 3.3 Balancing Rainforest Conservation and Poverty Reduction 39 Investment Note 3.4 Groundwater Declines and Land Use: Looking for the Right Solutions 45 v Investment Note 3.5 Environmental Services Payments and Markets: A Basis for Sustainable Land Resource Management? 51 Innovative Activity Profile 3.1 Species Diversity in Fallow Lands of Southern Cameroon: Implications for Management of Constructed Landscapes 56 Innovative Activity Profile 3.2 Domestication and Commercialization of Forest Tree Crops in the Tropics 60 Innovative Activity Profile 3.3 Avoided Deforestation with Sustainable Benefits: Reducing Carbon Emissions from Deforestation and Land Degradation 65 Innovative Activity Profile 3.4 On-Farm Integration of Freshwater Agriculture and Aquaculture in the Mekong Delta of Vietnam: The Role of the Pond and Its Effect on Livelihoods of Resource-Poor Farmers 71 Chapter 4 Rainfed Farming Systems in Highlands and Sloping Areas 77 Overview 77 Potentials for Poverty Reduction and Agricultural Growth 77 Investment Note 4.1 No-Burn Agricultural Zones on Honduran Hillsides: Better Harvests, Air Quality, and Water Availability by Way of Improved Land Management 78 Investment Note 4.2 Beans: Good Nutrition, Money, and Better Land Management-- Appropriate for Scaling Up in Africa? 83 Innovative Activity Profile 4.1 Fodder Shrubs for Improving Livestock Productivity and Sustainable Land Management in East Africa 88 Chapter 5 Rainfed Dry and Cold Farming Systems 95 Overview 95 Potentials for Poverty Reduction and Agricultural Growth 95 Investment Note 5.1 Integrating Land and Water Management in Smallholder Livestock Systems in Sub-Saharan Africa 96 Investment Note 5.2 Integrated Nutrient Management in the Semiarid Tropics 103 Investment Note 5.3 Integrated Natural Resource Management for Enhanced Watershed Function and Improved Livelihoods in the Semiarid Tropics 108 Investment Note 5.4 Enhancing Mobility of Pastoral Systems in Arid and Semiarid Regions of Sub-Saharan Africa to Combat Desertification 114 Investment Note 5.5 Sustainable Land Management in Marginal Dry Areas of the Middle East and North Africa: An Integrated Natural Resource Management Approach 120 Investment Note 5.6 Adaptation and Mitigation Strategies in Sustainable Land Management Approaches to Combat the Impacts of Climate Change 126 Innovative Activity Profile 5.1 High-Value Cash Crops for Semiarid Regions: Cumin Production in Khanasser, Syrian Arab Republic 131 Innovative Activity Profile 5.2 Economic and Sustainable Land Management Benefits of the Forage Legume: Vetch 133 Innovative Activity Profile 5.3 Participatory Barley-Breeding Program for Semiarid Regions 134 Innovative Activity Profile 5.4 Climate Risk Management in Support of Sustainable Land Management 136 Innovative Activity Profile 5.5 Land Degradation Surveillance: Quantifying and Monitoring Land Degradation 141 vi CONTENTS PART III WEB-BASED RESOURCES 149 Chapter 6 Web-Based Tools and Methods for Sustainable Land Management 151 Global Field and Market Intelligence on Cereal and Oilseeds 151 Remote-Sensing Tool for Water Resources Management 151 Hydrological Data and Digital Watershed Maps 151 Basin and Watershed Scale Hydrological Modeling 153 River Basin Development and Management 153 Tracking Floods Globally:The Dartmouth Flood Observatory 154 The Carnegie Landsat Analysis System 154 Plant Biodiversity: Rapid Survey, Classification, and Mapping 156 Agricultural Production Regions and MODIS: NASA's Moderate Resolution Imaging Spectroradiometer 157 Integrated Global Observations for Land 157 Glossary 161 Index 167 BOXES 1.1 Ecosystem Services 4 1.2 Historical Perspective on Landscapes, Land Management, and Land Degradation 6 1.3 Pressure-State-Response Framework 14 1.4 Household Strategies to Improve Livelihoods 16 1.5 Key Safeguard Policy Issues for SLM and Natural Resource Management Investments 18 3.1 Example of Pasture Rehabilitation and Intensification from Honduras 30 3.2 Examining Hydrological Contradictions in the North China Plain 46 3.3 Types of Environmental Services Generated by Good Land-Use Practices 52 5.1 Steps in the Diagnostic Surveillance Framework 143 5.2 Steps in the Land Degradation Surveillance Framework 145 FIGURES 1.1 Global Food Production, Food Prices, and Undernourishment in Developing Countries, 1961­2003 6 1.2 Typical Set of Production Activities (Forestry, Crop and Livestock Production, Hydropower, and Coastal Fisheries) Encountered in a Production Landscape 7 1.3 World Comparisons of Food Production and Consumption 2003 10 3.1 Months of Consecutive Dry Season 28 3.2 Nigerian Soybean Production (1988­2006) and Markets in Ibadan (1987­2000) 35 3.3 Irrigation History of Luancheng County: Estimated Pumping for Irrigation, 1949­99 46 3.4 General Relationships between Precipitation and Evapotranspiration for Cropland in Luancheng County, 1947­2000 47 3.5 Hydronomic Zones in a River Basin 48 3.6 Schematic Trade-off between Reduced GHG Emissions through Avoided Deforestation and National Economic Development Opportunities 68 3.7 Area and Production Increases in Freshwater Aquaculture in Vietnam, 1999­2005 72 3.8 Bioresource Flows of an IAA Pond with Medium-Input Fish Farming in the Mekong Delta 74 5.1 Effect of Watershed Interventions on Groundwater Levels at Two Benchmark Sites in India 111 5.2 Application of the Multilevel Analytical Framework to the Management of Olive Orchards on Hill Slopes at Khanasser Valley 124 5.3 Successive Samples of Land Degradation Problem Domains at a Hierarchy of Scales Using Satellite Imagery, Ground Sampling, and Laboratory Analysis of Soils by Infrared Spectroscopy 144 6.1 USDA-FAS Crop Explorer 152 6.2 USDA-FAS Global Reservoir and Lake Monitor 152 6.3 HydroSHEDS Database 153 CONTENTS vii 6.4 The Distributed Hydrology Soil Vegetation Model 154 6.5 River Basin Development and Management Comparative Study 155 6.6 Dartmouth Flood Observatory Map 155 6.7 Comparison of CLAS High-Resolution Processing with Standard Landsat Processing 156 6.8 MODIS Image Gallery 158 6.9 Integrated and Operational Land Observation System 159 TABLES 1.1 Comparison of Farming Systems by Category 15 3.1 Forage Use and Production Criteria 29 3.2 ASB Summary Matrix: Forest Margins of Sumatra 40 3.3 Incidence of Costs and Benefits for Environmental Services 52 3.4 Total Number of Plant Species Recorded in Three Fallow Types in the Humid Forest Zone of Southern Cameroon 58 3.5 List of the Four Most Preferred Priority Indigenous Fruit Tree Species in Selected Regions 61 3.6 Percentage of Farm Households Practicing Freshwater Aquaculture in 2000 and 2004 by Wealth Groups 73 4.1 Farmers Planting Fodder Shrubs in Kenya, Northern Tanzania, Rwanda, and Uganda 91 5.1 Chemical Characteristics of 924 Soil Samples Collected from Farmers' Fields in Three Districts of Andhra Pradesh, India, 2002­04 104 5.2 Biological and Chemical Properties of Semiarid Tropical Vertisols 105 5.3 Nutrient Composition of Vermicompost 106 5.4 Seasonal Rainfall, Runoff, and Soil Loss from Different Benchmark Watersheds in India and Thailand 110 5.5 Major Strengths,Weaknesses, Opportunities, and Threats for the Khanasser Valley as an Example of Marginal Drylands 121 5.6 Technological Interventions Introduced in the Khanasser Valley 123 viii CONTENTS P R E FA C E The World Bank's Rural Strategy, Reaching the Rural Poor, Increasing demands for food, feed, and bio-energy chal- commits the Bank to five core areas of rural development: lenge an already dwindling land, water, and forest base. To address these demands for natural resources and the accom- fostering an enabling environment for broad-based and panying challenges, the Bank's work emphasizes sustainable sustainable rural growth land, fisheries, forest, and livestock and water management, enhancing agricultural productivity and competitiveness including governance issues. Until recently, increases in encouraging nonfarm economic growth agricultural productivity--particularly in industrial regions improving social well-being, managing and mitigating of the world--have, with the help of both science and sub- risk, and reducing vulnerability sidy, pushed world agricultural commodity prices down, enhancing sustainability of natural resource making it increasingly difficult for marginal land farmers to management. operate profitably within existing technical and economic parameters. In the first few months of 2008, however, a A key goal of the Rural Strategy is support to agricultural combination of high oil prices, poor crop yields caused by growth that benefits the poor, for without a renewed effort unfavorable weather in major producer countries such as to accelerate growth in the agricultural sector, few countries Australia, skyrocketing demand for grains for biofuels will be able to reach the Millennium Development Goals-- (ethanol), and market speculation have all combined to especially the goal of halving poverty and hunger--by 2015. push commodity prices to all-time highs. This price trend is Furthermore, the World Development Report 2007: Agricul- projected to continue for the foreseeable future and will ture for Development (WDR 2007) calls for greater invest- stimulate rapid expansion or intensification of agricultural ment in agriculture in developing countries. WDR 2007 land use--or both. Good land management practices will be warns that the sector must be placed at the center of the essential to sustain high agricultural productivity without development agenda because, while 75 percent of the degrading land and the associated natural resource base and world's poor live in rural areas, a mere 4 percent of official ecosystem services essential for sustaining land productivity. development assistance goes to agriculture in developing The Sustainable Land Management Sourcebook is countries. In Sub-Saharan Africa, a region heavily reliant on intended to be a ready reference for practitioners (including agriculture for overall growth, public spending for farming World Bank stakeholders, clients in borrowing countries, is also only 4 percent of total government spending, and the and World Bank project leaders) seeking state-of-the-art sector is still taxed at relatively high levels. information about good land management approaches, ix innovations for investments, and close monitoring for irrigated farming systems with a broad range of food and potential scaling up. The Sourcebook provides introductions cash crop production to topics, but not detailed guidelines on how to design and wetland rice-based farming systems dependent on mon- implement investments. The Investment Notes and Innova- soon rains supplemented by irrigation tive Activity Profiles include research contacts, a list of ref- dualistic farming systems with both large-scale commer- erences, and Web resources for readers who seek more in- cial and smallholder farms across a variety of ecologies depth information and examples of practical experience. and with diverse production patterns. WHAT IS NOT COVERED THE SOURCEBOOK AS A LIVING DOCUMENT Thematic topic coverage is not always comprehensive, as This first edition draws on the experiences of various insti- materials were assembled on a pragmatic basis, depending tutional partners that work alongside the World Bank in the on available materials and on specialists willing to con- agriculture and natural resource management sectors. tribute original notes. The modules generally address the Major contributors are research and development experts priority issues within a thematic area or areas in which from the Consultative Group on International Agriculture operational guidance is needed, but there are important Research (CGIAR) centers, together with their national gaps that should be filled in future editions. partners from government and nongovernmental agencies. This edition of the Sourcebook includes the three major The diverse menu of options for profitably investing in sus- rainfed systems out of the eight system types for develop- tainable land management that is presented is still a work in ment of detailed investment notes: progress. Important gaps still need to be filled, and good practices are constantly evolving as knowledge and experi- rainfed farming systems in humid and subhumid areas ence accumulate. The intention of this Sourcebook is to con- rainfed farming systems in highland and sloping areas tinue to harness the experience of the many World Bank rainfed farming systems in dry (semiarid and arid) areas. projects in all regions as well as those of partners in other multilateral and bilateral institutions, national organiza- The decision to start with three rainfed systems was tions, and civil society organizations. based on the level of available resources (funds and time) The Sourcebook will be updated and expanded, as experi- and also on the fact that these rainfed systems occupy over ence is gained with new investment initiatives. The current 540 million hectares of cultivated land globally and involve chapters and investment notes should be valid for a number approximately 1.4 billion people, who, in turn, practice of years. The useful life of an IAP will be less, as most are about 40 different land management and cropping arrange- based on recent experience and have been subjected to lim- ments. Future editions will systematically cover the remain- ited evaluation. Readers are encouraged to check on current ing farming systems that include the following: status by contacting the person named in each profile. x PREFACE A C K N O W L E D G M E N T S The preparation of this Sourcebook involved a large number Tegucigalpa, Honduras; M. Ayarza, TSBF and CIAT, Teguci- of people from within units of the World Bank working on galpa, Honduras; E. Amezquita, E. Barrios, M. Rondon, A. agriculture, as well as from a variety of partner organiza- Castro, M. Rivera, and I. Rao, CIAT, Cali, Colombia; J. Pavon, tions. The design and day-to-day coordination of the Instituto Nacional de Tecnologia Agropecuaria, Managua, Sourcebook was carried out by Erick Fernandes (ARD), Nicaragua; and O. Ferreira, D.Valladares, and N. Sanchez, Erika Styger, and Gary Costello (ARD consultants). Escuela Nacional de Ciencias Forestales, Siguatepeque, Hon- The following individuals made written contributions to duras; D. White, CIAT and Pan-African Bean Research module overviews and good practice notes: Alliance; S. Franzel, C.Wambugu, H. Arimi, and J. Stewart, M. Peters and D. White, Centro Internacional de Agricul- ICRAF, Nairobi, Kenya; T. Amede, ILRI, Addis Ababa, tura Tropical (CIAT), Cali, Colombia, and F. Holmann, CIAT Ethiopia, and International Water Management Institute and the International Livestock Research Institute (ILRI), (IWMI), Addis Ababa, Ethiopia; A. Haileslasie and D. Peden, Cali, Colombia; J. N. Chianu, O. Ohiokpehai, B. Vanlauwe, ILRI, Addis Ababa, Ethiopia; S. Bekele, IWMI, Addis Ababa, and N. Sanginga, Tropical Soil Biology and Fertility Institute Ethiopia, and M. Blümmel, ILRI, Addis Ababa, Ethiopia, and (TSBF) and the World Agroforestry Centre (ICRAF), Hyderabad, India; S. P. Wani, K. L. Sahrawat, and C. Srini- Nairobi, and A. Adesina, Rockefeller Foundation, Nairobi, vasan Rao, International Crops Research Institute for the Kenya; T. Tomich, J. Lewis, and J. Kasyoki, ICRAF; J. Valen- Semi-Arid Tropics (ICRISAT), Hyderabad, India; T. K. tim, Empresa Brasileira de Pesquisa Agropecuária Sreedevi, P. Pathak, Piara Singh, and T. J. Rego, ICRISAT, (EMBRAPA); S. Vosti and J.Witcover, University of Califor- Patancheru, Andhra Pradesh, India; Y. S. Ramakrishna, Cen- nia­Davis, California; E. Kendy, The Nature Conservancy, tral Research Institute for Dryland Agriculture, Santoshna- Washington, DC, United States; P. H. May, Department of gar, Hyderabad, Andhra Pradesh, India; Thawilkal Wangka- Agriculture, Development and Society, Federal Rural Uni- hart, Agricultural Research and Development, Muang, Khon versity, Rio de Janeiro, Brazil; M. Ngobo and S.Weise, Inter- Kaen, Thailand; Yin Dixin, Guizhou Academy of Agricul- national Institute of Tropical Agriculture (IITA), Yaoundé, tural Sciences, Integrated Rural Development Center, Cameroon; F. K. Akinnifesi, O. C. Ajayi, and G. Sileshi, Guiyang, Guizhou, China, and Zhong Li, Yunnan Academy ICRAF, Makoka, Malawi; M. van Noordwijk, B. Swallow, L. of Agricultural Sciences, Kunming, Yunnan, China; S. Verchot, and J. Kasyoki, ICRAF, Indonesia and Kenya; D. K. Leloup, ARD consultant; R. Thomas, F. Turkelboom, R. La Nhan, D. N. Thanh, and Le T. Duong, Mekong Delta Devel- Rovere, A. Aw-Hassan, and A. Bruggeman, International opment Research Institute, Can Tho University, Can Tho, Center for Agricultural Research in the Dry Areas Vietnam, and M. J. C. Verdegem and R. H. Bosma, Aquacul- (ICARDA), Aleppo, Syrian Arab Republic; J. Padgham, U.S. ture and Fisheries Group, Department of Animal Sciences, Agency for International Development (USAID); S. Cecca- Wageningen University, Wageningen, Netherlands; L. relli and S. Grando, ICARDA, Aleppo, Syrian Arab Republic; A.Welchez, Consortium for Integrated Soil Management, A. Lotsch, ARD; K. D. Shepherd, T.-G. Vågen, and T. Gum- xi bricht, ICRAF, Nairobi, Kenya, and M. G. Walsh, Earth Insti- Khouri (LAC), Idah Pswarayi-Riddihough (EAP), Grant tute, Columbia University, New York; J. Richey, University of Milne (SAR), and Robert Ragland Davis (LCR). Washington, Seattle; G. Asner, Stanford University and Sarian Akibo-Betts (ARD) assisted with logistics and Carnegie Institution of Washington, California, United managing the consultant hiring process, Regina Vasko, States; A. Gillison, Center for Biodiversity Management Felicitas Doroteo-Gomez (ARD), and Rebecca Oh (ARD) (CBM), Australia; R. Brakenridge, Dartmouth Flood Obser- were extremely supportive in managing finances and con- vatory, Dartmouth College, New Hampshire, United States. tracts. Melissa Williams (ARD), Lisa Li Xi Lau (ARD), and Many Bank staff contributed and/or peer reviewed the Gunnar Larson (ARD) managed the publication produc- concept note, early drafts, and final chapters or the Source- tion and electronic version. book: Sushma Ganguly (ARD), Mark Cackler (ARD), Eija While this list is comprehensive, it is likely that we have Pehu (ARD), Nwanze Okidegbe (ARD), Paola Agostini overlooked important contributors. Our apologies for this (AFR), Jessica Mott (ECA), Daniel Sellen (AFR), Nadim oversight, but thank you all the same. xii ACKNOWLEDGMENTS A B B R E V I AT I O N S AFOLU agriculture, forestry, and other land use AgREN Agricultural Research and Extension Network AMSR-E Advanced Microwave Scanning Radiometer for the Earth Observing System ASB Alternatives to Slash-and-Burn (program) BNF biological nitrogen fixation C carbon CAF crop agrobiodiversity factor CaNaSTA Crop Niche Selection in Tropical Agriculture (spatial analysis tool) CBM Center for Biodiversity Management CDM clean development mechanism CGIAR Consultative Group on International Agricultural Research CH4 methane CIAT Centro Internacional de Agricultura Tropical, or International Center for Tropical Agriculture CLAS Carnegie Landsat Analysis System CO2 carbon dioxide CO2e carbon dioxide equivalent D-PPB Decentralized-Participatory Plant Breeding (approach) DHSVM Distributed Hydrology Soil Vegetation Model DM dry matter DTPA diethylene triamine pentaacetic acid FAO Food and Agriculture Organization FAS Foreign Agricultural Service (United States) FONAFIFO Fondo Nacional de Financiamiento Forestal, or National Forestry Financing Fund (Costa Rica) GDP gross domestic product GEF Global Environment Facility GHG greenhouse gas GLASOD Global Assessment of Human Induced Soil Degradation (database) HFC hydrofluorocarbon IAA integrated agriculture-aquaculture (system) ICAR Indian Council for Agricultural Research ICARDA International Center for Agricultural Research in the Dry Areas ICRAF International Centre for Research in Agroforestry ICRISAT International Crops Research Institute for the Semi-Arid Tropics IFT indigenous fruit tree xiii IGNRM integrated genetic and natural resource management IGOL Integrated Global Observations for Land IGOS Integrated Global Observing Strategy IITA International Institute of Tropical Agriculture ILRI International Institute for Land Reclamation and Improvement INM integrated nutrient management INRM integrated natural resources management IPAD impact assessment of policy reforms to agricultural development IPCC Intergovernmental Panel on Climate Change IPDM integrated pest and disease management IPM integrated pest management ISI Indian Standards Institution IWMI International Water Management Institute LBS little bag silage LEAD Livestock, Environment, and Development LULUCF land use, land-use change, and forestry MODIS Moderate-Resolution Imaging Spectroradiometer MPCI multiperil crop insurance NARS national agricultural research system NASA National Aeronautics and Space Administration NEPAD New Partnership for Africa's Development NGGIP National Greenhouse Gas Inventories Programme (Japan) NGO nongovernmental organization NO2 nitrous oxide NRM natural resource management O3 tropospheric ozone PABRA Pan-African Bean Research Alliance PES payment for environmental services PFC perfluorocarbon PRODES Program for the Estimation of Deforestation in the Brazilian Amazon PUA peri-urban and urban agriculture QSMAS Quesungual Slash-and-Mulch Agroforestry System REDD reduction of emissions from deforestation and degradation RUPES Rewarding Upland Poor for Environmental Services (program) SCALE Systemwide Collaborative Action for Livelihoods and the Environment (methodology) SF6 sulfur hexafluoride SHG self-help group SLM sustainable land management SoFT Selection of Forages for the Tropics (knowledge management tool) SOM soil organic matter TLU tropical livestock unit TSBF Tropical Soil Biology and Fertility Institute UNEP United Nations Environment Programme UNFCCC United Nations Framework Convention on Climate Change USDA U.S. Department of Agriculture UTA University of Tropical Agriculture Foundation VGGR Voluntary greenhouse gas reporting VIC variable infiltration capacity model WHS water-harvesting structure WWF World Wildlife Fund xiv ABBREVIATIONS PA RT I Sustainable Land Management: Challenges and Opportunities C H A P T E R 1 Overview Increased investment to promote agricultural growth and cies and investments became clear. To support the rural poverty reduction is a key objective of the World Bank's strategy, the Agriculture and Rural Development Depart- (2003) rural strategy, Reaching the Rural Poor. A major com- ment compiled and launched the Agriculture Investment ponent of the strategy outlines the priorities and the Sourcebook (World Bank 2004) and Shaping the Future of approaches that the public sector, private sector, and civil Water for Agriculture: A Sourcebook for Investment in Agri- society can use to enhance productivity and competitive- cultural Water Management (World Bank 2005a). Those two ness of the agricultural sector in ways that reduce rural sourcebooks document and highlight a wide range of poverty and sustain the natural resource base. The pathways emerging good practices and innovative approaches to and possible actions involve participation by rural commu- investing in the agricultural and rural sector. Good land nities, science and technology, knowledge generation and management is essential for sustaining the productivity of further learning, capacity enhancement, and institution agriculture, forestry, fisheries, and hydrology (water), and it building. affects a range of ecosystem services on which the sustain- The strategy commits the World Bank to five core areas ability of agriculture depends. Hence, this sourcebook has of rural development: been produced to complement the previous sourcebooks. The focus is on land management for enhanced production Foster an enabling environment for broad-based and as well as ecosystem services (box 1.1). sustainable rural growth. Until recently, increases in agricultural productivity-- Promote agricultural productivity and competitiveness. particularly in industrial regions of the world--have, with Encourage nonfarm economic growth. the help of both science and subsidy, pushed world agricul- Improve social well-being, manage and mitigate risk, and tural commodity prices down, thereby making it increas- reduce vulnerability. ingly difficult for marginal land farmers to operate prof- Enhance sustainability of natural resource management. itably within existing technical and economic parameters (Sachs 2005). In the first few months of 2008, however, a Underlying all of the investments and actions is pro-poor combination of high oil prices, poor crop yields caused by agricultural growth, with the specific aim of helping client unfavorable weather in major producer countries such as countries reach the Millennium Development Goals--espe- Australia, skyrocketing demand for grains for biofuels cially the goal of halving poverty and hunger by 2015. (ethanol), and market speculation has pushed commodity While the new rural strategy was being developed, the prices to all-time highs. This price trend is projected to con- need to better articulate good practice in agricultural poli- tinue for the foreseeable future and will stimulate rapid 3 introduces the concept of production landscapes and Box 1.1 Ecosystem Services analysis of trade-offs and establishes a framework for linking indicators that provide a measure of the out- An ecosystem is a dynamic complex of plant, ani- comes of SLM. It then categorizes the diversity of land mal, and microorganism communities and the management (that is, farming) systems globally and the nonliving environment interacting as a functional strategies for improving household livelihoods in each unit. Examples of ecosystems include natural type of system. For the farming system types, a set of forests, landscapes with mixed patterns of human SLM principles and common but important issues for use, and ecosystems intensively managed and future investments are identified. modified by humans, such as agricultural land and Part II focuses on three major farming system types and urban areas. Ecosystem services are the benefits presents a range of Investment Notes and Innovative people obtain from ecosystems. They include the Activity Profiles: following: ­ Investment Notes summarize good practices and les- sons learned in specific investment areas. They pro- Provision services such as food, water, timber, and fiber vide a brief, but technically sound, overview for the Regulated services that affect the climate, nonspecialist. For each Investment Note, the invest- floods, disease, waste, and water quality ments have been evaluated in different settings for Cultural services that provide recreational, aes- effectiveness and sustainability, and they have been thetic, and spiritual benefits broadly endorsed by a community of practitioners Support services such as soil formation, photo- operating both within and outside the World Bank. synthesis, and nutrient cycling. ­ Innovative Activity Profiles highlight the design of suc- cessful or innovative investments. They provide a The human species, while buffered against envi- short description of an activity that is found in the ronmental changes by culture and technology, World Bank's portfolio or that of a partner agency fundamentally depends on the flow of ecosystem and that focuses on potential effectiveness in poverty services. reduction, empowerment, or sustainability. Activities Source: http://www.millenniumassessment.org. profiled often have not been sufficiently tested and evaluated in a range of settings to be considered good expansion or intensification of agricultural land use--or practice, but they should be closely monitored for both. Good land management practices will be essential to potential scaling up. sustain high productivity without degrading land and the Part III provides users of the source book with easy-to- associated natural resource base. access, Web-based resources relevant for land and natu- ral resource managers. The resources are available in the public domain, and readers can access the Web sites of STRUCTURE OF THE SOURCEBOOK AND various international and national agencies. GUIDE FOR USERS This sourcebook is intended to be a ready reference for This sourcebook provides introductions to topics, but practitioners (including World Bank stakeholders, clients in not detailed guidelines on how to design and implement borrowing countries, and World Bank project leaders) seek- investments. The Investment Notes and Innovative Activity ing state-of-the-art information about good land manage- Profiles include a list of references and Web resources for ment approaches, innovations for investments, and close readers who seek more in-depth information and examples monitoring for potential scaling up. of practical experience. This sourcebook is divided into three parts: This first edition draws on the experiences of various institutional partners that work alongside the World Bank Part I identifies the need and scope for sustainable land in the agriculture and natural resource management sectors. management (SLM) and food production in relation to Major contributors are research and development experts cross-sector issues such as freshwater and forest from the Consultative Group on International Agriculture resources, regional climate and air quality, and interac- Research centers, together with their national partners from tions with existing and emerging infectious diseases. It government and nongovernmental agencies. The diverse 4 CHAPTER 1: OVERVIEW menu of options for profitably investing in SLM that is pre- Maintaining the integrity of watersheds for water supply sented is still a work in progress. Important gaps still need and hydropower-generation needs and water conserva- to be filled, and good practices are constantly evolving as tion zones knowledge and experience accumulate. The intention of this Maintaining the ability of aquifers to serve the needs of sourcebook is to continue to harness the experience of the farm and other productive activities. many World Bank projects in all regions as well as those of partners in other multilateral and bilateral institutions, In addition, SLM includes actions to stop and reverse national organizations, and civil society organizations. The degradation--or at least to mitigate the adverse effects of sourcebook will be updated annually. earlier misuse. Such actions are increasingly important in uplands and watersheds--especially those where pressures from the resident populations are severe and where the THE NEED FOR SUSTAINABLE LAND destructive consequences of upland degradation are being MANAGEMENT felt in far more densely populated areas downstream. Land-use activities--whether converting natural landscapes Fortunately, in the past four decades, scientific advances for human use or changing management practices on and the application of improved knowledge and technologies human-dominated lands--have transformed a large propor- by land managers and some farmers have resulted in signifi- tion of the planet's land surface. By clearing tropical forests, cant total and per capita food increases, reduced food prices practicing subsistence agriculture, intensifying farmland (figure 1.1),and the sparing of new land that otherwise would production, or expanding urban centers, humans are chang- have been needed to achieve the same level of production ing the world's landscapes. Although land-use practices vary (Evenson and Gollin 2003). For example, if yields of the six greatly across the world, their ultimate outcome is generally major crop groups that are cultivated on 80 percent of the the same: (a) to produce food and fiber and (b) to acquire total cultivated land area had remained at 1961 levels, an natural resources for immediate human needs. additional 1.4 billion hectares of farmland (more than dou- The sections that follow present the rationale for why ble the amount of land currently being used) would have SLM is a critical cross-sector driver for maintaining pro- been required by 2004 to serve an expanding population.Asia duction and services from human-dominated landscapes. alone would have required an additional 600 million The challenges identified are also entry points for carefully hectares, which represents 25 percent more land area than is targeted interventions and represent opportunities for pro- suitable for cultivation on that continent. Rather than enjoy- poor investments. ing surpluses of grains, Asia would now depend heavily on food imports (Cassman and Wood 2005). Nevertheless, those gains have some medium- to long-term costs (figure 1.1). DEFINITION OF SUSTAINABLE LAND Until recently, increases in agricultural productivity-- MANAGEMENT particularly in developed regions of the world, where they Sustainable land management is a knowledge-based proce- are facilitated by both science and subsidy--have pushed dure that helps integrate land, water, biodiversity, and envi- world agricultural commodity prices down, making it ronmental management (including input and output exter- increasingly difficult for marginal land farmers to operate nalities) to meet rising food and fiber demands while profitably within existing technical and economic parame- sustaining ecosystem services and livelihoods. SLM is neces- ters. These trends may not be reliable pointers to the future. sary to meet the requirements of a growing population. In the 21st century, food and fiber production systems Improper land management can lead to land degradation will need to meet three major requirements: and a significant reduction in the productive and service functions (World Bank 2006). 1. They must adequately supply safe, nutritious, and suffi- In lay terms, SLM involves these activities: cient food for the world's growing population. 2. They must significantly reduce rural poverty by sustain- Preserving and enhancing the productive capabilities of ing the farming-derived component of rural household cropland, forestland, and grazing land (such as upland incomes. areas, down-slope areas, flatlands, and bottomlands) 3. They must reduce and reverse the degradation of natural Sustaining productive forest areas and potentially com- resources and the ecosystem services essential to sustain- mercial and noncommercial forest reserves ing healthy societies and land productivity. CHAPTER 1: OVERVIEW 5 Figure 1.1 Global Food Production, Food Prices, and Box 1.2 Historical Perspective on Landscapes, Land Undernourishment in Developing Countries, Management, and Land Degradation 1961­2003 300 1,200 Concerns about soil and vegetation degradation and the impacts on land and water productivity 250 1,000 918 920 are not new. Plato, writing about Attica in the 873 826 815 fourth century BC, lamented: 200 780 (millions) oil crisis 800 There are remaining only the bones of the 798 1961) wasted body, as they may be called, as in the in 150 600 persons case of small islands, all the richer and softer parts of the soil having fallen away, and the (100 mere skeleton of the land being left. But in 100 400 index the primitive state of the country, its moun- tains were high hills covered with soil, and 50 200 undernourished the plains, as they are termed by us, of Phelleus were full of rich earth, and there 0 0 0 was abundance of wood in the mountains. 1961 1965 1970 1975 1980 1985 1990 1995 200 2003 Of this last the traces still remain, for total food production (left axis) although some of the mountains now only food production per capita (left axis) afford sustenance to bees, not so very long undernourished in developing countries (right axis) ago there were still to be seen roofs of timber food price (left axis) cut from trees growing there, which were of Source: Millennium Ecosystem Assessment 2005. a size sufficient to cover the largest houses; Note: The spike in the food price index in 1974 was caused by the oil crisis. and there were many other high trees, culti- vated by man and bearing abundance of food for cattle. Moreover, the land reaped DRIVERS AND IMPACTS OF GLOBAL CHANGE the benefit of the annual rainfall, not as now losing the water which flows off the bare It is now known that the challenges to sustaining land pro- earth into the sea, but, having an abundant ductivity will need to be resolved in the face of significant supply in all places, and receiving it into her- but highly unpredictable changes in global climate--a key self and treasuring it up in the close clay soil, factor in natural and agro-ecosystem productivity. Other it let off into the hollows the streams which major issues that will influence how land use evolves to it absorbed from the heights, providing meet the challenge of food security include globalization of everywhere abundant fountains and rivers, markets and trade, increasing market orientation of agricul- of which there may still be observed sacred ture, significant technological changes, and increasing pub- memorials in places where fountains once lic concern about the effects of unsustainable natural existed; and this proves the truth of what I resource management. am saying. Several decades of research have revealed the environ- Source: DeFries 2003, citing Plato 2003. mental impacts of land use throughout the globe. These impacts range from changes in atmospheric composition to the extensive modification of Earth's ecosystems. For exam- ple, land-use practices have played a role in changing the global carbon cycle and, possibly, the global climate: Since to the biosphere from fertilizers and atmospheric pollu- 1850, roughly 35 percent of anthropogenic carbon dioxide tants now exceed natural sources and have widespread emissions resulted directly from land use. Changes in land effects on water quality and coastal and freshwater ecosys- cover also affect regional climates by affecting surface tems. Land use has also caused declines in biodiversity energy and water balance (box 1.2). through the loss, modification, and fragmentation of habi- Humans have also transformed the hydrologic cycle to tats; degradation of soil and water; and overexploitation of provide freshwater for irrigation, industry, and domestic native species. Figure 1.2 shows some of the watershed- and consumption. Furthermore, anthropogenic nutrient inputs landscape-level interactions and potential consequences of 6 CHAPTER 1: OVERVIEW Figure 1.2 Typical Set of Production Activities (Forestry, Crop and Livestock Production, Hydropower, and Coastal Fisheries) Encountered in a Production Landscape Source: World Bank 2006. Note: The land management interventions depicted at various points in the landscape all have an impact on surface and subsurface water and nutrient flows and energy balances. Understanding how these interrelated but spatially separated interactions occur is very important for sustainable land management for enhanced productivity and ecosystem functions. = Forested catchments, = dams and reservoirs, = irrigation canals, and = coastal settlements. individual land management decisions on water uptake The subsections that follow examine this question and and loss to the atmosphere (evapotranspiration) and focus on a subset of global ecosystem conditions that are hydrology. most affected by land use. They also consider the challenge Human activities now appropriate nearly one-third to of reducing the negative environmental impacts of land use one-half of global ecosystem production, and as develop- while maintaining economic and social benefits. ment and population pressures continue to mount, so could the pressures on the biosphere. As a result, the scientific Food Production community is increasingly concerned about the condition Together, croplands and pastures have become one of the of global ecosystems and ecosystem services. largest terrestrial biomes on the planet, rivaling forest cover Thus, land use presents a dilemma. On one hand, many in extent and occupying approximately 40 percent of the land-use practices are absolutely essential for humanity land surface (figure 1.3). Changes in land-use practices have because they provide critical natural resources and ecosys- enabled world grain harvests to double in the past four tem services, such as food, fiber, shelter, and freshwater. On decades, so they now exceed 2 billion tons per year. Some of the other hand, some forms of land use are degrading the this increase can be attributed to a 12 percent increase in ecosystems and services on which we depend. A natural world cropland area, but most of these production gains question arises: are land-use activities degrading the global resulted from "Green Revolution" technologies, which environment in ways that may ultimately undermine include (a) high-yielding cultivars, (b) chemical fertilizers ecosystem services, human welfare, and long-term sustain- and pesticides, and (c) mechanization and irrigation. Dur- ability of human societies? ing the past 40 years, global fertilizer use has increased CHAPTER 1: OVERVIEW 7 about 700 percent, and irrigated cropland area has increased resulting degradation of inland and coastal waters impairs approximately 70 percent. water supplies, causes oxygen depletion and fish kills, Although modern agriculture has been successful in increases blooms of cyanobacteria (including toxic vari- increasing food production, it has also caused extensive envi- eties), and contributes to water-borne disease. ronmental damage. For example, increasing fertilizer use has led to the degradation of water quality in many regions. In Forest Resources addition, some irrigated lands have become heavily salinized, Land-use activities, primarily for agricultural expansion causing the worldwide loss of approximately 1.5 million and timber extraction, have caused a net loss of 7 million to hectares of arable land per year, along with an estimated 11 million square kilometers of forest in the past 300 years. US$11 billion in lost production. Up to 40 percent of global Highly managed forests, such as timber plantations in croplands may also be experiencing some degree of soil ero- North America and oil palm plantations in Southeast Asia, sion, reduced fertility, or overgrazing. have also replaced many natural forests and now cover The loss of native habitats also affects agricultural pro- 1.9 million square kilometers worldwide. Many land-use duction by degrading the services of pollinators, especially practices (such as fuelwood collection, forest grazing, and bees. In short, modern agricultural land-use practices may road expansion) can degrade forest ecosystem conditions-- be trading short-term increases in food production for in terms of productivity, biomass, stand structure, and long-term losses in ecosystem services, which include many species composition--even without changing forest area. that are important to agriculture. Land use can also degrade forest conditions indirectly by introducing pests and pathogens, changing fire fuel loads, Freshwater Resources changing patterns and frequency of ignition sources, and Land use can disrupt the surface water balance and the par- changing local meteorological conditions. titioning of precipitation into evapotranspiration, runoff, and groundwater flow. Surface runoff and river discharge Regional Climate and Air Quality generally increase when natural vegetation (especially Land conversion can alter regional climates through its forestland) is cleared. For instance, the Tocantins River effects on net radiation, the division of energy into sensible Basin in Brazil showed a 25 percent increase in river dis- and latent heat, and the partitioning of precipitation into charge between 1960 and 1995, coincident with expanding soil water, evapotranspiration, and runoff. Modeling studies agriculture but no major change in precipitation. demonstrate that changes in land cover in the tropics affect Water demands associated with land-use practices, espe- the climate largely through water-balance changes, but cially irrigation, directly affect freshwater supplies through changes in temperate and boreal vegetation influence the water withdrawals and diversions. Global water withdrawals climate primarily through changes in the surface radiation now total approximately 3,900 cubic kilometers per year, or balance. Large-scale clearing of tropical forests may create a about 10 percent of the total global renewable resource. The warmer, drier climate, whereas clearing temperate and consumptive use of water (not returned to the watershed) is boreal forest is generally thought to cool the climate, pri- estimated to be between 1,800 and 2,300 cubic kilometers marily through increased albedo. per year. Urban "heat islands" are an extreme case of how land use Agriculture alone accounts for approximately 75 percent modifies the regional climate. The reduced vegetation cover, of global consumptive use. As a result, many large rivers-- impervious surface area, and morphology of buildings in especially in semiarid regions--have greatly reduced flows, cityscapes combine to lower evaporative cooling, store heat, and some routinely dry up. In addition, the extraction of and warm the surface air. A recent analysis of climate groundwater reserves is almost universally unsustainable records in the United States suggests that a major portion of and has resulted in declining water tables in many regions. the temperature increase during the past several decades Land use often degrades water quality. Intensive agricul- resulted from urbanization and other land-use changes. ture increases erosion and sediment load and leaches nutri- Changes in land cover have also been implicated in chang- ents and agricultural chemicals to groundwater, streams, ing the regional climate in China; recent analyses suggest and rivers. In fact, agriculture has become the largest source that the daily diurnal temperature range has decreased as a of excess nitrogen and phosphorus to waterways and coastal result of urbanization. zones. Urbanization also substantially degrades water qual- Land-use practices also change air quality by altering ity, especially where wastewater treatment is absent. The emissions and changing the atmospheric conditions that 8 CHAPTER 1: OVERVIEW affect reaction rates, transportation, and deposition. For nologies to make life more comfortable and less vulnerable example, tropospheric ozone (O3) is particularly sensitive to to droughts, floods, and other potentially damaging climatic changes in vegetation cover and biogenic emissions. Land- events. The outcomes of this human occupation are trans- use practices often determine dust sources, biomass burn- formed landscapes over 40 percent of the Earth's ice-free ing, vehicle emission patterns, and other air pollution land surface. Only places that are extremely cold, extremely sources. Furthermore, the effects of land use on local mete- hot, very mountainous, or as yet inaccessible remain free orological conditions, primarily in urban heat islands, also from human use (figure 1.3). affect air quality: higher urban temperatures generally cause Landscapes also reveal how people obtain their food and O3 to increase. pursue their livelihoods. In the industrial world of North America and Western Europe, a majority of people live in Infectious Diseases urban areas (77 percent in 2003) and obtain food trans- Habitat modification, road and dam construction, irriga- ported from land devoted to high-yield agriculture. Diets tion, increased proximity of people and livestock, and con- are relatively high in animal products. Agricultural produc- centration or expansion of urban environments all modify tion is highly mechanized, with only 15 percent of people the transmission of infectious disease and can lead to out- living in rural areas engaged in farming or ranching. The breaks and emergence episodes. For example, increasing pattern is markedly different in parts of the world that are tropical deforestation coincides with an upsurge of malaria still in agrarian stages of development (figure 1.3). and its vectors in Africa, Asia, and Latin America, even after Although overall global food production has increased accounting for the effects of changing population density. 168 percent over approximately the past 40 years and is Disturbing wildlife habitat is also of particular concern, ample to feed all 6.5 billion people on the planet today, because approximately 75 percent of human diseases have 13 percent of the world's people still suffered from malnu- links to wildlife or domestic animals. Land use has been trition between 2000 and 2002 because they were too poor associated with the emergence of bat-borne Nipah virus in to purchase adequate food. The imprint of this paradox is Malaysia, cryptosporidiosis in Europe and North America, seen throughout the rural landscape of the developing and a range of food-borne illnesses globally. In addition, world in crops grown on infertile soils and steep slopes, road building in the tropics is linked to increased bushmeat mosaics of shifting cultivation, forests scavenged for fuel- hunting, which may have played a key role in the emergence wood, and seasonal migrations pursuing fodder for live- of human immunodeficiency virus types 1 and 2. Simian stock. Most people in the developing world live in rural foamy virus was recently documented in hunters, confirm- areas, with South Asia having the highest percentage at ing this mechanism of cross-species transfer. more than 70 percent (Latin America and the Caribbean is The combined effects of land use and extreme climatic the most urbanized developing region.) Of the rural popu- events can also have serious impacts, both on direct health lation throughout all developing regions, the vast majority outcomes (such as heat mortality, injury, and fatalities) and is engaged in agriculture. These rural farmers grow low- on ecologically mediated diseases. For example, Hurricane yield crops for their own households and local markets. Mitch, which hit Central America in 1998, exhibited these Diets also contrast with those in the industrial world, with combined effects: 9,600 people perished, widespread water- consumption of animal products far less than half that in and vector-borne diseases ensued, and 1 million people industrial societies and per capita caloric intake at 65 to 80 were left homeless. Areas with extensive deforestation and percent. settlements on degraded hillsides or floodplains suffered the Poverty, agriculture, and land use make a complex and greatest morbidity and mortality. challenging system with many flaws and interacting ele- ments. Poor farmers do not want to be poor, and few choose actively to damage their environments. The reason so many PRODUCTION LANDSCAPES: are living on the edge of survival is that too many of their THE CONTEXT FOR LAND MANAGEMENT traditional approaches to agricultural production are break- When one travels on an airplane, the view from the window ing down. Economic growth has been insufficient to offer reveals landscapes below with mountain ranges, forests, alternative means of employment for the rural poor. Profits grasslands, coastlines, and deserts. As human civilization from farming at low levels of productivity have been too evolved, people planted crops, reared animals, developed small to allow farmers to reinvest in their farms and main- complex irrigation schemes, built cities, and devised tech- tain productivity at acceptable levels (Eicher and Staatz CHAPTER 1: OVERVIEW 9 Figure 1.3 World Comparisons of Food Production and Consumption 2003 a. Population Sub-Saharan Africa East and Southeast Asia industrial countries Latin America and the Caribbean South Asia 0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 percentage of population rural of total agricultural of rural b. Per capita food supply Sub-Saharan Africa East and Southeast Asia industrial countries Latin America and the Caribbean South Asia 0 500 1,000 1,500 2,000 2,500 3,000 3,500 4,000 kilocalories vegetal products animal products total c. Mechanization Sub-Saharan Africa East and Southeast Asia industrial countries Latin America and the Caribbean South Asia 0 5 10 15 20 tractors in use per 1,000 people Source: Food and Agriculture Organization statistical databases (FAOSTAT), http://www.faostat.fao.org. Note: In panel a, the percentage of total population living in rural areas is highest in South Asia and lowest in industrial countries, while agricultural popula- tions (defined as all persons depending for their livelihood on agriculture, hunting, fishing, or forestry) constitute more than 70 percent of the rural popula- tion in all developing regions but only 15 percent in industrial countries. In panel b, per capita food supply per day and proportion of total in animal products is highest in industrial countries. In panel c, food production is more mechanized in industrial countries, as illustrated by the number of tractors in use. 10 CHAPTER 1: OVERVIEW 1990). Meanwhile, continual increases in population have looks the obvious fact that an expensive input (whether in depleted both the available resource base and social entitle- cash or labor) can be profitable if it is used efficiently. The ments that hitherto provided a state of equilibrium in rural knowledge the poor seek is how to make best use of the lim- areas of Africa (Lele 1989). ited amounts that they are able to purchase. So poverty alle- Those who are most in need of new livelihood options viation and food security have to be arranged around low are the least able to pay for them. Furthermore, the advice food prices and efficient production methods. With low that they receive on the choices open to them is disgrace- food prices, the poor can use their limited cash to invest in ful--what the farmer needs is reliability and consistency of better housing, education, and health care. With high food performance. A single mother hoping to harvest a metric prices, they are further trapped in poverty, and the oppor- ton of rice on a hectare of depleted upland soil can ill afford tunities for livelihood diversification are few. to lose 100 kilograms of her harvest to a crop pest or disease The human imprint on the landscape emerges from mil- in a single season, even if, under some conditions (which lions of individual decisions in pursuit of food and liveli- she may not be able to achieve), she can potentially get a hoods. Through time, as societies evolve from agrarian to higher yield from a new variety. She needs to move to a industrial and information-based economies, the landscape higher level of productivity but cannot afford the means to mirrors accompanying shifts in how people obtain food, lift herself there.Although group savings and credit schemes what they eat, and where they work. Historical examples in (such as savings and credit cooperative societies, household Europe and North America follow a general pattern, and income security associations, and self-help groups) can help similar patterns are emerging in some developing regions, poor families to access inputs to get out of the poverty spi- but with one major caveat: the early stages of agricultural ral, the effectiveness of such interventions is badly blunted transformation and industrialization in Europe and North when the inputs themselves are inadequately tailored to the America were supported by significant shifts of populations needs of the poor. SLM practices are often complex, are dif- to new lands through colonization and settlement. In ficult to implement, and have payoffs that may be beyond today's crowded world, that safety valve is no longer an the horizon of the poor. But as the cases in this sourcebook option. will show, those constraints do not mean that SLM practices Instead a "Green Evolution" strategy is needed to help are impractical or impossible for the poor to adopt. people transform their own landscapes rather than seeking Much of the debate on poverty revolves around the low to escape to fresh pastures. Local knowledge (of soils, land- prices that farmers get for their produce. Remember, scapes, markets, and climate) is linked to the best of though, that the first priority for the rural poor is to grow national and international expertise in a focused, problem- their own food. Many of the rural poor do not even produce solving effort. The focus is on quality and results, facilitated enough to feed themselves all year round, so they buy food through enhanced networking and coordination among the when supplies are short and prices are high. Poor people do various sector stakeholders and international organizations. not need expensive food. Thus, an evident priority in the The best options are pulled together and then promoted struggle against poverty is to bring food prices down. The through large-scale initiatives. The poor influence the costs of many of the improved technologies (such as choice of recommendations, while the private sector con- improved seeds, fertilizer, and livestock breeds) needed by tributes toward sector needs such as seed and market sys- smallholders--despite ongoing efforts at market develop- tems. In that way, the power of millions of individuals' deci- ment--will remain high. Low-cost technologies (such as sions can be tapped to create a more benign and sustainable home-produced seed and household composts) often have human imprint on the landscape. The Green Evolution a substantial cost in terms of labor--which is also a scarce strategy encourages the efficient and swift transformation of resource in many poor households. practices leading to SLM by harnessing the best skills in a The advice given to many poor farmers regarding the use collaborative, learning-by-doing manner in which all people of essential inputs (both those purchased from outside and feel ownership and pride. Existing structures are improved those that the farmer may generate from homestead and enhanced to build change through an evolutionary, resources, such as manures and home-produced seed) rather than a revolutionary, approach. This approach is serves actively to discourage their use. In large part, this out- cost-effective and brings the best expertise of both develop- come occurs because of inadequate incorporation of basic ing countries and the international community together in economic parameters into recommendations to farmers a problem-solving format that can be rapidly scaled up to (Blackie 2006). The information provided frequently over- reach the poor quickly and effectively. CHAPTER 1: OVERVIEW 11 This process of participatory experimentation empowers In many of the success stories developed in the subse- the poor through knowledge generation and sharing. quent Investment Notes, the path was laid through skillful Through experimentation, the poor can investigate--and building of partnerships with farmers, communities, and contribute to--the development of practical, affordable, institutions in the countryside. and sustainable practices that are reliable and robust in their circumstances. The poor gain the information they need to LAND MANAGEMENT TRADE-OFFS select the best technology combinations for their condi- tions. They then share this knowledge with their fellow Land-use change has allowed civilizations to grow crops, farmers through different channels, such as farmer field feed livestock, obtain energy, build cities, and carry out myr- schools, field tours, and field days. Information from pilot iad other activities that underlie material advancement of project areas spreads widely and quickly across geographic any society and progression through the other major socie- and socioeconomic gradients. Experimentation is followed tal transitions. Land-use change also profoundly alters by diversification. After experimenting with different crops, ecosystems as vegetation is cleared and biomass is diverted farmers choose those that respond favorably to inputs or for human consumption. Unintended environmental con- that perform well in their environments. They use an incre- sequences potentially undermine future land-use options. mental adoption strategy. As their knowledge about a spe- Since publication of the Brundtland report (WCED cific technology increases, as their farm produce increases, 1987), the concept of sustainability has received increasing and as more profits accrue from the sales, farmers gradually attention in agriculture, yet researchers have struggled to expand their capacity to diversify into other production operationalize the concept. Smyth and Dumanski (1993) activities. subdivided the general concept of sustainability into four The key element is building the trust and respect of the main pillars: (a) productivity, (b) stability of production, (c) poor. Trust and respect are gained through a continuing soil and water quality, and (d) socioeconomic feasibility. A exercise of discussing and coming to a consensus on slightly different approach for using the concept of sustain- options, together with obtaining routine and informed ability has been to define various indicators (see, for exam- feedback on results. Some tools are already in use. ple, Bockstaller, Girardin, and van der Werf 1997; Pieri and Researchers have been highly innovative in developing the others 1995). necessary tools to meet the challenge of conducting partici- Several practical problems arise in implementing this patory activities with many clients over an extended geo- strategy, including the large amount of data needed to quan- graphic area in a cost- and time-effective manner. See, for tify a large number of different sustainability indicators and example, Snapp, Blackie, and Donovan's (2003) "mother the challenge of understanding the complex interactions and baby" trial design, which collects quantitative data from among such indicators. Some researchers have combined mother trials that are managed by researchers and systemat- indicators into indexes (for example, Farrow and Winograd ically cross-checks them against baby trials that are man- 2001; Sands and Podmore 2000). This procedure raises the aged by farmers. This approach quickly generates best bet question of how indexes measured in different units can be options that are owned by the participating communities. meaningfully aggregated. The choice of "weights" used for Moreover, it creates a fertile environment for developing such aggregation is often arbitrary and lacks adequate rigor. new insights and priorities. The eventual product has sev- One well-known strategy for weighting different indexes was eral advantages: developed by economists for cost-benefit analysis, wherein systematic methods have been created to ascertain monetary It is owned by those who need to adopt it, so they have a values to attribute to both market and nonmarket goods and genuine belief that it actually is useful. services, including services of natural capital. Yet even those It builds bridges of communication between target com- systematic attempts to value and aggregate market and non- munities and the agencies working to assist them (the market goods have proved controversial and have not been chronic research-extension linkage problem). widely accepted within and outside the economics profes- It creates a confidence among the target population that sion (Belzer 1999; Portney 1994). they can solve their own problems, leading to quicker The alternative approach taken in trade-off analysis is to innovation and also spread of innovation across work with decision makers to identify a limited set of high- communities. priority indicators and then to provide decision makers 12 CHAPTER 1: OVERVIEW with quantitative estimates of the relationships among those Confronting the global environmental challenges of land indicators, leaving to the decision makers the task of subjec- use requires assessing and managing inherent trade-offs tively assessing the implied trade-offs or win-win options. between meeting immediate human needs and maintaining Trade-off curves are used to communicate information the capacity of ecosystems to provide goods and services in about trade-offs to decision makers. Trade-off curves are the future. Assessments of trade-offs must recognize that designed to embody the principle of opportunity cost in land use provides crucial social and economic benefits, even production systems. They are typically constructed by vary- while leading to possible long-term declines in human wel- ing parameters in the production system that affect the eco- fare through altered ecosystem functioning. nomic incentives perceived by farmers in their land-use and input-use decisions. SELECTING AND USING APPROPRIATE A key potential benefit of the trade-off approach is the INDICATORS FOR SLM AND LANDSCAPE ability to model the desirability and likely effects of scaling RESILIENCE up good practice. Most often, the scaling-up approach used is based on the simplistic assumption of additive economic SLM policies must also assess and enhance the resilience of and ecological benefits as one scales up good practice. The different land-use practices. Managed ecosystems--and the goal of trade-off analysis is to support decision making services they provide--are often vulnerable to diseases, cli- related to public policy issues associated with agricultural matic extremes, invasive species, toxic releases, and the like. production systems. Thus, the focus of trade-off analysis is Increasing the resilience of managed landscapes requires to provide information at a spatial scale relevant to such practices that are more robust to disturbance and that can policy questions--typically at a level of analysis such as a recover from unanticipated surprises. The need for decision- watershed, a political unit, or a region, or even at the making and policy actions across multiple geographic scales national level. Yet the environmental effects of production and multiple ecological dimensions is increasing. The very systems are generally site specific. A critical question, there- nature of the issue requires such actions: land use occurs in fore, is how to bridge the gap between the site-specific local places, with real-world social and economic benefits, effects of agricultural production systems and the scale rel- while potentially causing ecological degradation across local, evant for policy decisions. The trade-off analysis model is regional, and global scales. Society faces the challenge of reli- designed to solve this problem by characterizing the popu- ably assessing outcomes and developing strategies that lation of biophysical and economic decision-making units reduce the negative environmental impacts of land use in a region, simulating their behavior at the field scale, and across multiple services and scales while sustaining social then aggregating outcomes to a regional scale that is rele- and economic benefits. vant for policy analysis by using trade-off curves and other Indicators are interlinked components and processes in means of communicating results. one land management system, not a group of separate vari- ables. Although each indicator could be interpreted inde- pendently, SLM as a whole can be assessed only if its indica- CONFRONTING THE EFFECTS OF LAND USE tors are linked in a meaningful way. In the context of SLM, Current trends in land use allow humans to appropriate an different biophysical and socioeconomic indicators of both ever-larger fraction of the biosphere's goods and services a quantitative and a qualitative nature are selected, meas- while simultaneously diminishing the capacity of global ured, and evaluated. This heterogeneous mix of indicators ecosystems to sustain food production, maintain freshwater requires a qualitative frame or structural model for a mean- and forest resources, regulate climate and air quality, and ingful analysis of the links between and causal effects of the mediate infectious diseases. This assertion is supported indicators (box 1.3). across a broad range of environmental conditions world- wide, although some (for example, alpine and marine areas) DIVERSITY OF LAND MANAGEMENT SYSTEMS are not considered in this sourcebook. Nevertheless, the AND POVERTY ALLEVIATION conclusion is clear: modern land-use practices, while increasing the short-term supplies of material goods, may For structure, the sourcebook follows the comprehensive undermine many ecosystem services in the long run, even 2001 Food and Agriculture Organization (FAO)­World on regional and global scales. Bank study, Farming Systems and Poverty: Improving Farm- CHAPTER 1: OVERVIEW 13 Box 1.3 Pressure-State-Response Framework The framework shown in the accompanying figure can social inequity and poverty; and political and social be used as a structural model for identifying core instability. issues, formulating impact hypotheses, and selecting a 2. Pressure indicators. These indicators include meaningful set of indicators. The indicators are related changes in cropping techniques, financial position to the components of the model. of holdings, fuelwood and charcoal consumption, The Sahara and Sahel Observatory in Tunisia identi- use of crop residues, use of animal dung for fuel, fied four topics for coverage when developing impact and price of fuelwood and charcoal. indicators using the Pressure-State-Response framework: 3. State indicators. These indicators include rate of deforestation, rate of soil erosion, degree of saliniza- 1. Driving forces causing pressure on natural resources. tion, soil crusting and compaction, crop productiv- These forces include population pressure, economic ity, livestock productivity, and nutrient balance (on- growth, and urbanization; policy failures or distor- farm organic matter recycling). tions (such as stagnant technology and delayed 4. Response indicators. These indicators include legisla- intensification); imperfect markets (including lack tive change, investment, tree planting, state conser- of markets and poor market access); transaction vation programs, farmer conservation groups, and costs and imperfect information (including limited farmer adoption of tree planting and soil and water access to information about market opportunities); conservation. Pressure-State-Response Framework PRESSURE STATE RESPONSE information human state of the environment economic and pressures activities information and natural resources environmental agents energy air societal administrations transport water responses households industry land (decisions, enterprises agriculture resources other natural resources actions) international others societal responses (decisions, actions) Source: Herweg, Steiner, and Slaats 1999. ers' Livelihoods in a Changing World (Dixon and Gulliver ies from around the world that analyzed innovative with Gibbon 2001). The study adopted a farming systems approaches to small farm or pastoral development. approach to provide an agricultural perspective to the revi- Although recognizing the heterogeneity that inevitably sion of the World Bank's rural development strategy. It drew exists within such broad systems, the farming systems on many years of experience in the FAO and the World approach provides a framework for understanding the Bank, as well as in a number of other national and interna- needs of those living within a system, the likely challenges tional institutions. More than 70 major farming systems and opportunities that they will face over the next 30 years, were defined throughout the six developing regions of the and the relative importance of different strategies for escap- world. Findings were supported by more than 20 case stud- ing from poverty and hunger. 14 CHAPTER 1: OVERVIEW The key farming system types identified and described by 1. Irrigated farming systems (3), embracing a broad range the study (Dixon and Gulliver with Gibbon 2001) are briefly of food and cash crop production summarized here to guide and focus the interventions and 2. Wetland rice-based farming systems (3), dependent on investment examples and guidelines. monsoon rains supplemented by irrigation 3. Rainfed farming systems in humid and subhumid areas Overview of Farming Systems as a Baseline of high resource potential (11), characterized by crop for Targeting Investments activity (notably root crops, cereals, industrial tree A farming system is defined as a population of individual farm crops--both small scale and plantation--and commer- systems that have broadly similar resource bases, enterprise pat- cial horticulture) or mixed crop-livestock systems terns, household livelihoods,and constraints and for which sim- 4. Rainfed farming systems in steep and highland areas ilar development strategies and interventions would be appro- (10), often characterized by mixed crop-livestock systems priate. Depending on the scale of the analysis, a farming system 5. Rainfed farming systems in dry and cold areas (19), char- can encompass a few dozen or many millions of households. acterized by mixed crop-livestock and pastoral systems The delineation of the major farming systems provides a merging into sparse and often dispersed systems with useful framework within which appropriate agricultural very low current productivity or potential because of development strategies and interventions can be determined. extreme aridity or cold The classification of the farming systems of developing 6. Dualistic farming systems with both large-scale commer- regions has been based on the following criteria: cial and smallholder farms (16) across a variety of ecolo- gies and with diverse production patterns Available natural resource base. Classification takes into 7. Coastal artisanal fishing and farming systems (4) account water, land, grazing areas, and forest; the climate 8. Urban-based farming systems (6), typically focused on (altitude is an important determinant); the landscape horticultural and livestock production. (slope is considered); and farm size, tenure, and organi- zation. The eight categories of farming system are further com- Dominant pattern of farm activities and household liveli- pared in table 1.1, which shows the areas of total land, cul- hoods. Classification takes into account such factors as tivated land, and irrigated land; agricultural population; field crops, livestock, trees, aquaculture, hunting and and market surplus. A recent study investigating alternative gathering, processing, and off-farm activities. The main household strategies for land management (farming) sys- technologies used determine the intensity of production tems in developing countries reinforced the need for and integration of crops, livestock, and other activities. greater development attention to diversification and inten- sification (box 1.4). In the relatively constrained circum- On the basis of those criteria, 8 broad categories of farm- stances of rainfed highlands and rainfed dry or cold cli- ing system and 72 farming systems have been identified: mates, however, off-farm employment and exit from Table 1.1 Comparison of Farming Systems by Category Wetland Rainfed Dualistic Coastal Category Irrigated rice- Rainfed Rainfed dry and (large and artisanal Urban- characteristic systems based humid highlands cold small) fishing based Number of systems 3 3 11 10 19 16 4 6 Total land (million hectares) 219 330 2,013 842 3,478 3,116 70 -- Cultivated area (million hectares) 15 155 160 150 231 414 11 -- Cultivated area/total area (%) 7 47 8 18 7 13 16 -- Irrigated area (million hectares) 15 90 17 30 41 36 2 -- Irrigated area/cultivated area (%) 99 58 11 20 18 9 19 -- Agricultural population (million) 30 860 400 520 490 190 60 40 Agricultural persons/cultivated area (person/hectare) 2.1 5.5 2.5 3.5 2.1 0.4 5.5 -- Market surplus High Medium Medium Low Low Medium High High Source: FAO data and expert knowledge. Note: -- = not available. Cultivated area refers to both annual and perennial crops. CHAPTER 1: OVERVIEW 15 Better crop management using improved seeds of appro- Box 1.4 Household Strategies to Improve priate varieties; improved crop establishment at the Livelihoods beginning of the rains (to increase protective ground cover, thereby reducing water loss and soil erosion); Several strategies can help households improve effective weed control; and integrated pest management their livelihoods: Better rainwater management to increase infiltration and eliminate or reduce runoff so as to improve soil moisture Intensify existing farm production patterns conditions within the rooting zone, thereby lessening the through increased use of inputs or better- quality inputs. risk of moisture stress during dry spells, while reducing Diversify production, with emphasis on greater erosion market orientation and added value, involving Improvement of soil rooting depth and permeability a shift to new, generally higher-value products. through breaking of cultivation-induced compacted soil lay- Increase farm size (an option limited to a few ers (hoe or plow pan) by means of conservation tillage prac- areas where additional land resources are still tices (using tractor-drawn subsoilers, ox-drawn chisel plows, available). or hand-hoe planting pits or double-dug beds or interplant- Increase off-farm income to supplement farm ing deep-rooted perennial crops, trees, and shrubs) activities and provide financing for additional Reclamation, where appropriate (that is, if technically input use. feasible and cost-effective), of cultivated land that has Exit from agriculture, in many cases by migrat- been severely degraded by such processes as gullying, loss ing from rural areas. of topsoil from sheet erosion, soil compaction, acidifica- Source: Dixon and Gulliver with Gibbon 2001. tion, or salinization. These good SLM principles are used to derive the lend- agriculture are important (though not always easy to ing directions suggested in the next section. They are also a achieve). basis for the Investment Notes and Innovative Activity Pro- files presented for potential application in areas with rainfed Principles for Sustainable Land Management farming systems. in Rainfed Farming Systems For rainfed systems, a number of studies (including Dixon FUTURE DIRECTIONS FOR INVESTMENTS and Gulliver with Gibbon 2001) have identified a set of principles. According to these studies, good land manage- Public and private investments to intensify sustainable pro- ment requires an integrated and synergistic resource man- duction systems are generally best focused on the following: agement approach that embraces locally appropriate combi- nations of the following technical options: Facilitating the capacity of farmers, the government, and the private sector to make decisions about the appropri- Buildup of soil organic matter and related biological ate technological and resource allocation activity to optimum sustainable levels for improved Providing the necessary social, organizational, and phys- moisture, infiltration and storage, nutrient supply, and ical infrastructure. soil structure through the use of compost, farmyard manure, green manures, surface mulch, enriched fallows, It is critical that agricultural production systems be suf- agroforestry, cover crops, and crop residue management ficiently flexible to adapt to changing environmental and Integrated plant nutrition management with locally economic conditions. appropriate and cost-effective combinations of organic New technologies will be developed, and variations on or inorganic and on-farm or off-farm sources of plant established production systems are likely to continue. At nutrients (such as use of organic manures, crop residues, present, options that may warrant public sector support and rhizobial nitrogen fixation; transfer of nutrients include the following: released by weathering in the deeper soil layers to the surface by way of tree roots and leaf litter; and use of Improvement of plant varieties will remain crucial as it rock phosphate, lime, and mineral fertilizer) becomes increasingly difficult to adjust the environment 16 CHAPTER 1: OVERVIEW to the plant. Plant varieties that are adapted to specific Fertilizer use is relatively low, especially in Africa, and production environments and sustainable agricultural soil fertility is declining, which explains much of the lag- practices and that are resistant to specific pests and dis- ging agricultural productivity growth in Africa relative to eases will become increasingly important. Livestock other regions. Fertilizer use is resurfacing on the African improvement will increase productivity and make more development agenda, and policy makers face a major efficient use of scarce land and water. Biotechnology's challenge in deciding how to promote increased use of potential as a tool for sustainable production systems mineral fertilizers. Several obstacles must be overcome to should be evaluated and supported on a case-by-case avoid fertilizer market failure, however. They include the basis. strong seasonality in demand for fertilizer, the risk of Conservation farming practices can reduce unnecessary using fertilizer stemming from weather-related produc- input use. Minimum tillage or no-till crop production tion variability and uncertain crop prices, the highly dis- reduces labor and equipment costs, enhances soil fertil- persed demand for fertilizer, a lack of purchasing power ity, reduces erosion, and improves water infiltration, on the part of many potential users, the bulkiness and thereby reducing unit costs and conserving land perishability of most fertilizer products, and the need to resources. Improved crop residue management, includ- achieve large volumes of throughput in fertilizer pro- ing mulching, is often a necessary component of these curement and distribution to capture economies of scale. systems. No-till systems of conservation farming have proved a major success in Latin America and are being Agricultural intensification is a key and desirable way to used in South Asia and Africa. increase the productivity of existing land and water Organic farming eliminates use of chemical inputs and resources in the production of food and cash crops, live- can be sustainable as long as practices maintain produc- stock, forestry, and aquaculture. Generally associated with tivity at a reasonable level, consistent with price incen- increased use of external inputs, intensification is now tives provided by growing market opportunities for defined as the more efficient use of production inputs. organic produce. Organic farming depends mainly on Increased productivity comes from the use of improved the development of niche markets with reliable stan- varieties and breeds, more efficient use of labor, and better dards and certification systems for production. farm management (Dixon and Gulliver with Gibbon 2001). Integrated pest management (IPM) systems have been Although intensification of production systems is an impor- developed for many crops to control pests, weeds, and tant goal, these land management systems need to be sus- diseases while reducing potential environmental damage tainable to provide for current needs without compromis- from excessive use of chemicals. Scaling up IPM tech- ing the ability of future generations to meet their needs. nologies is a challenge, as these management systems rely Some of the system adaptations that are options for sus- on farmers' understanding of complex pest ecologies and tainable intensification of production include the following: crop-pest relationships. Thus, although IPM messages need to be simplified, IPM systems require continuous Integrated crop-livestock production can enhance envi- research and technical support and intensive farmer edu- ronmental sustainability by feeding crop residues to ani- cation and training along with policy-level support. mals, thus improving nutrient cycling. This crop- Precision agriculture improves productivity by better livestock approach is likely to become increasingly prof- matching management practices to local crop and soil itable given the large, worldwide increase in demand for conditions. Relatively sophisticated technologies are used meat, milk, and other products derived from animals. to vary input applications and production practices, The suitability of many livestock enterprises to the pro- according to seasonal conditions, soil and land charac- duction systems of small farms holds considerable teristics, and production potential. However, with help potential for poverty reduction. from extension and other services, resource-poor farm- Agricultural diversification must be pursued where ers can also apply principles of precision agriculture for existing farming systems are not environmentally sus- differential input application and management on dis- tainable or economically viable. Diversification into persed small plots. Appropriate technologies suitable for high-value, nontraditional crop and livestock systems use by small-scale farmers include simple color charts to (for example, horticultural crops) is attractive because guide decisions on fertilizer application and laser leveling of the growing market demand for these products, their of fields for irrigation. high labor intensity, and the high returns to labor and CHAPTER 1: OVERVIEW 17 management. In contrast to other low-input strategies farmers. Public investment will need to focus on (a) new for sustainable intensification, diversification to high- knowledge and information services, (b) public policy and value products frequently requires the use of relatively regulatory systems, and (c) market and private sector high levels of inputs, which must be monitored and development. managed carefully. A key investment area is in technology associated with Tree crops, including fruit, beverage, timber, and spe- management innovations to improve overall productivity cialty crops, offer opportunities for environmentally and sustainability of agricultural systems. Much research sound production systems because they maintain vegeta- will focus on developing improved management systems, tive cover and can reduce soil erosion. Tree crops, espe- with an emphasis on understanding agricultural ecology, cially when multiple species are planted, help maintain a farm management, and social systems. Biotechnology offers relatively high level of biodiversity. They are important opportunities to diversify and intensify agricultural produc- for export earnings in many countries and, although tion systems: tissue culture for production of virus-free often suited to large-scale plantations, are also important planting stock (such as bananas) and transgenic crops with to smallholders with mixed cropping systems. pest resistance or other beneficial characteristics. Because of the larger spatial and temporal scales of oper- Both public and private investments are needed to sup- ations and likely effects of landscape and watershed invest- port the transition to more profitable and sustainable ments relative to a single site or community project, certain farming systems. Sustainable intensification will fre- difficulties must be overcome. For example, successfully quently require activities that provide an enabling envi- scaling up site-specific SLM innovations invariably requires ronment and support services for the market-led changes negotiated implementation arrangements suited to local or component technologies, including management prac- power structures and institutions. Safeguard policies are tices. Much investment will come from market supply often critical to SLM and natural resource management chains based in the private sector, including input supply investments. The key policies of the World Bank are identi- and output marketing and processing enterprises and fied in box 1.5. Box 1.5 Key Safeguard Policy Issues for SLM and Natural Resource Management Investments The World Bank has implemented the following poli- Involuntary resettlement (Operational Policy/Bank cies with respect to SLM and natural resource manage- Procedure 4.12). A resettlement action plan is ment investments: required if a natural resource management invest- ment results in physical relocation, results in loss of Environmental assessment (Operational Policy/Bank land or access to land or other assets, or impacts on Procedure 4.01). An environmental assessment is livelihoods arising from restrictions on access to required if a natural resource management project has parks or protected areas. potential for adverse environmental risks or impacts. Indigenous peoples (Operational Directive 4.20). An Natural habitats (Operational Policy 4.04). Protec- indigenous peoples action plan is required if a nat- tion of natural habitats (land and water areas where ural resource management investment affects most of the original plant and animal species are indigenous people. still present) is required for any natural resource Forestry (Operational Policy 4.36). Government management investment that may cause degrada- commitment to undertake sustainable management tion of the habitat. and conservation-oriented forestry is required for Projects in international waterways (Operational Pol- any investment with potential to have a significant icy 7.50). The borrower must notify other riparian impact on forested areas. (Investment with exclusive countries of any proposed natural resource man- focus on environmental protection or supportive of agement investment involving a body of water that small-scale farmers may be appraised on its own flows through or forms part of the boundary of two merits.) or more countries. Source: World Bank 2005b. 18 CHAPTER 1: OVERVIEW REFERENCES Lele, U. J. 1989. "Managing Agricultural Development in Africa: Three Articles on Lessons from Experience." Belzer, R. B. 1999."HACCP Principles for Regulatory Analy- MADIA Discussion Paper 2, World Bank, Washington, sis." In The Economics of HACCP: Studies of Costs and DC. Benefits, ed. L. Unnevehr, 97­124. St. Paul, MN: Eagan Press. Millennium Ecosystem Assessment. 2005. Millennium Ecosystem Assessment Report, 2005. Washington, DC: Blackie, M. J. 2006. "Are Fertiliser Subsidies Necessary?" Island Press. ID21 Insights 61, Institute of Development Studies, Brighton, U.K. Pieri, C., J. Dumanski, A. Hamblin, and A. Young. 1995. "Land Quality Indicators." World Bank Discussion Paper Bockstaller, C., P. Girardin, and H. M. G. van der Werf. 1997. 315, World Bank, Washington, DC. "Use of Agro-ecological Indicators for the Evaluation of Farming Systems." European Journal of Agronomy 7 Plato. 2003. The Timaeus and Critias of Plato. Whitefish, (1­3): 261­70. MT: Kessinger. Cassman, K. G., and S. Wood. 2005."Cultivated Systems." In Portney, P. R. 1994."The Contingent Valuation Debate: Why Ecosystems and Human Well-Being: Current States and Economists Should Care." Journal of Economic Perspec- Trends, vol. 1 Millennium Ecosystem Assessment series, tives 8 (4):3­17. 745­94. Washington, DC: Millennium Ecosystem Assess- Sachs, J. D., ed. 2005. Investing in Development: A Practical ment. Plan to Achieve the Millennium Development Goals. Lon- DeFries, R., G. P. Asner. amd J. Foley. 2006. "A Glimpse Out don: United Nations Development Programme. the Window: What Landscapes Reveal about Livelihoods, Sands, G. R., and T. H. Podmore. 2000."A Generalized Envi- Land Use, and Environmental Consequences." Environ- ronmental Sustainability Index for Agricultural Sys- ment 48(8): 22­36. tems." Agriculture, Ecosystems, and Environment 79 (1): Dixon, J., and A. Gulliver, with D. Gibbon. 2001. Farming 29­41. Systems and Poverty: Improving Farmers' Livelihoods in a Smyth, A. J., and J. Dumanski. 1993. "FESLM: An Interna- Changing World. Rome: Food and Agriculture Organiza- tional Framework for Evaluating Sustainable Land Man- tion and World Bank. http://www.fao.org/farmingsys- agement." World Soil Resources Report 73. Food and tems/. Agriculture Organization, Rome. Eicher, C. K, and J. M. Staatz, ed. 1990. Agricultural Develop- Snapp, S. S., M. J. Blackie, and C. Donovan. 2003. "Realign- ment in the Third World. Baltimore, MD: Johns Hopkins ing Research and Extension Services: Experiences from University Press. Southern Africa." Food Policy 28: 349­63. Evenson, R. E., and D. Gollin. 2003."Assessing the Impact of WCED (World Commission on Environment and Develop- the Green Revolution, 1960 to 2000." Science 300 (5620): ment). 1987. Our Common Future. Oxford, U.K.: Oxford 758­62. University Press. Farrow, A., and M. Winograd. 2001."Land Use Modelling at World Bank. 2003. Reaching the Rural Poor: A Renewed the Regional Scale: An Input to Rural Sustainability Indi- Strategy for Rural Development. Washington, DC: World cators for Central America." Agricultural Ecosystems and Bank. Environment 85 (1): 249­68. ------. 2004. Agriculture Investment Sourcebook. Washing- Foley, J. A., R. DeFries, G. P. Asner, C. Barford, G. Bonan, S. ton, DC: World Bank. R. Carpenter, F. S. Chapin, M. T. Coe, G. C. Daily, H. K. ------. 2005a. Shaping the Future of Water for Agriculture: Gibbs, J. H. Helkowski, T. Holloway, E. A. Howard, C. J. A Sourcebook for Investment in Agricultural Water Man- Kucharik, C. Monfreda, J. A. Patz, I. C. Prentice, N. agement. Washington, DC: World Bank. Ramankutty, and P. K. Snyder. 2005. "Global Conse- ------. 2005b. The World Bank Operational Manual. Wash- quences of Land Use." Science 309 (5734): 570­74. ington, DC: World Bank. Herweg, K., K. Steiner, and J. Slaats. 1999. Sustainable Land ------. 2006. Sustainable Land Management. Washington, Management: Guidelines for Impact Monitoring--Tool Kit DC: World Bank. Module. Berne, Switzerland: Centre for Development and Environment. CHAPTER 1: OVERVIEW 19 PA RT I I Major Farming Systems: Investment Options and Innovations C H A P T E R 2 Introduction T his edition of the sourcebook includes the three Investment Notes summarize good practice and lessons major rainfed systems out of the eight system learned in specific investment areas. They provide a brief, types identified by Dixon and Gulliver with Gib- but technically sound, overview for the nonspecialist. For bon (2001) for development of detailed investment notes: each Investment Note, the investments have been evalu- ated in different settings for effectiveness and sustain- 1. Rainfed farming systems in humid and subhumid areas ability, and they can be broadly endorsed by the commu- are covered in chapter 3. nity of practitioners from within and outside the World 2. Rainfed farming systems in highlands and sloping areas Bank. are covered in chapter 4. Innovative Activity Profiles highlight the design of suc- 3. Rainfed farming systems in dry and cold (semiarid and cessful or innovative investments. These profiles provide arid) areas are covered in chapter 5. a short description of an activity in the World Bank's portfolio or that of a partner agency, focusing on poten- The decision to start with three rainfed systems was tial effectiveness in poverty reduction, empowerment, or based on the level of available resources (funds and time) sustainability. Activities profiled have often not been suf- and also on the fact that these rainfed systems occupy more ficiently tested and evaluated in a range of settings to be than 540 million hectares of cultivated land globally and considered "good practice," but they should be closely involve approximately 1.4 billion people, who, in turn, prac- monitored for potential scaling up. tice about 40 different land management and cropping arrangements. Selected readings and Web links are provided REFERENCE for readers who seek more in-depth information and exam- ples of practical experience. Future editions will systemati- Dixon, J., and A. Gulliver, with D. Gibbon. 2001. Farming Sys- cally cover the remaining farming systems. tems and Poverty: Improving Farmers' Livelihoods in a For each farming system type, good practice examples Changing World. Rome: Food and Agriculture Organiza- are identified and summarized as follows: tion and World Bank.http://www.fao.org/farmingsystems/. 23 C H A P T E R 3 Rainfed Farming and Land Management Systems in Humid Areas OVERVIEW Eight of the 11 systems presented here can be character- ized as mixed farming systems. Cereals, root crops, and tree The 11 systems covered in this chapter are found in the crops are cultivated for food and cash. They use little irriga- humid and subhumid zones of Africa, Asia, and Latin tion. These systems often have an important livestock com- America. They support an agricultural population of ponent. The degree of market development is moderate but approximately 400 million on about 160 million hectares varying and has substantial opportunities for further devel- of cultivated land, of which only 11 percent is irrigated. opment. Because of their diversity, these systems differ con- Pressure on land is typically moderate--only 2.5 persons siderably in constraints and potentials. Where population per cultivated hectare on average--although some areas of densities are low, the systems have significant potential for intense pressure exist. agricultural growth and poverty reduction. For instance, the These systems depend on slash-and-burn agriculture, cereal and root crop farming systems could become a bread- where forest is cleared to cultivate root crops, cereals, and basket of Africa and an important source of export earnings. groundnuts, among other crops. The number of cattle and The mixed-maize system in eastern and southern Africa also small ruminants is low. Cash income is based on forest has good potential, but it is currently in crisis because short- products and wild game rather than on cash crops. Rainfed ages of seed, fertilizer, and agrochemicals and the high prices farming and land management systems in humid areas are of fertilizer relative to the maize prices have sharply curtailed characterized by their physical isolation; a lack of roads and agricultural investment.As a result, yields have fallen and soil markets hinders their economic development. Deforesta- fertility is declining, while smallholders are reverting to tion and consequent loss of biodiversity is a serious issue extensive production practices. In these systems, the main that affects the local to global levels. Because of locally sources of vulnerability are market volatility, lack of increasing population pressure, fallow periods are short- improved and appropriate farming technologies, lack of off- ened, resulting in soil fertility loss and yield decline, which farm opportunities, and drought (in the drier areas). The can drive further deforestation. The agricultural growth prevalence of poverty is limited to moderate, although it can potential is moderate. Despite the existence of large uncul- be extensive in the forest-based farming systems. tivated areas and high rainfall, only modest yield increases are expected in the near future. The fragility of the soils and POTENTIALS FOR POVERTY REDUCTION AND the call for rainforest protection, with its associated biodi- AGRICULTURAL GROWTH versity and multiple environmental services, represent strong arguments against further extension of the agricul- In broad terms, there are five main farm household strate- tural system. gies to improve livelihoods (Dixon and others 2001): 25 1. Intensification of existing production patterns improved land management techniques, such as conserva- 2. Diversification of production and processing tion farming. Sustainable land management and soil nutri- 3. Expanded farm or herd size ent capitalization depend on secure and equitable access to 4. Increased off-farm income, both agricultural and non- resources, especially for land and water. The development of agricultural small-scale and farmer-managed irrigation will contribute 5. Complete exit from the agricultural sector within a par- to both intensification and diversification. ticular farming system. REFERENCE Rainfed farming systems in humid areas depend on all of these five household strategies for the halving of poverty. Dixon, J., and A. Gulliver. 2001. Farming Systems and Among these strategies, diversification is the most signifi- Poverty: Improving Farmers' Livelihoods in a Changing cant. Livestock plays a major role in diversification. Oppor- World. Rome: Food and Agriculture Organization and tunities for system development lie in improved crop- World Bank. http://www.fao.org/farmingsystems. livestock integration, integrated pest management, and 26 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS I N V E S T M E N T N OT E 3 . 1 Science and Local Innovation Make Livestock More Profitable and Friendlier to the Environment in Central America F orage production and conservation are promising Changing old traditions about livestock is not easy. For gen- measures to alleviate livestock pressures on the envi- erations, livestock have made money for their owners, who ronment. Improved forages can be economically often have little more than a pasture. Can earnings be profitable and a good option for improving the livelihoods of increased and sustained? Livestock can cause environmental livestock producers. They also generate social gains because damage (Steinfield and others 2006). Cattle, horses, and the adoption of new technologies that are based on donkeys graze not only farm pastures but also, in many improved forages generates more rural employment and cases, the larger landscape. What are the environmental increases the availability of staple foods. In a dual-purpose consequences? This Investment Note explains how the system, employment can be increased from one and one-half International Center for Tropical Agriculture (Centro Inter- to four times. However, because few producers have the cash nacional de Agricultura Tropical, or CIAT) and its partners flow necessary to finance the required investments, farmers combine science and local knowledge to profitably feed ani- need to improve their farms gradually, as funds are available. mals while benefiting the environment. Fast, large-scale adoption needs to be coordinated with Many parts of the tropics have high annual rainfall, but financial organizations. no rain falls for four to seven months of the year. The land- A potential danger exists that farmers may wish to cut scape turns brown. During those months, livestock over- more trees to expand pastures for more cattle and profits. graze pastures as scarce water causes a severe shortage of Further research should focus on the role of forages in livestock feed on the farm. Farmers in many areas of Africa, matching economic and environmental sustainability Asia, and Latin America confront these water and feed chal- through intensification and in linking smallholders to mar- lenges (figure 3.1). This note focuses on Central America. kets. Research and development efforts need to proactively Damage becomes widespread. Many farmers let their find ways to provide alternatives so that land degradation is livestock free to feed in the landscape. Because most grasses no longer the most attractive land-use option. Collaborative are already dry, the leaves of bushes and young trees are technical research with farmers that improves productivity soon gone. These pressures reduce plant health and vitality. and prevents degradation must go hand in hand with poli- Over the years, many plants die, especially the types animals cies (such as tax policies, payments for carbon, market prefer. development, and media campaigns). Such linked efforts As plants disappear, soils become exposed. Annual rains can generate incentives to change traditions and to improve return, washing away soils and further weakening the live- land management practices. stock landscape. With less vegetation comes a reduced abil- ity to absorb water. The landscape is drier for more months of the year. When the rains stop, the water springs stop as KEY SUSTAINABLE LAND MANAGEMENT well. Unless checked, this trend continues until eroded soils ISSUES and weeds dominate the landscape. This note was prepared by M. Peters and D. White, Centro Internacional de Agricultura Tropical, Cali, Colombia, and F. Hol- mann, Centro Internacional de Agricultura Tropical and the International Livestock Research Institute, Cali, Colombia. 27 Figure 3.1 Months of Consecutive Dry Season number of consecutive dry months 0­1 2­3 4­5 6­7 8­9 10­12 Source: Authors' elaboration. Damage also occurs to other ecologies downstream. apply its extensive germplasm collection of more than Water flows change. The currents become more dramatic, 23,000 tropical forage varieties--the largest collection in matching the rains. When the rains stop, the flows trickle. the world. When the rains pour, the flows can overwhelm. Many peo- With its partners, CIAT advances environmentally ple, especially in Central America, remember the pain of friendly and profitable livestock production practices. This Hurricane Mitch in 1999. process has four components: (a) matching forage About 45 percent of agricultural land in South America germplasm to specific environmental conditions, (b) diag- is degraded. According to the Global Assessment of Human- nosing farm and market contexts, (c) fostering innovation Induced Soil Degradation (GLASOD) database, degrada- and learning processes, and (d) sharing knowledge and scal- tion afflicts even larger areas (74 percent) in Central Amer- ing out activities, including South-South interactions. ica.1 Many inhabitants do not even notice land degradation: the story is so old that it is already part of their lives and Matching livelihoods. CIAT and its partners have developed the ability to identify grasses and legumes that thrive in specific ecologic niches. LESSONS LEARNED The Selection of Forages for the Tropics (SoFT) knowledge Despite the potential economic gain (and environmental management tool enables not only scientists but also local pain), relatively few farmers see the benefit of investing in extensionists and development practitioners to identify forage production for their animals. Those who invest are likely matches (Cook and others 2005). SoFT is a forage often pleasantly surprised at the results. They tell their selection tool that includes fact sheets, adaptation maps, and friends. The money is good and worth looking into, as an reference lists; it is available to all on the World Wide Web. investor would say. The more sophisticated spatial analysis tool, Crop Niche For decades, CIAT scientists have developed high-yield Selection for Tropical Agriculture (CaNaSTA), helps identify grasses and legumes that have high nutritional quality and suitable forages according to ecological niches, using mea- can withstand major climatic and agronomic stresses. By sures of temperature, rain total, and rainfall seasonal pattern linking science with local perspectives, CIAT is able to (O'Brien and others 2005). The tool also takes into account 28 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS both expert knowledge and local knowledge. To improve the degradation, want even better payoffs. To better understand accuracy of forage and environment prediction, develop- farm contexts, CIAT scientists and partners talk with farm- ment workers and extensionists enter their local information ers. Those interviews and subsequent analysis generate on soils. Precise information on soils is not widely available, additional insights toward identifying a prioritized set of particularly in the heterogeneous environments where many grasses and legumes that farmers would likely prefer (Hol- smallholders live. Experts can update the model and enhance mann 1999; Holmann and others 2004). From there, farm- its prediction accuracy. Inputs of their knowledge improve ers continue the selection process on their farms. the adaptation information of specific forage varieties. Farmers use a range of criteria to evaluate forages and feed before using them. Table 3.1 summarizes the performance of forage species according to (a) forage and feed characteristics Diagnosis (such as digestibility and energy content), (b) forage manage- Ecological criteria are not sufficient to ensure that nutritive ment and production requirements (such as soil type), and forages grow on farms and appear on the landscape. Small- (c) postharvest considerations (such as processing). holder farmers want to invest in livelihood activities that show good, rapid results. Especially during establishment, Fostering forages require scarce farmer resources, such as labor and money. Less wealthy farmers, who are most affected by Table 3.1 Forage Use and Production Criteria Crop Forage or feed Postharvest characteristics Management and production f f est soils rv ha ity acids tility a in/leaarg ed op) oduction niz in)arg( oot-tuber/lea minoa compounds ek ncea w-fer matur dr pr in-rarg e ennial ol cutting nt inta ot, of digestibility nda mecha itiv toler to pla interval f (r nda ry eatment o ge:a yg to inarg lea est ossl tr pted vitr otein ought rv f inding orF olunta ime ield: ield: otential In Pr Ener Antinutr V Annual/per Dr Ada T Ha (months) Y Y Lea Continuity P Heat Gr Maize G/l A 5/4 Sorghum G/L A 5/4 Brachiaria spp. L P 1 n.a. Vigna unguiculata G/L + A 3/2 Mucuna pruriens g/L A 5/4 ? Lablab purpureus g/L A/p 5/4 ? Cratylia argentea L P ­/2 n.a. n.a. Centrosema brasilianum L P ­/4 Canavalia brasiliensis g/L A/p ­/4 n.a. Source: Authors' elaboration. Note: Light-gray shading = superior or preferable; medium-gray shading = medium, acceptable, or required; dark-gray shading = inferior or unde- sirable; uppercase letter = primary use or product; lowercase letter = secondary use or product; +/­ = high amino acid quality/deficiencies in amino acids; ? = unknown; n.a. = not applicable. a. Requires humidity. INVESTMENT NOTE 3.1: SCIENCE AND LOCAL INNOVATION MAKE LIVESTOCK MORE PROFITABLE 29 Researchers are often surprised how farmers change and MANAGEMENT: PRODUCTS AND SERVICES adapt recommended technologies and practices. For exam- Many forages grow well in areas that are prone to drought ple, CIAT and its partners introduced Cratylia to farmers in and have low soil fertility. Leguminous forages are of partic- Colombia for use as a dry season feed source to be managed ular interest because they fix nitrogen, thereby contributing as a cut-and-carry system. Farmers, however, developed sev- to system sustainability (Schultze-Kraft and Peters 1997; eral alternatives that reduced labor costs, which included Shelton, Franzel, and Peters 2005). Improved pasture and direct grazing of Cratylia and Brachiaria mixtures and dif- forage management enables farmers to change their land ferent cut-and-carry systems. In addition, farmers reduced uses, thereby generating positive environmental benefits. establishment costs by intercropping maize, tomatoes, and System intensification with improved forages and soil cucumbers with Cratylia. Most surprising to researchers was conservation technologies increases productivity per animal the use of Cratylia during the wet season, when pastures (box 3.1). Intensification, from the sustainable land man- were waterlogged and difficult to graze. agement (SLM) perspective, increases the productivity or These farmer innovations generated new research topics, carrying capacity of land. Other environmental benefits of such as the response of Cratylia to grazing and trampling, and improved forages include higher organic matter of soils, other suitable forage intercrop combinations. In Central higher manure quality, and increased agricultural produc- America, the approach of co-researching with farmers has tivity (Giller 2001; Schultze-Kraft and Peters 1997). An proved effective in technology adoption (White, Labarta, and emphasis is placed on highly productive and drought- Leguía 2005). Initial effects of collaborative research can be tolerant materials to achieve permanent vegetation cover, considered slow, but participation rapidly grows and endures with the proof of concept. Forage processing also produces benefits to farmers. Hay Box 3.1 Example of Pasture Rehabilitation and and silage production enables farmers to feed their animals Intensification from Honduras during the dry season. Despite significant investments in research on silage and hay production, small-scale farmer The Nuñezes are smallholder farmers in Yorito, adoption of "traditional" (first generation) forage conserva- Honduras. For years, they obtained only 35 liters tion methods has been low because of high investment costs, of milk per day from their 12 cows, which fed on labor requirements, and limited access to technical knowledge low-quality grasses. Pastures included a deforested ('t Mannetje 2000). To be attractive to smallholders, invest- area in the upper portion of their farm. With help ments must be low cost, be low risk, and increase profits. from CIAT and national technicians, the Nuñezes An alternative for ensiling forages is use of plastic bags, planted Brachiaria brizantha Toledo, the hybrid named little bag silage (LBS) by Lane (2000). LBS conserves Brachiaria Mulato, and the legume shrub Cratylia argentea. Management innovations included cut- small quantities of fodder with reduced risk of fermentation. and-carry forages, pasture rotations, and silage High-quality legume hay can also be packed and sold in plas- production systems that were appropriate to their tic bags. Other technologies include storage in earth silos or smallholder farming system. The changes ensured larger plastic bags. an ample supply of high-quality fodder during the dry season. The new feeding approach generated Sharing and Scaling both private financial and public environmental benefits. Milk production increased to 75 liters per Effective expansion of research results to smallholder farm- day on less pasture, animals gained significant ers requires information exchange and ample seed. Numer- weight, and reproductive rates improved. Because ous methods enhance dialogue between farmers, including their herd increased to 25 head, the Nuñezes farmer field days, exchange visits, and knowledge sharing planted more forage materials and constructed a between countries. For example, Nicaraguan molds that 64-cubic-meter brick silo. Increased income from ease the bag-filling process are now adapted and used by the additional milk has already paid for most of farmers in Colombia and Honduras. Both the private seed the new investments and will enable the Nuñezes sector (for example, the Mexican seed enterprise Papalotla) to diversify into new activities. Meanwhile, the and small-scale enterprises produce seed for widespread more intensive production system let the family distribution (Chirwa and others 2007). allow steeply sloped pastures to revert to forest and thereby protect an important local water source. OPPORTUNITIES FOR SUSTAINABLE LAND 30 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS thus reducing erosion risks. Cut-and-carry systems can The environmental effects of improving forage produc- decrease pressure on areas unsuitable for grazing, such as tion are mixed but largely predictable (White and others steep slopes and forests (Cruz and others 2003; Schmidt and 2001). If land is expensive, intensifying production is Peters 2003). Landscape benefits of forages include both cheaper than extending pastures into forest and other areas. improved quantity and improved quality of water resources. Farmers tend to improve their pastures' forages. Problems Moreover, intensification through increased productivity arise when land is inexpensive. In such areas, land can cost can reduce greenhouse gas emissions from deforestation less than a bag of fertilizer. Then, the farmer finds expand- and pasture degradation (Steinfeld and others 2006). ing pastures into the forest more logical than improving production of existing pastures. Land becomes expensive when it is scarce, productive, or both. To make land scarce, RATIONALE FOR INVESTMENT governments need to put in place policies that restrict Forage production and conservation are promising mea- access. Policies to protect forests can achieve that aim, again sures to alleviate livestock pressures on the environment with mixed results (Angelsen and Kaimowitz 2001). Local (Peters and others 2001). Especially in Central America, sys- institutions can be fostered to encourage SLM. tem intensification through improved forages is attractive to The potential of improved forages to mitigate effects of farmers. Improved forages are economically profitable and expanding livestock production and to improve agro- represent a good option for improving the livelihoods of ecosystem health has not yet been fully explored. Thus, fur- livestock producers (Holmann and Rivas 2005). Adopting ther research should focus on the role of forages in match- Brachiaria for direct grazing during the rainy season with ing economic and environmental sustainability through the shrub legume Cratylia argentea for feeding during the intensification and linking smallholders to markets. dry season can significantly improve milk and beef produc- Although the contributions of forages soil resources are tivity. The number of cows can be increased between 2.1 many (such as improving nitrogen fixation, building up soil and 3.5 times in the dual-purpose system and between 2.6 organic matter, enhancing soil biological activity and and 6.0 times in the specialized beef system. Milk produc- belowground biodiversity, improving manure quality, and tion can increase from 2.3 to 3.5 times in the dual-purpose increasing productivity of subsequent crops), the exact system. The investments in improved forages bring not only quantification and assessment of economic effects require economic benefits for producers but also social gains, further research. Other challenges include smallholder cut- because the adoption of new technologies based on and-carry systems with very limited external inputs. System improved forages generates more rural employment and nutrient balances are second-generation problems that need increases the availability of staple foods. In the dual-pur- to be addressed. pose system, it is possible to increase employment from 1.5 to 4.0 times. Investments are economically profitable and RECOMMENDATIONS FOR PRACTITIONERS represent a good option for improving the livelihoods of livestock producers (Holmann and Rivas 2005). Livestock have been and will continue to be part of the land- Nevertheless, investments require ample funds or a line scape in Central America. Matching forage germplasm with of credit over several years (that is, two to seven years, farmer preferences requires coordination among research, depending on the production system and macroeconomic development, and policy. Effective efforts contain four com- conditions). Because few producers have the cash flow nec- ponents: essary to finance the required investments, farmers need to improve their farms gradually, as funds are available. Fast, 1. Targeting according to biophysical conditions large-scale adoption needs to be coordinated with financial 2. Diagnosing farm and market contexts organizations. 3. Fostering innovation and learning processes When something works, why not do more? Making live- 4. Sharing knowledge and scaling out, including South- stock production more profitable creates that potential dan- South interactions. ger. Farmers may wish to cut more trees to expand pastures for more cattle and profits. The SLM challenges continue. Research and development efforts need to proactively Nevertheless, not all farmers do so. CIAT researchers have find ways to improve the feasibility of adopting forage tech- learned about the positive and negative effects of improved nologies. Future research should provide alternatives so that forages. land degradation is no longer the most attractive land-use INVESTMENT NOTE 3.1: SCIENCE AND LOCAL INNOVATION MAKE LIVESTOCK MORE PROFITABLE 31 option. To speed adoption processes, collaborative technical Holmann, F. 1999."Ex-ante Economic Analysis of New For- research with farmers that improves productivity and pre- age Alternatives in Dual-Purpose Cattle Farms in Peru, vents degradation must go hand in hand with policies (for Costa Rica, and Nicaragua." Pasturas Tropicales 21 (2): example, policies such as taxes, payments for carbon, mar- 2­17. http://www.cipav.org.co/lrrd/lrrd11/3/hol113.htm. ket development, and media campaigns). Such linked Holmann, F., P. Argel, L. Rivas, D. White, R.D. Estrada, C. efforts can generate incentives to change traditions and Burgos, E. Pérez, G. Ramírez, and A. Medina. 2004. "Is It improve land management practices. Worth to Recuperate Degraded Pasturelands? An Evalu- ation of Profits and Costs from the Perspective of Live- stock Producers and Extension Agents in Honduras." NOTE Livestock Research for Rural Development 16 (11). http://www.cipav.org.co/lrrd/lrrd16/11/holm16090.htm. 1. The GLASOD project was funded by the United Nations Holmann, F., and L. Rivas. 2005. "Los forrajes mejorados Environment Programme from 1987 to 1990. The GLASOD como promotores del crecimiento económico y la project produced a world map of human-induced soil sostenibilidad: El caso de los pequeños ganaderos de degradation. Data were compiled in cooperation with a Centroamérica." Documento de Trabajo 202, Centro large number of soil scientists throughout the world, using Internacional de Agricultura Tropical, Cali, Colombia. uniform guidelines. The status of soil degradation was mapped within loosely defined physiographic units (poly- Lane, I. R. 2000. "Little Bag Silage." In Silage Making in the gons), on the basis of expert judgment. The type, extent, Tropics with Particular Emphasis on Smallholders, ed. L. 't degree, rate, and main causes of degradation have been Mannetje, 79­84. Proceedings of the FAO Electronic printed on a global map, at a scale of 1:10 million and have Conference on Tropical Silage, Rome, September been documented in a downloadable database at 1­December 15, 1999. http://www.isric.org/UK/About+ISRIC/Projects/Track+Rec O'Brien, R., M. Peters, R. Corner, and S. Cook. 2005. ord/GLASOD.htm "CaNaSTA--Crop Niche Selection for Tropical Agricul- ture, A Spatial Decision Support System." In XX Interna- tional Grassland Congress: Offered Papers, ed. F. P. REFERENCES O'Mara, R. J. Wilkins, L. 't Mannetje, D. K. Lovett, P. A. Angelsen, A., and D. Kaimowitz. 2001. Agricultural Tech- M. Rogers, and T. M. Boland, 917. Wageningen, Nether- nologies and Tropical Deforestation. Wallingford, U.K., lands: Academic Publishers. and New York: CAB International. Peters, M., P. Horne, A. Schmidt, F. Holmann, F. Kerridge, S. Chirwa, R. M., V. D. Aggarwal, M. A. R. Phiri, and A. R. E. A. Tarawali, R. Schultze-Kraft, C. E. Lascano, P. Argel, W. Mwenda. 2007. "Experiences in Implementing the Bean Stür, S. Fujisaka, K. Müller-Sämann, and C. Wortmann. Seed Strategy in Malawi." Journal of Sustainable Agricul- 2001. "The Role of Forages in Reducing Poverty and ture 29 (2): 43­69. Degradation of Natural Resources in Tropical Produc- tion Systems." Agricultural Research and Extension Net- Cook, B. G., B. C. Pengelly, S. D. Brown, J. L. Donnelly, D. A. work (AgREN) Network Paper No. 117, Overseas Devel- Eagles, M. A. Franco, J. Hanson, B. F. Mullen, I. J. Par- opment Institute's Rural Policy and Environment Group, tridge, M. Peters, and R. Schultze-Kraft. 2005. "Tropical U.K. Department for International Development. Forages: An Interactive Selection Tool."CD-ROM, jointly developed by CSIRO Sustainable Ecosystems, Queens- Schmidt, A., and M. Peters. 2003. "Selection and Strategic land Department of Primary Industries and Fisheries, Use of Multipurpose Forage Germplasm by Smallholders Centro Internacional de Agricultura Tropical, and Inter- in Production Systems in the Central American Hillsides." national Livestock Research Institute, Brisbane, Aus- In Technological and Institutional Innovations for Sustain- tralia. able Rural Development: Book of Abstracts, ed. C. Wollny, A. Deininger, N. Bhandari, B. L. Maass, W. Manig, U. Cruz, H., C. Burgos, G. Giraldo, M. Peters, and P. Arge. 2003. Muuss, F. Brodbeck, and I. Howe, 208. Göttingen: Centre "Intensificación y diversificación agropecuaria a través for Tropical and Subtropical Agriculture and Forestry. del uso de especies forrajeras multipropósitos: Caso la http://www.tropentag.de/2003/pdf/proceedings.pdf. finca `La Laguna' de Yorito, Yoro." Presentation to the Programa Cooperativa Centroamericano para el Mejo- Schultze-Kraft, R., and M. Peters. 1997. "Tropical Legumes ramiento de Cultivos y Animales, La Ceiba, Honduras, in Agricultural Production and Resource Management: April. An Overview." Presented at the Tropentag JLU Giessen 22-23.5.1997. GiessenerBeiträge zur Entwicklungs- Giller, K. E. 2001. Nitrogen Fixation in Tropical Cropping Sys- forschung 24: 1­17. tems. 2nd ed. Wallingford, U.K.: CAB International. 32 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS Shelton, H. M., S. Franzel, and M. Peters. 2005."Adoption of agricultural service delivery. The AgREN Web site con- Tropical Legume Technology around the World: Analysis tains publications, membership information, research of Success." In Grassland: A Global Resource, ed. D. A. updates, and a link to Overseas Development Institute McGilloway, 149­66. Wageningen, Netherlands: Aca- home page. http://www.odi.org.uk/agren/ publist.html. demic Publishers. International Center for Tropical Agriculture. The Interna- Steinfeld, H., P. Gerber, T. Wassenaar, V. Castel, M. Rosales, tional Center for Tropical Agriculture (CIAT) is a non- and C. de Haan. 2006. Livestock's Long Shadow: Environ- profit organization that conducts socially and environ- mental Issues and Options. Rome: Food and Agriculture mentally progressive research targeting the reduction of Organization. hunger and poverty and the preservation of natural 't Mannetje, L., ed. 2000. Silage Making in the Tropics with resources in developing countries. CIAT is one of the 15 Particular Emphasis on Smallholders. Rome: Food and centers that make up the Consultative Group on Interna- Agriculture Organization. tional Agricultural Research. The CIAT Web site has White, D., F. Holmann, S. Fujisaka, K. Reátegui, and C. Las- information on its products, regions, research, and ser- cano. 2001. "Will Intensifying Pasture Management in vices: http://www.ciat.cgiar.org/. Tropical Latin America Protect Forests (or Is It the LEAD Virtual Centre. Livestock, Environment And Devel- Other Way Around)?" In Agricultural Technologies and opment (LEAD) is a multi-institutional initiative of FAO Tropical Deforestation, ed. A. Angelsen and D. formed to promote ecologically sustainable livestock Kaimowitz, 91­111. Wallingford, U.K., and New York: production systems. It focuses on protecting the natural CAB International. resources that are affected by livestock production and White, D., R. A. Labarta, and E. J. Leguía. 2005."Technology processing and on poverty reduction and public health Adoption by Resource-Poor Farmers: Considering the enhancement through appropriate forms of livestock Implications of Peak-Season Labor Costs." Agricultural development. The LEAD web site offers resources Systems 85 (2): 183­201. through their LEAD Virtual Centre, LEAD language plat- forms, Decision Support Tools, and Research & Develop- ment Projects: http://www.virtualcentre.org/. SELECTED READINGS Tropical Forages: An Interactive Selection Tool. Tropical For- ages: An Interactive Selection Tool is a collaborative Wollny, C., A. Deininger, N. Bhandari, B. Maass, W. Manig, effort between CSIRO Sustainable Ecosystems, Depart- U. Muuss, F. Brodbeck, and I. Howe. 2003. Deutscher ment of Primary Industries & Fisheries (Qld), Centro Tropentag 2003: Technological and Institutional Innova- Internacional de Agricultura Tropical (CIAT) and the tions for Sustainable Rural Development. Göttingen, Ger- International Livestock Research Institute (ILRI). A proj- many: Centre for Tropical and Subtropical Agriculture ect description can be found in the Overview section and and Forestry. http://www.tropentag.de/2003/pdf/pro more information about the collaborators and donors ceedings.pdf. can be found in the Acknowledgements section: http://www.tropicalforages.info. University of Tropical Agriculture Foundation. The University WEB RESOURCES of Tropical Agriculture Foundation (UTA) was estab- Agricultural Research and Extension Network. The Agricul- lished in 1996 in Vietnam, at the University of Agricul- tural Research and Extension Network (AgREN) con- ture and Forestry (now the Nong Lam University), Ho nects policy makers, practitioners, and researchers in the Chi Minh city. The mission of UTA is to educate people agriculture sector of developing countries. The network on managing natural resources in a way that will sustain is linked to the broader research of the Rural Policy and the food and energy needs of present and future genera- Environment Group of the Overseas Development Insti- tions in tropical regions. The UTA website provides UTA tute. The program generates research-based policy news, publications, studies, resources, and services: advice on ways of increasing the effectiveness, efficiency, http://www.utafoundation.org. and accountability of rural resource management and INVESTMENT NOTE 3.1: SCIENCE AND LOCAL INNOVATION MAKE LIVESTOCK MORE PROFITABLE 33 I N V E S T M E N T N OT E 3 . 2 An Approach to Sustainable Land Management by Enhancing the Productive Capacity of African Farms: The Case of the Underused and Versatile Soybean S oybeans can improve soil fertility, but few African degradation is one of the major constraints in achieving farmers plant them. Crops grown after soybeans can food security in developing countries, particularly in Africa. produce larger harvests for household consumption Degradation may pay in the short term, but not in the or market sale because of the soybeans' nitrogen-fixing long term. Unfortunately, much of Africa is experiencing capacity (but note the caveat regarding the important dif- the long-term effects of degradation (Anderson 2003). ferences between conventional soya, which leaves little for Abundant yields do not continue without adequate invest- the following crop and sends most of the nitrogen to the ments in soil fertility. Many farmers are caught in a poverty grain, and promiscuous soya, which leaves much more trap (Barrett and others 2004), where harvests are insuffi- nitrogen in the soil). The use of soybeans within an agricul- cient to meet urgent household food needs--let alone gen- tural system also enables farmers to diversify production, erate enough income to invest in fertilizers. Moreover, thereby spreading their exposure to risk across different chemical fertilizers are too expensive (Camara and Heine- crops. Because on-farm investments are minimal, resource- mann 2006). Organic resources sufficient to replenish poor farmers can begin production easily. The crop is nutrient losses through cropping are difficult to produce attractive to women--both as a crop for sale and for home (African Fertilizer Summit Secretariat 2006). The effects of consumption. The Tropical Soil Biology and Fertility Insti- land degradation are felt beyond the farm. As productivity tute (TSBF) of the International Center for Tropical Agri- declines, families often expand production into new areas. culture (Centro Internacional de Agricultura Tropical, or Soybeans can improve soil fertility. In Africa, however, CIAT) has developed a soybean promotion initiative based few farmers plant them. Coordinated research and promo- on strategic alliances to support market development and tion activities are needed to enable soybeans to become a provide information about using soybeans. The approach valuable crop within smallholder agricultural systems. This recognizes that successful diversification requires coopera- Investment Note shares the experience of TSBF and its part- tion among farmers and between farmers and service ners in advancing soybean use in Kenya. Only by adequately providers to build a viable market chain. Dialogue between addressing aspects of production, processing, and con- the market-chain participants and service providers helps sumption can soybeans help improve both household earn- generate better understanding of each other's needs and ings and land productivity. challenges. LESSONS LEARNED KEY SUSTAINABLE LAND Soybeans can add nitrogen to soils (although the conventional MANAGEMENT ISSUES varieties channel most nitrogen to the grain and leave little to Soil nutrient losses in Sub-Saharan Africa are an environ- be returned to the soil). An important development has been mental, social, and political time bomb. Unless these disas- the breeding of promiscuous soybeans. Promiscuous varieties trous trends are soon reversed, the future viability of nodulate with the natural soil bacteria rather than with the African food systems will be imperiled (Borlaug 2003). Soil highly variety-specific bacteria that typically have to be pro- This note was prepared by J. N. Chianu, O. Ohiokpehai, B. Vanlauwe, and N. Sanginga, Tropical Soil Biology and Fertility Institute and the World Agroforestry Centre, Nairobi, and A. Adesina, Rockefeller Foundation, Nairobi. 34 vided when planting conventional soya. Promiscuous varieties these markets expanded from 4 to more than 1,500 between are typically slightly lower in yield but return a significantly 1987 and 1999. A similar success occurred in Zimbabwe fol- higher amount of nitrogen to the soil. For smallholders, where lowing a project intervention led by the University of Zim- nitrogen is a scarce and expensive input, promiscuous soya are babwe (Blackie 2006). easier to grow and add greater fertility to the overall produc- In stark contrast, soybean promotion in Kenya generated tion system. By cultivating soybeans, farmers can harvest valu- few positive results. Despite the contribution of many national able grains while improving the productive capacity of their and international organizations,soybean production and con- farms. Such a positive outcome, however, is not always sumption have not achieved widespread effects. The main rea- achieved. Only some efforts to promote soybeans have been sons for the failure were (a) a lack of awareness about soybean successful. Perhaps for this reason, soybeans remain a minor processing and use, (b) low yields, and (c) few markets. crop in African farming systems. In Nigeria, the International Institute of Tropical Agricul- OPPORTUNITIES FOR SUSTAINABLE ture (IITA) and Canada's International Development Research LAND MANAGEMENT Center implemented a comprehensive and successful soybean project between 1987 and 1999. During that time, soybean Because soybean cultivation can fix as much as 100 kilo- production increased from about 150,000 to 405,000 metric grams of nitrogen per hectare (Sanginga and others 2003) tons, an increase of 166 percent (FAO 2001). Average yields (but note the caveat regarding the important differences more than doubled from about 340 to 740 kilograms per between conventional soya, which leaves little for the follow- hectare. Village surveys confirmed dramatic soybean produc- ing crop and sends most of the nitrogen to the grain, and tion increases in Benue state. The annual production of promiscuous soya, which leaves much more nitrogen in the 70 soybean farmers (a random sample) was less than 5 metric soil), crops grown after soybeans produce larger harvests for tons between 1982 and 1984, but it increased to 30 tons by household consumption or market sale. Use of soybeans 1989 (Sanginga and others 1999).At present,Nigeria produces within an agricultural system also enables farmers to diver- about 850,000 metric tons of soybeans annually (figure 3.2). sify production, thereby spreading their exposure to risk Increasing demand for soybeans encouraged production across different crops. Such a farm management strategy and was crucial to project success. An urban market survey minimizes the possibility of catastrophic harvest losses at the in Ibadan (one of Nigeria's largest cities) revealed that farm household and landscape levels. whereas only two markets sold soybeans in 1987, there were In western Kenya, maize is usually intercropped with com- more than 100 by 2000 (see figure 3.2). Soybean retailers in mon beans. The major cash crops in the area are sugarcane, tobacco, and cotton. Soybeans fit into the maize-base crop- ping system and are currently either intercropped with maize Figure 3.2 Nigerian Soybean Production (1988­2006) or rotated with maize. Kenyan scientists have developed the and Markets in Ibadan (1987­2000) Mbili intercropping system, which greatly increases the effi- 1,000 100 ciency and productivity of maize intercropping. By skillfully altering the spacing both between and within rows of tall- growing maize while maintaining overall plant population, 800 80 the lower-growing extra intercrop gains additional light and thus provides better yields without compromising the yield of 600 60 the major food crop--maize. Farmers also intercrop soy- (hundreds) Ibadan in beans with sugarcane. In addition, soybeans enable resource- tons 400 40 poor farmers to take advantage of the nitrogen-fixing attrib- markets utes of the promiscuous soybean varieties for their metric 200 20 subsequent maize. The effect has been dramatic, especially if two seasons of soybeans are followed by one season of maize. 0 0 1987 1992 1997 2002 2007 years RATIONALE FOR INVESTMENT production markets Good food, nice profit, and better soil fertility are key moti- Source: FAO 2001. vators for cultivating soybeans. Improved and sustainable INVESTMENT NOTE 3.2:AN APPROACH TO SUSTAINABLE LAND MANAGEMENT 35 land management comes as a welcome bonus. With positive hold-level production surpluses that could otherwise incentives, such as households liking the taste of soybeans become a disincentive to further cultivation. Tier 2 and a market paying attractive prices, the secondary benefits action also creates new consumer preferences and poten- of soil fertility can easily tag along. tial demand by introducing new products, such as Soybeans are also an important cash crop with many soymilk, soy yogurt, and meat substitutes. uses. Since the 1960s, the plant has been the dominant Tier 3--industry level. This tier continues the formaliza- oilseed (Smith and Huyser 1987). It is a human food, is used tion of the soybean producer in the market. The main as livestock feed, and has numerous industrial purposes emphasis is to link soybean producers with input suppli- (Myaka, Kirenga, and Malema 2005). The 40 percent pro- ers (that is, suppliers of seed, fertilizer, value-added tein content of soybeans is approximately twice that of other knowledge, information, transport, and the like) and legumes (Greenberg and Hartung 1998). Despite these output purchasers (especially the industrial market). The apparent uses and benefits, soybean production in Africa project interacts with numerous actors of the supply remains low. In 2000, Sub-Saharan Africa cultivated only chain, including (a) industry, to find out what products 1 percent of the world's soybean crop. it wants; (b) farmers, to evaluate their ability to deliver Soybean cultivation enhances social benefits and gender products that meet industrial specifications; and (c) equity. Because on-farm investments are minimal, resource- other stakeholders, to determine how they can con- poor farmers can begin production easily. Besides preparing tribute to the market development process. meals with soybeans, many women get involved in soybean production (Sanginga and others 1999). RECOMMENDATIONS FOR PRACTITIONERS A recent initiative fostered by TSBF aims to broaden the exposure of rural households to soybeans in Kenya. The new Strategic alliances support the three-tier market develop- initiative aims (a) to capture and hold the interest of farm- ment for soybeans. Project partners enable smallholder ers in soybeans through an information campaign (to dispel farmers to benefit from soybean production by providing unfounded myths and emphasize benefits) and (b) to create diverse types of necessary and complementary support. The a desire among farmers to process and consume soybeans in approach recognizes that successful diversification requires different forms through training in processing. cooperation among farmers and between farmers and ser- Project partners include the Kenya Agricultural Research vice providers to build a viable market chain. Dialogue Institute, Kenyatta University, the Lake Basin Development among the market-chain participants and service providers Authority, the Kenya Forestry Research Institute, the Inter- helps generate better understanding of one another's needs national Maize and Wheat Improvement Center, and the and challenges. Different types of knowledge are shared: IITA. Strategic alliances of important stakeholders in the research, technology, production, equipment, transport, soybean production-to-consumption chain are central to the and support services (CIAT 2005). The strategic alliance has project. TSBF has developed a three-tier approach for sus- seven types of actors, whose participation is crucial for suc- tainable soybean promotion for Kenya, described as follows: cessful soybean promotion: Tier 1--household level. The approach begins with the cre- 1. Soybean farmers and farmer associations. Farmer repre- ation of widespread awareness on the various benefits of sentatives are responsible for interacting with other soybean production, consumption, and marketing as well farmers to articulate their views during the alliance as with practical training. From the beginning, the project meetings. By consolidating relationships with buyers and confronts unfounded common household myths and opening communication channels with all market-chain stereotypes about soybeans--mistaken information that participants, farmers gain valuable experience and confi- can undermine an initiative if not adequately addressed dence, which in turn enhances their negotiating power. with compelling evidence and practical demonstrations. 2. Input suppliers. A common feature of the soybean farm- Participatory development of soybean products empha- ers is lack of capital and inputs such as appropriate sizes the ease of use within popular local dishes. germplasm. Input service providers include agricultural Tier 2--community level. Surpluses of soybean produc- input and seed suppliers and microcredit agencies. tion at the household level are absorbed at the commu- 3. Nongovernmental organizations. These organizations nity level and processed into soymilk, yogurt, soy bread, provide assistance on postproduction value-added activ- cakes, biscuits, and so on. Processing can absorb house- ities: sorting, bulking, grading, packaging, transporta- 36 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS tion, haulage, and storage. Such activities enable farmers Blackie, M. 2006."Indigenous Knowledge and the Transfor- to increase their prices. mation of Southern African Agriculture." In Zimbabwe's 4. Food processors. Large-scale industries currently import Agricultural Revolution Revisited, ed. M. Rukuni, P. soybeans. Provided that farmers produce the grains of Tawonezvi, and C. Eicher, with M. Munyuki-Hungwe, the quality desired, these industries reaffirm their com- and P. Matondi. Harare: University of Zimbabwe Press. mitment to purchase grain produced at agreed-on prices. Borlaug, N. E. 2003. Feeding a World of 10 Billion People. 5. Communication and information agencies. Because of the Muscle Shoals, AL: International Center for Soil Fertility and Agricultural Development. http://www.ifdc.org/ critical role of information, a grassroots information and PDF_Files/LS-3%20Feeding%20a%20World% communication agency, AfriAfya, is in the alliance to 2010%20Billion.pdf. backstop extension and to strengthen the provision of Camara, O., and E. Heinemann. 2006."Overview of the Fer- information and communication services and soybean tilizer Situation in Africa." African Fertilizer Summit technologies. AfriAfya is responsible for creating local background paper, Abuja, Nigeria, June 9­13. content that responds to the needs of rural people. CIAT (Centro Internacional de Agricultura Tropical). 2005. 6. Government institutions. The key government institu- CIAT in Focus 2004­2005: Getting a Handle on High- tions represented in the alliance may include the min- Value Agriculture. Cali, Colombia: CIAT. istries of agriculture, trade and industry, and finance. FAO (Food and Agriculture Organization). 2001. FAOSTAT These institutions assist with both implementing and Database. http://faostat.fao.org/. formulating enabling policies in support of soybeans. Greenberg, P., and H. N. Hartung. 1998. The Whole Soy 7. Donor organizations. Organizations such as the Rocke- Cookbook: 175 Delicious, Nutritious, Easy-to-Prepare feller Foundation provide funds for organizing and Recipes Featuring Tofu, Tempeh, and Various Forms of implementing the alliance. Nature's Healthiest Bean. New York: Three Rivers Press. Myaka, F. A., G. Kirenga, and B. Malema, eds. 2005. "Pro- The alliance (a) creates an opportunity for integrated ceedings of the First National Soybean Stakeholders resource mobilization, (b) involves each stakeholder within Workshop." Morogoro, Tanzania, November 10­11. a larger problem-solving framework, (c) provides assistance Sanginga, N., K. Dashiell, J. Diels, B. Vanlauwe, O. Lyasse, R. in analyzing distinct perceptions of different actors, (d) J. Carsky, S. Tarawali, B. Asafo-Adjei, A. Menkir, S. Schulz, strengthens capacity of business services, (e) effectively bro- B. B. Singh, D. Chikoye, D. Keatinge, and O. Rodomiro. kers and addresses industry needs, and (f) develops endur- 2003. "Sustainable Resource Management Coupled to ing public-private partnerships for long-term success. Resilient Germplasm to Provide New Intensive Cereal- Grain Legume-Livestock Systems in the Dry Savanna." Agriculture, Ecosystems, and Environment 100 (2­3): REFERENCES 305­14. African Fertilizer Summit Secretariat. 2006. "Frequently Sanginga, P. C., A. A. Adesina, V. M. Manyong, O. Otite, and Asked Questions: Fertilizers and the Africa Fertilizer K. E. Dashiell. 1999. Social Impact of Soybean in Nigeria's Summit." Africa Fertilizer Summit Secretariat, Midrand, Southern Guinea Savanna. Ibadan, Nigeria: International South Africa. http://www.africafertilizersummit.org/ Institute of Tropical Agriculture. FAQ.html. Smith, K., and W. Huyser. 1987. "World Distribution and Anderson, J. 2003. Nature, Wealth, and Power in Africa: Significance of Soybean." In Soybeans: Improvement, Pro- Emerging Best Practice for Revitalizing Rural Africa. duction, and Uses, ed. J. R. Wilcox, 1­22. Madison: Amer- Washington, DC: U.S. Agency for International Develop- ican Society of Agronomy. ment. http://www.usaid.gov/our_work/agriculture/land management/pubs/nature_wealth_power_fy2004.pdf. WEB RESOURCES Barrett, C. P., J. Marenya, B. McPeak, F. Minten, W. Murithi, F. Oluoch-Kosura, J. C. Place, J. Randrianarisoa, J. Africa Fertilizer Summit. The New Partnership for Africa's Rasambainarivo, and J. Wangila. 2004. "Poverty Dynam- Development (NEPAD) called for an Africa Fertilizer ics in Rural Kenya and Madagascar." BASIS Brief 24, Col- Summit from June 9­13, 2006 in Abuja, Nigeria, to be laborative Research Support Program, BASIS Research implemented by the International Fertilizer Development Program on Poverty, Inequality, and Development, Uni- Center (IFDC). The Summit's objective was to increase the versity of Wisconsin­Madison, Madison. http://www awareness of the role that fertilizer can play in stimulating .basis.wisc.edu/live/basbrief24.pdf. sustainable pro-poor productivity growth in African agri- INVESTMENT NOTE 3.2:AN APPROACH TO SUSTAINABLE LAND MANAGEMENT 37 culture and to discuss approaches for rapidly increasing and disseminates strategic principles, concepts, methods, efficient fertilizer use by African smallholder farmers. For and management options for protecting and improving more information on the summit, access the Africa Fertil- the health and fertility of soils by manipulating biological izer Summit Web site: http://www.africafertilizersum processes and efficiently using soil, water, and nutrient mit.org/FAQ.html. resources in tropical agroecosystems. The TSBF of the Tropical Soil Biology and Fertility Institute. The Tropical Soil CIAT Web site has information on its products, networks, Biology and Fertility Institute (TSBF) of CIAT develops research focus, and other information and services: http://www.ciat.cgiar.org/tsbf_institute/index.htm. 38 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS I N V E S T M E N T N OT E 3 . 3 Balancing Rainforest Conservation and Poverty Reduction T he Alternatives to Slash-and-Burn (ASB) Pro- tives conflict. Without action to resolve this conflict, tropi- gramme is a global alliance of more than 80 local, cal forests will continue to disappear. Striking an equitable national, and international partners dedicated to balance between the legitimate interests of development and action-oriented integrated natural resources management the equally legitimate global concerns about the environ- (INRM) research in the tropical forest margins. mental consequences of tropical deforestation is one of the ASB research in Cameroon and Indonesia has revealed greatest challenges of today's generation. the feasibility of a middle path of development involving Everyone in the world wants something from tropical smallholder agroforests and community forest management forests. Forest dwellers wish to continue their traditional for timber and other products. The Brazilian Amazon, in way of life based on hunting and gathering. They are losing contrast, presents much starker trade-offs between global their land to migrant smallholders, who clear small environmental benefits and the returns to smallholders' amounts of forest to earn a living by raising crops and live- labor. Here, the most commonly practiced pasture-livestock stock. Both groups tend to lose out to larger, more powerful system, which occupies the vast majority of converted interests--ranchers, plantation owners, large-scale farmers, forestland, is profitable for smallholders (at least in the or logging concerns--whose aim is to convert large areas of short term) but entails huge carbon emissions and biodi- forest into big money. Outside the forests is the interna- versity loss. The land-use alternatives that are attractive pri- tional community, which wishes to see forests preserved for vately are at odds with global environmental interests. the carbon they store--that carbon would otherwise con- Results from ASB research at all the benchmark sites tribute to global warming--and for the wealth of biological show that attempting to conserve forests in developing diversity they harbor. countries is futile without addressing the needs of poor Deforestation continues because converting forests to local people. The issues are well illustrated by a study of other uses is almost always profitable for the individual. options facing settlers in Brazil's Acre state. Using a specially However, society as a whole bears the costs of lost biodiver- developed bioeconomic model, ASB researchers showed sity, global warming, smoke pollution, and degradation of that only in the unlikely event that prices quadrupled over water resources. their current level might the rate of deforestation slow. Even Every year the world loses about 10 million hectares of in that case, the braking effect is slight, and the modest sav- tropical forest--an area more than three times the size of ing in forestland would probably be short-lived. Belgium. None of the land-use systems that replace this natural forest can match it in terms of biodiversity rich- ness and carbon storage. However, these systems do vary KEY SUSTAINABLE LAND MANAGEMENT greatly in the degree to which they combine at least some ISSUES environmental benefits with their contributions to eco- Occasionally, tropical forests can be conserved while nomic growth and poor peoples' livelihoods. What will poverty is being reduced, but more often these two objec- replace forest (and for how long) is, therefore, always This note was prepared by T. Tomich, J. Lewis, and J. Kasyoki, World Agroforestry Centre; J. Valentim, Empresa Brasileira de Pesquisa Agropecuária; and S. Vosti and J. Witcover, University of California­Davis. 39 worth asking, both under the current mix of policies, insti- Faced with the diverging goals of conserving forests and tutions, and technologies and compared with possible addressing the needs of local inhabitants, policy makers alternatives. In other words, what can be done to secure need accurate, objective information on which to base their the best balance among the conflicting interests of differ- inevitably controversial decisions. To help them weigh up ent groups? the difficult choices they must make, ASB researchers have developed a new tool known as the ASB matrix (table 3.2). In the ASB matrix, natural forest and the land-use sys- INTEGRATED NATURAL RESOURCES tems that replace it are scored against various criteria MANAGEMENT APPROACH reflecting the objectives of different interest groups. So that The ASB Programme is a well-established global alliance of results can be compared across locations, systems specific to more than 80 local, national, and international partners each are grouped according to broad categories, ranging dedicated to action-oriented integrated natural resources from agroforests to grasslands and pastures. management research in the tropical forest margins. It is the The criteria may be fine-tuned for specific locations, but only global partnership devoted entirely to research on the the matrix always includes indicators for the following: tropical forest margins. The goal of the ASB Programme is to raise productivity and income of rural households in the Two major global environmental concerns: carbon stor- humid tropics without increasing deforestation or under- age and biodiversity mining essential environmental services. The program Agronomic sustainability, assessed according to a range applies an INRM approach to analysis and action through of soil characteristics, including trends in nutrients and long-term engagement with local communities and policy organic matter over time makers at various levels. Policy objectives: economic growth and employment opportunities Smallholders' concerns: their workload, returns to their KEY DRIVERS FOR DEGRADATION DYNAMICS: labor, food security for their family, and start-up costs of THE ASB MATRIX--LINING UP THE FACTS new systems or techniques Table 3.2 ASB Summary Matrix: Forest Margins of Sumatra Agronomic National policy- Adoptability Land use Global environment sustainability makers' concerns by smallholders Potential Production Plot-level profitability incentives Carbon production (at social (at private sequestration Biodiversity sustainability prices) Employment prices) Aboveground, Aboveground, Returns Average Return time averaged plant species to land labor input to labor (metric tons per standard Overall (US$ per (days per hec- (US$ Description per hectare) plot rating hectare) tare per year) per day) Natural forest 306 120 1 0 0 0 Community-based forest management 136 100 1 11 0.2 4.77 Commercial logging 93 90 0.5 1,080 31 0.78 Rubber agroforest 89 90 0.5 506 111 2.86 Oil palm monoculture 54 25 0.5 1,653 108 4.74 Upland ricebush fallow rotation 7 45 0.5 (117) 25 1.23 Continuous cassava degrading to imperata 2 15 0 28 98 1.78 Source: Tomich and others 1998. Note: Natural forest and the land-use systems that replace it are scored against criteria (global environmental benefits, agronomic sustainability, prof- itability, labor, and incentives) that are important for the diverse range of stakeholders in the landscape. 40 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS Policy and institutional barriers to adoption by small- others must find ways of delivering improved planting holders, including the availability of credit, markets, and material--the key input needed. improved technology. The Brazilian Amazon, in contrast, presents much starker trade-offs between global environmental benefits Between 1995 and 2005, ASB researchers have filled in and the returns to smallholders' labor. Here, the most com- this matrix for representative benchmark sites dotted across monly practiced pasture-livestock system, which occupies the humid tropics. Political and economic factors at work at the vast majority of converted forestland, is profitable for these sites vary greatly, as does their current resource smallholders but entails huge carbon emissions and biodi- endowment: from the densely populated lowlands of the versity loss. Systems that are preferable from an environ- Indonesian island of Sumatra, through a region of varying mental point of view, such as coffee combined with ban- population density and access to markets south of Yaoundé darra (a fast-growing timber tree), can pay better but have in Cameroon, to the remote forests of Acre state in the far prohibitively high start-up costs and labor requirements west of the Brazilian Amazon, where settlement by small- and are riskier for farmers. An alternative pasture-livestock scale farmers is relatively recent and forest is still plentiful. system, in which farmers are expressing interest, offers even At each site, ASB researchers have evaluated land-use sys- higher returns to land and labor but only slightly improves tems both as they are currently practiced and in the alterna- biodiversity and carbon storage. In other words, the land- tive forms that could be possible through policy, institu- use alternatives that are attractive privately are at odds with tional, and technological innovations. A key question global environmental interests. Only a radical overhaul of addressed was whether the intensification of land use the incentives available to land users, including smallhold- through technological innovation could reduce both ers, could change things. poverty and deforestation. Just how radical would the overhaul have to be? Very rad- ical--even for a small effect--according to ASB research. Consider the gathering of wild Brazil nuts, one of the most LESSONS LEARNED environmentally benign uses of the Amazon's forests. At The matrix allows researchers, policy makers, environmen- current prices offered to smallholders, Brazil nut harvesting talists, and others to identify and discuss trade-offs among pays well below the going rate for wage labor. To persuade the various objectives of different interest groups. smallholders merely to slow the pace of deforestation, the The studies in Cameroon and Indonesia have revealed price of nuts would have to rise more than fourfold. the feasibility of a middle path of development involving Research by ASB scientists of the Empresa Brasileira de smallholder agroforests and community forest management Pesquisa Agropecuária on the pasture-livestock system in for timber and other products. Such a path could deliver an the western Amazon of Brazil shows that, with a combina- attractive balance between environmental benefits and tion of legumes to enrich pastures and solar-powered elec- equitable economic growth. Whether this balance is struck tric fences to control the pattern of grazing by their cattle, in practice, however, will depend on the ability of these smallholders could double milk production per cow and countries to deliver the necessary policy and institutional triple the carrying capacity of their land, bringing a marked innovations. increase in profitability. In addition, because this pasture Take the examples of Sumatran rubber agroforests and system is sustainable without annual burning to control their cocoa and fruit counterparts in Cameroon. These sys- weeds, seasonal smoke pollution would be reduced (see ASB tems offer levels of biodiversity that, although not as high as Programme 2002). those found in natural forest, are nevertheless far higher So why have these practices not been adopted widely than those in single-species tree plantations or annual crop- already? First, the vast majority of smallholders cannot get ping systems. Like any tree-based system, they also offer access to the necessary credit, seeds, or hired labor and are substantial levels of carbon storage. Crucially, technological too far from markets to be able to sell the increased milk innovations have the potential to increase the yields of the supplies. Second, aiming for these higher profits entails key commodities in these systems--thereby raising farmers' increased risk, in part because of the higher initial invest- incomes substantially--to levels that either outperform or ment costs. But even if these barriers were eliminated, wide- at least compete well with virtually all other systems. How- spread adoption of such improvements would likely ever, to realize this potential, policy makers, researchers, and increase--not decrease--the pressure on neighboring forests. The reason is that the greater profitability of the INVESTMENT NOTE 3.3: BALANCING RAINFOREST CONSERVATION AND POVERTY REDUCTION 41 improved system would make the agricultural frontier more the same token, however, these higher incomes attract more attractive to new settlers. Thus, under the present mix of landless people to the agricultural frontier in search of a policies and institutions, plus the incentives they create, the better living. Therefore, technological innovation to inten- forests in Brazil's western Amazon will continue to fall sify land use will not be enough to stop deforestation. whether the smallholder succeeds or fails. Indeed, it often will accelerate deforestation. If both objec- tives are to be met, policy measures intended to encourage intensification will need to be accompanied by measures to OPPORTUNITIES FOR SUSTAINABLE LAND protect those forest areas that harbor globally significant MANAGEMENT: PRODUCTS AND SERVICES biodiversity. Given these results, what can be done to balance the objec- tives of forest conservation and poverty reduction in these RATIONALE FOR INVESTMENT tricky settings? Some assert that the best opportunities for meeting both objectives lie in the harvest of various prod- The main point for policy makers is that without tangible ucts from community-managed forests. In practice, such incentives linked to the supply of global environmental ben- extensive systems require low population densities plus efits, people will continue to cut down tropical rainforests. effective mechanisms for keeping other groups out if they Results from ASB research at all the benchmark sites show are to prove sustainable. that attempting to conserve forests in developing countries is Where forests are converted, agroforests often represent futile without addressing the needs of poor local people. But the next best option for conserving biodiversity and storing how can the necessary incentives to conserve be put in place? carbon, while also providing attractive livelihood opportu- Only a limited number of policy instruments have so far nities for smallholders. For both economic and ecological been tried, and there is still much to learn about what does reasons, however, no single land-use system should pre- and does not work. Part of the answer lies in the developing dominate at the expense of all others. Mixes of land uses countries themselves, where such measures as securing land increase biodiversity at a landscape level, if not within indi- tenure and use rights can be taken. But should these coun- vidual systems, and also can enhance economic and ecolog- tries have to shoulder the entire financial burden of forest ical resilience. A mixed landscape mosaic represents an conservation when all face urgent development imperatives, especially attractive option in cases such as Brazil, where no such as educating and vaccinating rural children? single system offers a reasonable compromise between dif- The bottom line is that if the international community ferent objectives. wants the global benefits of rainforest preservation, it is Where productivity of the natural resource base has going to have to pay for some of the costs. already sunk to very low levels, concentrating development efforts on the simultaneous environmental and economic RECOMMENDATIONS FOR PRACTITIONERS restoration of degraded landscapes is an option that is well worth exploring. The issues are well illustrated by a study of options facing The precise mix of interventions needed--hence the settlers in Brazil's Acre state. (Faminow, Oliveira, and Sá benefits and costs of restoration--varies from place to 1997). These farmers clear forest gradually over the years, place. In Cameroon, improved cocoa and fruit tree systems with pasture for cattle becoming the dominant land use. In could be a win-win proposition in place of unsustainably addition, about 50 percent of farm families harvest nuts short fallow rotations. In Indonesia, millions of hectares of from the part of their farms that remains forested. Imperata grasslands are the obvious starting point. Using a specially developed bioeconomic model, ASB The direction of change in land-use systems determines researchers explored how labor, capital, and land would be the environmental consequences. For example, if farmers allocated to different on-farm activities over a 25-year period replace unsustainable cassava production with an under different price and market scenarios.When they applied improved rubber agroforest, they help restore habitats and the model to Brazil nuts, the researchers found that doubling carbon stocks. But if such a system replaces natural forest, the farm-gate price of nuts would not decrease and might even the environment loses. Intensification of land use through increase the rate of deforestation. The reason is that farmers technological change is a two-edged sword. It has great probably would reinvest the extra cash they earned in clearing potential to increase the productivity and sustainability of forest faster. From the farmers' perspective, even at the higher existing forest-derived systems, thereby raising incomes. By price, cattle production remains by far the more profitable 42 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS activity. Only in the unlikely event that nut prices quadrupled and Tropical Deforestation, ed. A. Angelsen and D. over their current level might the rate of deforestation slow. Kaimowitz, 113­34. Wallingford, U.K., and New York: Even then, the braking effect would be slight and the modest CAB International. saving in forest would probably be short-lived. Vosti, S. A., J. Witcover, and C. Carpentier. 2002. "Agricul- The researchers concluded that subsidizing the price of tural Intensification by Smallholders in the Western Brazil nuts would not by itself be an effective policy measure Brazilian Amazon: From Deforestation to Sustainable for conserving forests. Use." IFPRI Research Report 130, International Food Policy Research Institute, Washington, DC. Vosti, S. A, J. Witcover, C. Carpentier, S. Oliveira, and J. San- REFERENCES tos. 2001. "Intensifying Small-Scale Agriculture in the Western Brazilian Amazon: Issues, Implications, and ASB (Alternatives to Slash-and-Burn) Programme. 2002. Implementation." In Tradeoffs or Synergies? Agricultural "Policybrief 04." ASB Programme, Nairobi. http://www Intensification, Economic Development and the Environ- .asb.cgiar.org/publications/policybriefs. ment, ed. D. R. Lee and C. B. Barrett, 245­66. Walling- Faminow, M., S. Oliveira, and C. Sá. 1997."Conserving For- ford, U.K., and New York: CAB International. est through Improved Cattle Production Technologies." World Agroforestry Centre. 2003. "Forests as Resources for EMBRAPA/IFPRI Policy Brief, Empresa Brasileira de the Poor: The Rainforest Challenge." World Agroforestry Pesquisa Agropecuária, Rio Branco, Brazil, and Interna- Centre, Gigiri, Kenya. http://www.worldagroforestry.org/ tional Food Policy Research Institute, Washington, DC. AR2003/downloads/SO_Rainforest.pdf. Tomich, T. P., M. van Noordwijk, S. A. Vosti, and J. Witcover. 1998. "Agricultural Development with Rainforest Con- servation: Methods for Seeking Best Bet Alternatives to WEB RESOURCES Slash-and-Burn, with Applications to Brazil and Indone- sia." Agricultural Economics 19 (1­2): 159­74. ASB Partnership for the Tropical Forest Margins. ASB is a global partnership of research institutes, non-govern- mental organizations, universities, community organiza- SELECTED READINGS tions, farmers' groups, and other local, national, and international organizations. ASB is the only global part- Cattaneo, A. 2002. "Balancing Agricultural Development nership that is entirely devoted to researching the tropi- and Deforestation in the Brazilian Amazon." IFPRI cal forest margins. Since 1994, it has operated as a sys- Research Report 129, International Food Policy Research tem-wide program of the Consultative Group for Institute, Washington, DC. International Research in Agriculture (CGIAR). The ASB Gockowski, J., G. Nkamleu, and J. Wendt. 2001. "Implica- Partnership for the Tropical Forest Margins Web site tions of Resource-Use Intensification for the Environ- contains information on its impact, regions, themes, ment and Sustainable Technology Systems in the Central publications, and other resources: http://www.asb.cgiar African Rainforest."In Tradeoffs or Synergies? Agricultural .org/. Intensification, Economic Development, and the Environ- ASB Policybriefs series. ASB's Policybriefs series takes the les- ment, ed. D. R. Lee and C. B. Barrett, 19­219. Walling- sons learned from experiences at the local or national ford, U.K., and New York: CAB International. levels and distills them for a broader, international audi- IUCN (World Conservation Union). 2002. Beyond Rhetoric: ence. ASB aims to deliver relevant, concise reading to key Putting Conservation to Work for the Poor. Gland, Switzer- people whose decisions will make a difference to poverty land: IUCN. reduction and environmental protection in the humid Tomich, T. P., M. van Noordwijk, S. Budidarsono, A. Gilli- tropics: http://www.asb.cgiar.org/publications/policy son, T. Kusumanto, D. Murdiyarso, F. Stolle, and A. Fagi. briefs. 2001. "Agricultural Intensification, Deforestation, and ASB reports. ASB has summary reports on Brazil, Cameroon, the Environment: Assessing Tradeoffs in Sumatra, and Indonesia, as well as working group reports on cli- Indonesia." In Tradeoffs or Synergies? Agricultural Intensi- mate change, biodiversity, and socioeconomic indicators. fication, Economic Development and the Environment, ed. http://www.asb.cgiar.org/publications/countryreports/. D. R. Lee and C. B. Barrett, 221­44. Wallingford, U.K., ASB Voices series. The ASB Voices series aims to provide and New York: CAB International. insights and perspectives from people's real-life experi- Vosti, S. A, C. Carpentier, J. Witcover, and J. F. Valentim. ences and challenges in the humid tropics for a broad 2001. "Intensified Small-Scale Livestock Systems in the audience. The series is able to highlight the implications Western Brazilian Amazon." In Agricultural Technologies INVESTMENT NOTE 3.3: BALANCING RAINFOREST CONSERVATION AND POVERTY REDUCTION 43 for the global environment of peoples' choices under scape beauty at local and global levels. Through partner- severe resource constraints: http://www.asb.cgiar.org/ ship with its major donor, the International Fund for publications/asbvoices/. Agricultural Development (IFAD), the World Agro- Rewarding Upland Poor for Environmental Services. The forestry Centre (ICRAF) has taken on the role of coordi- Rewarding Upland Poor for Environmental Services nating a consortium of partners interested in contribut- (RUPES) program aims to enhance the livelihoods and ing and being a part of RUPES. The RUPES website reduce poverty of the upland poor while supporting offers information on RUPES sites, partnerships, and environmental conservation on biodiversity protection, activities: http://www.worldagroforestry.org/sea/Net watershed management, carbon sequestration and land- works/RUPES/index.asp. World Agroforestry Centre. Using science, the World Agro- forestry Centre generates knowledge on the complex role of trees in livelihoods and the environment, and fosters use of this knowledge to improve decisions and practices to impact the poor. The World Agroforestry Centre Web site provides information on their news and events, recent publications, agroforestry information and other information resources: http://www.worldagroforestry .org/es/default.asp. 44 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS I N V E S T M E N T N OT E 3 . 4 Groundwater Declines and Land Use: Looking for the Right Solutions ountries are increasingly relying on finite groundwa- C With growing populations, changing weather patterns, and ter reserves (built up over centuries) for household, increasing pollution of bodies of surface water, countries agricultural, and industrial needs. Although address- around the world are relying more and more on finite ing water shortages in the short term, groundwater exploita- groundwater reserves built up over centuries for household, tion brings its own host of problems. Solving these problems agricultural, and industrial needs. Although addressing means conducting holistic studies of hydrologic systems to water shortages in the short term, groundwater exploitation find appropriate solutions that will result in real water savings. brings its own problems. It can cause surface water deple- The North China Plain is China's most important agricul- tion, saltwater intrusion into freshwater aquifers, and subsi- tural center, producing more than half the country's wheat dence of the land surface (box 3.2). Governments are quick and a third of its maize. The deficit between rainfall and crop to turn to improving water efficiency as the best solution to requirements has been met by irrigation from aquifers under- the problem but are too often disappointed. Research lying the plain. Pumping water from the aquifers has led to increasingly shows that in devising water management the continued decline of groundwater levels despite improved strategies to conserve water and halt the decline of ground- irrigation efficiency and reduced pumping. water levels, policy makers must conduct holistic studies of An International Water Management Institute (IWMI) hydrologic systems to find appropriate solutions that will study (Kendy and others 2003) used a water-balance result in real water savings. What is needed is not a simple approach--a simple accounting method to quantify hydrologic one-size-fits-all policy or solution but varying management changes. The model shows clearly that simply changing the approaches to suit specific situations. The concept of hydro- amount of water applied for irrigation will not affect the rate of nomic zones, which categorizes a hydrologic system into groundwater depletion, which leaves only two other variables: different zones--each having its own best set of water- rainfall and evapotranspiration. With rainfall beyond manage- saving measures--could be a useful tool in this exercise. ment control, the only way to reduce groundwater depletion The paradox of increasing irrigation efficiency and and to achieve real water savings is to address evapotranspira- reduced pumping yet declining groundwater levels (see box tion. The water-balance approach allowed IWMI to formulate 3.2) has puzzled water policy experts and resource managers. successful water-saving choices. The sets of options comprise a It provided the impetus for an IWMI study (Kendy and oth- combination of changing cropping patterns, leaving certain ers 2003) in Luancheng county, located in the Hai River areas of land to lie fallow, and changing land use to urban uses. basin, one of the three rivers draining the North China Plain. Each set of options is a different combination of land uses that The study examined the nexus between agricultural policies will deplete no more than 460 millimeters per year--bringing in the area, water management approaches, and actual water rainfall and evapotranspiration into equilibrium. use in an effort to explain the steady decline in groundwater levels and to find appropriate solutions to halt this decline. KEY SUSTAINABLE LAND MANAGEMENT ISSUES TRENDS IN RESOURCE USE This note was prepared by E. Kendy, The Nature Conservancy, Washington, DC. 45 As agricultural policies and water management strategies Box 3.2 Examining Hydrological Contradictions evolved over the years, water-use trends changed accord- in the North China Plain ingly. With increased winter wheat cropping and a shift from cotton to more irrigation-intensive maize, an increase The North China Plain is China's most important in groundwater use that would mirror the cropping patterns agricultural center, producing more than half the could be expected. However, the reality is quite different. country's wheat and a third of its maize. It is Contrary to expectations, groundwater pumping did not 320,000 square kilometers in extent and home to grow with the increase and change in cropping. Even more more than 200 million people. It is bordered by mountains on the west and the Yellow Sea on the surprisingly, pumping rates actually decreased during the east. Three rivers drain into the plain. The climate late 1970s and early 1980s before finally stabilizing in the is temperate and monsoonal, with cold, dry win- 1980s (figure 3.3). Nevertheless, groundwater levels have ters and hot, humid summers. The shortage and declined steadily throughout the period under study. This seasonal distribution of water are two key factors seeming contradiction has puzzled water policy experts and that inhibit agriculture. Annual rainfall averages resource managers and provided the impetus for IWMI's between 500 millimeters in the north and 800 mil- study (Kendy and others 2003). limeters in the south. The typical winter wheat and summer maize cropping pattern currently prac- ticed consumes 660 to 920 millimeters of water KEY DRIVERS FOR DEGRADATION DYNAMICS: annually. The deficit between rainfall and crop THE POLICY­WATER USE NEXUS requirements has been met by irrigation from IWMI's study used a water-balance approach to try to find aquifers underlying the plain. Pumping water from the aquifers has led to the continued decline the answer. It is a simple accounting method used to quan- of groundwater levels despite improved irrigation tify hydrologic changes. The soil/water balance and the efficiency and reduced pumping. groundwater balance in Luancheng county were both stud- ied. The study concluded that the continued decline in groundwater levels is caused by the long-standing agricul- tural policy of achieving food self-sufficiency by continually increasing the irrigated area, coupled with the use of Figure 3.3 Irrigation History of Luancheng County: Estimated Pumping for Irrigation, 1949­99 1,200 year) 1,000 per 800 (millimeters 600 irrigation 400 200 estimated 0 1949 1952 1955 1958 1961 1964 1967 1970 1973 1976 1979 1982 1985 1988 1991 1994 1997 1999 year Hu Shijiazhuang Conservation Bureau model input Source: Author's elaboration, based on E. Kendy, personal communication; Chanseng Hu, Chinese Academies of Science, unpublished data. Note: "Pumping" in the 1950s was primarily hauling, rather than pumping, from shallow, brick-lined wells."Model input" indicates groundwater pumping and irrigation values used to calculate annual water balances. 46 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS groundwater to supplement precipitation. Even more inter- borne out by the relationship among rainfall, evapotranspi- esting is what the study reveals about the connection ration, and resulting depletion in groundwater over the between increasing irrigation efficiency and groundwater study period (figure 3.4). levels. In Luancheng county, irrigation efficiency has In the early years before irrigation development, precipi- increased, causing more than a 50 percent decrease in tation exceeded evapotranspiration and the excess water groundwater pumping since the 1970s (figure 3.4). How- recharged the aquifer, sometimes causing it to overflow. As ever, groundwater levels continue to drop steadily. Because irrigated areas grew and the number of crops harvested each excess irrigation water seeps through the soil back to the year rose, evapotranspiration increased until it exceeded aquifer underlying irrigated areas and replenishes the water rainfall (see figure 3.4). At that point, groundwater mining supply, the only significant inflows and outflows to the sys- began, and since that time, the amount of groundwater tem are through precipitation and crop evapotranspiration. mined has been the difference between rainfall and evapo- As long as those two factors remain constant, increased irri- transpiration, regardless of the amounts pumped out of the gation efficiency will save no water. Instead, other options, aquifer. As long as this difference remains virtually constant, such as reducing the length of the growing season and the rate of groundwater depletion, too, will remain constant. reducing the extent of irrigated land, need to be considered Taking into consideration the entire hydrologic system, to halt the decline of groundwater levels. including the soil profile and the underlying aquifer, water The model clearly shows that simply changing the policy experts and resource managers have overlooked a amount of water applied for irrigation will not affect the simple but nevertheless vital factor over the years: as long as rate of groundwater depletion, which leaves only two other crop evapotranspiration remains constant or increases, no variables: rainfall and evapotranspiration. With rainfall reduction in the rate of groundwater depletion can occur. beyond management control, the only way to reduce The answer lies in methods that will either maintain or groundwater depletion and to achieve real water savings is reduce the rate of evapotranspiration. The holistic study of to address evapotranspiration. This conclusion is further Figure 3.4 General Relationships between Precipitation and Evapotranspiration for Cropland in Luancheng County, 1947­2000 700 evapotranspiration 600 year) runoff, recharge per evapotranspiration groundwater mining and 200 mm (millimeters preci 500 precipitation pitation 400 1947 1951 1955 1959 1963 1967 1971 1975 1979 1983 1987 1991 1995 1999 2000 years Source: Author's elaboration. INVESTMENT NOTE 3.4: GROUNDWATER DECLINES AND LAND USE: LOOKING FOR THE RIGHT SOLUTIONS 47 the hydrologic system points in the right direction in the POSSIBLE ANSWERS search for these solutions. The most popular and the most politically acceptable way of A concept that is useful in studying hydrologic systems is attempting to save water is to increase irrigation efficiency. that of hydronomic zoning. A hydrologic system such as a However, IWMI's study has clearly shown that this method river basin is divided into hydronomic (hydro [water] + will not always be effective. Examining a hydrological sys- nomus [management]) zones, which are defined primarily tem as a system of hydronomic zones has shown that effi- according to the destination of the drainage outflow from ciency technologies will not be effective in natural and reg- water uses. Thus, there are zones where water can be reused ulated recapture zones with groundwater storage and low and where it cannot, because of location and quality. More- salt buildup. If significant salt buildup or pollution occurs over, each hydrological system can be classified into all or in a regulated recapture zone, efficiency technologies will be some of the following zones: water source, natural recap- useful in controlling pollution. These methods will also be ture, regulated recapture, stagnation, environmentally sen- useful where no significant recharge of the aquifer occurs or sitive, and final-use zones (figure 3.5). where the recharge is heavily polluted. Such technologies The classification of the system into the different hydro- will also decrease energy use. In a natural recapture zone nomic zones (Molden, Sakthivadivel, and Keller 2001) helps such as Luancheng county, irrigation efficiency will not be identify the best methods of saving water because each zone effective in stemming groundwater decline. Thus, a variety has its own best set of water-saving measures. In identifying of other options has been suggested and considered. these sets of measures, researchers must account for the Water price increases to increase irrigation efficiency are extent to which the system has excess water available for often suggested as a water conservation measure. In the case depletion, the level of groundwater dependence, and the of Luancheng county, this measure might not be appropri- extent of pollution and salinity loading. ate because reducing pumping but irrigating the same area will not stop groundwater decline. Rather, what is required OPPORTUNITIES FOR BOTH WATER AND is a change in land use; whether this result will ensue from LAND MANAGEMENT: A SELECTION OF higher prices is debatable. Figure 3.5 Hydronomic Zones in a River Basin water -sour zone ce regulated recapture final-use zone zone stagnation zone environmentally sensitive zone natural recapture zone closure management area Source: Author's elaboration. 48 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS Aside from irrigation efficiency, a variety of water-saving cost ratios than agricultural water conservation, land fal- technologies are put forward as possible solutions. Some of lowing, and surface storage construction. the technologies may exacerbate the problem if used inap- With respect to improving water-use efficiency in urban propriately. For example, although sprinkler irrigation will areas, industrial facilities provide greater potential savings save energy and allow for more precise application of water than do households. Water use per industrial product in and fertilizers, leading to higher yields, it will not always be China is 3 to 10 times greater than in other industrial coun- effective in reducing groundwater decline. In some situa- tries. Discouraging water-intensive industries is a measure tions, it might even aggravate the problem if farmers decide that has been adopted in some Chinese cities. Likewise, to irrigate more crops with the water they save. Technologies many different measures can be considered singly or that reduce evaporation, such as the use of mulching and together in the urban context to provide optimal water-use the establishment of greenhouses, would be ideal for efficiency. Luancheng county. Changing the cropping pattern is one possibility that RATIONALE FOR INVESTMENT needs to be carefully looked at. Adopting less water- intensive cropping patterns than the currently predominant None of the measures described earlier will be sufficient on winter wheat and summer maize combination is one sug- its own to solve the problem of groundwater depletion. gestion. The amount of water saved will depend on the Thus, an appropriate mix of measures must be identified to length of the growing season, the crop's root depth, and its achieve optimal water savings and reduced levels of ground- leaf area. Studies have shown, however, that any cropping water depletion. Using the kind of thinking underlying the routine that includes a winter wheat cycle will not show any concept of hydronomic zoning, together with a water- significant reduction in groundwater depletion. Thus, rein- balance approach, the study in Luancheng county set out to troducing a winter fallow season appears to be the only way identify the right mixture of solutions. It formulated water- of seeing any significant water savings through crop saving choices that could be adopted. The sets of options are changes. This option, unfortunately, is not likely to be made up of a combination of changing cropping patterns socially and economically palatable. that leave certain areas of land to lie fallow and changing Another option is the transformation of land use from land use to urban uses. Each set of options is a different rural to urban. Although specific data are not available for combination of land uses that will deplete no more than 460 Luancheng county, urban land use is commonly accepted as millimeters per year--bringing rainfall and evapotranspira- depleting much less water than crop evapotranspiration. An tion into equilibrium. urban setting would call for a different range of water con- servation measures. In the city of Shijiazhuang, overpump- LESSONS LEARNED ing of groundwater has resulted in the deformation of the water table into a funnel shape, which has affected eleva- tions of water levels at different points and has caused direc- One must not automatically assume that improving irri- tional changes to the natural flow of groundwater. Thus, gation efficiency will save water. First, consider the fate of water that would naturally have flowed to the aquifers of excess irrigation water and whether it replenishes the Luancheng county is flowing instead to the aquifers of Shi- hydrologic system. If excess irrigation water replenishes jiazhuang city. Reducing the net amount of water pumped the hydrologic system, then improved irrigation effi- for the city is imperative if this unsustainable situation is to ciency will not save water and may, in fact, consume be reversed. more water by increasing crop production. In an urban setting, precipitation tends to leave the sys- Land and water must be managed in conjunction to tem as runoff, rather than recharging the underlying achieve sustainable water use. A water-balance approach aquifer, because many of the land surfaces are impermeable. should be used to associate each land use with its associ- Here, unlike in the study area, efficiency technologies would ated net water depletion and to create a sustainable have a significant effect. A more expensive option is to treat mosaic of land uses. wastewater and then use it to recharge the aquifer. Studies in For landscape-scale land-use planning, hydronomic zon- California have shown that both measures, although they ing should be used to identify areas where improved irri- are expensive, show better results in terms of water yield-to- gation efficiency would actually improve water manage- ment. INVESTMENT NOTE 3.4: GROUNDWATER DECLINES AND LAND USE: LOOKING FOR THE RIGHT SOLUTIONS 49 In places where improved irrigation efficiency does not verse--locating irrigation upstream from cities--is less save water, the only way to reduce the rate of hydrologic efficient because crops consume most of the water that depletion (such as water-table declines) is to reduce they use, whereas cities consume only a small fraction of evapotranspiration. Evapotranspiration reduction can the water they use.) be accomplished by reducing the area devoted to crop- land (replacing it with less water-consumptive land use) REFERENCES and by reducing the growing season on cropland. Reduc- ing the evaporation component of evapotranspiration, Kendy, E., D. J. Molden, T. S. Steenhuis, C. Liu, and J. Wang. for example, by mulching with plastic, can save a smaller 2003. "Policies Drain the North China Plain: Agricultural amount of water. In the North China Plain, however, the Policy and Groundwater Depletion in Luancheng amount of water that could potentially be saved by County, 1949­2000." IWMI Research Report 71, Interna- tional Water Management Institute, Colombo, Sri Lanka. reducing evaporation is not enough to stabilize declining http://www.iwmi.cgiar.org/Publications/IWMI_Research water tables. _Reports/PDF/pub071/Report71.pdf One should not blindly invest in improvements to irriga- Molden, D. J., R. Sakthivadivel, and J. Keller. 2001. "Hydro- tion efficiency. They are expensive and often are ineffec- nomic Zones for Developing Basin Water Conservation tive in saving water at the basin scale. Moreover, down- Strategies." IWMI Research Report 56, International stream water uses and valuable aquatic ecosystems often Water Management Institute, Colombo, Sri Lanka. rely on the "excess" irrigation water that would be "saved." SELECTED READINGS INVESTMENT NEEDS AND PRIORITIES Kendy, E. 2003. "The False Promise of Sustainable Pumping Rates." Ground Water 41 (1): 2­4. Kendy, E., and J. D. Bredeheoft. 2006. "Transient Effects of Establish comprehensive worldwide databases of water Groundwater Pumping and Surface-Water-Irrigation use, consumption, and availability by basin. Returns on Streamflow." Water Resources Research 42: Research to understand water consumption (depletion) W08415. rates for different land uses--especially urban areas--to Kendy E., W. Jinxia, D. J. Molden, C. Zheng, L. Changming, facilitate combined land- and water-use planning. and T. S. Steenhuis. 2007."Can Urbanization Solve Inter- Design and implement urban wastewater treatment to sector Water Conflicts? Insight from a Case Study in convert final use of hydronomic zones (contaminated by Hebei Province, North China Plain." Water Policy 9 (1): polluted wastewater) into water-reuse zones 75­93. Improve urban water-use efficiency and stormwater Molden, D. J., and R. Sakthivadivel. 1999. "Water Account- recharge. ing to Assess Use and Productivity of Water." Interna- Locate cities upstream from irrigated agricultural areas, tional Journal of Water Resources Development 15 (1): which can reuse treated urban wastewater. (The con- 55­72. WEB RESOURCES International Water Management Institute Publications. The publications Web site of the International Water Man- agement Institute contains numerous peer-reviewed reports, papers, and other publications. http://www .iwmi.cgiar.org/Publications/. 50 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS I N V E S T M E N T N OT E 3 . 5 Environmental Services Payments and Markets: A Basis for Sustainable Land Resource Management? T he concept of payment for environmental services ities to negotiate trades with those who exceed the stipu- (PES) arises from the recognition that those who lated norms. Without this regulatory framework, there is lit- protect resources require compensation for the tle hope of creating markets for environmental services. services they provide to the wider community. One of the most important prerequisites for a functioning PES scheme KEY SUSTAINABLE LAND MANAGEMENT is an appropriate regulatory framework that establishes ISSUES property rights and obligations for land use through which environmental services may be negotiated. New opportunities for adding value to sustainable rural A number of PES schemes and pilot programs have been land resources management are being created in many parts initiated in recent years, particularly in Latin America and of the world under the rubric of payments for environmen- the Caribbean. However, experience is inadequate for a tal services. Such opportunities arise from the growing per- thorough comparison of the relative effectiveness of differ- ception that ensuring nature's services in the long run ent approaches--and for their replication elsewhere. Trans- requires not only that they should be valued by society, but action costs and the need for government intervention in also that these values inspire compensation to those who critical resource areas may prove more expensive than the protect resources. potential benefits. With skillful analysis of experience, how- As described in box 3.3, natural resources protection and ever, PES schemes may be able to overcome some of the lim- good land-use practices generate a gamut of services of both itations of regulatory instruments associated with the cre- economic and cultural importance, besides ensuring con- ation of incentives for conservation and sustainable use of tinuation of functions essential to support and maintain liv- natural resources. At the same time, these schemes may ing organisms, including humans. stimulate the formation of social capital in the regions where they are established. LESSONS LEARNED PES schemes implemented to date have not been benefi- cial to the poor: they attract as service providers those who Experience in a number of countries to date, particularly in hold titles, own larger areas, and obtain incomes from the Americas, suggests that creation of environmental ser- sources outside the production unit (thus making land vices markets and payment schemes is viable and offers retirement from production represent little in terms of opportunities for equitable and efficient provision of public opportunity cost to the landowner). To improve equity goods. Environmental services markets function best when requires that schemes restrict or differentiate payments to they meet the following conditions: low-income households. PES schemes involving market cre- ation should be linked to a regulatory system that estab- They provide measurable benefit to the environment lishes specific limitations on productive activities and that from adopting best practices. creates the need for those who possess environmental liabil- This note was prepared by P. H. May, Department of Agriculture, Development and Society, Federal Rural University, Rio de Janeiro, Brazil. 51 relating the latter to the quality of resources protection at the Box 3.3 Types of Environmental Services source. However, science has few good tools to arrive at Generated by Good Land-Use Practices appropriate and equitable values for PES. These values must be negotiated between "buyers" and "sellers." Economic Water and Soil-Related Services analysis of the willingness of beneficiaries to pay for these Flow regulation services can provide a useful benchmark. In most instances Quality maintenance where payment schemes have begun, the opportunity cost of Aquatic habitat income forgone from alternative land uses has served as a Cultural values (recreation, worship) yardstick for the maximum that should be paid to a property Control of erosion and sedimentation Nutrient cycling owner to retire land from nonconserving uses. Although this Reduced salinity measure is a good indicator of cost to the provider, it may fail to take into account future opportunities for productive land Climate Services use and need to be adjusted over time. Microclimate regulation One of the most important prerequisites for a function- Reduced emissions from burning ing PES scheme is an appropriate regulatory framework that Carbon sequestration establishes property rights and obligations for land use and Maintenance of terrestrial carbon stocks sets conditions within which environmental services may be negotiated. For example, in some countries, such as Brazil, Biodiversity Conservation Services land-use codes establish a minimum share of private land Connectivity and scale for wildlife conservation that must remain under native vegetation in each biome. Sustainable use Many landowners have not complied with this rule, finding Cultural values (recreation, worship, existence value) occupation of all or a good part of their properties more lucrative. Others have retained more forest cover than required by law. When the government began to enforce this legislation more rigorously, trading was permitted between The sources of services are identifiable (for example, deficit and surplus forestland owners. This trade became the improved agricultural practice, new protected areas). germ of a PES scheme that is now being tested in various A regulatory framework establishes limits within which parts of Brazil. In the same vein, carbon trading could not negotiations can occur. take place if quantitative limits were not placed on green- Services provided are contingent on payment (that is, house gas emissions. one should not have to pay for what one would probably A number of PES schemes and pilot programs have been receive anyway). initiated in recent years, particularly in Latin America and Beneficiaries and providers agree on compensation the Caribbean. Descriptions of these experiences are sum- amounts and terms. marized in table 3.3. The first and largest PES scheme to be implemented was Scientific research can help identify the origin of services Costa Rica's program for environmental service payments. provided and monitor the provision of downstream benefits, Created at a national scale in 1997, the program by 2005 had Table 3.3 Incidence of Costs and Benefits for Environmental Services Services Opportunity costs Beneficiaries Payment mechanisms Carbon sequestration Local farmers and landowners Global society Clean development mechanism, (avoiding deforestation) biocarbon fund, and non-Kyoto funds Watershed protection Farmers in upper watersheds and Local downstream Water-use charges, taxation of catchment areas (forgoing communities and water-using enterprises, royalties for production on fragile lands) enterprises electricity generation Biodiversity conservation Local ranchers and farmers and Global society and Compensation funds and benefit wood-producing enterprises traditional peoples sharing for traditional knowledge and (protecting ecosystems) germplasm Source: Author's elaboration. 52 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS been applied to 500,000 hectares of privately owned forests. and El Salvador, the pilots are intended to provide the basis The program is administered through the National Forestry for structuring national PES programs. Financing Fund (Fondo Nacional de Financiamiento Fore- A second pilot program, the Integrated Silvopastoral stal, or FONAFIFO) financed from a combination of Approaches to Ecosystem Management, involves pilot valu- sources, including a 3.5 percent gasoline levy, electrical util- ation studies and PES payment trials with livestock produc- ity payments for hydroelectric catchment protection, and ers in three sites in Colombia, Costa Rica, and Nicaragua. In grant funds for an ecomarkets project from the Global Envi- these locales, land users agreed under contract to receive ronment Facility (GEF) that began in 2001. In Costa Rica, annual payments averaging US$500 per hectare up to a there is now broad public recognition that intact forests and maximum of US$4,500 per property over four years based their environmental services have value. GEF support has on incremental provision of biodiversity-related services in ensured greater attention to biodiversity conservation and their production systems. The payments were to reach a to a more equitable distribution of payments; recipients total of 35,000 hectares over the project's cycle. Payments include women and indigenous communities whose activi- are defined on the basis of a point system ascribing weights ties promote environmental services (Hartshorn, Ferraro, to different land-use attributes insofar as they contribute to and Spergel 2005). biodiversity conservation. As the project evolves, each More recently, in 2003, the Mexican government created landowner has the opportunity to increase his or her pay- a national program of payments for water services provided ment through implementation of agreed practices (Pagiola by private forest landowners who agree to protect existing and others 2004). forests and to restore forest cover on degraded lands. In its Finally, in Brazil, government agencies, small farmers' first year alone, the program reached more than 128,000 organizations, and nongovernmental organizations have hectares in rural communities and ejidos (collective proper- joined forces to create a program for sustainable develop- ties) in 15 states. In contrast to the program in Costa Rica, ment of rural family production in the Amazon (ProAmbi- the Mexican program is financed from general government ente). The program began in 2004 in 11 pilot areas in the revenues rather than from earmarked sources associated nine Amazon states. In each state, 500 rural households-- with specific environmental service beneficiaries. A GEF- primarily land reform beneficiaries--were selected to par- financed project to extend the program and its global bene- ticipate in the scheme. Operationally, ProAmbiente com- fits, as well as to test market-based mechanisms, is in initial bines conventional credit operations with regular monthly stages of implementation (Guillén 2004). payments for farmers, equivalent to up to 40 percent of the The GEF has also cofinanced two programs involving credit. These payments are contingent on compliance with research and PES trials in agricultural and forest manage- land-use criteria based on certified environmental services. ment systems. The programs primarily focus on Central Such services include avoiding deforestation, allowing car- America. The first is under way in Belize, El Salvador, Hon- bon sequestration, reestablishing hydrologic functions, con- duras, and Nicaragua, under the auspices of the Meso- serving biodiversity, protecting the soil, and reducing risk of American Biological Corridor and the Program for Sustain- fire. The scheme is operating on a pilot basis using general able Hillside Agriculture in Central America. Its objectives government revenues and seeking funds from international are to enable these countries to better adapt to climatic donors and carbon traders for the environmental services events and water scarcity in prolonged dry seasons and to payments. ensure clean, sufficient, and regular water supplies to com- munities within this isthmus of globally important biodi- OPPORTUNITIES FOR SUSTAINABLE versity. PES pilot schemes were initiated in 2002 in six LAND MANAGEMENT microwatersheds in which municipal governments estab- lished funds to finance conservation treatments and modest Devising a workable PES scheme also requires looking at the payments to farmers for improvement in water supplies. incidence of costs and benefits. If changes in land use are The payment scheme led farmers to adopt soil and water proposed as a means of benefiting the global environment conservation technologies that include ceased burning, and through climate change mitigation or biodiversity conser- use of green manures, terracing, and hedgerows. As a result, vation, the costs should be borne by global society and not water sources are showing signs of recovery. Implementing by farmers in developing nations. If the majority of benefits local pilot actions is perceived to be an effective instrument are received locally, however, such as through clean and reli- for developing sound policies at a national level. In Belize able water supply, local water users should share the costs. In INVESTMENT NOTE 3.5: ENVIRONMENTAL SERVICES PAYMENTS AND MARKETS 53 most cases, however, cross-benefits occur: in integrated At the outset of program design, it is best to begin with watershed management, biodiversity may be protected and services for which a clear established demand exists (for water supplies ensured simultaneously. This dual benefit example, improvement in water quality associated with provides opportunities for environmental services to be discharge of animal residues) and for which a relationship financed jointly by different beneficiaries through the same between the change in practices and the condition of resource-protective activities in a geographic area. This facet ambient water quality supplied is relatively easy to prove. makes it logical to create an environmental services fund to The best "bang for the buck" is obtained by promoting receive and disburse contributions from different benefici- practices that offer multiple benefits, such as restoration aries to finance installation and maintenance of a bundle of of streambank vegetation, which can simultaneously land-use practices in a given locale. The differential inci- reduce sedimentation of water courses, sequester carbon, dence of environmental service benefits and payment and reestablish biological connectivity between forest mechanisms is described in table 3.3. fragments. Despite the promise of PES, a number of perils and pitfalls Rather than invest in complicated procedures to calcu- can unnecessarily encumber those who seek to set up PES late environmental benefits, PES should be estimated ini- schemes and those who might benefit from them, particularly tially on the basis of opportunity costs associated with the rural poor. These difficulties may be summed up in the adoption in comparison with a baseline scenario (for concept of transaction costs. The contract negotiations, time, example, the net income forgone from land retired from and money involved may actually exceed the net benefits of production to permit regeneration). It is not always nec- setting up such a scheme, thereby making adoption of land- essary to cover the full opportunity costs of such prac- use codes or other regulations seem easier or more cost- tices to attract an adequate number of service providers. effective than relying on the magic of the marketplace. In general, PES schemes implemented to date have not been beneficial to the poor. They attract service providers RECOMMENDATIONS FOR PRACTITIONERS who hold titles, own larger areas, and obtain incomes from Experience with the establishment of PES schemes, even in sources outside the production unit (thus making land Latin America where they have a longer history, is as yet retirement from production represent little in terms of quite new. Therefore, it is not possible to thoroughly com- opportunity cost to the landowner). To improve equity pare the relative effectiveness of different approaches for requires that schemes restrict or differentiate payments to replication elsewhere.1 Expectations for PES schemes gener- low-income households. ally soar but in all likelihood greatly exceed their probable PES schemes involving market creation should be linked potential to reduce transaction costs and the need for gov- to a regulatory system that establishes specific limitations ernment intervention in critical resource areas. Neverthe- on productive activities and that creates the need for those less, PES schemes may be able to overcome some of the lim- who possess environmental liabilities to negotiate trades itations of regulatory instruments associated with the with those who exceed the stipulated norms. Without this creation of incentives for conservation and sustainable use regulatory framework, there is little hope of creating mar- of natural resources. At the same time, they may stimulate kets for environmental services. the formation of social capital in the regions where they are established. The following principal lessons have been NOTE learned from PES experiences to date, focused primarily on watershed services: 1. See Waage and others (2006) for an assessment of capacity-building opportunities for dissemination of PES approaches worldwide. Calculating the value of benefits arising from specific land-use practices is a gray area subject to great uncer- tainties. PES schemes will be more effective, for example, REFERENCES if they are directed at water quality than at water supply Guillén, M. J. G., ed. 2004."Valuación del Programa de Pago associated with enhancement of forest cover, because de Servicios Ambientales Hidrológicos (PSAH)." Colegio conventional wisdom and scientific proof diverge a de Postgraduados, Comisión Nacional Forestal, number of ways regarding the water-flow regulation Zapopan, Mexico. functions of forests. 54 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS Hartshorn, G., P. Ferraro, and B. Spergel. 2005. "Evaluation Pagiola, S., J. Bishop, and N. Landell-Mills, eds. 2002. Selling of the World Bank­GEF Ecomarkets Project in Costa Forest Environmental Services: Market-Based Mechanisms Rica." North Carolina State University, Raleigh. for Conservation and Development. London: Earthscan. Pagiola, S., P. Agostini, J. Gobbi, C. de Haan, M. Ibrahim, E. Pérez, C. J. 2005."Recovering Positive Mountain Externalities: Murgueitio, E. Ramírez, M. Rosales, and J. P. Ruíz. 2004. Reversing Land Degradation through Payment for Envi- "Paying for Biodiversity Conservation Services in Agri- ronmental Services at the Local Level." Program for Sus- cultural Landscapes." Environment Department Paper tainable Agriculture in the Hillsides of Central America. 96, World Bank, Washington, DC. Wunder, S. 2005. "Payments for Environmental Services: Waage, S., S. Scherr, M. Jenkins, and M. Inbar. 2006. A Scop- Some Nuts and Bolts." CIFOR Occasional Paper 42, Cen- ing Assessment of Current Work on Payments for Ecosystem ter for International Forestry Research, Jakarta. Services in Asia, Latin America, and East and Southern Zbinden, S., and D. R. Lee. 2005."Paying for Environmental Africa. Washington, DC: Forest Trends. Services: An Analysis of Participation in Costa Rica's PSA Program." World Development 33 (2): 255­72. SELECTED READINGS Faleiro, A., and L. R. de Oliveira. 2005. "ProAmbiente: Con- WEB RESOURCES servação ambiental e vida digna no campo." In Instru- Flows. The FLOWS bulletin provides a review of selected mentos Econômicos para o Desenvolvimento Sustentável topics pertaining to the assessment of the effectiveness of da Amazônia: Experiências e Visões, ed. Paulo Haddad payment arrangements for watershed services and les- and Fernando Rezende, 69­76. Brasília: Ministry of the sons being learned. Each issue provides a space for reader Environment, Secretariat for Coordination of Amazonia. commentary and responses to previous issues, and announcements of pertinent new reports and papers, and upcoming events: http://www.flowsonline.net/. INVESTMENT NOTE 3.5: ENVIRONMENTAL SERVICES PAYMENTS AND MARKETS 55 I N N O VAT I V E A C T I V I T Y P R O F I L E 3 . 1 Species Diversity in Fallow Lands of Southern Cameroon: Implications for Management of Constructed Landscapes H umid tropical forests provide a range of products tion pressures increase and fallow periods become shorter, and services. Fallow cycles are considered the fallow composition changes, ultimately endangering the most common source of deforestation in south- succession process of the natural forest. ern Cameroon and are attributed to smallholder agricul- Most studies on shifting cultivation have assumed that ture. As fallow periods become shorter, fallow composition species diversity declines when the length of fallow periods changes, ultimately endangering the succession process of is reduced. A wide range of authors have adopted this theo- the natural forest. retical presentation of the essence of ecological dynamics in Lands that have been fallow fewer than 10 years form an shifting cultivation (for example, Ruthenberg 1980; Sanchez important component of the agricultural landscape in the 1976). This theory has helped fuel the condemnation of fal- humid forest zone of southern Cameroon. These fallow lowing by many governments because it clearly shows that types of land have been shown to be an essential part of when fallow periods are shortened because of land scarcity local livelihoods. They are used not only for cropping but and population pressure or other factors, this farming sys- also as key reserves of nontimber forest products. There are tem will in all cases create a downward spiral of low species good reasons to focus on the development of sustainable diversity and declining yield in the subsequent cropping fallow shifting cultivation systems, which may be more seasons. environmentally acceptable than permanent farming sys- Fallow lands fewer than 10 years old form an important tems in terms of deforestation, soil erosion, and carbon component of the agricultural landscape in the humid for- storage. est zone of southern Cameroon. These fallow types of land have been shown to be an essential part of local livelihoods. They are used not only for cropping but also as key reserves INTRODUCTION of nontimber forest products. However, a consequence of Two major environmental concerns face policy makers and increasing resource-use pressure and subsequent shorten- stakeholders regarding the humid forests of Cameroon: ing of fallow duration is the invasion of these land-use sys- deforestation and forest degradation. Humid tropical tems by the Asteraceous species Chromolaena odorata (L.) forests provide a range of products and services that include (Ngobo, McDonald, and Weise 2004; Weise 1995; Weise and timber and nontimber forest products, forest biomass used Tchamou 1999). as a fertility input (when converted to ash through slash- Chromolaena is widely regarded as a serious threat to and-burn techniques), conservation of important biodiver- agriculture in West Africa and is rapidly spreading through- sity, protection of soil resources and watersheds, prevention out Southeast Asia into the South Pacific and into central of desertification, and regulation of local and global cli- and eastern Africa from the infestations in western Africa matic patterns through carbon sequestration. Fallow cycles and South Africa. Moreover, shorter fallow periods are are considered the most common source of deforestation in believed to cause environmental damage in the form of soil southern Cameroon and are attributed to smallholder agri- mining and accelerated erosion. In combination with culture (Gockowski and Essama-Nssah 2000). As popula- national interests in protecting forest resources for other This profile was prepared by M. Ngobo and S. Weise, International Institute of Tropical Agriculture, Yaoundé, Cameroon. 56 purposes, this result has, in many cases, led to an official deciduous tropical forest, fallow fields of various length, and antipathy toward fallowing practices, making development vegetation (Letouzey 1968). The farming system is one of of sustainable fallow shifting cultivation--which may be the least intensified among villages of the area, and produc- more environmentally acceptable than permanent farming tion is highly oriented toward subsistence. The site is char- systems in terms of deforestation, soil erosion, and carbon acterized by yellow ferralitic and highly desaturated soils storage--more difficult to focus on. that fall into the Food and Agriculture Organization class of The reported resource-use intensification in the study orthic ferrasols (Koutika, Kameni, and Weise 2000). area and the increasingly acknowledged need for more pro- ductive and environmentally friendly agricultural systems EFFECTS ON VEGETATION COMMUNITY for local resource-poor farmers have stimulated renewed AND BIODIVERSITY interest in the mechanisms by which, among other func- tions, fallow systems restore ecosystem fertility and biodi- Both species and functional diversity were significantly versity. Concern for more profitable and ecologically sus- associated with vegetation structure and plant community tainable fallow systems provided impetus for initial composition in fallows of five to seven years under different research, particularly given the reported increasing abun- land-use intensity regimes. Recently forested fallow types dance of fallows of shortened duration in the humid forest displayed the highest values of stand structural parameters, zone of Cameroon. A lack of reliable information regarding except for the site disturbance index. There was no signifi- the characteristics of these land-use systems in the humid cant effect of fallow type on the mean basal area or crown forest zone of southern Cameroon has hindered resource cover. managers' attempts to develop adapted strategies. Approximately 225 species of vascular plants were recorded in the study sites, belonging to 72 to 74 families. The most richly represented families were Euphorbiaceae, DESCRIPTION OF FOREST FALLOW Fabaceae (or Papilionaceae), and Sterculiaceae, respectively; MANAGEMENT INNOVATION with 23, 21, and 12 genera. Although up to 85 plant species The activity reported here underlines the need to distin- were common to all fallow types, about 67 plants were guish forest fallows dominated by Chromolaena from fallow exclusive to stands that had been forests before the previous types that have recently been a forest when designing strate- cropping cycle (table 3.4). Among the species most fre- gies and policies for sustainable management of short fal- quently found in all study sites were Chromolaena, Hauma- lows in the humid forest zone of southern Cameroon. The nia danckelmaniana Milne-Redh., Milletia spp., Dioscorea low frequency of forest species recorded in frequently spp., Cissus spp., Cnestis ferruginea DC, and Nephroplepis cropped fallows emphasizes the urgent need to develop veg- biserrata (Sw.) Schott, which were present in more than etation management strategies that aim at accelerating plant 70 percent of the sites. succession during the fallow phase. The information and Frequently cropped fallows were characterized by the knowledge presented are specific to the Mengomo, located abundance of Chromolaena, Albyzia zygia Macbride, and in the southern part of the humid forest zone of Cameroon, Dioscorea spp, with the understory characterized by a few but they are relevant for similar humid forest sites in Africa. Poaceae and some Cyperaceae. The vegetation in moder- The major site where the information for this note was ately cropped fallows was consistently least diverse (58 to derived is situated at 2°20'N and 11°03'E. Mengomo is a 132 species). Although Chromolaena was still abundant, this small locality (598 inhabitants and 83 households) that lies fallow type was characterized by the importance of Com- 52 kilometers south of the city of Ebolowa. It is character- melinaceae and Marantaceae species, represented by differ- ized by a hot and moist equatorial climate, with a minimum ent species of Palisota and Megaphrynium. There was more mean annual temperature of about 20°C and a maximum of understory than in the previous fallow type, and it com- 29°C (National Meteorological Station of Yaoundé, mean of prised some forest herbaceous species like Aframomum spp., 11 years: 1983­94, as cited in Santoir and Bopda 1995). The Harungana madagascariensis, and Haumania danckelmani- mean annual rainfall is about 1,800 millimeters, falling in a ana. A high number of species (150 to 171) was recorded in bimodal pattern, which determines two rainy seasons recently forested fallows. The vegetation in fallow sites of (March to July and August to November) and two drier sea- this type was clearly stratified in three distinguishable layers: sons (July to August and November to March) of unequal (a) an upper story dominated by pioneer semiwoody species duration. The main natural vegetation is a mosaic of semi- (of up 8 meters height), (b) an intermediate stratum that INNOVATIVE ACTIVITY PROFILE 3.1: SPECIES DIVERSITY IN FALLOW LANDS OF SOUTHERN CAMEROON 57 Table 3.4 Total Number of Plant Species Recorded in Three Fallow Types in the Humid Forest Zone of Southern Cameroon Frequently Moderately Recently Total Plant community composition cropped cropped forested lands fallows Total species 111­165 58­132 150­171 224­225 Species with frequency of presence greater than or equal to 70 percent 12 13 17 7 Species with frequency of presence greater than or equal to 50 percent 26 33 47 27 Total families 54 37 64 72­74 Families with 1 species 31 25 33 34 Species exclusive to fallow type 4 33 34 -- Source: Author's elaboration. comprised small individuals of mostly secondary or pri- shortened fallow systems, such as Megaphrynium spp. and mary forest species, and (c) a lower story dominated by sec- Sarcophrynium spp. (Aweto 2001; van Dijk 1999). As in this ondary forest herbaceous species. Characteristic species of study, lack of replacement with uncommon weed species the mature secondary forest were consistently present in this may occur because they are being exposed to competition fallow type. from ubiquitous species through habitat disturbance. In Cameroon, smallholder agriculture is held to be the major source of deforestation. Therefore, any proposed mul- PATTERNS OF VARIATION IN SPECIES tisectoral approach for addressing deforestation must start COMPOSITION AMONG FALLOW TYPES with agriculture. A summary of the lessons and challenges Ordination analyses showed a clear pattern of distribution while designing sustainable vegetation management strate- of species along a gradient of resource-use intensity. Except gies for the humid forest area of southern Cameroon follows: for mean litter depth, a significant positive correlation was found between plant biodiversity (as indicated by the num- Sustainable pathways for rural development in the ber of species and other diversity indices) and fallow struc- humid forest zones can minimize the damage and, in tural features. Conversely, there was a negative significant some cases, even improve the environmental services of correlation between plant species diversity and crown cover the cultivation-forest mosaic ecosystem. The productiv- of woody plants as well as site disturbance index. The influ- ity of fallow lands needs to be assessed to evaluate their ence of vegetation composition and vegetation structure on sustainability and economic viability for local resource- species assemblages reported in this study, which was highly poor farmers. correlated with litter depth and basal area, suggests that Measures to achieve these goals are (a) to focus on the there is a gradient of soil organic matter content and soil collection and dissemination of relevant and reliable moisture from less intensively farmed to more intensively information, (b) to work with a larger set of stakehold- farmed fallow types. ers, and (c) to use Cameroonian expertise to gain local perspective and build capacity. Given the global importance of fallows of 5 to 10 years in LESSONS LEARNED the humid forest zone of southern Cameroon, as well as The results of this study suggest that increasing land-use the considerable variation in published estimates of intensity (reflected here by increasing the number of fallow plant species diversity and change, development of a reli- cultivation cycles) will initially have little effect on the species able and indisputable monitoring mechanism is impera- diversity of the shortened fallow plant community. However, tive. The rapid evolution in remote-sensing technologies as the link to the forest is reduced, altering the site vegeta- offers the best potential for quantifying patterns of tion's structural characteristics and decreasing shade (lead- change. Reliable and replicable estimates from such tech- ing to a more homogeneous microclimate), an adverse effect niques would be of great use to policy makers and other will occur, and the species richness will decline. Nevertheless, stakeholders. other studies have shown that increasing land-use intensity It is, therefore, necessary to develop improved systematic results in the loss of some uncommon useful species of data gathering to update understanding of the contribu- 58 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS tions of fallows (and shortened fallows, in particular) to Santoir, C., and A. Bopda. 1995. Atlas régional du Sud- household, community, and national livelihood strate- Cameroun. Paris: Office de la Recherche Scientifique et gies. Such data will be of great use to policy makers and Technique d'Outre-Mer. development organizations in developing improved and van Dijk, J. F. W. 1999. Non-Timber Forest Products in the sustainable fallow systems that may benefit both small- Bipindi-Akom II Region, Cameroon: A Socio-economic scale farmers and the environment. and Ecological Assessment. Tropenbos-Cameroon Series 1. Kribi, Cameroon: Tropenbos Cameroon Programme. Weise, S. F. 1995."Distribution and Significance of Chromo- REFERENCES laena odorata (L.) R. M. King and H. Robinson across Aweto, A. O. 2001. "Trees in Shifting and Continuous Culti- Ecological Zones in Cameroon." In Proceedings of the vation Farms in Ibadan Area, Southwestern Nigeria." Third International Workshop on Biological Control and Landscape and Urban Planning 53 (1­4): 163­71. Management of Chromolaena odorata, ed. U. K. Prasad, R. Muniappan, P. Ferrar, J. P. Aeschliman, and H. de Gockowski, J., and B. Essama-Nssah. 2000. Cameroon Forest Foresta, 29­38. Mangilao: University of Guam. Sector Development in a Difficult Political Economy: Eval- uation Country Case Study Series. Washington, DC: Weise, S. F., and N. Tchamou. 1999. "Chromolaena odorata World Bank. in the Humid Forests of West and Central Africa: Man- agement or Control?" Proceedings of the Brighton Crop Koutika, L. S., R. Kameni, and S. Weise. 2000. "Variability of Protection Conference: Weeds. Farnham, U.K.: British Nutrient Content in Topsoils under Fallow in Three Vil- Crop Protection Council. lages in the Humid Forest Zone (Southern Cameroon)." In La jachère en Afrique tropicale, ed. C. Floret and R. Pontanier, 223­28. Paris: John Libbey Eurotext. SELECTED READINGS Letouzey, R. 1968. "Étude phytogéographique du Camer- oun." In Encyclopédie Biologique 69, 511. Paris: Editions Gockowski, J., D. Baker, J. Tonye, S. Weise, M. Ndoumbè, T. Paul LeChevalier. Tiki-Manga, and A. Fouaguégué. 1998."Characterization and Diagnosis of Farming Systems in the ASB Forest Ngobo, M., M. McDonald, and S. Weise. 2004. "Impact of Margins Benchmark of Southern Cameroon." Interna- Fallow and Invasion by Chromolaena odorata on Weed tional Institute of Tropical Agriculture, Humid Forest Communities of Crop Fields in Cameroon." Ecology and Ecoregional Center, Yaoundé. Society 9 (2): 1. http://www.ecologyandsociety.org/vol9/ iss2/art1. Tiki-Manga, T., and S. F. Weise. 1995. "Alternatives to Slash- and-Burn Project." Cameroon Benchmark Site Final Ruthenberg, H. 1980. Farming Systems in the Tropics. Report, Yaoundé. Oxford, U.K.: Clarendon Press. Sanchez, P. A. 1976. Properties and Management of Soils in the Tropics. New York: John Wiley and Sons. INNOVATIVE ACTIVITY PROFILE 3.1: SPECIES DIVERSITY IN FALLOW LANDS OF SOUTHERN CAMEROON 59 I N N O VAT I V E A C T I V I T Y P R O F I L E 3 . 2 Domestication and Commercialization of Forest Tree Crops in the Tropics T he harvesting of indigenous fruit trees (IFTs) rep- region in the tropics (Akinnifesi and others 2007; Leakey resents an important food supplement and cash and others 2005) and is a major opportunity for asset income for rural people in many tropical coun- building for smallholder farmers. For example, in southern tries. Most of the fruits from IFTs are still being harvested and eastern Africa, most of the food crops grown by small- from the wild, and traditional crops and fruits play a valu- scale farmers did not originate from Africa. Maize, beans, able role in supporting household food security. However, groundnuts, sweet potatoes, and cassava are all exotics this role could be significantly enhanced if improved vari- from tropical America and have largely displaced the eties and production, harvesting, and storage techniques sorghum, millet, cowpeas, and yams produced by yester- could be made available to the rural poor. Thus a pro-poor year's traditional farmers. Marginalizing African crops has strategy involves moving away from depending only on wild resulted in collapsed traditional seed systems, reduced farm harvesting. biodiversity, poorer diets, decreased food security, and Participatory domestication is defined as genetic declining cultural tradition. Ironically, today the demand improvement that includes farmer-researcher collaboration for traditional foods by urban consumers is increasing and is farmer led and market driven. It was devised to over- because indigenous small grains, pulses, fruits, and leafy come the shortcomings of earlier top-down approaches of green vegetables are both tasty and nutritious. However, conventional breeding and forestry. It leads to considera- often these foods are not readily available. In addition, in tion of the wider context in which it is possible to identify times of food scarcity, these traditional crops and fruits which traditional crops and fruits are becoming marginal- play a valuable role in supporting household food security. ized; how much diversity occurs within them; and what This role could be significantly enhanced if improved vari- their productive and genetic potentials, postharvest require- eties and production, harvesting, and storage techniques ments, and processing and marketing potentials are. These could be made available to the rural poor. efforts involve plant taxonomists, ethnobotanists, crop A large amount of knowledge on the opportunities, chal- breeders, crop scientists, food scientists, agricultural engi- lenges, knowledge gaps, and constraints of IFTs has been neers, human nutritionists, and economists and are con- gathered in recent years. Continued enthusiasm exists ducted in conjunction with farmer associations and com- among researchers and development practitioners (espe- mercial establishments. cially in the past two decades) to explore the opportunities to meet the food needs of humanity through IFTs. As a result, increasing emphasis is placed on tree domestication INTRODUCTION strategies (promoting IFTs with economic potential as new The harvesting of indigenous fruit trees from the wild pre- cash crops), product development, and commercialization dated settled agriculture and represents an important food and marketing of agroforestry tree products. This profile supplement and cash income for rural people in many highlights the opportunities, achievements, and challenges tropical countries. Evidence is accumulating that IFTs can of IFT domestication, use, and marketing in Africa, Asia, contribute significantly to household income in every and Latin America. This profile was prepared by F. K. Akinnifesi, O. C. Ajayi, and G. Sileshi, World Agroforestry Centre, Makoka, Malawi. 60 TREE DOMESTICATION INNOVATION nile phase (period before first fruiting) has been reduced from 10­15 years to 3­4 years for D. edulis in western Africa, Participatory domestication is defined as genetic improve- for U. kirkiana in southern Africa, and for cupuaçu (Theo- ment that includes farmer-researcher collaboration. It is broma grandiflora) in Latin America. farmer led and market driven. It was devised to overcome the shortcomings of earlier top-down approaches of con- ventional breeding and forestry. Participatory domestica- BENEFITS OF ACTIVITY AND ITS tion approaches have been applied by the World Agro- IMPLICATIONS FOR SUSTAINABLE LAND forestry Centre for U. kirkiana, Sclerocarya birrea, and S. MANAGEMENT cocculoides in southern Africa (Akinnifesi and others 2006) The IFT species previously mentioned are important in and for Dacryodes edulis and Irvingia gabonensis in West many ecosystems, and farmers make efforts to conserve and Africa (Tchoundjeu and others 2006). In Latin America, cultivate them on farmlands. Five factors are important in Bactris gasipaes Kunth and cupuaçu (Theobroma grandi- cultivation and sustainable management of IFTs: site flora) have been subjected to domestication, especially in requirements, genetic variability and improvement poten- Brazil and Peru (Clement and others 2008). The objectives tial, propagation methods, nutritional properties, and com- of the domestication projects led by the World Agroforestry mercial potential (Jama and others 2007). Knowledge is Centre are (a) to identify technically, economically, and important for tree management and sustained land man- socially viable investment opportunities for indigenous fruit agement. Akinnifesi and others (2007) provide insights into domestication in the context of sustainable land manage- the potential of integrating IFT cultivation into smallholder ment and (b) to establish pilot projects that meet preestab- production in ways that contribute to livelihoods, biodiver- lished investment criteria. sity conservation, and sustainable land productivity. The domestication research started by identifying species Trees can contribute to improved organic matter accu- preference depending on the extent they are able to meet the mulation, erosion control, and nutrient recycling from subsistence and cash-income needs of the producers and deeper soil layers. In a farming system that includes income market participants. Franzel, Jaenicke, and Janssen (1996) from tree crops, the farmer can use some of the returns described the seven principles and application of priority from fruits to invest in fertilizers, seeds, and other inputs in setting that were tested in various regions. Results of the pri- other parts of the system. ority setting across regions are presented in table 3.5. Akinnifesi and others (2007) described detailed princi- ples and strategies for participatory domestication based on LESSONS LEARNED AND ISSUES FOR clonal selection and vegetative propagation. These strategies SCALING UP TREE DOMESTICATION have had significant benefits--for example, the long juve- Table 3.5 List of the Four Most Preferred Priority Indigenous Fruit Tree Species in Selected Regions Region Rank 1 Rank 2 Rank 3 Rank 4 Method East Africa (Ethiopia, Kenya, Adansonia digitata Tamarindus indica Ziziphus mauritiana Sclerocarya birrea Field surveys Sudan, and Uganda) (baobab) (tamarind) (ber) (marula) (n = 167) Southern Africa (Malawi,Tanzania, Uapaca kirkiana Strychnos cocculoides Parinari curatellifolia Ziziphus mauritiana Field surveys Zambia, and Zimbabwe) (wild loquat) (wild orange) (maula) (ber) (n = 451) West Africa (Cameroon, Ghana, Irvingia gabonensis Dacryodes edulis Chrysophyllum Garcinia cola Workshops + and Nigeria) (wild mango) (African plum) albidum (bitter cola) field surveys (star apple) (n = 94) Sahelian zone (Burkina Faso, Mali, Adansonia digitata Tamarindus indica Vitellaria paradoxa Ziziphus mauritiana Field surveys Niger, and Senegal) (baobab) (tamarind) (shea) (ber) (n = 470) Latin America (Bolivia, Brazil, Euterpe oleraceae Bactris gasipaes Theobroma grandiflora Myrciaria dubia Colombia, Ecuador, Peru, and (açai) (pupunha) (cupuaçu) (camu-camu) Workshop R.B. de Venezuela) (Roraima, Brazil, October 2006) Source: For East Africa, Jama and others 2007; Teklehaimanot 2007. For southern Africa, Akinnifesi and others 2007; Maghembe and others 1998. For West Africa, Franzel and others 2007. For the Sahelian zone, Bounkoungou and others 1998; Franzel and others 2007; Techlehaimanot 2007. For Latin America, regional workshop organized by Iniciativa Amazonica in 2006. Sources are cited in Akinnifesi and others 2007. INNOVATIVE ACTIVITY PROFILE 3.2: DOMESTICATION AND COMMERCIALIZATION OF FOREST TREE CROPS IN THE TROPICS 61 Most of the fruits from IFTs are still being harvested from the The investment needs for wider cultivation and scaling wild, and traditional crops and fruits play a valuable role in up of tree domestication of IFTs include (a) quality supporting household food security. However, this role planting material in sufficient quantity, (b) adequate could be significantly enhanced if improved varieties and skills and resources for village-level nurseries in decen- production, harvesting, and storage techniques could be tralized systems, and (c) facilities for micropropagation made available to the rural poor. Thus, a pro-poor strategy and tissue culture centers for rapid multiplication of spe- involves moving away from depending only on wild harvest- cialized propagules (Akinnifesi and others 2006). ing. Domestication research and development for IFTs have Measures to speed up the multiplication of improved progressed significantly, especially in Africa and Latin Amer- planting materials are necessary. They include the appli- ica; efforts to prioritize, select, and cultivate superior culti- cation of biotechnology and tissue culture techniques in vars of IFTs using participatory approaches are noted across germplasm multiplication. Delivery deserves greater the regions. Such strategies generally involved the following: attention. Research and development on the domestication of IFTs Application of farmer-centered, market-led approaches has advanced in only a few species, such as Uapaca involving careful participatory selection of the right species kirkiana, Sclerocarya birrea, Parinari curatellifolia in and elite cultivars to be promoted; development of low- southern Africa; Dacryodes edules and Irvingia gabonen- cost simple propagation techniques; and establishment and sis in western Africa; and Theobroma grandiflora and- management practice in cooperation with farmers peach palm (Bactris gasipaes) in Latin America. There is Postharvest handling, product development, and a need to expand the range of IFTs currently being prospecting of IFT products researched in different regions of the tropics. Market research, enterprise development, and commer- Droughts and climate affect fruiting potentials, cycles, cialization. and seasonal variability and cause major reduction in fruit production and quality. It is important to investi- The overall objective is to identify, conserve, improve, gate how tree planting affects climate change, on one and promote traditional crops and fruits as a means of hand, and how trees are or can be affected by climate improving their seed systems and markets, thereby making change, on the other. This information will ensure that the crops more attractive to small-scale farmers. Specific sufficient resilience is built into tree domestication aims are efforts. Farmers and researchers have complementary knowl- To better understand which traditional foods are becoming edge and knowledge deficiencies, so integrating both marginalized and explore avenues for their revitalization parties' knowledge through participatory processes has To explore opportunities for processing traditional foods been shown to speed up technology adoption and per- in ways that make them more attractive and easily pre- formance. pared by urban consumers, thereby strengthening their Comparatively few studies provide conclusive evidence demand and markets. regarding the profitability and payback periods of IFT cultivation or wild collection. Smallholder farmers may In the wider context, it is possible to identify which tradi- need initial incentives or credit lines for tree establish- tional crops and fruits are becoming marginalized; how much ment, management, and value addition. diversity occurs within them; and what their productive and Tree-based practices such as IFTs are more complex than genetic potentials, postharvest requirements, and processing conventional crop practices because of the multiyear and marketing potentials are. These efforts involve plant tax- cycles required for testing, modification, and eventual onomists, ethnobotanists, crop breeders, crop scientists, food adoption by farmers. The key factors that drive adoption scientists, agricultural engineers, human nutritionists, and of improved IFTs and their effects at multiple scales (that economists and are conducted in conjunction with farmer is, household and landscape levels) need to be studied. associations and commercial establishments. These studies will provide insights into the level of tech- Following is a summary of the lessons learned and chal- nology change that would stimulate adoption and effects lenges encountered: of IFTs. Such studies are important to guide investment, adoption, and policy decisions regarding IFTs. As the technology development processes become com- 62 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS plex, the uptake of the technologies by farmers will selection, propagation, nursery and tree establishment, and remain low. The development and dissemination of IFT management of superior planting materials. Their involve- systems must continue to emphasize practices that ment will dramatically shorten the time required to produce require little capital and simple methods of scaling up and disseminate planting materials from centralized nurs- improved processes and techniques to wider communi- eries to farmers. It is important to provide farmers with ties. Such low-cost techniques include small-scale nurs- high-quality germplasm and to make it available in a timely ery operations, vegetative propagation, use of organic manner. Farmers can be organized to produce high-quality manures, and tree management. seed, seedlings, and vegetative propagule, as evidenced in For market-led IFT initiatives, the market attribute of small-scale nursery enterprises managed by farmer groups, IFT products must be unique or substantial enough and for example, in western and southern Africa and in Peru. should be comparable or superior to conventional prod- Valuing the contribution of IFTs to the national economy uct sources to make a dent in the market. For instance, is long overdue, and investment resources should be camu-camu (Myrciaria dubia) is being promoted in devoted to their development. Very few cases of active pro- Latin America for the extremely high vitamin C content motion of IFTs have been documented in the tropics. Cross- in its pulp (2.8 to 6.0 grams of ascorbic acid per 100 collaboration and knowledge exchange need to be fostered grams), which is 30 times as high as the equivalent among regions where species are cultivated, used, or traded; weight of orange. indicators and tools for assessing effects should be devel- Second-generation issues, such as the potential occur- oped; and investments in priority IFTs should be increased. rence of new pests following the introduction of new trees, must be carefully investigated as IFTs are domesti- POLICY CONSIDERATIONS cated and improved germplasm is selected. Improved systematic data gathering is needed to update The following key policy priorities emerge from the general global knowledge on the contributions of IFTs to house- literature on the relationship and development of IFTs: hold, community, and national income and livelihood strategies. This information will enhance the potential One way IFTs could be scaled up and mainstreamed into opportunities for policy makers and development organ- government thinking is to proactively create awareness izations to use IFTs as an intervention strategy for reduc- and raise the profile of the contributions of IFTs during ing poverty. policy debates and in development intervention pro- Innovative research and development efforts on IFTs are grams. Such activities will require a long-term invest- needed to help bring about improvements in cultivation, ment and an appraisal of policies governing land and scaling up, markets, and small-scale enterprises in the tree tenure in many countries in the tropics so that insti- tropics. The improved performance of the market for tutional constraints to tree planting can be reduced and agroforestry tree products would stimulate growth in the policies can be enacted that facilitate cross-border trades rural economy. and harmonization of exploitation, transportation, and Adoption of agroforestry is not a simple direct relation- germplasm exchange. ship of only technological characteristics; it is a matrix of Regulations must be formulated that will ensure that IFT several groups of factors that include household- and exploitation, processing, commercialization, and on- community-level factors, institutions, and the socioeco- farm cultivation does not pose a threat to their conserva- nomic constraints and incentives that farmers face. As a tion. IFTs should be treated as cultivated crops instead of result, rather than technology change alone, the develop- intangible forest products from the wild. ment of IFTs should place a balanced emphasis on the Policies must be enacted to ensure that intellectual prop- economics, the people, and the institutional and policy erty rights of farmers--such as farmer breeders and com- context under which farmers operate. munity custodians--are well protected. Such policies will ensure that benefits from IFT domestication are not exploited by large-scale commercial growers. Adoption of INVESTMENT NEEDS, PRIORITIES, the International Union for the Protection of New Plant AND SCALING UP Varieties by governments in the tropics is suggested. One of the most effective ways to scale up IFT cultivation is to involve farmers in the entire process of participatory INNOVATIVE ACTIVITY PROFILE 3.2: DOMESTICATION AND COMMERCIALIZATION OF FOREST TREE CROPS IN THE TROPICS 63 REFERENCES World Agroforestrt Centre, Nairobi, Wallingford, UK: CAB International Publishing. Akinnifesi, F. K., F. Kwesiga, J. Mhango, T. Chilanga, A. Mkonda, C. A. C. Kadu, I. Kadzere, D. Mithofer, J. D. K. Jama, B., A. M. Mohamed, J. Mulatya, and A. N. Njui. 2007. Saka, G. Sileshi, T. Ramadhani, and P. Dhliwayo. 2006. "Comparing the `Big Five': A Framework for the Sustain- "Towards the Development of Miombo Fruit Trees as able Management of Indigenous Fruit Trees in the Dry Commercial Tree Crops in Southern Africa." Forests, Lands of East and Central Africa." Ecological Indicators Trees, and Livelihoods 16 (1): 103­21. (doi:10.1016/j.ecolind.2006.11.009). Akinnifesi, F. K., R. R. B. Leakey, O. C. Ajayi, G. Sileshi, Z. Leakey, R. R. B., Z. Tchoundjeu, K. Schreckenberg, S. E. Tchoundjeu, P. Matakala, and F. R. Kwesiga, eds. 2007. Shackleton, and C. M. Shackleton. 2005. "Agroforestry Indigenous Fruit Trees in the Tropics: Domestication, Uti- Tree Products (AFTPs): Targeting Poverty Reduction and lization, and Commercialization. Wallingford, U.K.: CAB Enhanced Livelihoods." International Journal for Agricul- International. tural Sustainability 3 (1): 1­23. Bounkoungou, E. G., M. Djimde, E. T. Ayuk, I. Zoungrana, Tchoundjeu, Z., E. K. Asaah, P. Anegbeh, A. Degrande, P. and Z. Tchoundjeu. 1998. Taking Stock of Agroforestry in Mbile, C. Facheux, A. Tsoberg, A. A. R. Atangana, M. L. the Sahel: Harvesting Results for the Future, End of Phase Ngo-Mpeck, and A. J. Simons. 2006. "Putting Participa- Report: 1989­96, ICRAF, PO Box 30677, Nairobi, Kenya. tory Domestication into Practice in West and Central Africa." Forests, Trees, and Livelihoods 16 (1): 53­70. Clement, C. R., J. P. Cornelius, M. P. Pinedo-Panduro, and K. Yuyama. 2008. "Native Fruit Tree Improvement in Ama- Teklehaimanot, Z. 2007. "The Role Of Indigenous Fruit zonia: An Overview." In Indigenous Fruit Trees in the Trees in Sustainable Dryland Agriculture in Eastern Tropics: Domestication, Utilization, and Commercializa- Africa." In Indigenous Fruit Trees in the Tropics: Domesti- tion, ed. F. K. Akinnifesi, R. R. B. Leakey, O. C. Ajayi, G. cation, Utilization and Commercialization, eds. Festus K. Sileshi, Z. Tchoundjeu, P. Matakala, and F. R. Kwesiga, Akinnifesi, Roger R. B. Leakey, Oluyede C. Ajayi, Gudeta 100­19. Wallingford, U.K.: CAB International. Sileshi, Zac Tchoundjeu, Patrick Matakala, and Freddie R. Kwesiga, 204­23. Wallingford, U.K.: CAB Interna- Franzel, S., H. Jaenicke, and W. Janssen. 1996."Choosing the tional Publishing. Right Trees: Setting Priorities for Multipurpose Tree Improvement." Research Report 10, International Service for National Agricultural Research, The Hague, Nether- WEB RESOURCES lands. Franzel, S., F. K. Akinnifesi, and C. Ham. 2007. "Setting Pri- World Agroforestry Centre. Using science, the World Agro- orities among Indigenous Fruit Species: Examples from forestry Centre generates knowledge on the complex role Three Regions in Africa." In Indigenous Fruit Trees in the of trees in livelihoods and the environment, and fosters Tropics: Domestication, Utilization and Commercializa- use of this knowledge to improve decisions and practices tion, eds. F. K. Akinnifesi, R. R. B. Leakey, O. C. Ajayi, G. to impact the poor. The World Agroforestry Centre Web Sileshi, Z. Tchoundjeu, P. Matakala, and F. R. Kwesiga. site provides information on their news and events, recent publications, agroforestry information and other information resources: http://www.worldagroforestry .org/es/default.asp. 64 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS I N N O VAT I V E A C T I V I T Y P R O F I L E 3 . 3 Avoided Deforestation with Sustainable Benefits: Reducing Carbon Emissions from Deforestation and Land Degradation lthough the clean development mechanism A current system of carbon trading. Some key constraints that (CDM) of the Kyoto Protocol makes some need to be overcome relate to scale, scope, political commit- allowance for afforestation and reforestation, it ment, technical procedures, and data quality. Best practice is has so far excluded "avoided deforestation"--for good rea- emerging on the types of national and local mechanisms sons. However, the global climate change community that countries can apply with much lower transaction costs increasingly recognizes that it must address the challenge of than current CDM projects. Avoided deforestation with sus- reduction of emissions from deforestation and degradation tainable benefits can generate both local and global benefits. (REDD). Besides the obvious magnitude of the potential for Research by the Alternatives to Slash-and-Burn (ASB) Pro- REDD to reduce climate change, the current situation is cre- gramme and others shows that intermediate land uses can ating perverse incentives and disincentives affecting other store significant quantities of carbon, maintain flows of dimensions of climate change mitigation. The current Inter- ecosystem services, generate good economic returns, and governmental Panel on Climate Change (IPCC) good prac- reduce pressure on remaining forests. tice guidelines for national greenhouse gas (GHG) invento- ries provide a coherent framework for dealing with PROJECT OBJECTIVE AND DESCRIPTION aboveground as well as belowground carbon effects of agri- culture, forestry, and other land use (AFOLU). Climate change and its global effects can no longer be According to expert opinion in the IPCC community ignored. Although cutting emissions from fossil fuel con- that is responsible for the guidelines, however, the net emis- sumption obviously deserves continued attention by all lev- sion estimates from changes in land use and land cover may els of global society, the approximately 20 percent of emis- carry an unacceptably high uncertainty margin (as much as sions that are caused by loss of forests and peatlands cannot 60 percent). Data and methods available in national and remain outside the purview of climate change mechanisms. international research networks can be analyzed to improve Recognizing this, the Conference of the Parties to the United the accuracy of estimates, derive better estimates of the Nations Framework Convention on Climate Change invited uncertainty, and identify ways of reducing it. An effective a discussion "on issues relating to reducing emissions from mechanism for reducing carbon emissions through avoided deforestation in developing countries, focusing on relevant deforestation would have related but separate mechanisms scientific, technical, and methodological issues, and the at the international and national levels. Between countries, exchange of relevant information and experiences, includ- political negotiations should be convened to establish com- ing policy approaches and positive incentives" in its 11th mitments to baseline and target emission levels. Countries session on agenda item 6 (statement FCCC/CP/2005/L.2). that attain superior performance in avoided carbon emis- The World Agroforestry Centre (also known as the Inter- sions should be eligible for carbon offset payments or cred- national Centre for Research in Agroforestry, or ICRAF) its through multilateral or bilateral arrangements. prepared a submission for consideration in the discussion. The current debate over avoided deforestation offers a The submission is based on extensive research across the chance to correct some of the major inconsistencies in the humid tropics by a consortium of international and This profile was prepared by M. van Noordwijk, B. Swallow, L. Verchot, and J. Kasyoki, World Agroforestry Centre. 65 national organizations operating within the ASB Pro- diate targets for partial deforestation of a particular land- gramme,1 with key research results generated by Brazil, scape would be very complex. Cameroon, Indonesia, Peru, the Philippines, and Thailand. This profile summarizes the case for avoided deforestation Despite the difficulties, however, the global climate change with sustainable benefits as a simple way to reduce carbon community increasingly recognizes that it must address the emissions from deforestation and degradation. challenge of reducing emissions from deforestation and degradation. Besides the obvious magnitude of the potential for REDD to reduce climate change, the current situation is PRESENTATION OF INNOVATION: creating perverse incentives and disincentives affecting other THE ASB OPTION dimensions of climate change mitigation. For example, an Several years ago, the international science community annex I country that imports biofuels from non­annex I established that land-use change and the conversion and countries to meet its Kyoto targets is not accountable for for- degradation of forests generate about 20 percent of global est conversion that biofuel production might cause. Further- carbon dioxide emissions. Although the CDM of the Kyoto more, public and political willingness to contribute to the Protocol makes some allowance for afforestation and refor- control of GHGs through relatively small reductions else- estation, it has so far excluded avoided deforestation. Good where will erode if large and avoidable emissions are not reasons exist for this omission: scrutinized. Nonparticipation by Australia and the United States creates similar problems for the Kyoto Protocol. The definition of what is and is not a forest is ambiguous. The current IPCC good practice guidelines for national The CDM has taken a project approach. Reforestation GHG inventories provide a coherent framework for dealing deals with enhancing tree cover on degraded lands, with aboveground as well as belowground carbon effects of where monitoring carbon stocks and attributing changes AFOLU. The IPCC framework could become the primary to project activities are easier. framework for reporting and accountability in non­annex I The CDM pays great attention to leakage (making sure countries, aligned with the rules that currently apply to that gains in one place do not cause losses in another annex I countries. place) and additionality (ensuring that carbon gained or As mentioned previously, expert opinion in the IPCC conserved, relative to baselines, would not have occurred community that is responsible for the guidelines holds that without the project). Those issues cannot be reasonably the net emission estimates from changes in land use and addressed in avoided deforestation projects with limited land cover may carry an uncertainty margin of as much as geographic scope. 60 percent. In time, the use of the IPCC guidelines over The complexity of rules for applying the CDM to multiple measurement periods will reduce this margin as afforestation and reforestation has meant that many of annual updates provide better information on which to base the potential benefits have been offset by the costs of future estimates, but the current uncertainty margin is consultants, research organizations, and government clearly unacceptably high. The opportunity to participate in agencies. Little carbon value has reached local beneficiar- a market for reduced AFOLU carbon emissions would gen- ies. In the more difficult case of avoided deforestation, erate clear incentives to improve the accuracy of the the benefits are even more uncertain. accounts. The national guidelines for GHG inventories (IPCC Data and methods available in national and international 2006) indicate that net emission estimates from changes research networks can be analyzed to improve the accuracy in land use and land cover may carry an uncertainty of estimates, derive better estimates of the uncertainty, and margin of as much as 60 percent. This margin makes identify ways to reduce it. The two components of uncer- reaching a valid estimate of the contribution of land-use tainty are interlinked: the classification of land cover and changes to global carbon dioxide difficult and is the land-cover change is unsatisfactory, and there is too much largest uncertainty in quantification of GHG inventories. uncertainty regarding the mean carbon stocks per unit area Much deforestation is actually planned by land managers in each land-cover class. Clearly, the binary classification and governments because it leads to land uses with (for example, with just "forest" and "nonforest" as classes) is higher economic returns. Completely avoiding defor- insufficient. Analysis so far suggests that a classification that estation would require offset payments that are not fea- results in 5 to 10 land-cover classes may lead to the lowest sible under present circumstances. Negotiating interme- overall uncertainty. Further data compilation and analysis 66 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS are needed. This work has already started. The IPCC sup- restriction to any specific concept of forest and without loss port office is providing support to full-system carbon of national sovereignty over mechanisms. That accounting accounting. framework includes all changes in carbon stock, including An effective mechanism for reducing carbon emissions peatlands, trees outside forests, agroforestry lands, and flows through avoided deforestation would have related but sepa- of other GHGs. rate mechanisms at the international and national levels. A simple solution to the issue of avoided deforestation at Between countries, political negotiations should be con- the international level would be to allow developing coun- vened to establish commitments to baseline and target tries to be voluntarily listed in a new annex X. These coun- emission levels. Countries that attain superior performance tries would follow current rules for emissions related to land in avoided carbon emissions should be eligible for carbon use and land cover that exist between annex I countries, offset payments or credits through multilateral or bilateral while leaving the energy-related emissions for future con- arrangements. sideration. The CDM would still apply in the energy sector, Each non­annex I country that voluntarily participates but the issuance of carbon credits and associated markets in the new REDD rules should have scope for flexible rules would follow established procedures for annex I countries. to create positive incentives for rural and forest-dependent No new procedures would be needed, and transaction costs people to benefit from more sustainable and clean develop- could be much reduced. ment pathways. Such incentives would ensure the sustain- Once the playing field is selected and the rules are set (for ability of the carbon stocks and reserve more of the coun- example, AFOLU accounting at the national level), the real try's natural capital for the future. A number of countries game can begin: determining the baseline of expected emis- have gained experience with such mechanisms already, and sions that will be used for deciding what will constitute pilots exist elsewhere. Individual countries involved in the reduction. In some ways, this process is akin to a market international mechanism should have the flexibility to meet where national self-interests need to balance across a range avoided carbon emission targets through national mecha- of current issues, including world trade in agricultural and nisms appropriate to their own conditions, following prin- forest-derived commodities. ciples already established among annex I countries. National and subnational governments would need to know how much avoided emissions they could provide and at what cost. Summary data of this type would require BENEFITS AND EFFECT OF ACTIVITY appraisal of scenarios for integrating economic develop- The current debate over avoided deforestation offers a ment and land-cover change. Currently, such estimates are chance to correct some of the major inconsistencies in the not available, although some promising advances have been current system of carbon trading. Some key constraints that made in the countries of Meso-America. need to be overcome relate to scale, scope, political commit- In an earlier phase of the discussions on CDMs, an ment, technical procedures, and data quality. Best practice is inventory was made of abatement costs, largely in the emerging on the types of national and local mechanisms energy sector. These results indicated that a fraction of hot- that countries can apply with much lower transaction costs air emissions existed that could be avoided at negative total than current CDM projects. Avoided deforestation with sus- economic costs because they generate net economic costs at tainable benefits can generate both local and global benefits. the societal level. A range of emissions is also associated Research by the ASB Programme and others shows that with moderate economic gain that could be offset at feasible intermediate land uses can store significant quantities of levels of financial transfer. A range of emissions associated carbon, maintain flows of ecosystem services, generate good with substantial economic gains that could not be offset economic returns, and reduce pressure on remaining under current carbon prices is also likely to exist. Figure 3.6 forests. presents a schematic view of these different types of avoided emissions, plotted in terms of economic benefits from car- bon emission against the value of carbon. In addition, dis- LESSONS LEARNED AND ISSUES FOR WIDER played across the top of figure 3.6 are some of the policy APPLICATION options that countries might promote to achieve different Lessons can be learned from the rules of the Kyoto Protocol levels and types of emissions. that already apply between annex I countries, where all For the avoided deforestation debate in tropical coun- land-use and land-cover changes are accounted for, without tries, to our knowledge no estimates are available for the INNOVATIVE ACTIVITY PROFILE 3.3:AVOIDED DEFORESTATION WITH SUSTAINABLE BENEFITS 67 Figure 3.6 Schematic Trade-off between Reduced GHG Emissions through Avoided Deforestation and National Economic Development Opportunities reduce address land- enforce promote prevent conversion wildfires tenure conflicts protected sustainable to oil palm and pulp wood areas forest plantations management break-even price required for the deforestation avoided economic benefits carbon of ton metric per 0 US$ amount of emissions reductions through avoided deforestation for the given price hot-air deforestation that can be avoided at a net gain to the country cumulative net carbon emissions Source: ICRAF. cumulative abatement costs (see figure 3.6). As an extension NOTE of the ideas presented in this profile, the ASB consortium 1. The ASB Programme comprises a well-established global for Indonesia is currently undertaking such an analysis for alliance of more than 80 local, national, and international part- representative areas of Indonesia for the period since 1990. ners dedicated to action-oriented integrated natural resource Best practice is emerging on the types of national and management (INRM) research in the tropical forest margins.It local mechanisms that countries can apply to reduce carbon is the only global partnership devoted entirely to research on emissions from avoided deforestation, potentially with the tropical forest margins.ASB's goal is to raise the productiv- much lower transaction costs than current CDM projects. ity and income of rural households in the humid tropics with- Incentive and rights-based mechanisms can be put in place out increasing deforestation or undermining essential environ- to reduce carbon emissions from avoided deforestation mental services. The program applies an INRM approach to while sustaining the asset base, rights, and well-being of analysis and action through long-term engagement with local communities and policy makers at various levels. people dependent on those resources. Countries such as Costa Rica and Mexico already have substantial experience in implementing such mechanisms at the national and sub- REFERENCE national scale. Large-scale afforestation programs, such as IPCC (Intergovernmental Panel on Climate Change those currently implemented in China, India, and Indone- (IPCC). 2006. 2006 IPCC Guidelines for National Green- sia, could be revised to better address avoided carbon emis- house Gas Inventories: Volume 4 Agriculture, Forestry and sions. Forest, landscape, and watershed management proj- Other Land Use. http://www.ipcc-nggip.iges.or.jp/public/ ects can be revised to provide greater incentives to avoid 2006gl/vol4.htm. carbon emissions through avoided deforestation. Case study evidence from across Asia and a pan-tropical synthesis show SELECTED READINGS that realism, conditionality, voluntarism, and pro-poor are important criteria for evaluating the performance of incen- ADB (Asian Development Bank). 1999. Asia Least-Cost tive and rights-based mechanisms. Greenhouse Gas Abatement Strategy Summary Report. 68 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS Manila: ADB. http://www.adb.org/Documents/Reports/ and other local, national, and international organiza- ALGAS/Summary/default.asp. tions. Since 1994, ASB has operated as a system-wide Evans, K., S. J. Velarde, R. Prieto, S. N. Rao, S. Sertzen, K. program of the Consultative Group for International Davila, P. Cronkleton, and W. de Jong. 2006. Field Guide Research in Agriculture (CGIAR). The ASB Program to the Future: Four Ways for Communities to Think Ahead. Web site contains information on its impact, regions, Nairobi: Center for International Forestry Research. themes, publications, and other resources: http://www Hairiah K., S. M. Sitompul, M. van Noordwijk, and C. A. .asb.cgiar.org/. Palm. 2001."Methods for Sampling Carbon Stocks above CarboFor. The CarboFor website is developed under the and below Ground." ASB Lecture Note 4B, International main webpage of the Center for International Forestry Centre for Research in Agroforestry, Bogor, Indonesia. Research (CIFOR) to serve the communities working on http://www.worldagroforestry.org/sea/Publications/sear land-use, land-use change and forestry (LULUCF) activ- chpub.asp?publishid=1003. ities and the associated climate change. The website fea- Kandji, S. T, L. V. Verchot, J. Mackensen, A. Boye, M. van tures Projects carried out by CIFOR and its partners; Noordwijk, T. P. Tomich, C. K. Ong, A. Albrecht, and C. publications of carbon and climate change-related issues A. Palm. 2006. "Opportunities for Linking Climate around the LULUCF sector; research activities directed Change Adaptation and Mitigation through Agroforestry for forest management purpose, as well as highlights of Systems." In World Agroforestry into the Future, ed. D. P. current issues, detailed Events and Links to useful sites: Garrity, A. Okono, M. Grayson, and S. Parrott, 113­21. http://www.cifor.cgiar.org/carbofor . Nairobi, Kenya: World Agroforestry Centre. CPWF. The Consultative Group on International Agricul- http://www.worldagroforestry.org/sea/Publications/sear tural Research (CGIAR) Challenge Program on Water chpub.asp?publishid=1481. and Food (CPWF) is an international, multi-institutional Murdiyarso, D., and H. Herawati, eds. 2005. Carbon Forestry: research initiative with a strong emphasis on north-south Who Will Benefit? Proceedings of a Workshop on Carbon and south-south partnerships. It aims to increase the pro- Sequestration and Sustainable Livelihoods. Bogor, Indone- ductivity of water used for agriculture, leaving more sia: Center for International Forestry Research. water for other users and the environment. The CGIAR Challenge Program on Water and Food features Murdiyarso, D., A. Puntodewo, A. Widayati, and M. van Announcements, Capacity Building Activities, Research, Noordwijk. 2006. "Determination of Eligible Lands for and Publications: http://www.waterandfood.org/. A/R CDM Project Activities and of Priority Districts for Project Development Support in Indonesia." Center for Food and Agriculture Organization. The Food and Agricul- International Forestry Research, Bogor, Indonesia. ture Organization (FAO) of the United Nations serves as a neutral forum where all nations meet as equals to nego- Murdiyarso, D., and M. Skutsch, eds. 2006. Community For- tiate agreements and debate policy on efforts to defeat est Management as a Carbon Mitigation Option: Case hunger. The FAO webpage on the Quesungual agro- Studies. Bogor, Indonesia: Center for International forestry farming system describes the Lempira Sur proj- Forestry Research. ect, where farmers learn new cultivation methods to pre- Palm, C. A, M. van Noordwijk, P. L. Woomer, L. Arevalo, C. vent soil erosion: http://www.fao.org/FOCUS/E/hon Castilla, D. G. Cordeiro, K. Hairiah, J. Kotto-Same, A. duras /agro-e.htm. Moukam, W. J. Parton, A. Riese, V. Rodrigues, and S. M. IPCC-NGGIP Technical Support Unit. The Technical Sup- Sitompul. 2005. "Carbon Losses and Sequestration Fol- port Unit for the Intergovernmental Panel on Climate lowing Land Use Change in the Humid Tropics." In Slash Change­National Greenhouse Gas Inventories Pro- and Burn: The Search for Alternatives, ed. C. P. Vosti, S. A. gramme (IPCC-NGGIP) is based at the Institute for Sanchez, P. J. Ericksen, and A. Juo, 41­63. New York: Global Environmental Strategies in Japan and is funded Columbia University Press. http://www.worldagro- by the government of Japan. The IPCC-NGGIP Techni- forestry.org/sea/Publications/searchpub.asp?pub- cal Support Unit's Web site includes information on its lishid=1306. internship program, a list of staff members, contact information, and a link to the IPCC home page. http://www.ipcc-nggip.iges.or.jp/tsu/tsustaff.htm. WEB RESOURCES Rewarding Upland Poor for Environmental Services. Reward- ASB Partnership for the Tropical Forest Margins. ASB is the ing Upland Poor for Environmental Services (RUPES) is only global partnership devoted entirely to research on a program that aims to enhance the livelihoods and the tropical forest margins. It is a global partnership of reduce poverty of the upland poor while supporting envi- research institutes, non-governmental organizations, ronmental conservation on biodiversity protection, universities, community organizations, farmers' groups, watershed management, carbon sequestration, and land- INNOVATIVE ACTIVITY PROFILE 3.3:AVOIDED DEFORESTATION WITH SUSTAINABLE BENEFITS 69 scape beauty at local and global levels. With the Interna- World Agroforestry Centre. Using science, the World Agro- tional Fund for Agricultural Development as a major forestry Centre generates knowledge on the complex role donor, the World Agroforestry Centre has taken on the of trees in livelihoods and the environment, and fosters role of coordinating a consortium of partners interested use of this knowledge to improve decisions and practices in contributing and being a part of RUPES. The RUPES to impact the poor. The World Agroforestry Centre Web Web site offers information on RUPES sites, partnerships, site provides information on their news and events, recent and activities. http://www.worldagroforestry.org/sea/Net publications, agroforestry information and other infor- works/RUPES/. mation resources: http://www.worldagroforestry.org/ es/default.asp. 70 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS I N N O VAT I V E A C T I V I T Y P R O F I L E 3 . 4 On-Farm Integration of Freshwater Agriculture and Aquaculture in the Mekong Delta of Vietnam: The Role of the Pond and Its Effect on Livelihoods of Resource-Poor Farmers W here there are abundant freshwater resources, commercially valuable crops, which create new off-farm valuable opportunities exist to integrate ter- jobs and will particularly benefit poor households. restrial and aquatic crops. This fact is illus- trated by examples from the Mekong Delta, where high- INTRODUCTION yielding rice was the priority crop but large areas of rice fields and fruit orchard ponds were underused. The devel- In areas with abundant freshwater resources, numerous opment of integrated agriculture-aquaculture (IAA) sys- options exist to integrate terrestrial and aquatic crops. Agri- tems enhances on-farm nutrient recycling and increases the cultural restructuring and diversification have been consid- total farm output. IAA systems are much less capital inten- ered important for rural economic development and sive and risky than conventional aquaculture methods and poverty reduction. Before 1999, high-yielding rice culture thus are attractive to both rich and poor farmers. was the first priority for food security and export. Thus, a The adoption of IAA farming was influenced by a com- vast area of rice fields and fruit orchard ponds remained bination of biophysical, socioeconomic, and technological underused from an aquaculture point of view. In 1999, the settings at community, household, and farm levels. First, at Vietnamese government launched the Sustainable Aquacul- community level, agro-ecology and market accessibility are ture for Poverty Alleviation strategy and implementation major driving factors. Better-off farmers, with good access program as part of a wider poverty-reduction program to markets, still tend to favor higher profitability, high- (Luu 2002). The goal was to culture fish, prawn, or shrimp input aquaculture systems. However, IAA farming formed together with land-based crops and livestock on the same an important innovation, especially in areas with poorer farm, a technique referred to as integrated agriculture- market access and places where farmers faced significant aquaculture systems (Nhan and others 2007). land, capital, or labor constraints. From 1999 to 2005, the freshwater aquaculture farming The main use of the pond is to recycle on-farm nutrients area increased steadily--on average 12 percent annually. while growing fish for home consumption or income gen- Aquaculture production grew even faster, by 42 percent per eration. The results from testing the system with a range of year, especially between 2002 and 2005 (figure 3.7). This farmers in the Mekong Delta show clearly that the conven- expansion was in part the result of the development of inten- tional, linear approach of technology transfer needs to be sive Pangasius culture, characterized by the use of manufac- replaced by the participatory learning in action approach, tured feeds, by high investments, and by economic risks, which enables the concept to be tailored to the different making it the domain of rich farmers (Hao 2006; Nhan and needs and circumstances of various producers. In addition, others 2007). IAA farming, in contrast, enhances or facilitates systems of IAA farming need to take into account integra- on-farm nutrient recycling and increases the total farm out- tion with external inputs and diversification toward more put, for rich and poor farmers (Edwards 1998; Prein 2002). This profile was prepared by D. K. Nhan, D. N. Thanh, and Le T. Duong, Mekong Delta Development Research Institute, Can Tho University, Can Tho Vietnam, and M. J. C. Verdegem and R. H. Bosma, Aquaculture and Fisheries Group, Department of Animal Sciences, Wageningen University, Wageningen, Netherlands. 71 Figure 3.7 Area and Production Increases in Freshwater Aquaculture in Vietnam, 1999­2005 50 500 40 400 tons) 3 30 300 hectares) (10 3 (10 20 200 area production 10 100 0 0 1999 2000 2001 2002 2003 2004 2005 year area production Source: Authors' elaboration. Two projects, intended to stimulate the development of 3. Analysis of interactions among household's conditions sustainable agriculture and to improve small-scale farmers' and IAA farming performance livelihoods in the Mekong Delta, were carried out between 4. On-farm monitoring of pond nutrient flows 2002 and 2006: 5. On-farm technology interventions 6. Evaluation, sharing, and dissemination of research 1. Improved resource-use efficiency in Asian integrated results and proposal of further improvements. pond-dike systems (Pond-Live), funded by the European Commission Phases 1, 2, and 3 were carried out in the first year of the 2. Impact assessment of policy reforms to agricultural project. From the second year onward, phases 4, 5, and 6 development funded by the Vietnamese Ministry of were implemented, and the process was repeated to create a Agriculture and Rural Development. cycle of continuous development of adaptive technologies of higher productivity and better nutrient use. Using experience from these two projects, this profile A companion study was carried out at eight different sites explores the major factors influencing the adoption of vari- and was aimed to identify effects of policy reforms on changes ous types of aquaculture, describes the resource flows, and in agricultural production and household's livelihoods. The reviews roles of ponds in farming systems in the Mekong study sites were located in four districts: Cao Lanh and Lai Delta. Then, it assesses implications for sustainable land Vung,in Dong Thap province,and Chau Thanh and Cho Gao, management, describes lessons learned for practical appli- in Tien Giang province. cation, and makes policy recommendations. PRESENTATION OF INNOVATION: PROJECT DESCRIPTION ADOPTION OF AQUACULTURE PRACTICES The Pond-Live project was implemented at three different In the Mekong Delta, very few poor farmers adopt aquacul- sites in the Mekong Delta, with the goal of improving ture. Results from the Pond-Live project showed that only resource-use efficiency of freshwater IAA systems (Nhan 6 percent of poor farmers practiced aquaculture compared and others 2007). A participatory learning-in-action with 42 percent and 60 percent for intermediate and rich approach was applied, passing through six phases (Little, farmers, respectively (Nhan and others 2007). Richer farm- Verdegem, and Bosma 2007): ers tended to intensify the fish production, stocking high- value species such as catfish (Pangasianodon hypophthalmus) 1. Expert consultation and literature reviews or climbing perch (Anabas testudineus) and using commer- 2. Formulation of problems and identification of key cial feed. Between 2000 and 2004, the percentage of poor research and development issues households practicing aquaculture increased only 2 percent, 72 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS while 12 percent and 15 percent more households of inter- Finally, factors at community and household levels, pond mediate and rich farmers, respectively, took up aquaculture physical properties (such as pond width and depth), and the (table 3.6). availability of nutrient sources (on farm or off farm) as The contribution of farming activities to household pond inputs, together determine to a large extent the type of income was lower for the poor than for the intermediate and farming systems adopted. Three major types of IAA systems the rich. Off-farming or nonfarming jobs are relatively more could be distinguished: (a) low-input fish farming, (b) important for poor people, who generally considered crop medium-input fish farming, and (c) high-input fish farm- production as their most important economic activity and ing (Nhan and others 2006, 2007). The low-input farming aquaculture as least important. From 2000 to 2004, the con- system is commonly practiced in fruit-dominated areas, the tribution of aquaculture to household income increased, but medium-input system in rice-dominated areas, and the this effect only occurred among the intermediate and the rich high-input system in rice-dominated areas with good mar- groups. ket accessibility. In the Mekong Delta, the adoption of IAA farming was influenced by a combination of biophysical, socioeconomic, ON-FARM RESOURCE FLOWS AND and technological settings at community, household, and THE ROLE OF THE POND farm levels. First, at community level, agro-ecology and market accessibility are major driving factors. In rice- In the Mekong Delta rural areas, most of households have a dominated areas, more farmers practiced IAA farming than pond near the homestead. In the past, the main purpose of in fruit-dominated areas. Rich farmers with good market digging ponds was to raise the level of low-lying grounds for accessibility tended to practice commercially oriented aqua- house construction or for orchards. Fish farming was not culture systems relying heavily on external inputs. Second, considered a high priority because wild fish were abundant the household's wealth status and resource base determine in rice fields, floodplains, canals, and rivers. Currently, farm whether the pond culture is adopted or rejected. Nhan and households not practicing IAA farming do not stock hatch- others (2007) identified the major reasons farmers adopt ery juveniles in their pond, which is used for wild fish cap- aquaculture: (a) increased use of on-farm resources, given ture instead. positive contributions of government advocacy, suitability The pond within IAA systems plays multiple roles, which of soil and water, recycling of nutrients, pest control in rice differ from one system to another. Currently, the main use of fields, and creation of jobs for family members; (b) income the pond is to recycle on-farm nutrients while growing fish generation through aquaculture; (c) environmental for home consumption or income generation (Nhan and improvements; and (d) improved nutrition of household. others 2007). In low- and medium-input fish-farming sys- Major factors why farmers did not take up pond farming tems, on-farm nutrients are the main input source of the included (a) insufficient capital to introduce technologies; pond (figure 3.8). Livestock and rice-field components that (b) insufficient landholding; (c) difficult farm management receive nutrients or energy mostly from off-farm sources pro- (for example, family labor, distance between homestead and vide important amounts of nutrient-rich wastes and byprod- farmland, and poor access to extension service); (d) pesti- ucts (Nhan and others 2006). Byproducts collected from rice cide use for crop production conflicting with aquaculture fields include not only rice residues but also crabs and golden activities; and (e) poor soil and water quality. snails. About 11 percent of the nitrogen in these wastes or byproducts is thrown into ponds and harvested as fish, while 67 percent accumulates in the sediments and 22 percent is Table 3.6 Percentage of Farm Households lost through water exchange. Annually, farmers typically Practicing Freshwater Aquaculture in extract water from the pond to irrigate fruit crops cultivated 2000 and 2004 by Wealth Groups on dikes during the dry season and remove pond sediments Wealth Number of 2000 2004 Difference to fill up orchard dikes adjacent to the pond. In this way, the groups households (%) (%) (%) nutrient-rich mud and water can be considered fertilizers for Poor 276 4.3 6.2 1.8 terrestrial crops within the system. Integrating aquaculture Intermediate 303 44.6 56.1 11.6 into existing land-based farming systems yields various ben- Rich 292 48.3 63.4 15.1 efits to farmers: (a) higher fish production, (b) low external Source: IPAD project (unpublished data). nutrient inputs, (c) treatment of wastes and byproducts from Note: Percentages are always given as a fraction of the number of households. terrestrial crops, and (d) storage of nutrients in pond sedi- INNOVATIVE ACTIVITY PROFILE 3.4: ON-FARM INTEGRATION OF FRESHWATER AGRICULTURE AND AQUACULTURE 73 Figure 3.8 Bioresource Flows of an IAA Pond with amounts of nutrients accumulate within the system or Medium-Input Fish Farming in the Mekong flow into the environment. Delta IAA farming systems produce low-cost fish not only for the IAA household but also for poor consumers. In the Mekong Delta, fish contribute about 76 percent of the wastes (8) average supply of animal protein (Haylor and Halwart wastes (53) 2001; van Anrooy 2003), but wild fish resources have declined because of rice intensification and overfishing. residues (2) byproducts (28)rice field feeds (9) homestead and orchards LESSONS LEARNED AND ISSUES FOR WIDER mud and water (68) APPLICABILITY water (11) pond effluents (22) The following lessons were learned from applying a partici- pond patory learning-in-action approach to develop IAA farming: Source: Adapted from Nhan and others 2007. Note: The numbers in parentheses are the average percentage of total food IAA systems are diverse. Identification of biophysical, nitrogen inputs of the pond. Dotted lines refer to farm boundary. socioeconomic, and technical factors interacting at dif- ferent levels (for example, community, household, and ments for later use as fertilizer. In contrast to intensive fish pond; phases 1 to 3) is of great importance for finding farming, these benefits are within reach of poor farmers. meaningful interventions at site or household levels. A farm bioresource flow diagram is an important tool. At phases 2 and 3, farmers usually have a wide range of BENEFITS OF IAA AND ITS IMPLICATIONS options, paying much attention to a particular compo- FOR SUSTAINABLE LAND MANAGEMENT nent rather than the whole system. The diagram helps IAA farming can positively affect sustainable land manage- farmers fully identify their resources and recognize vari- ment. These effects include the following: ous options to improve their farming system. A key factor to success of the participatory learning-in- Integrating aquaculture into existing land-based farming action approach is the participation of all stakeholders, systems enhances the use of farm resources by creating particularly local farmers and extension workers. Never- new nutrient cycles between farming components and by theless, the stakeholders need to understand the whole improving overall food productivity and farming prof- process of a project, as well as goals and outcomes of itability. each phase within the process. During field visits, A diversified IAA farming system with more synergisms researchers and extension workers need to help cooper- between farm components means a more economically ating farmers gradually upgrade their capacity in tech- stable farming system. For example, recently in the nology development by implementing phenomenon Mekong Delta, livestock production has not been stable observation and explanation, collecting simple data, because of disease outbreaks and fluctuations of input explaining on-farm trial results, identifying problems, and output market prices. Thus, fish produced within an and suggesting possible solutions. IAA system can compensate for possible losses of live- Improved technologies are context specific. Field visits stock production. and discussions among cooperating farmer, local farm- IAA farming rehabilitates farm soil. Intensive fruit and ers, extension workers, and researchers are necessary so rice production depends highly on heavy use of inor- that improved technologies in one place can be taken up ganic fertilizers. Introducing fish into orchard ponds or adaptively in another. rice fields enhances farm organic matter recycling and Unlike on-station experiments, on-farm trials lack real maintains the high fertility of orchard dikes and rice- replications, and data variations between farms are large. field soil. Reducing the number of parameters sampled and Improved nutrient recycling between farming compo- increasing the number of farms would be advisable. Mul- nents in IAA systems results in a higher fraction of nutri- tivariate data analysis is an important tool in analyzing ent inputs ending up in farming products while smaller data and interpreting results (Nhan and others 2006). 74 CHAPTER 3: RAINFED FARMING AND LAND MANAGEMENT SYSTEMS IN HUMID AREAS INVESTMENT NEEDS AND PRIORITIES Hao, N. V. 2006. "Status of Catfish Farming in the Delta." Catch and Culture 12 (1): 13­14. The government advocated developing IAA farming as a Haylor, G., and M. Halwart. 2001. "Aquatic Resources Man- way of reducing poverty. Unfortunately, most poor farmers agement for Sustainable Livelihoods of Poor People." In could not respond. The government and extension agencies Using Different Aquatic Resources for Livelihoods in Asia: need to define and implement appropriate solutions. Some A Resource Book, ed. G. Haylor, 11­16. Bangkok: Network of these may include the following: of Aquaculture Centres in Asia-Pacific. Little, D. C., M. Karim, D. Turongruang, E. J. Morales, F. J. The conventional, linear approach that focuses mainly Murray, B. K. Barman, M. M. Haque, N. Ben Belton, G. on technology transfer needs to be replaced by the par- Faruque, E. M. Azim, F. U. Islam, L. Pollock, M. J. ticipatory learning-in-action approach, giving attention Verdegem, W. Leschen, and M. A. Wahab. 2007. "Liveli- to integrated resources management rather than a single hood Impacts of Ponds in Asia: Opportunities and Con- component. straints." In Fish Ponds in Farming Systems, ed. A. J. van A package of immediate and long-term support actions der Zijpp, J. A. J. Verreth, L. Q. Tri, M. E. F. van with different choices of appropriate technologies should Mensvoort, R. H. Bosma, and M. C. M. Beveridge, be provided to pull poor farmers into IAA farming. Time 177­202. Wageningen, Netherlands: Academic. must be taken to categorize local biophysical and socio- Little, D. C., M.Verdegem, and R. Bosma. 2007."Approaches economic contexts to provide tailor-made support to Understanding Pond-Dike Systems in Asia: The actions. Farmers often take up new or improved tech- POND-LIVE Project Approach." STREAM 6 (1): 4­5. nologies when they constitute slight improvements to Luu, L. T. 2002."Sustainable Aquaculture for Poverty Allevi- traditional farming practices. After a small improvement ation (SAPA): A New Rural Development Strategy for Viet Nam--Part II: Implementation of the SAPA Strat- has been proven, others will follow more easily. egy." FAO Aquaculture Newsletter 28: 1­4. Because of the complexity of integrated farming, farm Nhan, D. K., A. Milstein, M. C. J. Verdegem, and J. A. V. Ver- management skills need to be improved. reth. 2006. "Food Inputs, Water Quality, and Nutrient Accumulation in Integrated Pond Systems: A Multivari- Extension of IAA farming in the Mekong Delta originally ate Approach." Aquaculture 261 (1): 160­73. focused on on-farm integration only. Such an approach will Nhan, D. K., L. T. Phong, M. J. C. Verdegem, L. T. Duong, R. hardly produce optimal fish yield considering the large vari- H. Bosma, and D. C. Little. 2007. "Integrated Freshwater ation in the types, quantity, and quality of on-farm wastes Aquaculture, Crop, and Animal Production in the or by-products available. A one-solution-fits-all approach is Mekong Delta, Vietnam: Determinants and the Role of not feasible. the Pond." Agricultural Systems 94 (2): 445­58. Integration requires that external contexts be considered. Prein, M. 2002."Integration of Aquaculture into Crops-Ani- Therefore, propagation of IAA farming should take into mal Systems in Asia." Agricultural Systems 71 (1­2): account integration with external inputs and diversification 127­46. toward more commercially valuable crops. Such an van Anrooy, R. 2003. "Fish Marketing and Consumption in approach would create new off-farm jobs and raise the Vietnam: What about Aquaculture Products?" FAO demand for expert advice. The latter concurs with the cre- Aquaculture Newsletter 29: 16­19. ation of new jobs directly and will in the long run benefit more poor households than immediate or well-off house- holds (Edwards 1998; Little and others 2007). SELECTED READING General Statistics Office. 2006. Statistical Yearbook. Hanoi, Vietnam: Statistical Publishing House. REFERENCES Edwards, P. 1998."A Systems Approach for the Promotion of Integrated Aquaculture." Aquaculture Economics and Management 2 (1): 1­12. INNOVATIVE ACTIVITY PROFILE 3.4: ON-FARM INTEGRATION OF FRESHWATER AGRICULTURE AND AQUACULTURE 75 C H A P T E R 4 Rainfed Farming Systems in Highlands and Sloping Areas OVERVIEW and South Asia, uplands are home to large groups of indige- nous people. Poverty is usually high. Farming systems in highlands and sloping areas are esti- With intense population pressure on the resource base, mated to provide for an agricultural population of 520 mil- farm sizes are usually small. Declining soil fertility is a big lion people, who cultivate 150 million hectares of land, of problem because of erosion, biomass shortage, and shortage which 20 percent is irrigated. There is intense population of inputs. Given the lack of road access and other infra- pressure on the resource base, which averages 3.5 people per structure, the level of integration with the market is often cultivated hectare. low. Few off-farm opportunities can be found in the high- In most cases, the farms are diversified mixed crop- lands, and seasonal migration is often necessary to find livestock systems, producing food crops (such as cassava, additional income. sweet potatoes, beans, and cereals) and perennial crops (such as bananas, coffee, and fruit trees). Crop productivity is reduced through the high altitudes, lower temperatures, POTENTIALS FOR POVERTY REDUCTION and shorter cropping seasons compared with the lowlands. AND AGRICULTURAL GROWTH Steep slopes and thin soil horizons that are prone to erosion characterize these systems. Livestock can be an important The driving forces for poverty reduction are emigration (exit system component that depends on the extensive upland from agriculture) and increases in off-farm income. Diversi- grazing areas. Sales of cattle or small ruminants are often the fication, especially to high-value products with relatively low main source of cash income. Many highland areas are home transport and marketing costs, can also contribute signifi- to the last remaining primary forests. Extensive forested cantly to poverty reduction. Such products can include crops areas are sometimes used for grazing and constitute agricul- such as fruit trees, coffee, and tea or, in more temperate areas, tural land reserves that can be put into production through olives and grapes, among others. Livestock production also slash-and-burn techniques. In the Andes, Southeast Asia, has a potential for further development. 77 I N V E S T M E N T N OT E 4 . 1 No-Burn Agricultural Zones on Honduran Hillsides: Better Harvests, Air Quality, and Water Availability by Way of Improved Land Management H illsides are an important agro-ecosystem in the methane with low emission levels of nitrous oxide. These tropics and subtropics. Traditional slash-and- results help mitigate climate change. burn practices, widely used in the hillside areas of Central America, have been a driving force in agricultural KEY SUSTAINABLE LAND MANAGEMENT expansion and landscape degradation. Farmers in a village ISSUES called Quesungual, Honduras, developed a slash-and- mulch system and eliminated the burning. This was the ori- Hillsides are an important agro-ecosystem in the tropics gin of the Quesungual Slash-and-Mulch Agroforestry Sys- and subtropics. More than 11 percent of the agricultural tem (QSMAS). With support from the Honduran lands in these areas are classified as hillsides (4.1 million government and the Food and Agriculture Organization square kilometers). Tropical hillsides in Africa, Asia, and (FAO) of the United Nations, a process to validate the sys- Latin America are home to about 500 million people, tem that involved the active participation of farmers was 40 percent of whom live below the poverty line. initiated. Farmers practicing QSMAS can produce sufficient In southwest Honduras, most farms are small (80 per- maize and beans to meet their household needs and sell the cent are fewer than 5 hectares) and are located on steep hill- excess in local markets. In addition, innovative farmers are sides (a 5 to 50 percent slope). QSMAS is an indigenous intensifying and diversifying this system by using vegetables land management practice based on planting annual crops and market-oriented cash crops, as well as raising livestock. with naturally regenerated trees and shrubs. QSMAS QSMAS demonstrated a high degree of resilience to enables farmers to achieve food security by simultaneously extreme weather events, such as the El Niño drought of improving harvests and soil fertility.1 This Investment Note 1997 and Hurricane Mitch in 1998. Permanent cover pro- explains how the International Center for Tropical Agricul- tects the soil from raindrop impact and crust formation, ture (Centro Internacional de Agricultura Tropical, or while minimizing surface evaporation. In addition, surface CIAT) and its partners combine scientific and local knowl- residues favor nutrient recycling, improve soil fertility, and edge to further improve the land management practice and could result in higher carbon storage in soils. foster its use. The success of QSMAS is a reflection of a community- Stagnated agricultural productivity coupled with rapid based learning process in which local people and extension population growth causes uncontrolled expansion of agri- service providers share ideas and learn together.At the land- culture and ranching into hillside forests. The resulting scape level, QSMAS has contributed to the conservation of environmental damage includes not only the loss of trees more than 40 native species of trees and shrubs. Newer but also water and soil losses from runoff and erosion. QSMAS farms (two to five years old) serve as sinks for Reversing land degradation while increasing food produc- tion is an essential strategy to improve both rural liveli- This note was prepared by L. A. Welchez, Consortium for Integrated Soil Management, Tegucigalpa, Honduras; M. Ayarza, Tropical Soil Biology and Fertility Institute of Centro Internacional de Agricultura Tropical, Tegucigalpa, Honduras; E. Amezquita, E. Barrious, M. Rondon, A. Castro, M. Rivera, and I. Rao, Centro Internacional de Agricultura Tropical, Cali, Colombia; J. Pavon, Instituto Nacional de Tecnologia Agropecuaria, Managua, Nicaragua; and O. Ferreira, D. Valladares, and N. Sanchez, Escuela Nacional de Ciencias Forestales, Siguatepeque, Honduras. 78 hoods and natural resource management in hillside regions QSMAS plots have three layers of vegetation: mulch, (Ayarza and Welchez 2004). crops, and dispersed shrubs and trees. The system starts with Traditional slash-and-burn practices have been a driv- the selection of a well-developed fallow (with numerous and ing force in agricultural expansion and landscape degrada- diverse trees and shrubs). Farmers selectively slash and prune tion. Such systems are widely used in the hillside areas of the fallows, remove firewood and trunks, and uniformly dis- Central America. A number of factors have led to this form tribute the biomass (leaves and fine shoots) as mulch. Then, of land use: pioneer crops such as sorghum (Sorghum vulgare) or com- mon beans (Phaseolus vulgaris), whose seedlings are capable Lack of opportunities for off-farm employment of emerging through the mulch, are sown by broadcast. Scarce resources to invest in intensifying production Maize (Zea mays) is not sown as a pioneer crop because (a) The quick economic benefits to farmers from the slash- the abundant mulch restricts the emergence of seedlings and and-burn system (b) late-season planting (August) does not provide adequate A scarcity of technical assistance and little adaptation of soil moisture for grain filling. appropriate technologies that promote soil cover and For about 10 years after the pioneer crop, the system eliminate the need for burning maintains agricultural production because of the regrowth Increased urbanization (rural areas are rarely a priority potential of trees in the system. QSMAS annually produces for central governments) maize intercropped with beans or sorghum. Management is Few national or local policies to encourage the use of zero tillage, with continuous slashing and pruning of trees environmentally friendly production practices. and shrubs for firewood to avoid excessive shading of the crops. Continuous mulching from leaf litter, slashing of trees, and applying crop residues are supplemented with BUILDING ON LESSONS LEARNED spot fertilization technologies and occasional use of pre- Although small farmers practice slash and burn extensively, emergence herbicides. a small group of farmers in a Honduran village called Que- The small farmer was not a major obstacle to larger-scale sungual came up with an important change: they planted implementation of QSMAS. Extensionists and their organi- crops under a slash-and-mulch system and eliminated the zations often maintained a monocrop production bias and burning. This was the origin of QSMAS. In the early 1990s, opposed the comprehensive approach of QSMAS. A lack of a development project of the Honduran government with training in demand-driven participatory extension domi- the support of FAO noted this anomaly and concentrated nated rural development projects, which focused efforts on efforts to improve and generalize this practice in the region. physical, supply-driven indicators. Although much was said The project initiated a process of validation with the active about collaboration between local and professional knowl- participation of farmers. Local organizations, farmer com- edge systems, the approach was rarely implemented munities, and small enterprises grew along with the process (Welchez and Cherrett 2002). of supporting the adoption of improved QSMAS practices. The success of QSMAS is a reflection of a community- Widespread adoption of QSMAS was supported by a local based learning process in which local people and extension government ban on burning. Before long, several villages of service providers share ideas and learn together. The strat- the region had almost completely forgone the use of fire. egy to promote adoption and integration consists of three Farmers practicing QSMAS could soon produce suffi- main components: (a) collective action, (b) technological cient maize and beans to meet their household needs and innovations, and (c) policies and negotiations. sell the excess in local markets. In addition, innovative farm- The project promoted collective action by strengthening ers are intensifying and diversifying the system by using veg- the capacity of households (both men and women), local etables and market-oriented cash crops, as well as raising groups, educational institutions, and development organi- livestock. QSMAS demonstrated a high degree of resilience zations to organize and identify leaders and negotiate their to extreme weather events, such as the El Niño drought of interests with government representatives, service 1997 and Hurricane Mitch in 1998. Permanent cover pro- providers, and policy makers. Several local development tects the soil from raindrop impact and crust formation, organizations learned to devise action plans to improve while minimizing surface evaporation. In addition, surface agricultural practices using QSMAS. residues favor nutrient recycling, improve soil fertility, and Training services strengthened entrepreneurial capacity could result in higher carbon storage in soils. of men and women to transform and add value to agricul- INVESTMENT NOTE 4.1: NO-BURN AGRICULTURAL ZONES ON HONDURAN HILLSIDES 79 tural products and sell them in the market. Technological Other products. QSMAS contributes to improved avail- innovation enhanced the capacity of farmers and household ability and quality of water, not only to local communi- heads to adapt the components of QSMAS to their produc- ties but also to users downstream. QSMAS farms are also tion systems and to develop appropriate innovations good sources of firewood for domestic consumption. according to their own land and labor constraints. The bargaining capacity of local communities to negoti- QSMAS generated benefits at the farm and landscape ate incentives and regulations supporting the adoption of levels: QSMAS was strengthened. Local government officials were informed of the negative effects of burning on crop produc- Farm level. QSMAS has proved to be productive and sus- tion and water availability. They enacted laws with severe tainable while providing an improved physical, chemical, penalties for people using fire in agricultural practices. and biological resilience to agricultural plots. According to Other laws were advanced with respect to common forest- farmers,the following are among the main biophysical ben- lands and water reservoirs. Significant improvements in efits of the system: (a) reduced soil erosion, (b) improved financial services and infrastructure were negotiated with soil water-holding capacity when rainfall is erratic (irregu- the Honduran government. lar or insufficient), (c) improved soil fertility from efficient recycling of nutrients through mulch, and (d) improved resilience of the system from natural disasters. OPPORTUNITIES FOR SUSTAINABLE Landscape level. The adoption of QSMAS by farmers has LAND MANAGEMENT contributed to improvements in environmental quality. Letting soils rest as fallow after a cropping cycle has been a The widespread use of QSMAS has decreased soil losses traditional management practice throughout the tropics to and has reduced the sediments in watercourses. QSMAS restore soil fertility. In southwest Honduras, successful has contributed to the conservation of more than restoration of soil fertility after cropping for 2 to 3 years usu- 40 native species of trees and shrubs. Newer QSMAS ally requires a 14- to 20-year fallow period. Use of QSMAS farms (two to five years old) serve as sinks for methane, can produce 10 years of crops with a fallow period of 5 to with low emission levels of nitrous oxide. These results 7 years. In QSMAS plots, a key factor that contributes to the help mitigate climate change. restoration of soil fertility is the coexistence of deciduous trees and shrubs. They serve as sources of mulch that protect RATIONALE FOR INVESTMENT the soil, retain water, and cycle nutrients during both pro- duction and fallow periods. An improved agricultural pro- QSMAS is a resource-efficient production system that ductive capacity together with provision of several environ- improves livelihoods while conserving the natural resource mental services (including reduced soil losses and improved base. There are four main reasons behind its successful water quality) can help convince farmers to move away from adoption by farmers: the traditional slash-and-burn system and toward QSMAS. Recent research has shown that using QSMAS generates 1. Reduced soil losses from erosion. A combined effect of per- both economic and environmental benefits, which should manent soil cover and presence of stones improves crop provide an incentive to national and local authorities to water productivity and water quality. encourage QSMAS. The socioeconomic and biophysical 2. Increased availability of soil nutrients. Trees and organic benefits of QSMAS are many: resources maintain or even increase nitrogen and phos- phorus, while enhancing soil biodiversity and biological Food security. Farmers achieve productivity increases of activity. traditional staple crops (such as maize, beans, and 3. Mitigation of climate change. The no-burn practices sorghum) and can diversify with other food crop options. reduce the negative effects on greenhouse gas emissions. Other benefits reported by QSMAS farmers are improved 4. Enhanced biodiversity. Conservation of trees and shrubs incomes, less labor invested in land preparation and weed favors local biodiversity.Cumulative benefits of widespread control, reduced production costs, and higher net profits. QSMAS practices improve biodiversity of the landscape. Increased market involvement. Surpluses from improved yields and crop diversification provide householders In the past decade, more than 6,000 resource-poor farm- with the production capacity to link with local markets. ers have adopted QSMAS on 7,000 hectares in the Lempira 80 CHAPTER 4: RAINFED FARMING SYSTEMS IN HIGHLANDS AND SLOPING AREAS department, formerly the poorest region in Honduras. This from their labor and costs. QSMAS has some limitations: response has generated a twofold increase in crop yields (for (a) lower rates of seed germination when the mulch layer example, maize from 1,200 to 2,500 kilograms per hectare in is too thick, (b) a higher incidence of pests and diseases year 1; beans from 325 to 800 kilograms per hectare in year during the initial years because of the mulch and the 1) and cattle stocking rates, along with significant reduc- increased humidity from shade, and (c) a similar or even tions in labor and agrochemical costs (Ayarza and Welchez reduced productivity during the first year (FAO 2001). 2004; Clerck and Deugd 2002). By way of nonformal diffu- sion processes, the system has also been accepted among Although the potential is great for the adoption of farmers in northwest Nicaragua. QSMAS in other regions of the world, it is important to Scientists from the CIAT, FAO, and the Consortium for realize that any project supporting its validation requires Integrated Soil Management conclude that the Quesungual substantial commitments of time and resources within the system--or elements of it--could be adapted for use in hill- context of a long-term framework. With additional side areas of Africa, Asia, and South America. The project research, development investments would enable more supported by the Challenge Program for Water and Food farmers to adapt QSMAS to their local biophysical and expects to identify new areas that could be suitable for socioeconomic conditions. Investments would also permit QSMAS and to provide the tools for adapting and promot- researchers and development practitioners to analyze the ing the entire system or its components in these areas. feasibility of establishing payments for environmental ser- vices from smallholder QSMAS. Fostering positive incen- tives for sustainable land management on and off farms RECOMMENDATIONS FOR PRACTITIONERS could improve the productivity and resilience of tropical hillside agro-ecosystems. Reach consensus. The principle of QSMAS is sustainable land management through the protection of the natural NOTE resources that are essential for agricultural productivity. The practices include (a) the use of local natural 1. The system is being used within the upper watersheds of resources (that is, vegetation, soil, and microorganisms) the Lempa River in the department of Lempira, Honduras with introduced crops; (b) field preparation without (around 14 degrees, 4 feet, 60 inches North; 88 degrees, 34 using burning or tillage; (c) the continuous slash and feet, 0 inches West) at 200 to 900 meters above sea level. The region's life zone (Holdridge) is a subhumid tropical forest mulch of naturally regenerated vegetation; and (d) spot with semideciduous and pine trees, and its climatic classifi- application of fertilizers and occasional herbicide use. cation is tropic humid-dry (Köppen Aw) with a bimodal Successful implementation requires detailed discussion rainfall distribution during the year. Mean annual precipita- with farmers on all four components. tion is about 1,400 millimeters falling mainly from early Use local knowledge. The success of QSMAS depends on May to late October, with a distinct dry season of up to six local perspectives and knowledge. Close collaboration months (November through April). During the dry season, with local farmers is essential for understanding how to strong winds blow from the north and the enhanced evapo- manage system components, particularly the native tree transpiration rates cause severe water deficits (more than and shrub vegetation. 200 millimeters) until the onset of rains. Temperature Use local support. A key factor for the widespread adop- ranges between 17 and 25 degrees Celsius. Soils are classified tion of QSMAS was a decision made in a local referen- as stony Entisols (Lithic Ustorthents) influenced by volcanic dum to forbid the use of burning to prepare fields for ashes associated with igneous and intrusive rocks, usually with low-labile phosphorus (that is, less than 5 mg kg­1) and planting. This action would have been impossible with- low soil organic matter content (2.8 to 3.9 percent) with pH out the support of local authorities and a clear under- values ranging from 4.1 to 6.2. standing by farmers of the negative effects of burning and the multiple biophysical and socioeconomic benefits from the restoration of soil organic matter. REFERENCES Train farmers. Although maintaining the QSMAS plots is Ayarza, M. A., and L. A. Welchez. 2004. "Drivers Affecting not expensive, the initial investment, especially labor, is the Development and Sustainability of the Quesungual higher than the traditional slash-and-burn system. Exten- Slash and Mulch Agroforestry System (QSMAS) on Hill- sionists need to explain the potential benefits returned sides of Honduras." In Comprehensive Assessment "Bright INVESTMENT NOTE 4.1: NO-BURN AGRICULTURAL ZONES ON HONDURAN HILLSIDES 81 Spots" Project Final Report, ed. A. Noble, 187­201. WEB RESOURCES Colombo: International Water Management Institute. International Center for Tropical Agriculture. The Interna- Clerck, L., and M. Deugd. 2002. "Pobreza, agricultura tional Center for Tropical Agriculture (Centro Interna- sostenible y servicios financieros rurales en América cional de Agricultura Tropical, or CIAT) is a not-for- Latina: Reflexiones sobre un estudios de caso en el depar- profit organization that conducts socially and tamento de Lempira, Honduras." Centro de Estudios environmentally progressive research aimed at reducing para el Desarrollo Rural, Universidad Libre de Amster- hunger and poverty and preserving natural resources in dam, San José, Costa Rica. developing countries. CIAT is one of the 15 centers that FAO (Food and Agriculture Organization). 2001. "Conser- make up the Consultative Group on International Agri- vation Agriculture: Case Studies in Latin America and cultural Research. The CIAT Web site has information on Africa." FAO Soils Bulletin 78, FAO, Rome. its products, regions, research, and services. Welchez, L. A., and I. Cherrett. 2002. "The Quesungual Sys- http://www.ciat.cgiar.org/. tem in Honduras: An Alternative to Slash-and-Burn." Challenge Program on Water and Food. The Consultative Leisa 18 (3): 10­11. Group on International Agricultural Research (CGIAR) Challenge Program on Water and Food is an interna- tional, multi-institutional research initiative with a SELECTED READING strong emphasis on North-South and South-South part- CIAT (Centro Internacional de Agricultura Tropical) and nerships. Its goal is to increase the productivity of water FAO (Food and Agriculture Organization). 2005."El Sis- used for agriculture, leaving more water for other users tema Agroforestal Quesungual: Una opción para el and the environment. The Web site of the CGIAR Chal- manejo de suelos en zonas secas de ladera." FAO, Rome. lenge Program on Water and Food features announce- ments, capacity building activities, research, and publica- Deugd, M. 2000. "No quemar ... sostenible y rentable?" tions: http://www.waterandfood.org/. Informe Final II: Sistema Quesungual, GCP/HON/021/NET, Food and Agriculture Organiza- FAO Web page on the Quesungual agroforestry farming sys- tion, Honduras. tem. The Food and Agriculture Organization (FAO) of the United Nations leads international efforts to defeat Hands On. 2008."Report 1 of 5: Shortage to Surplus--Hon- hunger by acting as a neutral forum where all nations duras." Hands On, Rugby, U.K. http://www.hands meet as equals to negotiate agreements and debate pol- ontv.info/series2/foodworks_reports/shortagetosur icy. The FAO Web page on the Quesungual agroforestry plus_honduras.html. farming system describes the Lempira Sur project, where Hellin, J., L.A.Welchez, and I. Cherrett. 1999."The Quezun- farmers learn new cultivation methods to prevent soil gual System: An Indigenous Agroforestry System from erosion. http://www.fao.org/FOCUS/E/honduras/agro- Western Honduras." Agroforestry Systems 46 (3): 229­37. e.htm. Penning de Vries, F., H. Acquay, D. J. Molden, S. J. Scherr, C. Module 5 of the Agriculture Investment Sourcebook. The Agri- Valentin, and O. Cofie. 2002."Integrated Land and Water culture Investment Sourcebook addresses how to imple- Management for Food and Environment Security."Com- ment the rural strategy of investing to promote agricul- prehensive Assessment Research Paper 1. Comprehensive tural growth and poverty reduction by sharing Assessment Secretariat, Colombo. information on investment options and identifying TSBF (Tropical Soil Biology and Fertility Institute). 2003. innovative approaches that will aid the design of future "Quesungual Slash and Mulch Agroforestry System lending programs for agriculture. Module 5 of the Agri- (QSMAS): Improving Crop Water Productivity, Food culture Investment Sourcebook discusses the investment in Security, and Resource Quality in the Sub-humid Trop- sustainable natural resource management for agricul- ics." Project Proposal submitted to the Consultative ture. http://siteresources.worldbank.org/EXTAGISOU/ Group on International Agricultural Research Challenge Resources/Module5_Web.pdf. Program on Water and Food, World Bank, Washington, World Agroforestry Centre. The World Agroforestry Centre DC. uses science to generate knowledge on the complex role ------. 2006. Project PE-2: Integrated Soil Fertility Manage- of trees in livelihoods and the environment and fosters ment in the Tropics--Annual Report 2006. Cali, Colom- the use of this knowledge to improve decisions and prac- bia: Centro Internacional de Agricultura Tropical. tices affecting the poor. Its Web site provides information on news and events, recent publications, agroforestry, and other resources. http://www.worldagroforestry.org/. 82 CHAPTER 4: RAINFED FARMING SYSTEMS IN HIGHLANDS AND SLOPING AREAS I N V E S T M E N T N OT E 4 . 2 Beans: Good Nutrition, Money, and Better Land Management--Appropriate for Scaling Up in Africa? T he common bean is a major staple food crop in nia, and Uganda use the PABRA farmers groups to develop Africa. PABRA (the Pan-African Bean Research and implement community-based project proposals. Alliance) aims to enhance the food security, income, and health of resource-poor farmers in Africa through research CHARACTERISTICS OF KEY SUSTAINABLE on beans. Partners operate in different agro-ecological and LAND MANAGEMENT ISSUE socioeconomic environments through a series of collabora- tions with local agencies and directly with farmers in research Beans are popular in Africa--and for good reason. Beans are groups. healthful and profitable, and with good management, they The improved bean varieties have environmental bene- contribute to farm diversification and productivity. Can fits beyond the farm. For example, some require less cook- more farmers benefit from cultivating these fast-growing ing time than traditional varieties. Fuelwood consumption legumes? Africans confront numerous agricultural, commu- (as well as the time spent collecting fuel) has fallen sharply, nication, and transportation challenges. This investment releasing women especially for other livelihood activities. note explains how the International Center for Tropical Agri- Innovative bean farmers used improved technologies from culture (Centro Internacional de Agricultura Tropical, or service providers (such as pest-tolerant high-yielding vari- CIAT) and its partners combine their scientific, organiza- eties, fertilizers, commercial pesticides, and improved cul- tional, and marketing efforts to address these challenges and tural practices) to blend with local options (the use of wood reach more farmers. ash, cow urine, cowshed slurry, and local plant extracts for pest control; the use of animal and green manure for KEY SUSTAINABLE LAND MANAGEMENT improved soil fertility; and the improvement of agronomy ISSUES through cultural practices, such as mixed cropping, stag- gered planting, and use of local crop cultivars). Although Natural resources are the key to rural development in Africa the immediate benefit was increased yields from improved (Anderson 2003). Despite their importance, a majority of bean management, the second benefit, which was broader Africans still face both food shortages and degradation of and even more exciting, was the enhancement of farmer their natural resources. Two-thirds of the population (405 innovation and farmer-to-farmer communication. million people) live on small-scale farms (Conway and PABRA researchers are striving to improve the nutri- Toenniessen 2003), where declines in soil fertility severely tional content of beans and to improve market access. The reduce harvests. PABRA approach also helps in the active exploration of Although overexploitation of natural resources comes in other technologies and improved services (such as quality many forms, the results are the same: a loss of both produc- seeds, markets, credit, improved livestock, fertilizers, tree tive capacity and resilience. Soil degradation threatens (a) nurseries, irrigation facilities, and soil and water conserva- the sustainability of agricultural yields and (b) the ability of tion methods). District authorities in Kenya, Malawi, Tanza- agriculture to deliver crucial services, such as water avail- ability, biodiversity, and carbon storage. This note was prepared by D. White, Centro Internacional de Agricultura Tropical and Pan-African Bean Research Alliance. 83 For many generations, traditional farm practices met Understanding farm household needs, their taste prefer- household food needs. Population growth and accompany- ences, and their sources of bean seed ing pressure on land, however, have stressed this equilib- Supporting partners involved in decentralizing bean rium. Farmers typically respond by either intensifying agri- variety selection, seed production, and distribution cultural production or expanding into marginal lands Strengthening and catalyzing partnerships with strategic (Dixon and Gulliver with Gibbon 2001). Nevertheless, har- actors vests from these efforts are typically low because no or few Facilitating access to information and preferred seed investments in soil fertility maintenance are made. varieties by commercial seed producers Although chemical fertilizers have produced impressive Providing key support services: technical inputs, out- yield gains in much of the world, fertilizers are rarely avail- reach products, and colearning able or too expensive in much of Africa (Crawford and oth- Sharing lessons learned, including successful cases of ers 2003; Gregory and Bumb 2006). There are also serious wider effect at the local, national, and regional levels (for misunderstandings regarding fertilizer. For example, some example, Ethiopia and southern Tanzania) that demon- farmers believe that to be effective, the fertilizer actually strate how change processes work with PABRA partners needs to touch the seed--which in fact hinders germination Adapting lessons to new areas and crops (such as cassava and damages both the crop and the farmers' faith in the and teff) with new partners. technology. Furthermore, the advice farmers are typically given in the use of fertilizer is poor; recommendations Since the early 1980s, the bean research network has ignore crucial differences in soil type and, as importantly, worked to improve the productivity, resilience, and accept- key economic factors about the prices of both inputs and ability of bean varieties. National agricultural research sys- outputs (Conroy and others 2006). Local ways to enhance tems and extension partners released about 200 improved farm productivity are needed (Giller 2001). beans in 18 countries. Partners operate in different agro- ecological and socioeconomic environments. PABRA part- ners have overcome production problems, such as bean LESSONS LEARNED pests and diseases and poor soil fertility, and have made new The common bean is a major staple food crop in Africa. bean varieties available to more farmers. Farmers plant approximately 4 million hectares of beans, PABRA has fostered strategic partnerships that play com- which represent 20 percent of the total crop area planted. In plementary roles in reaching end users. By late 2006, PABRA many parts of eastern, central, and southern Africa, beans partner organizations had trained more than 300 associations are referred to as the "poor man's meat." Beans provide with about 15,000 farmers. Topics included variety testing, nearly 40 percent of dietary protein and are valued as one of seed production, and agronomic practices. Knowledge shar- the least expensive sources of protein. Many people eat ing among farmers has greatly accelerated technology dis- beans twice a day. During hard times in some areas, house- semination and adoption. National programs have been holds survive on just one meal of beans a day. encouraged to conduct participatory varietal selection or A major lesson learned is the importance of having an plant breeding with farmers. Those approaches have ensured active regional and local institutional partnership to facili- that new varieties are quickly made available to farmers tate the dissemination and scaling up of cropping and land before their formal release. To speed up dissemination, management innovations. PABRA's goal is to enhance the PABRA has supported the development of community-based food security, income, and health of resource-poor farmers seed production as an agro-enterprise strategy. Technical in Africa through research on beans. PABRA works in part- resource manuals in 11 local languages have been developed nership with farmers and rural communities, nongovern- and supplied to farmers and extension organizations. mental organizations, national agricultural research insti- tutes, traders, and other private sector partners. Crucial OPPORTUNITIES FOR SUSTAINABLE roles and responsibilities of partners include improving LAND MANAGEMENT bean varieties, producing and disseminating seed, sharing information, and training extensionists and researchers. Beans generate environmental benefits both on and off Collaborative PABRA efforts enhance farmer access to farms. Farmers often cultivate beans in rotation or in asso- improved quality seeds that farmers prefer. This process ciation with other crops. This strategy diversifies farm pro- involves the following: duction against risks and can enable farmers to improve soil 84 CHAPTER 4: RAINFED FARMING SYSTEMS IN HIGHLANDS AND SLOPING AREAS fertility. Bean cultivation within a farm management strat- tributing to overall farm production and resilience makes egy may enhance the yields of other crops, such as maize. them an attractive crop for many African farmers. Evidence Although PABRA has promoted the use of improved suggests that bean varieties generate substantial benefits for bean varieties that thrive in poor soils, such beans perform producers, consumers, and other actors in the bean supply better when integrated with good farm management prac- chain. Significant effects, however, tend to be found in areas tices. PABRA researchers look for and examine a wide range of intense efforts to disseminate seed. As part of the revised of locally generated solutions for improving soil fertility, PABRA strategy of 2003, the network aims to achieve such as green manures and organic soil amendments. In greater use of improved bean varieties. The goal was to many parts of Africa (Ethiopia, Kenya, and Rwanda), bean deliver and ensure training in improved bean technologies crop residues are used as (a) a green manure to increase soil to 2 million households (10 million end users) in 18 coun- organic matter or (b) a livestock feed, with manure applied tries by 2008. Expectations have already been exceeded. As a to fields. PABRA also serves as a forum for sharing manage- result of the strategic partnerships, about 6.5 million ment practices. households (30 million end users) had been reached at the Pests and diseases can destroy harvests and cause food end of 2006. Critical to that success was packaging seed in shortages. The early 1990s were troubling times for both bean small, affordable quantities. Fifty tons of seed can reach a farmers and consumers in eastern Africa. Bean root rot dis- million farmers with 50-gram seed packets. More work is ease decimated harvests in intensely cultivated areas, causing required to reach the hundreds of millions in need of severe food shortages and high prices. To help solve the prob- improved bean technologies. lem, PABRA scientists from CIAT and the Institut des Sci- According to PABRA, farmers who planted improved ences Agronomiques du Rwanda identified bush and climb- varieties reported increased yields, had fewer losses to pests ing bean varieties with resistance to the disease. Partners and diseases, enhanced family nutrition and health, and introduced these varieties to Kenya and southwest Uganda. realized higher incomes. In some countries, bean research Improved bean varieties are not the only way to achieve and development activities have brought substantial eco- better harvests and possibly improve soil fertility. Climbing nomic returns. For example, in Tanzania the internal rate of beans can generate higher yields than bush beans, enabling return to research investments was estimated at 60 percent farmers to sustainably intensify production on tiny plots. over a 20-year period (1985 to 2005). Economic benefits can Integrated pest and disease management (IPDM) can be be seen from the farmer's perspective. In eastern Demo- effective in improving system outputs. Farmers typically cratic Republic of Congo, farmers' incomes from beans combine local knowledge and researcher-generated innova- increased nearly fivefold. Higher incomes were generated tions (such as timely planting, weeding, use of botanical not only from increased bean sales for consumption but pesticides, and sowing or use of Tephrosia to restore soil fer- also from the sale of seeds. In some countries, seed produc- tility while warding off pests). tion and sales have become moneymaking enterprises and Results show that such practices are effective in counter- generated employment, often with PABRA support. ing bean root rot and other diseases and pests. According to Cultivating beans appears to be a wealth-neutral agricul- PABRA, improved practices to counter pests, diseases, and tural activity. Farmers in several countries, particularly poor soils reached 400,000 farmers by 2005. Although this Rwanda, reported that poor or very poor members of the figure is well behind the numbers of those adopting community were as likely to adopt the new varieties as improved varieties, it represents a very promising start. better-off farmers. Many adopters are women, who have Improved bean varieties have environmental benefits seen their incomes rise substantially. To reduce the risk of beyond the farm. Some of the improved beans require less men trying to appropriate the income gains by taking over cooking time than traditional varieties. Women report what is traditionally a women's crop, PABRA has sought to reduced fuelwood consumption of almost 50 percent.Women build the capacity of women's groups and associated service can also spend less time collecting firewood during the day providers in starting and running agro-enterprises. Other and can dedicate that time to other livelihood activities. social benefits realized by participating bean farmers include exposure to new services providers (that is, credit and input supplies) and to new information on health and RATIONALE FOR INVESTMENT nutrition. Beans can play a role in achieving sustainable land manage- Beans are highly vulnerable to climatic stresses, especially ment in Africa. Their ability to be profitable while con- drought. In recent years, PABRA partners have developed INVESTMENT NOTE 4.2: BEANS: GOOD NUTRITION, MONEY,AND BETTER LAND MANAGEMENT 85 varieties that combine drought tolerance with other desir- tained, farmers will likely be more willing to invest in their able traits. These efforts must continue and intensify so that farms, especially in the fertility of their soils. new varieties are produced, screened, and tested for early The PABRA approach reaches well beyond the innova- dissemination and release. tors. Farmers in Kisii, Kenya, cited benefits from the adop- PABRA's second decade will be even more challenging tion of improved bean technology: increased amounts of than its first. PABRA's focus on seed-based technologies has household food, increased household income, availability of been effective. Plant breeding, as the source of these tech- food year-round, improvements in family health and rela- nologies, will continue to be a key activity. The fight against tionships with other farmers, and increased income con- pests and diseases must intensify and broaden, because new trolled by women. Data from Uganda show increasing threats constantly arise. Besides bean root rot, other critical involvement in local trade of beans as the farmers move diseases that need tackling include angular leaf spot, beyond subsistence. Farmers have also started to actively anthracnose, leaf rust, common bacterial blight, and bean explore other technologies. For example, farmers in north- mosaic virus. Priority pests include bean stem maggots, ern Tanzania experimented with a locally available aphids, and cutworms. In addition, focus will continue on phosphate-based fertilizer (Minjingu Mazao) on the bean low soil fertility and drought. Selection and breeding for crop. But they quickly went on to test the fertilizer on other resistance or tolerance will, as now, be combined with crops, such as maize and vegetables, and also modified their IPDM approaches that maximize the gains to farmer and fertilizer use on those crops. ecosystem health. Besides addressing drought, PABRA is Encouraged by their experiences with beans, farmers extending traditional bean areas to the hot and humid areas started to actively seek improved services, such as quality of West Africa, where consumer demand and prices are high seed, markets, credit, improved livestock, fertilizers, tree (Kimani 2006). nurseries, irrigation facilities, and soil and water conserva- tion methods (Blackie and Ward 2005). They raised these issues openly with local officials and visitors--something RECOMMENDATIONS FOR PRACTITIONERS they lacked the confidence to do previously. Through the To reach marginalized farmers, PABRA must reinforce its enhanced participation, local officials, community leaders, efforts to disseminate seed-based and other technologies. nongovernmental organizations, and politicians gain infor- Adoption patterns reveal three priorities: (a) disseminating mation for local planning. The research groups are an technologies in areas that have been neglected or bypassed, important and dynamic component in the local innovation (b) offering a greater number of varieties to allow greater system. Government ministries (agriculture, livestock, resilience of production and household food security, and health, education, and marketing) and district authorities in (c) continuing to develop and adapt knowledge-based tech- Kenya, Malawi, Tanzania, and Uganda use the farmers nologies (such as IPDM) that typically lag seed technologies. groups to develop and implement community-based proj- PABRA researchers are striving to improve the nutri- ect proposals. tional content of beans. As part of the HarvestPlus initiative, researchers are working to develop biofortified beans, focus- REFERENCES ing on iron and zinc in agronomically superior varieties. Efforts to enhance the contribution of beans, particularly Anderson, J. 2003. Nature, Wealth, and Power in Africa: for those affected by the continuing spread of HIV/AIDS, Emerging Best Practice for Revitalizing Rural Africa. require coordination with organizations outside the agricul- Washington, DC: U.S. Agency for International Develop- tural sectors. Besides developing and disseminating new ment. http://www.usaid.gov/our_work/agriculture/land management/pubs/nature_wealth_power_fy2004.pdf. varieties that are rich in minerals, PABRA must launch pro- motional campaigns to involve community-based health Blackie, M. J., and A. Ward. 2005."Breaking Out of Poverty: Lessons from Harmonising Research and Policy in and nutrition workers. Malawi." Aspects of Applied Biology 75: 115­26. As African farmers produce more and better beans, they Conroy, A. C., M. J. Blackie, A. Whiteside, J. C. Malewezi, will need to participate in markets. Ensuring that beans and J. D. Sachs. 2006. Poverty, Aids and Hunger: Breaking remain profitable requires investments in cost-effective pro- the Poverty Trap in Malawi. Basingstoke, U.K.: Palgrave cessing options and efforts to open up new regional mar- Macmillan kets. If prices for beans and other cash crops can be sus- Conway, G., and G. Toenniessen. 2003. "Science for African Food Security." Science 299 (5610): 1187­88. 86 CHAPTER 4: RAINFED FARMING SYSTEMS IN HIGHLANDS AND SLOPING AREAS Crawford, E., V. Kelly, T. Jayne, and J. Howard. 2003. "Input BBC News. 2006. "`Barren Future' for Africa's Soil." BBC Use and Market Development in Sub-Saharan Africa: An News, London. http://news.bbc.co.uk/2/hi/science/ Overview." Food Policy 28 (4): 277­92. nature/4860694.stm. Dixon, J., and A. Gulliver, with D. Gibbon. 2001. Farming HarvestPlus. 2006. "Biofortified Beans." HarvestPlus, Cali, Systems and Poverty: Improving Farmers' Livelihoods in a Colombia. http://www.harvestplus.org/pdfs/beans.pdf. Changing World. Rome: Food and Agriculture Organiza- Hyman, G., S. Fujisaka, P. Jones, S. Wood, C. de Vicente, and tion and World Bank. http://www.fao.org/farmingsys J. Dixon. 2007. "Strategic Approaches to Targeting Tech- tems/. nology Generation: Assessing the Coincidence of Poverty Giller, K. E. 2001. Nitrogen Fixation in Tropical Cropping Sys- and Drought-Prone Crop Production." Centro Interna- tems. 2nd ed. Wallingford, UK: CAB International. cional de Agricultura Tropical, Cali, Colombia. Gregory, D., and B. Bumb. 2006."Factors Affecting Fertilizer Rubyogo, J. C., L. Sperling, and T. Assefa. 2007. "A New Supply in Africa: Agriculture and Rural Development." Approach for Facilitating Farmers' Access to Bean Seed." Discussion Paper 24. World Bank, Washington, DC. LEISA 23 (2): 27­29. http://www.africafertilizersummit.org/Background_Pap ers/08%20Gregory--Role%20of%20Input%20Vouch ers.pdf. WEB RESOURCES Kimani, P. 2006."Bean Varieties for Humid Tropical Regions: International Center for Tropical Agriculture. The Interna- Reality or Fiction?" Highlights: CIAT in Africa 34. Centro tional Center for Tropical Agriculture (CIAT) is a non- Internacional de Agricultura Tropical, Kampala. profit organization that conducts socially and environ- http://www.ciat.cgiar.org/africa/pdf/highlight34.pdf. mentally progressive research targeting the reduction of hunger and poverty and the preservation of natural resources in developing countries. CIAT is one of the 15 SELECTED READING centers that make up the Consultative Group on Interna- tional Agricultural Research. The CIAT Web site has information on its products, regions, research, and ser- vices: http://www.ciat.cgiar.org/. INVESTMENT NOTE 4.2: BEANS: GOOD NUTRITION, MONEY,AND BETTER LAND MANAGEMENT 87 I N N O VAT I V E A C T I V I T Y P R O F I L E 4 . 1 Fodder Shrubs for Improving Livestock Productivity and Sustainable Land Management in East Africa I n East Africa, zero-grazing systems constitute the most towns and cities, and dairy production has grown rapidly common smallholder dairy system; farmers cut and around those urban areas, to take advantage of low market- carry feed to their confined dairy cows. Fodder legumes ing costs. But farm sizes are also generally small in such peri- have been tested for more than 50 years as protein supple- urban areas, exacerbating feed constraints. Land degrada- ments, but with little adoption. Fodder shrubs are a low- tion is also a pervasive problem; most of the land is sloping, cost, easy-to-produce protein source that could also con- and soil erosion reduces crop productivity. tribute to sustainable land management (SLM). They are Zero-grazing systems are the most common smallholder highly attractive to farmers because they require little or no dairy system; farmers cut and carry feed to their confined cash. Moreover, they do not require farmers to take land out dairy cows. Napier grass is the basal feed of choice, but its of use for food or other crops. But the technology is knowl- protein content is too low to sustain adequate milk yields. edge intensive and requires the farmer to learn new skills. Manufactured dairy meal is available in most areas, but few The spread of fodder shrubs has been substantial, and by small farmers use it because of its high price. Fodder 2006 (about 10 years after dissemination began in earnest), legumes have been tested in East Africa for more than they were contributing about US$3.8 million per year to 50 years as protein supplements, but there are few cases of farmer incomes across East Africa. Critical to the expansion widespread adoption, especially in the smallholder sector. were extension approaches involving (a) dissemination The objective of introducing fodder shrubs in East Africa facilitators (specialists who promote the use of fodder was to provide a low-cost, easy-to-produce protein source shrubs among extension providers and support them with that could also contribute to SLM. training, information, and access to seeds); (b) farmer-to- farmer dissemination; (c) large nongovernmental organiza- STUDY AREA DESCRIPTION tion (NGO) promoters, which facilitated seed flows (seed availability was a key constraint in many areas); and (d) civil The highlands of East Africa extend across central and west- society campaigns involving a broader set of partners than ern Kenya, westward to Uganda and Rwanda, and to the just farmers and extension providers. south in parts of northern Tanzania. Altitudes range from 1,000 to 2,200 meters. Rainfall occurs in two seasons, March through June and October through December, and averages PROJECT OBJECTIVE 1,200 to 1,500 millimeters annually. Soils, primarily Low quality and quantity of feed resources are the greatest nitosols, are deep and of moderate to high fertility. Popula- constraint to improving the productivity of livestock in Sub- tion density is high, ranging from 300 to more than 1,000 Saharan Africa (Winrock International Institute for Agricul- people per square kilometer. In central Kenya, which has the tural Development 1992). Dairy production is increasing region's highest population density and the most dairy rapidly in the highlands of East Africa, which hosts roughly cows, farm size averages 1 to 2 hectares. Most farmers have 3 million dairy farmers, including some 21 million in title to their land; thus, their tenure is relatively secure. The Kenya alone (SDP 2006). Milk demand is concentrated in main crops are coffee, which is produced for cash, and This profile was prepared by S. Franzel, C. Wambugu, H. Arimi, and J. Stewart, International Centre for Research in Agro- forestry. Nairobi, Kenya. 88 maize and beans, which is produced for food. Most farmers In lines with Napier grass. Results from intercropping also grow Napier grass (Pennisetum purpureum) to feed experiments show that introducing the leguminous their dairy cows, and farmers crop their fields continuously shrub Calliandra calothyrsus into Napier grass does not because of the shortage of land. About 80 percent have depress the grass yields (Nyaata, O'Neill, and Roothaert improved dairy cows. The typical family has 1.7 cows, kept 1998) in zero- or minimum-grazing systems. Milk yields average In lines between upper-story trees. Many farmers plant about 8 kilograms per cow per day, and production is for Grevillea robusta, a tree useful for timber and firewood, both home consumption and sale. Dairy goats, which are along their boundaries. Fodder shrubs may be planted particularly suited to poorer households, are a rapidly grow- between the trees in the same line (NARP 1993). ing enterprise (Murithi 1998; Staal and others 2002). The main feed source for dairy cows in Kenya is Napier Seeds are planted in nurseries and then transplanted on grass, supplemented during the dry season with crop the farm at the onset of the rains, after about three months residues (such as maize and bean stover, as well as banana in the nursery. Experiments on seedling production have leaves and pseudostems) and indigenous fodder shrubs. Few confirmed that the seedlings may be grown "bare root"; that farmers purchase commercial dairy meal (16 percent crude is, they may be raised in seedbeds rather than by the more protein). Dairy meal use has declined in recent years expensive, laborious method of raising them in polythene because farmers feel that the price ratio of dairy meal to pots (NARP 1993). milk is unfavorable and because they lack cash to buy the The shrubs are first pruned for fodder 9 to 12 months meal. Many also suspect the nutritive value of dairy meal, in after transplant, and pruning is carried out four or five times part because of scandals concerning fraudulent maize seed a year (Roothaert and others 1998). Leafy biomass yields per and agrochemicals sold to farmers (Franzel, Wambugu, and year rise if the shrubs are pruned less frequently and allowed Tuwei 2003; Murithi 1998; Staal and others 2002). to grow taller, but as this happens, competition from the Smallholder dairy systems in Rwanda, northern Tanza- shrubs means that adjacent crop yields are negatively nia, and Uganda are similar to those in Kenya, but the den- affected (Franzel and Wambugu 2007). The most productive sity of dairy farmers and cows is generally lower, as is gov- compromise is probably in the range of four to six prunings ernment extension support and private sector marketing annually at 0.6- to 1-meter cutting height. This approach infrastructure. yields, under farmers' conditions, roughly 1.5 kilograms of dry matter (4.5 kilograms of fresh biomass) per tree per year planted at a spacing of two to three trees per meter in hedges. PRESENTATION OF INNOVATION Thus, a farmer needs about 500 shrubs to feed a cow Fodder shrubs are highly attractive to farmers because they throughout the year at a rate of 2 kilograms of dry (6 kilo- require little or no cash. Moreover, they do not require grams of fresh) matter per day, providing about 0.6 kilogram farmers to take land out of use for food or other crops. The of crude protein. This amount provides an effective protein only inputs required are the initial seed and minimal supplement to the basal feed of Napier grass and crop amounts of labor, which farmers are usually willing to pro- residues for increased milk production. A typical farm of vide. But like many agroforestry and natural resource man- 1.5 hectares could easily accommodate 500 shrubs without agement practices, fodder shrubs are knowledge intensive replacing any existing crops (Paterson and others 1998).1 and require considerable skills that most farmers lack. These On-farm feeding trials have confirmed the effectiveness skills include raising seedlings in a nursery, pruning trees, of C. calothyrsus as a supplement to the basal diet. Two kilo- and knowing the best ways to feed the fodder to livestock. grams of dry C. calothyrsus (24 percent crude protein and Such skills are difficult to acquire as is, at times, the neces- digestibility of 60 percent when fed fresh) have about the sary seed. Thus, the technology does not spread easily. same amount of digestible protein as 2 kilograms of dairy Farmers prefer planting fodder shrubs in the following meal (16 percent crude protein and 80 percent digestibility); locations and arrangements: each increases milk production by about 1.5 kilograms under farm conditions. But the response varies, depending In hedges around the farm compound on such factors as the health of the cow and the quantity In hedges along contour bunds and terrace edges on slop- and quality of the basal feed (Paterson and others 1998). ing land. The shrubs thus help conserve soil and, when Since C. calothyrsus was introduced in the mid-1990s, kept well pruned, have little effect on adjacent crops several other shrub species have also been tested and dis- INNOVATIVE ACTIVITY PROFILE 4.1: FODDER SHRUBS FOR IMPROVING LIVESTOCK PRODUCTIVITY 89 seminated (Wambugu and others 2006). In Kenya, Leucaena Substitutes for products obtained from forests. Most of the trichandra (an exotic species), Morus alba (mulberry, a nat- shrub species provide firewood, fencing, and stakes, thus uralized species), and Sesbania sesban (an indigenous reducing the need to source them off the farm and species) are grown widely but not as commonly as C. deplete woodlands. calothyrsus. In Rwanda, C. calothyrsus and Leucaena diversi- folia, also an exotic, are the most common fodder shrubs. In In the Kabale area of western Uganda, more than 70 per- Uganda, these same two shrubs, along with Sesbania, are cent of farmers mentioned fencing, firewood, soil fertility widely grown. In northern Tanzania, C. calothyrsus and Leu- improvement, and stakes as important benefits of fodder caena leucocephala are the most widely used species. shrubs (Mawanda 2004). In central Kenya, more than 30 percent mentioned firewood, soil fertility improvement, and improvement in animal health (Koech 2005). BENEFITS AND EFFECT OF THE ACTIVITY The spread of fodder shrubs has been substantial. By The main benefit to using fodder shrubs is increased milk 2006, about 10 years after dissemination began in earnest, production. In an economic analysis from Kenya in 2006, the 224 organizations across Kenya, Rwanda, northern Tanza- authors compared the value of increased milk production nia, and Uganda were promoting fodder shrubs, and more with the costs of establishing a nursery, raising 500 than 200,000 farmers had planted them (table 4.1). The C. calothyrsus seedlings, transplanting them on the farm, and number of shrubs averages 71 to 236 per farmer, depending harvesting them for feed (Hess and others 2006). In the first on the country. Note, however, that this number is still well year, the farmer spends about US$13 establishing the nurs- below the 500 shrubs needed to feed a single dairy cow. The ery, raising the seedlings, and transplanting them. About explanation is that many farmers adopt incrementally (they US$1.70 of this amount is for seed and the rest is spent on plant some shrubs to see how they perform before adding labor. Beginning in the second year, when the farmer starts more), and others partially adopt (they apply several differ- harvesting the shrubs, the 500 C. calothyrsus shrubs increase ent strategies for providing protein supplements--herba- net household income by about US$95 to US$122 a year, ceous legumes, dairy meal, and so forth--to better manage depending on the location. The main causes of variation in the risks of relying on a single strategy). The number of income increases across location were differences in milk shrubs per farmer is higher in countries such as Uganda, prices. The analysis does not take into account several other where NGOs promote fodder shrubs; it is lower in countries benefits of fodder shrubs. First, they increase the butterfat such as Kenya, where farmer-to-farmer dissemination is the content of milk (in the farmers' terms, its "creaminess" and main cause of the spread. "thickness"). Second, the extra nutrients that the shrubs pro- Fodder shrubs currently contribute about US$3.8 mil- vide may improve the cow's health and shorten the calving lion annually to farmer incomes across East Africa. If all interval. Finally, farmers can also benefit from harvesting farmers were to adopt them, the potential is more than and selling seeds. US$200 million per year. Fodder shrubs also make important contributions to SLM, which are not taken into account in the previous LESSONS LEARNED analysis: Representatives of 70 organizations promoting fodder Nitrogen fixation. Five of the six species fix nitrogen from shrubs were interviewed and asked to name the most the atmosphere and thus contribute to improving soil important factor explaining their achievements in dissemi- fertility. As long as these species are grown in hedges that nating fodder shrubs. With a mean score of 4.1 on a scale of are 1 meter high, they do not compete with crops grown 0 to 5.0, the most important factor was that fodder shrubs next to them. met the needs of farmers (Franzel and Wambugu 2007). Increased quantity and quality of manure. Most fodder Other key factors were that the fodder shrubs were prof- species are high in tannins, which bind protein and itable, that effective extension approaches were used, and increase the levels of nitrogen in manure. The increase in that partnerships with other organizations facilitated suc- quantity and quality of manure helps improve soil fertility. cess. Less important factors included long-term commit- Soil erosion control. Fodder shrubs are planted along the ment by key players, farmers' commercial orientation, farm- contour, thereby reducing soil erosion. The shrubs are ers' skill levels, availability of training materials, and particularly effective when combined with grasses. backstopping from research. Many of the reasons for the 90 CHAPTER 4: RAINFED FARMING SYSTEMS IN HIGHLANDS AND SLOPING AREAS Table 4.1 Farmers Planting Fodder Shrubs in Kenya, Northern Tanzania, Rwanda, and Uganda Number of Number of Rough organizations farmers estimate promoting planting of additional Number fodder according farmers of trees Country shrubs to records planting Total per farmer Notes and sources Kenya 60 51,645 30,000 81,645 75 Data in "records" column are from 4 random sample surveys and reports from 23 organizations, mostly from 2004 to 2005. Data in "rough estimates" column include numbers in areas with fodder shrubs for which there are no data (for example, Coast, Kisii, and Machakos) and increases in central and eastern provinces since 2003 surveys. Northern 15 17,519 10,000 27,519 99 Data in "records" column are from 14 organizations in Tanzania Arusha and Kilimanjaro and estimates of numbers of collectors, planters, processors, and users in Tanga. Data in "rough estimates" column are for farmers in Mwanza, Lushoto, and other parts of northern Tanzania where fodder shrubs are promoted. Rwanda 69 9,590 4,400 13,990 266 Data in "records" column are from 11 of the organizations that promoted fodder shrubs from 2000 ` to 2005."Rough estimate" column assumes that each of the other 44 organizations that bought seed helped 100 farmers plant. Many of the organizations were promoting fodder shrubs primarily for soil conservation. Uganda 80 77,369 5,000 82,369 306 Data in "records" column are from surveys in 2003 and 2005 in which 44 organizations reported on number of farmers planting fodder shrubs. Data in "rough estimates" column include numbers in areas not included in the survey and 16 organizations that were unable to report on number of farmers. Many of the organizations were promoting fodder shrubs primarily for soil conservation. Total 224 156,123 49,400 205,523 184 Source: Franzel and Wambugu 2007. spread are related to the technology itself, its attractiveness period, a dissemination facilitator assisted 22 organiza- to farmers, and the socioeconomic environment (in partic- tions and 150 farmer groups comprising 2,600 farmers to ular, the rapid growth of the smallholder dairy industry in establish 250 nurseries and plant more than 1 million the region). Franzel and Wambugu (2007) found that five fodder shrubs (Wambugu and others 2001). extension approaches were critical for the spread of the 2. Farmer-to-farmer dissemination. Survey results showed practice: that farmers played a critical role in disseminating seeds and information to other farmers. A survey of 94 farm- 1. Dissemination facilitators. Dissemination facilitators are ers in central Kenya, randomly selected from farmers extension specialists who promote the use of fodder who had planted fodder shrubs three years before, shrubs among extension providers and support them by revealed that 57 percent had distributed planting mate- providing training, information, and access to seed. Dis- rial (seeds or seedlings) and information to other farm- semination facilitators were employed by international ers. On average, those providing planting material gave organizations such as the World Agroforestry Centre or to 6.3 other farmers. But most astounding was that 5 per- national agricultural research institutes such as the cent of the farmers accounted for 66 percent of all dis- National Agricultural Research Organization of Uganda. semination. These master disseminators differed from The dissemination facilitators proved to be highly effec- other farmers in no appreciable way--they included tive. In central Kenya, for example, over a two-year both men and women and had different ages, levels of INNOVATIVE ACTIVITY PROFILE 4.1: FODDER SHRUBS FOR IMPROVING LIVESTOCK PRODUCTIVITY 91 education, and farm sizes. Farmers receiving planting complements to more conventional extension programs. material from other farmers had high rates of success in Religious leaders; media (radio, television, and the planting; about 75 percent had received fodder shrubs. press); private input suppliers; local government admin- 3. Large NGO promoters. In Rwanda and Uganda, a few istrators; and dairy companies each have a critical role to large, international NGOs facilitated the dissemination play in sensitizing and training farmers about new prac- of fodder shrubs to thousands of farmers, accounting for tices such as fodder shrubs. over half the farmers planting in the two countries. Large NGOs were also important in facilitating the spread of ISSUES FOR WIDER APPLICATION the practice in Kenya and Tanzania. Some of the NGOs employed hundreds of extension staff members and thus This paper documents the substantial progress that has had significant reach. Many promoted dairy production been made in promoting fodder shrubs in East Africa. But and wanted to ensure that farmers had sufficient feed for the 200,000 farmers planting them represent less than their cows. Others promoted SLM and helped farmers 10 percent of dairy farmers in the region. Because of the plant shrubs for a range of purposes: soil erosion control, knowledge-intensive nature of the technology, it will not firewood, and fodder. spread easily on its own and thus requires outside facilita- 4. Facilitation of seed flows. Seed availability was a key con- tion. Considerable investments are still required to reach the straint in many areas. Calliandra calothyrsus, the main other dairy farmers and to sustain the uptake process. With species used, produces relatively little seed, and farmers formal extension systems in decline throughout Africa, need to be trained to collect, maintain, and treat it before more efforts are needed to develop other approaches for planting. An assessment of the seed market chain found spreading the use of fodder shrubs. This profile documents that private seed vendors in western Kenya were effective four dissemination approaches that are particularly effective in providing seed to big institutional suppliers, such as and that indicate where greater investment in research and NGOs, but were ineffective in reaching farmers, particu- development is needed: larly in central Kenya where the greatest number of potential adopters were. Following the study, the World Dissemination facilitators to support organizations pro- Agroforestry Centre and its partners assisted seed ven- moting fodder shrubs offer a high return on investment. dors in central Kenya in forming an association that These facilitators do not train farmers; rather, they train forged links with seed providers in western Kenya and in trainers and therefore have a high multiplicative effect in packaging seeds in small packets for sale to farmers in promoting new practices. central Kenya (Franzel and Wambugu 2007). Over an Mechanisms are needed to promote farmer-to-farmer eight-month period in 2006, 43 seed vendors sold more dissemination and, in particular, master disseminators, than 2.3 tons of seed, sufficient for more than 40,000 who spread new practices in their communities. Research farmers. A thriving private seed market is a key to sus- is needed to determine how best to select master dissem- tainable growth in the adoption of fodder shrubs. inators and how to support them. Is it worthwhile to 5. Civil society campaigns. A much broader set of partners assist them with transportation (such as bicycles) or than just farmers and extension providers can add signif- train them in the use of fodder shrub technologies or icant value in promoting a new technology such as fod- extension methods? Can they be assisted by offering cash der shrubs. The SCALE (Systemwide Collaborative for providing extension services, either in exchange for Action for Livelihoods and the Environment) methodol- the information they provide or through selling inputs, ogy brings civil society stakeholders together to plan and such as fodder shrub seeds and seedlings? implement campaigns to promote new practices (AED Seed vendors face an array of constraints: NGOs giving 2006). By engaging a wide range of stakeholders who out free seed and undercutting their business, govern- represent all aspects of a given system (in this case, dairy ment seed centers selling seed to institutional buyers at production), the SCALE method generates change across subsidized prices, and government services demanding many levels and sectors of society, using a combination licensing fees. Efforts in Kenya have been successful in of different social change methodologies, including helping seed vendors organize and increase their sales advocacy, mass communication, and social mobilization. and reach. More efforts are needed to support them, by Experience with the SCALE approach in central Kenya linking them with institutional buyers and lobbying gov- highlights the effectiveness of civil society campaigns as ernments for policy reforms to provide them with a level 92 CHAPTER 4: RAINFED FARMING SYSTEMS IN HIGHLANDS AND SLOPING AREAS playing field. Efforts are also needed to help seed vendors REFERENCES in other countries emerge and organize themselves. AED (Academy for Educational Development). 2006. Civil society campaigns offer great promise for both sen- "SCALE: A Tool for Transformational Development." sitizing communities about new practices and training AED, Washington, DC. farmers in their use. Key questions that research could Franzel, S., and C. Wambugu. 2007. "The Uptake of Fodder address concern the scope of the campaign (for example, Shrubs among Smallholders in East Africa: Key Elements fodder shrubs, enriched feeds, or dairy production); the That Facilitate Widespread Adoption." In Forages: A balance between sensitization and training; and the rela- Pathway to Prosperity for Smallholder Farmers 2007, ed. tive importance and effectiveness of involving different M. D. Hare and K. Wongpichet, 203­22. Ubon types of stakeholders, such as media, religious leaders, Ratchathani, Thailand: Ubon Ratchathani University. and dairy companies. Franzel, S., C. Wambugu, and P. Tuwei. 2003."The Adoption and Dissemination of Fodder Shrubs in Central Kenya." Finally, investments are needed in two other key areas to AGREN Series Paper 131, Agricultural Research and Net- sustain progress in fodder shrub adoption and outcomes, work, Overseas Development Institute, London. especially with regard to SLM: Hess, H. D., T. T. Tiemann, F. Noto, S. Franzel, C. Lascano, and M. Kreuze. 2006. "The Effects of Cultivation Site on Improved species diversification. The range of species cur- Forage Quality of Calliandra calothyrsus var. Patulul." rently available to farmers should be expanded to include Agroforestry Systems 68 (3): 209­20. more indigenous shrubs. A broader range will reduce the Koech, S. 2005. "Socioeconomic Analysis of Fodder risk of pests and diseases and promote local biodiversity. Legumes: The Case of Calliandra and Desmodium in The most widely planted shrub, C. calothyrsus, has numer- Smallholder Dairy Farms of Embu District, Kenya." Mas- ous qualities that make it attractive: it is easily propagated, ter's thesis, Egerton University, Njoro, Kenya. it grows fast and withstands frequent pruning, and it com- Mawanda, F. 2004. "Socioeconomic and Farmers' Perceived petes little with adjacent crops. But it is not among the Environmental Impacts of Calliandra calothyrsus in most nutritious of feeds (Hess and others 2006); greater Uganda: A Case Study of Mukono and Kabale Districts." efforts are needed to find shrubs that have C. calothyrsus's Master's thesis, Makerere University, Kampala. favorable features and are higher in nutritive quality. Murithi, F. M. 1998. "Economic Evaluation of the Role of Moreover, improved species are needed for marginal envi- Livestock in Mixed Smallholder Farms of the Central ronments. Fodder shrub species are currently available for Highlands of Kenya." Ph.D. dissertation, University of the highlands (1,200 to 2,000 meters), but few are available Reading, U.K. for higher altitudes or for semiarid areas. NARP (National Agroforestry Research Project). 1993. Soil erosion prevention. More research is needed on the "Kenya Agricultural Research Institute Regional role that fodder shrubs can play in curbing soil erosion. Research Centre­Embu Annual Report: March In Rwanda, fodder shrub hedges are used for making 1992­April 1993." AFRENA Report 69, International progressive terraces, which form because soil builds up Centre for Research in Agroforestry, Nairobi. behind a hedge that stops soil from moving down the Nyaata, O. Z., M. K. O'Neill, and R. L. Roothaert. 1998. hillside. Fodder shrubs are also used to stabilize existing "Comparison of Leucaena leucocephala with Calliandra terraces. Policy makers want to know the costs and ben- calothyrsus in Napier (Pennisetum purpureum) Fodder efits of using biological means to prevent soil erosion, Banks." In Leucaena: Adaptation Quality and Farming Systems, ACIAR Proceedings 86, ed. H. M. Shelton, R. C. such as fodder shrubs, as compared with radical terrac- Gutteridge, B. F. Mullen, and R. A. Bray, 257­60. Can- ing, in which manual labor is used to build terraces. berra: Australian Centre for International Agricultural Research. NOTE Paterson, R. T., G. M. Karanja, R. Roothaert, Z. Nyaata, and 1. For example, such a farm would typically have available I. W. Kariuki. 1998."A Review of Tree Fodder Production about 500 meters of perimeter and several hundred meters and Utilization within Smallholder Agroforestry Systems in each of three other niches: along terrace edges or bunds, in Kenya." Agroforestry Systems 41 (2): 181­99. along internal field and homestead boundaries, and in Roothaert, R, G., M. Karanja, I. W. Kariuki, R. Paterson, P. Napier grass plots. With the recommended spacing, the Tuwei, E. Kiruiro, J. Mugwe, and S. Franzel. 1998. "Cal- needed 500 trees would occupy only 250 meters of this liandra for Livestock." Technical Bulletin 1, Regional available space. Research Centre, Embu, Kenya. INNOVATIVE ACTIVITY PROFILE 4.1: FODDER SHRUBS FOR IMPROVING LIVESTOCK PRODUCTIVITY 93 SDP (Smallholder Dairy Project). 2006."The Uncertainty of Wambugu, C., S. Franzel, P. Tuwei, and G. Karanja. 2001. Cattle Numbers in Kenya." SDP Policy Brief 10, SDP, "Scaling Up the Use of Fodder Trees in Central Kenya." International Livestock Research Institute, Nairobi, Development in Practice 11: 487­94. Kenya. Winrock International Institute for Agricultural Develop- Staal, S. J., I. Baltenweek, M. M. Waithaka, T. de Wolf, and L. ment. 1992. Assessment of Animal Agriculture in Sub- Njoroge. 2002."Location and Uptake: Integrated House- Saharan Africa. Little Rock, AR: Winrock International hold and GIS Analysis of Technology Adoption and Land Institute for Agricultural Development. Use with Application to Smallholder Dairy Farms in Kenya." Agricultural Economics 27 (3): 295­315. Wambugu, C., S. Franzel, J. Cordero, and J. Stewart. 2006. SUGGESTED READING Fodder Shrubs for Dairy Farmers in East Africa: Making Angima, S. D., D. E. Stott, M. K. O Neill, C. K. Ong, and G. Extension Decisions and Putting Them into Practice. A. Weesies. 2002. "Use of Calliandra­Napier Grass Con- Nairobi: World Agroforestry Centre and Oxford Forestry tour Hedges to Control Erosion in Central Kenya." Agri- Institute. culture Ecosystems and Environment 91 (1): 15­23. 94 CHAPTER 4: RAINFED FARMING SYSTEMS IN HIGHLANDS AND SLOPING AREAS C H A P T E R 5 Rainfed Dry and Cold Farming Systems OVERVIEW POTENTIALS FOR POVERTY REDUCTION AND AGRICULTURAL GROWTH Rainfed dry or cold farming systems cover about 3.5 billion hectares, but they support a relatively modest agricultural The potentials for poverty reduction and for agricultural population of 500 million. Approximately 231 million growth are modest. Rainfed dry or cold farming systems hectares of land are cultivated, of which 18 percent is irri- have some characteristics similar to highland rainfed systems gated. Population density is low, with 2.1 people per hectare because of the low agricultural potential and the poor mar- of cultivated land. keting infrastructure. Exit from agriculture has been judged These lower-potential systems are generally based on to be the most important strategy for poverty reduction, fol- mixed crop-livestock or pastoral activities, merging eventu- lowed by increase in off-farm income and diversification. ally into sparse and often dispersed systems with very low Diversification is based on livestock, on irrigation where productivity or potential because of environmental con- possible, and on improved land management that allows straints on production. In Africa, the main crops are millet better resistance to climate variability. Animal productivity and sorghum. In the Middle East and North Africa, the sys- can be improved by better using crop residues and byprod- tem is based on wheat, barley, and a wide variety of pulses ucts, by promoting locally adapted breeds, by controlling and oil crops, among others. Crop-livestock integration is epizootic diseases, and by improving village poultry pro- important, especially when cattle are fertilizing fields while duction. Support to small-scale private livestock trading has browsing on cereal straw after the harvest. In some of the some potential. Hides and skins, for instance, are often systems, small-scale irrigation opportunities exist, allowing undervalued products. There is limited potential for agri- pastoralists to supplement their livelihoods in diet and cultural development, except where irrigation can be devel- income. New irrigated areas are developed in the Middle oped and where water resources are not overexploited. The East and North Africa through new drilling and pumping development of higher-value crops, such as fruits and veg- technologies. Market development is limited. etables, is restrained because of rainfall uncertainties and The main source of vulnerability is great climatic variabil- relatively poor market links. Thus, a key priority is reducing ity and drought,leading to crop failure,weak animals,and the the likelihood of crop failure in drought years through distress sale of assets. Population density is modest; however, improved land and water management and multiplication pressure on the limited amount of cultivated land is very of palatable, drought-resistant, and early-maturing crop high. Overgrazing is common, resulting in low livestock pro- varieties. The regeneration of forests and natural vegetation ductivity, environmental damage,and desertification.Poverty is necessary for sustainable fuelwood supply and for soil fer- is extensive, often severe, and accentuated by drought. tility management. 95 I N V E S T M E N T N OT E 5 . 1 Integrating Land and Water Management in Smallholder Livestock Systems in Sub-Saharan Africa L ivestock perform many functions in the global have multiplier effects and create a need for services (Sere economy and at the household level, such as provid- and Steinfeld 1996). ing food, improving economic security, enhancing With increasing population pressure, farmers and gov- crop production, generating cash income, and producing ernments are striving to produce more food using existing value-added goods that can have multiplier effects and cre- land-based resources. In some regions, such as Africa and ate a need for services. With increasing population pressure, Latin America, increased food production is being achieved farmers and governments are striving to produce more food by expanding croplands into more marginal areas. In South using the existing land-based resources. The result is a and Southeast Asia, the trend is for rapid expansion of reduction in the land available for pasture and restrictions urban areas into former agricultural lands. In both cases, on the movement of animals for grazing. Increases in live- however, the net result is a reduction in the land available stock production and productivity can be coupled with for pasture and grazing, thereby restricting the movement environmental sustainability if timely interventions are of animals. There are two major ways of increasing livestock adopted. Without a clear strategy for the closer integration productivity in the various production systems, either of crops and livestock, the outcome is inevitably widespread through intensification of systems using high-input pro- environmental degradation. duction and management principles, including improved The International Institute for Land Reclamation and breeds, improved animal health, and cut-and-carry indus- Improvement (ILRI) has identified resource management trial systems, or through more intensively managed ranch- policy research as a key strategy. Such research includes ing systems. Increased livestock production and productiv- establishing trends on how current livestock management ity could be coupled with environmental sustainability if affects resource use and conservation in the future and on timely interventions are adopted. how changes in government policies affecting the institu- Land management invariably implies nutrient, water, and tions that deal with risk, credit, commodity pricing, and vegetation management, and sustainable land management macroeconomic policies influence resource use and the (SLM) demands integrated technological, policy, and insti- environment. tutional interventions. Increases in crop yield or pasture through improved agronomic practices (for example, opti- mum nutrient inputs) could enhance water-use efficiency KEY SUSTAINABLE LAND MANAGEMENT while the nutrient outflow through harvested products (for ISSUES example, livestock feeding on residues) could be high. Livestock perform many functions in the global economy This note does not review the available literature on live- and at the household level, such as providing food, improv- stock-environment issues but rather uses selected case studies ing economic security, enhancing crop production, generat- involving livestock-water and livestock-land interactions in ing cash income, and producing value-added goods that can Sub-Saharan Africa. These cases are used to indicate potential This note was prepared by T. Amede, International Livestock Research Institute, Addis Ababa, Ethiopia, and International Water Management Institute, Addis Ababa, Ethiopia; A. Haileslasie and D. Peden, International Livestock Research Institute, Addis Ababa, Ethiopia; S. Bekele, International Water Management Institute, Addis Ababa, Ethiopia; and M. Blümmel, Inter- national Livestock Research Institute, Addis Ababa, Ethiopia, and Hyderabad, India. 96 interventions that could help reduce the degradation of land found). This type of intense integrated crop-livestock inter- and water resources in smallholder livestock systems. actions occurs in systems like the dry savanna of West Africa Globally, livestock systems cover about 3.4 billion (Tarawali and others 2001). hectares of grazing land (Sere and Steinfeld 1996) and use In the third stage, both agriculture production and live- feed from about 25 percent of the cropland. In 1996, about stock production intensify. Livestock producers use more 442,884,000 metric tons of dry matter (DM) was consumed crops to produce meat and milk; crop farmers need draft to provide the meat and milk demanded by world markets power and manure to maintain their intensified cropping (de Haan, Steinfeld, and Blackburn 1997). In the future, systems. Unless market conditions attract external inputs to even more dry matter will be needed as the demand for restore resource balances and minimize depletion of land- meat and milk increases with growing urbanization, human based resources by farmers and livestock producers, the population growth, and increased incomes. For example, in long-term consequence is nutrient mining and degradation Africa, from 2000 to 2020, ruminant populations are pre- of water resources. dicted to increase from 279 million to 409 million tropical In the fourth stage, where markets and improved tech- livestock units (TLUs).1 About half of the rangelands and a nologies accompany population growth and increased labor third of the mixed rainfed production systems are in Sub- prices, the system increasingly depends on external inputs, Saharan Africa (Peden, Tadesse, and Misra 2007). thereby developing more profitable specialized livestock Livestock production systems vary greatly around the enterprises. Where markets are weak (as in much of Sub- world, as do their management and the relative importance Saharan Africa), with increasing population pressure and of livestock products and services.Accordingly, various com- declining farm size, however, even the traditional grazing binations of production systems have evolved in different areas--including steep slopes and communal lands-- parts of the world as the result of spatial and temporal diver- become converted to crop fields (although the return for sity in climate, population density, economic opportunities, investment is relatively low), thereby forcing livestock sys- and cultural practices (Stangel 1993). The typical sequence, tems to use even more marginal areas. In contrast, in areas however, is that as populations rise, cropping activities where market access for livestock products is appealing, expand, fallow periods formerly used to restore soil fertility farmers integrate multipurpose forages with both feed and are no longer possible, and concurrently, cropping takes over soil fertility restoration value. marginal or fallow lands previously used for livestock graz- In general, the different livestock production systems ing. Without a clear strategy for the closer integration of developed in various parts of Sub-Saharan Africa are greatly crops and livestock, the outcome is inevitably widespread influenced by the way livestock interacts with water and environmental degradation (Tarawali and others 2001). nutrient resources. Attempts to sustain the land resource Although they are not entirely distinct from each other, base also vary greatly across regions, production systems, four stages of livestock intensification processes have been and economic incentives. observed (Ehui and others 2003; McIntire, Bourzat, and Pingali 1992). These stages dictate the positive or negative relationships between livestock- and land-based resources. LIVESTOCK WATER AND NUTRIENT In the first stage, at low population density and abun- INTERACTIONS: IMPLICATIONS FOR dance of land, crop and livestock activities are extensive and SUSTAINABLE LAND MANAGEMENT specialized. Limited interaction occurs between crop-live- Livestock transform poor-quality, bulky vegetation into stock producers and pastoralists. In this case, the environ- high-value products of economic importance and nutri- mental effect of livestock on land management could be tional use (Delgado and others 1999). They enhance system positive, even in areas where the resource base is marginal. productivity by recycling nutrients and providing manure, Well-managed livestock will do better than crops in these by supplying draft power for the crop enterprises, and by marginal areas. providing livelihood options. Draft animals provide about In the second stage, agriculture intensifies because of 80 percent of the power used for farming in developing population growth and changes in market structures. This countries. The byproduct of crop production (crop residue) stage is typical in mixed-crop livestock systems of Sub- is a principal input for livestock production, and the byprod- Saharan Africa, where the two components are complemen- uct of livestock (manure and draft power) is a key input for tary (in some cases, however, competition for land-based the crop sector. In addition to recycling nutrients, livestock resources between livestock and crop enterprises can be redistribute nutrients between cropland and pastureland or INVESTMENT NOTE 5.1: INTEGRATING LAND AND WATER MANAGEMENT IN SMALLHOLDER LIVESTOCK SYSTEMS 97 within the cropland between different plots (feeding live- tems are sometimes overstated because changes in range- stock on agricultural residues). The complementarities land vegetation are often more affected by rainfall, soil type, between the livestock and crop subcomponents could be and topography than by grazing (Tarawali and others 2001). much higher than the potential competition between them, Similarly, grazing could have a positive effect on soil poros- particularly when well-managed livestock can contribute ity and infiltration rates in the presence of good vegetative positively to sustainable vegetation cover, improved land cover, whereas the effect could be negative in overgrazed management, and biodiversity. Moreover, use of livestock areas (Tarawali and others 2001). may offset the need for petroleum for mechanized agricul- Livestock provide nutrients to global agriculture equiva- ture. Although a huge potential exists for a more balanced lent to US$800 million per year (Jansen and de Wit 1996). view of livestock, livelihoods, and environment, the potential Like that of water, nutrient flow between different ecosys- role of improved livestock management in promoting SLM tem compartments is highly affected by the livestock pro- is neglected in the scientific and development arena. duction system. In the Sahel, Fernandez-Rivera and others In contrast, livestock are most frequently cited as one of (1995) indicated that if all animals in the sorghum-millet the major drivers of changing land use and soil degradation production systems were used for producing manure, (Steinfeld and others 2006), although that may not always manure input would range from 300 to 1,600 kilograms per be true in well-managed mixed crop-livestock systems of hectare. The potential of manure to contribute to sustain- Sub-Saharan Africa. Livestock could be one of the factors able farming in these systems could be influenced by live- contributing to off-site problems of sedimentation, carbon stock population, spatial location of animals at manuring emissions and climate change, reduced ecosystem function, time, manure excretion per animal, efficiency of manure and changes in natural habitats that ultimately lead to loss collection, and availability of feed and land resources of genetic stock and biodiversity, particularly in regions (Tarawali and others 2001). In contrast, in semiurban small- where the livestock density is high, the carrying capacity is scale livestock systems of Sub-Saharan Africa, where land is low, and the livelihood options are limited. intensively cultivated and animals are stall fed, manure must Although erosion from croplands is commonly consid- be handled, stored, transported, and spread on fields. Most ered the major cause of land degradation in the African nutrients excreted as urine from stall-fed animals may be highlands, Dunstan, Matlon, and Löffler (2004) indicated lost, through either volatilization or leaching. Thus, a move that overgrazing is one of the primary causes of land degra- to more stall-feeding of animals could greatly reduce the dation (49 percent) in the developing world, followed by amount of nutrients recycled to the rural agricultural sys- agricultural activities (24 percent), deforestation (14 per- tems. In extensive land-use systems, animals graze to satisfy cent), and overexploitation of vegetative cover (13 percent). feed requirements and are herded close to watering points. Land fragmentation and limited farm size also contribute to In these situations, animal manure and urine is highest in inappropriate livestock management, resulting in land nonproductive areas, such as near watering holes, in resting degradation. High livestock density may lead to trampling, areas, and along paths of animal movement. This situation depletion and pollution of water, emission of greenhouse results in high accumulation of nutrients in these areas and gases, and loss of plant and animal genetic resources (de increases the risk not only of nutrient losses but also of con- Haan, Steinfeld, and Blackburn 1997). Livestock production tamination of water resources. also will have an off-site effect, such as the expansion and Global livestock population requires considerable intensification of cropland to satisfy the increasing demand amounts of water; however, the estimation of these require- for feed, which in turn may lead to erosion and pollution. In ments is crude (Peden, Tadesse, and Misra 2007). Water crop-livestock systems, where crop production is favored in constitutes about 60 to 70 percent of animal liveweight. resource allocation over livestock, arable lands and fertile Livestock maintain this level by drinking, consuming corners are commonly allocated for production of food moisture-laden feed, and capturing metabolic water (from crops while less fertile farm corners, hillsides, and degraded intercellular respiration). The major nutrients required for outfields are allocated for grazing and pasture. In these sys- metabolic function of livestock come from feed, voluntary tems, livestock can cause huge pressure on the land by greatly water intake, and the atmosphere (for example, oxygen). reducing chances for rotation and vegetative recovery. Livestock lose water and nutrients to the subsystem in the In response to these environmental concerns, various form of evaporation, urine, feces, lactation, and respiration. initiatives are being developed or proposed to adopt holistic Depending on the scale, these losses could be inputs for approaches. However, the effects of livestock on dryland sys- other nonlivestock system components as organic fertilizers. 98 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS When thinking about livestock and water, most people ing, erosion, and nutrient depletion), including adopting visualize the direct consumption of drinking water. Evidence nutrient recycling principles suggests that voluntary water intake ranges between 25 and 3. Enhancing animal productivity through better livestock 50 liters per TLU per day (Peden, Tadesse, and Misra 2007). health, nutrition, and animal husbandry practices This volume varies greatly by species and breed, ambient 4. Providing adequate quality of drinking water synchro- temperature, water quality, level and water content of feed, nized with available feed. and animal activity. In terms of volume, the most important interaction of water and livestock is through evapotranspira- Additional interventions that would enhance livestock- tion processes in producing animal feed. In the tropics, ani- water productivity include increasing the availability of mals usually consume (in kilograms of DM per day) between mineral blocks in pastures and water, improving the 1.5 and 3.5 percent of their body weight, depending on the digestibility of low-quality crop residue, and mixing live- quality of the diet, feed availability, environmental condi- stock feed strategically. tions, and other factors. If one assumes about 0.5 kilogram Furthermore, livestock interventions to reverse degraded cubic meters of rangeland water productivity, water required lands in small-scale livestock systems include the following: to produce maintenance feed for one TLU is 100 times more than the water required for drinking. Less than half of the Gaining the confidence of community experimenters plant material is eaten by animals and about half of what is Minimizing soil erosion of grazing and pasturelands eaten is returned to the soil as manure (if the animals are in through physical and biological measures pastureland). Thus, only about 25 percent of pasture could Increasing soil organic matter through improved forages, go to animals, and the rest could support ecosystem services. improved management of pasturelands, and improved In general, the farming sector is under huge pressure to manure and crop residues produce more crop and animal products per units of water Improving the water budget of the system through water and nutrient investment. Livestock subsystems, which conservation measures strongly interact with crop and other system components Increasing the nutrient status of the soil through across fields, farms, and landscapes, should be efficient users improved nutrient recycling and application of key of resources if the food demand by the growing population nutrients is to be satisfied and the environmental services are to be Adopting integrated approaches enhancing the produc- sustained. Therefore, an integrated systems approach that tivity of the crop-livestock systems, particularly through minimizes competition for land-based resources between improved livestock management. different system subcomponents needs to be adopted, and interventions must be introduced that would create win- OPPORTUNITIES FOR SCALING UP win situations for enhancing livestock water and nutrient LIVESTOCK SYSTEMS USING INTEGRATED productivity at various scales. LAND AND NATURAL RESOURCE APPROACHES LESSONS LEARNED The following interventions, which emerged from the Water productivity describes the production of more eco- research work of national, regional, and international nomic agricultural products per unit of water, expressed in research institutions in East Africa, could address the grow- terms of product per units of evapotranspiration (Rock- ing concerns of livestock-environment interaction at farm ström, Barron, and Fox 2003). Peden, Tadesse, and Misra and higher scales and are envisaged from the perspective of (2007) suggested the following four major strategies to harmonizing livestock to the existing crop-livestock systems enhance livestock-water productivity: of Sub-Saharan Africa. Feed and fodder requirements for livestock present the crucial interface at which positive and 1. Improving feed strategies by promoting nongrain feed negative of effects of livestock are decided. Feed and fodder sources with high water productivity, using crop residues obviously drive livestock productivity, and they are com- and byproducts as feed, and adopting practices that monly the major input factor deciding the economic return encourage more uniform grazing from animal husbandry. Ingested feed and fodder carbon 2. Conserving water by managing animals in a way that and nitrogen inefficiently converted into meat and milk reduces land and water degradation (such as overgraz- INVESTMENT NOTE 5.1: INTEGRATING LAND AND WATER MANAGEMENT IN SMALLHOLDER LIVESTOCK SYSTEMS 99 contribute substantially to greenhouse gases (Blümmel, cover, and minimized land degradation. Decision guides Krishna, and Ørskov 2001). that could help farmers and development actors to target The following approaches to promoting efficient feeding legume interventions have been tested across communi- strategies have shown promise for scaling up: ties and systems and are currently available. Soil and water conservation as niches for integration of for- Legume forage banks. From the early 1980s, the Interna- ages. Protecting upper watersheds is important not only tional Institute of Tropical Agriculture and the Interna- for preserving sustainable flow of water to downstream tional Livestock Research Centre for Africa (the current users but also for minimizing land degradation and ero- ILRI) promoted alley cropping and forage banks--with sion of soils and biodiversity. Besides minimizing erosion multipurpose legume shrubs as key strategies--to boost and runoff, these interventions became important niches livestock production and improve soil fertility through for integration of livestock feed in various systems. The nitrogen fixation and addition of nutrients supplied as multiple use of forages as biological stabilizers and green manures or mulch. sources of high-quality feed, particularly for calves and Integrating food-feed crops. Generally, where land and milking cows during the dry season, is a very important water are allocated and used exclusively for fodder pro- incentive for integration and promotion of forages. duction, the efficiency of conversion of natural resources Zai systems as forage niches. Livestock water and nutrient into livestock product is low (even though absolute live- productivity could be enhanced through adoption of stock production might be high).A range of management water- and nutrient-saving technologies, particularly in options exist for increasing biomass production in mixed degraded farms and landscape niches. Zai is a water and crop-livestock systems. They include intercropping, thin- nutrient harvesting intervention that was developed by ning out of densely planted crops, and of course, fertilizer farmers in Burkina Faso in response to the recurrent application (Blümmel, Krishna, and Ørskov 2001). For drought of the 1970s and 1980s. When farmers planted instance, in the dry savanna of West Africa, Tarawali and forages (for example, vetch, Napier grass) treated by zai others (2001) reported that 1 hectare of improved cow- pits, forage yield was increased as much as 10­fold. Tuber peas could benefit a farmer by an extra 50 kilograms of yields of potatoes increased about fivefold compared to meat per year from better-nourished animals and also untreated plots. The benefits were highest in degraded produce an additional 300 kilograms of cereal grains as a farms and systems. result of improved soil fertility. Increasing livestock feed through spot application of fertil- Increasing livestock feed by growing crop mixtures. Crop izers. In the dryland, mixed crop-livestock systems of mixtures reduce risk in drought-prone areas (such as Sub-Saharan Africa, crop and livestock productivity is much of Sub-Saharan Africa). For example, where forage constrained not only by shortage of water but also by legumes are relay cropped with another crop, the nutrient deficiency. At Sadore, Niger, where the annual legumes may still yield a useful harvest after the drought- average rainfall is 560 millimeters, not using fertilizers affected crop or the early-maturing component is har- resulted in a harvest of 1.24 kilograms of pearl millet vested. Preliminary empirical findings show that the grain per millimeter of water, whereas using fertilizers relay-cropped forage can produce up to 4 metric tons of resulted in the harvest of 4.14 kilograms of millet grain DM per hectare of high-quality fodder using the residual per millimeter of water (ICRISAT 1985). moisture and nutrients, without competing with the Improved manure management. Manure is a key resource main food or cash crop and thus not interfering with the for reversing land degradation and improving soil water- production objectives of farmers. This finding suggests holding capacity, thereby enhancing water productivity. increased water productivity at farm and higher scales. Producers can adopt several practical interventions to Forage legumes in degraded farms and systems (decision improve the quality of the manure generated by live- guides). Producers using crop-livestock systems need stock. Runoff can be prevented from passing across the reliable and accurate information on where to grow for- feedlot surface by installing up-gradient ditches to ages, on the costs and benefits (both long- and short- reduce significantly the volume of wastewater; storage term) of introducing forage legumes into their systems, lagoons and holding ponds can be used to contain excess and on how to identify the spatial and temporal niches wastewater; manure can be stockpiled at a safe distance for integration of forages with win-win benefits of soil away from any water supply; and grass filter strips, filter fertility restoration, erosion control, increased vegetative fencing, or straw bales can filter solids and nutrients in 100 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS runoff. Composting manure will help reduce volume production, but livestock drinking and feeding are not and enhance the value and acceptance of manure as a part of the design of irrigation projects. Integrating live- source of plant nutrients. The efficiency of manure is stock in the wider water development agenda will boost also improved when manure use is combined with water livestock-water productivity and promote SLM. conservation technologies, such as zai pits. Promote integrated crop-livestock systems, whereby crop Outfield grazing management on water and nutrient and livestock enterprises are complementary, resource resources. Free grazing systems, which are common in recycling is practiced, water depletion and nutrient min- pastoral and mixed crop-livestock systems of Sub- ing are minimized, and key critical external inputs are Saharan Africa and South Asia, are considered a major introduced. cause of land degradation and depletion of water Encourage participatory policy formulation to regulate resources. Experience of the African highlands initiative stocking rates in pastoral systems, and allocate land to indicates that the following approaches can significantly groups that will enhance resource-use efficiency. improve sustainability of outfield grazing: (a) introduc- Promote well-managed corralling, based on keeping live- ing fast-growing forages as forage banks, particularly in stock on selected areas over a given time period to pro- homestead areas, improving crop residue management, vide fertilizer for crops while reducing nutrient losses and introducing rotational pasture management; (b) from manures through volatilization and runoff. assisting communities in identifying spatial and tempo- Employ full cost recovery for developing water points ral niches for forages and in accessing technologies to and animal health services to encourage livestock keepers increase feed production and livestock productivity; and to adjust stocking rates to the carrying capacity of the (c) assisting communities in developing local rules and system. bylaws to guide the management of free grazing. Promote access to water points and feed resources across scales, particularly for the poor, as an incentive to pro- mote gender equity and improve land and water man- RECOMMENDATIONS FOR PRACTITIONERS agement practices. Poor farmers may be willing to invest AND POLICY MAKERS labor and other resources to guarantee the sustainable In general, policy makers have not considered the effect of productivity of their limited number of livestock. livestock on land productivity as a policy objective in itself but merely as an input for achieving other policy objectives. INVESTMENT NEEDS Land degradation is not seen as posing a serious policy con- cern unless it threatens livelihood and immediate regional Promoting small-scale irrigation through diversions, and national objectives (Scherr 1999). The ongoing chal- water harvesting, and groundwater use, with due consid- lenge is therefore to identify policies, institutions, and tech- eration to environmental consequences and upstream- nologies that will enhance the positive and mitigate the neg- downstream relationships, could be an important policy ative effects of livestock on the environment. ILRI has strategy to improve livestock-environment interaction. identified resource management policy research as a key Increased access to irrigation will increase feed availabil- strategy (Ehui and others 2003). This strategy includes ity from crop fields, forages, grasslands, and other niches establishing trends on how current livestock management that will reduce the grazing pressure on marginal lands. affects resource use and conservation in the future and on Incentives for strategically located markets and value- how changes in government policies affect those institu- added processing to facilitate livestock sales and thus tions in terms of risk sharing, credit, commodity pricing, match livestock resource (that is, feed and water) and selected macroeconomic policies on resource use and demands pressure on carrying capacity of the natural the environment. The most relevant policy area related to resources base. SLM is the policy framework. It should promote the mitiga- tion of negative effects of livestock production on environ- NOTE mental health, including the following: 1. A TLU is equivalent to 250 kilograms liveweight. Integrate livestock in designing irrigation and other water-related development projects. The current policy REFERENCES of Sub-Saharan African countries is biased toward crop INVESTMENT NOTE 5.1: INTEGRATING LAND AND WATER MANAGEMENT IN SMALLHOLDER LIVESTOCK SYSTEMS 101 Blümmel, M., N. Krishna, and E. R. Ørskov. 2001. "Supple- McIntire, J., D. Bourzat, and P. Pingali. 1992. Crop-Livestock mentation Strategies for Optimizing Ruminal Carbon Interaction in Sub-Saharan Africa. Washington, DC: and Nitrogen Utilization: Concepts and Approaches." In World Bank. Review Papers: Proceedings of the 10th Animal Nutrition Peden, D., G. Tadesse, and A. K. Misra. 2007. "Water and Conference, Karnal, India, November 9­11, 2001, 10­23. Livestock for Human Development." In Water for Food, Karnal, India: Animal Nutrition Society of India. Water for Life: A Comprehensive Assessment of Water de Haan, C., H. Steinfeld, and H. Blackburn. 1997. Livestock Management in Agriculture, ed. D. Molden, 485­514. and the Environment: Finding a Balance. Report of a London: Earthscan. study sponsored by the Commission of the European Rockström, J., J. Barron, and P. Fox. 2003. "Water Produc- Communities; the World Bank; and the governments of tivity in Rainfed Agriculture: Challenges and Opportuni- Denmark, France, Germany, the Netherlands, United ties for Smallholder Farmers in Drought-Prone Tropical Kingdom, and United States. Suffolk, U.K.: WRENmedia. Agro-Ecosystems." In Water Productivity in Agriculture: Delgado, C., M. Rosegrant, H. Steinfeld, S. Ehui, and C. Limits and Opportunities for Improvement, ed. J. W. Kijne, Courbois. 1999."Livestock 2020: The Next Food Revolu- R. Barker, and D. Molden, 145­63. Wallingford, U.K.: tion." FAO Discussion Paper 28, Food and Agriculture CAB International. Organization, Rome. Scherr, S. J. 1999. "Past and Present Effects of Soil Degrada- Dunstan, S. C. S., P. J. Matlon, and H. Löffler. 2004. "Realiz- tion." IFPRI 2020 Discussion Paper 27. International ing the Promise of African Agriculture." Background Food Policy Research Institute, Washington, DC. Paper 1, InterAcademy Council, Amsterdam, Nether- Sere, C., and H. Steinfeld. 1996. "World Livestock Produc- lands. tion Systems: Current Status, Issues and Trends." Animal Ehui, S. K., M. M. Ahmed, B. Gebremedhin, S. E. Benin, N. Production and Health Paper 127, Food and Agriculture A. Nin-Pratt, and M. L. Lapar. 2003. Ten Years of Livestock Organization, Rome. Policy Analysis: Policies for Improving Productivity, Com- Stangel, P. J. 1993. "Nutrient Cycling and Its Importance in petitiveness, and Sustainable Livelihoods of Smallholder Sustaining Crop/Livestock Systems in Sub-Saharan Africa: Livestock Producers. Nairobi: International Livestock An Overview." In Livestock and Sustainable Nutrient Research Institute. Cycling in Mixed Farming Systems of Sub-Saharan Africa, Fernandez-Rivera, S., T. O. Williams, P. Hiernaux, and J. M. Volume 1: Conference Summary, Proceedings of an Interna- Powell. 1995. "Livestock, Feed, and Manure Availability tional Conference, November 22­26, 1993, ed. J. M. Powell, in Semi-Arid West Africa." In Livestock and Sustainable S. Fernandez-Rivera , and T. O. Williams, 37­57. Addis Nutrient Cycling in Mixed Farming Systems of Sub-Saha- Ababa: International Livestock Research Centre for Africa. ran Africa, Volume 2, Technical Papers, Proceedings of an Steinfeld, H., P. Gerber, T. Wassenaar, V. Castel, M. Roslaes, International Conference, November 22­26, 1993, ed. J. M. and C. de Haan. 2006. Livestock's Long Shadow: Environ- Powell, S. Fernandez-Rivera, T. O. Williams, and C. mental Issues and Options. Rome: Food and Agriculture Renard, 149­70. Addis Ababa: International Livestock Organization. Research Centre for Africa. Tarawali, S. A., A. Larbi, S. Fernandez-Rivera, and A. ICRISAT (International Crops Research Institute for the Bationo. 2001. "The Contribution of Livestock to Soil Semi-Arid Tropics). 1985. Annual Report, 1984. Niamey, Fertility." In Sustaining Soil Fertility in West Africa, ed. G. Niger: ICRISAT. Tian, J. L. Hatfield, and F. Ishida, 281­304. Madison, WI: Jansen, J. C. M., and J. de Wit. 1996. Livestock and the Envi- Soil Science Society of America and American Society of ronment: Finding a Balance--Environmental Impact Agronomy. Assessment of Livestock Production in Mixed Irrigated Sys- tems in the Sub-humid Zones. Wageningen, Netherlands: International Agriculture Centre. SUGGESTED READING Molden, D. J. 2007. Water for Food, Water for Life: A Com- prehensive Assessment of Water Management in Agricul- ture. London: Earthscan. http://www.iwmi.cgiar .org/assessment/. 102 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS I N V E S T M E N T N OT E 5 . 2 Integrated Nutrient Management in the Semiarid Tropics I ncreasing needs of food, feed, and fiber for the ever- oratories in each district of a state is of utmost importance increasing population in the semiarid tropical regions so that timely and correct information can be provided to of the developing world are putting pressure on the the farmers relating to the diagnosis of soil fertility con- rainfed areas to make a greater contribution from the vast straints (Wani and others 2003, 2005). area under dryland agriculture. The smallholder farmers Apart from water shortage, the productivity in rainfed rely on dryland subsistence productivity for their livelihood, systems is constrained by low soil fertility. The soils in the but the productivity of dryland systems remains low subarid tropical regions generally have low organic matter because of low and erratic distribution of rainfall coupled and nutrient reserves. Soil erosion removes the top soil with low to negligible inputs of nutrients. Moreover, main- layer, which results not only in loss of soil but also in loss of tenance of soil organic matter is a challenge because of com- organic matter and plant nutrients, which largely are stored peting uses for organic and crop residues. Organic matter is in the top soil layer (Wani and others 2003). Among the not just the source of nutrients; it is essential for preserving major nutrients, nitrogen is universally deficient; phospho- the physical, chemical, and biological integrity of the soil so rus deficiency ranks second only to nitrogen in most sub- that the soil can perform productivity and environment- arid tropical soils. The work of the International Crops related functions on a continuing basis. With little invest- Research Institute for the Semi-Arid Tropics (ICRISAT) has ment in the management of soils, large areas under dryland shown that potassium reserves in subarid tropical soils are agriculture are in various stages of physical, chemical, and generally adequate (Rego and others 2007). Most subarid biological degradation. Strategies that can achieve sustain- tropical soils have low to moderate phosphorus sorption able improvement in dryland productivity by facilitating an capacity, and most of the rainfed systems require low to integrated land and water management and conservation moderate rates of phosphorus applications to meet their approach are highlighted, along with a special focus on inte- phosphorus requirements when residual benefits are also grated nutrient management (INM) of soil. considered (Sahrawat 1999, 2000; Sahrawat and others 1995). Many farmers' fields in the subarid tropical regions of India are deficient in secondary nutrients and micronu- KEY SUSTAINABLE LAND MANAGEMENT trients. ICRISAT's extensive survey of farmers' fields in the ISSUES subarid tropical regions of India revealed that deficiencies Farm holdings in the subarid tropics not only are distinct in of sulfur, boron, and zinc are very widespread, and in most terms of size, shape, and location on a toposequence but cases 80 to 100 percent of farmers' fields were critically defi- also vary widely in the cropping patterns and the quality cient in these nutrients (table 5.1) (Rego and others 2007). and quantity of nutrients used for crop production. A major constraint is the timely availability of knowledge and the LESSONS LEARNED right information about soil health for the farmers (Singh and others 2004). Farmers do not know what is ailing their Several microorganisms in the soil decompose plant and farm in general. Establishing high-quality soil analytical lab- animal residues, and several groups of microorganisms are This note was prepared by S. P. Wani, K. L. Sahrawat, and C. Srinivasa Rao, International Crops Research Institute for the Semi-Arid Tropics. 103 Table 5.1 Chemical Characteristics of 924 Soil Samples Collected from Farmers' Fields in Three Districts of Andhra Pradesh, India, 2002­04 Number Organic Total Olsen-P Exchange Extractable nutrient of Type of carbon nitrogen test potassium elements (mg kg­1) District fields measurement pH (g kg­1) (g kg­1) (mg kg­1) (mg kg­1) Sulfur Boron Zinc Nalgonda 256 Range 5.7­9.2 1.2­13.6 144­947 0.7­37.6 34­784 1.4­93.0 0.02­1.48 0.08­16.00 Mean 7.7 4.0 410 8.5 135 7.00 0.26 0.73 Percentage deficienta 86 93 73 Mahabubnagar 359 Range 5.5­9.1 0.8­12.0 123­783 0.7­61.0 25­487 1.1­44.0 0.02­1.62 0.12­35.60 Mean 7.1 3.6 342 9.1 117 11.5 0.22 1.34 Percentage deficienta 73 94 62 Kurnool 309 Range 5.6­9.7 0.9­10.6 26­966 0.4­36.4 33­508 1.3­68.2 0.04­1.64 0.08­4.92 Mean 7.8 3.4 295 7.9 142 5.6 0.34 0.42 Percentage deficienta 88 83 94 Source: Authors' elaboration. Note: g kg­1 = grams per kilogram of the sample; mg kg­1= milligrams per kilogram of the sample. a. Represents the critical limits in the soil used: 8­10 mg kg­1 for calcium chloride extractable sulfur; 0.58 mg kg­1 for hot water extractable boron; 0.75 mg kg­1 for DTPA (diethylene triamine pentaacetic acid) extractable zinc. involved in important biological processes. Microorganisms Bradyrhizobium supplied as inoculants are used as biofertil- regulate nutrient flow in the soil by assimilating nutrients izers by seed or soil inoculation. and producing soil biomass (immobilization) and by con- Recent results from a long-term study conducted under verting carbon, nitrogen, phosphorus, and sulfur to mineral rainfed conditions on a vertisol for 12 years demonstrated forms (mineralization). Among the important findings that the inclusion of grain legumes such as pigeonpeas and were the following: chickpeas in the production systems not only provided extra income but also increased the productivity of succeeding or Symbiotic nitrogen fixers. A symbiotic partnership intercropped cereal such as sorghum and maize. Such sys- between bacteria (Rhizobium and Bradyrhizobium) and tems also maintained the soil nitrogen status (Rego and legumes contributes substantially (up to 450 kilograms Nagewara 2000). Nitrogen mineralization potential of soil of nitrogen per hectare per year) to total biological nitro- under legume-based systems was twofold higher than under gen fixation (BNF). a cereal-cereal system (Wani and others 1995).Another long- Nonsymbiotic and associative nitrogen fixers. Inoculation term study showed that in cropping systems involving with bacteria (Aztobacter and Azospirillum) reduces the legumes, land and water management factors, such as the nitrogen requirement of cereals or nonlegume crops up broad-bed and furrow landform and use of inorganic fertil- to 20 kilograms per hectare. izers, increased the organic matter, increased available nitro- Plant growth­promoting rhizobacteria. These bacteria gen and phosphorus status of soils, and improved soil phys- improve plant growth through hormonal effects and ical and biological properties (table 5.2). Results also showed reduce disease severity. that in the improved system higher carbon was sequestered Phosphate-solubilizing microorganisms. These bacteria and the biological properties of the soil were improved, and fungi solubilize inorganic phosphates and make which led to higher productivity of systems and higher car- them available to plants in usable form. rying capacity of land (both of people and of animals). The Vesicular-arbuscular mycorrhizae. These fungi help application of phosphorus to the improved system increased increase uptake of nutrients such as phosphorus, sulfur, the amount of carbon sequestered by 7.4 tons of carbon per and copper and improve plant growth. hectare in 24 years (Wani and others 2003). BIOLOGICAL NITROGEN FIXATION OPPORTUNITIES FOR SUSTAINABLE LAND MANAGEMENT: PRODUCTS AND SERVICES BNF is an economically attractive and ecologically sound process and is an integral part of nitrogen cycling in nature. Enhancing and sustaining agricultural productivity and Rhizobium inoculation is practiced to ensure adequate food security in the subarid tropics requires adopting INM nodulation and BNF. Efficient strains of Rhizobium and 104 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Table 5.2 Biological and Chemical Properties of Semiarid Tropical Vertisols Soil depth (cm) Properties System 0­60 60­120 SE± Soil respiration (kg C/hectare) Improved 723 342 7.8 Traditional 260 98 Microbial biomass carbon (kg C/hectare) Improved 2,676 2,137 48.0 Traditional 1,462 1,088 Organic carbon (tons C/hectare) Improved 27.4 19.4 0.89 Traditional 21.4 18.1 Mineral nitrogen (kg N/hectare) Improved 28.2 10.3 2.88 Traditional 15.4 26.0 Net nitrogen mineralization (kg N/hectare) Improved ­3.3 ­6.3 4.22 Traditional 32.6 15.4 Microbial biomass nitrogen (kg N/hectare) Improved 86.4 39.2 2.3 Traditional 42.1 25.8 Nonmicrobial organic nitrogen (kg N/hectare) Improved 2,569 1,879 156.9 Traditional 2,218 1,832 Total nitrogen (kg N/hectare) Improved 2,684 1,928 156.6 Traditional 2,276 1,884 Olsen P test (kg P/hectare) Improved 6.1 1.6 0.36 Traditional 1.5 1.0 Source: ICRISAT. Note: SE = standard error of mean; C = carbon; N = nitrogen; P = phosphorus; kg = kilogram. The data are for 1998, after 24 years of cropping under improved and traditional systems in catchments at the ICRISAT Center in Patancheru, India. strategy. INM strategy includes maintenance or adjustment stover, and contains 0.5 to 1.0 percent nitrogen, 0.05 to 0.07 of soil fertility and plant nutrient supply to sustain the percent phosphorus, and 0.03 to 0.35 percent potassium. desired level of crop productivity, using all available sources Crop residues can be recycled by composting, vermicom- of nutrients (for example, soil organic matter, soil reserves, posting, mulching, and direct incorporation. Because of BNF, organic manures, mineral fertilizers, and nutrients) their low nitrogen content, organic manures are less effi- supplied through precipitation and irrigation water. INM is cient than mineral fertilizers; however, combined use of a holistic approach focusing on the cropping system rather these nutrient sources is superior to using mineral fertilizer than on individual crops. INM focuses on the farming sys- or organic manure alone. A combination of crop residue tem rather than on individual fields. It does not preclude the restitution (based on availability), fallowing, and green use of renewable nutrient sources such as BNF and organic manuring can be used to maintain organic matter levels in manures and minimal use of mineral fertilizers. the soil. Organic matter is not just the reservoir of plant nutri- On farms as well as in homes, large quantities of organic ents. Organic matter favorably influences physical and bio- wastes are generated regularly. Besides agricultural wastes, logical properties and productivity of soils. High prevailing large quantities of domestic wastes are generated in cities temperatures in the tropics, coupled with low net primary and rural areas that are burned or put in landfills. These productivity in the dry regions, results in low organic mat- valuable nutrients in residues could instead be effectively ter reserves in the SAT soils. used for increasing agricultural productivity by using earth- Organic manures are of two types: worms to convert the residues into a valuable source of plant nutrients (table 5.3). The process of preparing valu- Bulky. These manures include farmyard manure, com- able manure from all kinds of organic residues with the help posts (rural and town), and crop residues of earthworms is called vermicomposting and this manure is Concentrated. These manures include oilcakes, poultry called vermicompost. manure, and slaughterhouse waste. Vermicompost can be prepared from all types of organic residues, such as agricultural residues, sericultural residues, Farmyard manure is the most commonly used organic animal manures, dairy and poultry wastes, food industry manure, particularly for high-value crops. It is prepared wastes, municipal solid wastes, biogas sludge, and bagasse from animal-shed wastes and crop residues, including from sugarcane factories. Vermicompost can be prepared by INVESTMENT NOTE 5.2: INTEGRATED NUTRIENT MANAGEMENT IN THE SEMIARID TROPICS 105 RECOMMENDATIONS FOR PRACTITIONERS Table 5.3 Nutrient Composition of Vermicompost Rainfed production systems have two major constraints: water shortages and general low soil fertility. To make these Nutrient element Vermicompost (%) systems sustainable at reasonable productivity levels, farmers Organic carbon 9.8­13.4 need to integrate soil and water-conserving practices with Nitrogen 0.51­1.61 Phosphorus 0.19­1.02 balanced nutrition of crops by adopting INM. The knowl- Potassium 0.15­0.73 edge available about different sources of nutrients, such as Calcium 1.18­7.61 BNF, organic manures, and mineral fertilizers, can be used to Magnesium 0.093­0.568 Sodium 0.058­0.158 develop a suitable strategy for INM to sustain crop produc- Zinc 0.0042­0.110 tivity. INM strategy is realistic, attractive, and friendly to the Copper 0.0026­0.0048 environment. INM will enhance the efficiency of biological, Iron 0.2050­1.3313 Manganese 0.0105­0.2038 organic, and mineral inputs for sustaining productivity of subarid tropical soils. Judicious and balanced use of nutri- Source: ICRISAT. ents from biological sources, mineral fertilizers, and organic matter is a prerequisite for making rainfed agriculture effi- cient through increased efficiency of rainfall use. Specific different methods in shaded areas, such as (a) on the floor recommendations include the following: in a heap, (b) in pits up to 1 meter deep, (c) in an enclosure with a wall 1 meter high constructed with soil and rocks or Recognize that different crops require different rhizobia. brick material or cement, and (d) in cement rings. The pro- Select the right type of biofertilizer (inoculant). cedure for preparation of vermicompost is similar for all Use fresh inoculant that is within the limit of its expira- methods. tion date. Vermicompost can be used on agricultural, horticultural, Use well-tested inoculants produced by reputable manu- ornamental, and vegetable crops at any stage of the crop. facturers. Vermicompost is a rich source of major and micro plant In India, insist on high-quality inoculants with the nutrients (see table 5.3) and can be applied in varying doses Indian Standards Institution (ISI) mark. in the field. Prepare inoculum slurry by using a sticking agent such as jaggery, rice porridge, or gum arabic. RATIONALE FOR INVESTMENT Mix seeds with inoculum slurry by hand. Dry seeds on a plastic sheet kept under a shade. On-farm studies made on smallholder farms for three sea- Sow seeds within 48 hours after inoculation. sons in the subarid tropical region of Zimbabwe showed Use high nitrogen-fixing crops or varieties. that applications of fertilizer nitrogen (8.5 kilograms nitro- Practice mixed and intercropping agriculture (that is, gen per hectare) in combination with manure application at row and strip) with legumes. 3 or 6 tons per hectare have the potential to improve the Use appropriate tillage practices, landform treatments, livelihoods of farmers. The maize yields of the crop were and nutrient amendments. dramatically increased by the applications of manure and Use appropriate mineral fertilizers in amounts to meet nitrogen in small doses (Ncube and others 2007). the nutrients requirements. ICRISAT's recent on-farm research in the subarid tropi- Ensure that efficiency of applied fertilizers is optimized cal regions of India showed that balanced nutrition of rain- through adoption of suitable practices: fed crops is crucial for sustainable increase in productivity ­ Form or type--as recommended for the crop and maintenance of fertility. For example, in the subarid ­ Method--furrow placement and covering with soil tropical regions of India where most farmers' fields were instead of broadcasting found deficient not only in nitrogen and phosphorus but ­ Time--splitting of nitrogen doses instead using one also in sulfur, boron, and zinc, the application of sulfur, application boron, and zinc with nitrogen and phosphorus significantly ­ Quantity--just sufficient to meet plant demand with- increased the yield (by 30 to 120 percent) of field crops, out adversely affecting BNF including sorghum, maize, castor, sunflower, and ground- Undertake detailed soil analysis to identify soil fertility nut (Rego and others 2007). constraints limiting crop production. 106 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Develop suitable nutrient management recommenda- REFERENCES tions from soil analysis results and share that knowledge Ncube, B., J. P. Dimes, S. J. Twomlow, W. Mupangwa, and K. with the farmers, stressing the need for adoption of INM E. Giller. 2007. "Raising the Productivity of Smallholder to maintain fertility and productivity. Farms under Semi-arid Conditions by Use of Small Optimize and harness full potential of available biologi- Doses of Manure and Nitrogen: A Case of Participatory cal and organic sources and use chemical fertilizers to Research." Agroecosystems 77 (1): 53­67. supplement the gap in the nutrient requirements of the Rego, T. J., and V. Nageswara. 2000. "Long-Term Effects of production system. Grain Legumes on Rainy Season Sorghum Productivity Adopt an integrated strategy rather than a piecemeal in a Semi-arid Tropical Vertisol." Experimental Agricul- approach for sustainable development (for example, for ture 36 (2): 205­21. most land management issues, addressing water manage- Rego, T. J., K. L. Sahrawat, S. P. Wani, and G. Pardhasaradhi. ment, fertility management, pest management, and 2007. "Widespread Deficiencies of Sulfur, Boron, and improved cultivars is also necessary because all these Zinc in Indian Semi-arid Tropical Soils: On-Farm Crop components are synergistically interlinked with sustain- Responses." Journal of Plant Nutrition 30 (10): 1569­83. able land management). Sahrawat, K. L. 1999. "Assessing the Fertilizer Phosphorus Requirement of Grain Sorghum." Communications in Soil Science and Plant Analysis 30 (11­12): 1593­601. INVESTMENT NEEDS BY LOCAL AND ------. 2000. "Residual Phosphorus and Management NATIONAL GOVERNMENTS OR OTHER Strategy for Grain Sorghum on a Vertisol." Communica- DONORS tions in Soil Science and Plant Analysis 31 (19­20): 3103­12. Investments are urgently needed to help establish high- Sahrawat, K. L., T. J. Rego, J. R. Burford, M. H., Rahman, J. quality, reliable, and functional soil-plant analytical lab- K. Rao, and A. Adam. 1995. "Response of Sorghum to oratories in developing countries. The cost to provide Fertilizer Phosphorus and Its Residual Value in a Verti- analytical support for analysis of soil and plant samples sol." Fertilizer Research 41 (1): 41­47. could range from US$20,000 to US$100,000, depending Singh, H. P., K. D. Sharma, R. G. Subba, and K. L. Sharma. on the extent of automation and the number of samples 2004. "Dryland Agriculture in India." In Challenges and to be analyzed in a year. Strategies for Dryland Agriculture, ed. S. Rao and J. Ryan, Enhancing awareness among the farmers, development 67­92. Madison, WI: Crop Science of America and agents, and policy makers to discuss soil quality and to American Society of Agronomy. adopt sustainable INM practices is necessary. If land Wani, S. P., P. Pathak, L. S. Jangawad, H. Eswaran, and P. degradation is to be minimized, continued investments Singh. 2003. "Improved Management of Vertisols in the in capacity building and training of personnel involved Semiarid Tropics for Increased Productivity and Soil are needed. Carbon Sequestration." Soil Use and Management 19 (3): Investments to enhance the use of biological and organic 217­22. resources through incentives for increased adoption are Wani, S. P., T. J. Rego, S. Rajeswari, and K. K. Lee. 1995. needed for sustainable land management. "Effect of Legume-Based Cropping Systems on Nitrogen Mineralization Potential of Vertisol." Plant and Soil 175 (2): 265­74. POLICY RECOMMENDATIONS Wani, S. P., P. Singh, R. S. Dwivedi, R. R. Navalgund, and A. Ramakrishna. 2005. "Biophysical Indicators of Agro- Enable policies and incentive mechanisms for greater ecosystem Services and Methods for Monitoring the adoption of INM practices. Impacts of NRM Technologies at Different Scale." In Establish appropriate institutions that can ensure timely Methods for Assessing Economic and Environmental availability to farmers of high-quality products and Impacts, ed. B. Shiferaw, H. A. Freeman, and S. M. Swin- knowledge about those products and sustainable INM ton, 23­54. Wallingford, U.K.: CAB International. practices. Enable policies and mechanisms to produce, distribute, and use various sources of different plant nutrients. INVESTMENT NOTE 5.2: INTEGRATED NUTRIENT MANAGEMENT IN THE SEMIARID TROPICS 107 I N V E S T M E N T N OT E 5 . 3 Integrated Natural Resource Management for Enhanced Watershed Function and Improved Livelihoods T he community watershed model has become pop- genetic and natural resource management (IGNRM) ular because it brings together, as a package for approach through empowerment of stakeholders. rural development, the best expertise available locally and from all the consortium partners. The model INTRODUCTION uses the microwatershed as a geographic unit for soil and water conservation and management, and the effect is In rainfed tropical areas of Asia and Africa, natural strengthened with improved agronomical practices and resources are severely degraded because of soil erosion, diversified income-generating activities. Water manage- nutrient mining, depleted groundwater levels, waterlog- ment is used as an entry point for enhancing agricultural ging, and removal of vegetative cover. Although drylands productivity and rural incomes. The consortium's approach have sustained large populations, many dryland areas are aims to showcase increased incomes for villagers. When the increasingly showing up as hotspots of poverty and malnu- villagers are convinced that the innovations improve their trition. In addition, many such areas are predicted to face livelihood security, they become ambassadors of the cause, more frequent and severe droughts because of increasing convincing neighboring villages to practice community climate variability and eventual change (Wani and others watershed development technologies. 2002). Monsoon rains are erratic, and a few torrential The success of the Kothapally example has led to the downpours1 cause severe runoff, which removes nutrient- acceptance of the watershed approach in large areas of and carbon-rich topsoil, thereby contributing to land India, as well as in China, Thailand, and Vietnam. Countries degradation (table 5.4). and agencies in Sub-Saharan Africa are also becoming The community watershed approach is being used to involved. overcome the livelihood constraints posed by natural The data show that with the community watershed resource degradation by way of the IGNRM approach. In approach, productivity and incomes can be doubled this approach, research and development activities are through collective action and knowledge-based manage- implemented at landscape scales with benchmark sites rep- ment of natural resources. Water management is just an resenting the different semiarid tropical agro-ecoregions. entry point and not an end in itself. Community watershed The entire process revolves around the principles of development needs to go further and adopt the livelihood empowerment, equity, efficiency, and environment, which approach with technical backstopping from multidiscipli- are addressed by adopting specific strategies prescribed by nary teams from different institutions working together in a consortium institutions from the scientific, nongovern- consortium to harness the benefits of a holistic integrated ment, government, and farmer groups. This approach This note was prepared by S. P. Wani, T. K. Sreedevi, P. Pathak, Piara Singh, and T. J. Rego, International Crops Research Insti- tute for the Semi-Arid Tropics, Patancheru, Andhra Pradesh, India; Y. S. Ramakrishna, Central Research Institute for Dry- land Agriculture, Santoshnagar, Hyderabad, Andhra Pradesh, India; Thawilkal Wangkahart, Agricultural Research and Development, Region 3, Muang, Khon Kaen, Thailand; Yin Dixin, Guizhou Academy of Agricultural Sciences, Integrated Rural Development Center, Guiyang, Guizhou, China; and Zhong Li, Yunnan Academy of Agricultural Sciences, Kunming, Yunnan, China. 108 addressed the issues of participation, equity, sustainability, these crops could use the soil moisture more efficiently, thus and technical support, which were found to be important encouraging farmers to shift from a cotton-based system. constraints for enhancing the effect of watershed programs Moreover, studies showed that soils in Andhra Pradesh, in India in a meta-analysis of 311 case studies (Joshi and Gujarat, Karnataka, Madhya Pradesh, Tamil Nadu, and others 2005). Rajasthan were not only thirsty but hungry too, and they suffered from critical deficiency of micronutrients such as zinc, boron, and sulfur along with nitrogen and phospho- PRESENTATION OF INNOVATION rus. Adding those micronutrients to the soil resulted in a 28 The community watershed model has become popular to 70 percent increase in the yields of crops, and a balanced because it brings together as a package for rural develop- fertilizer application with nitrogen and phosphorus along ment the best expertise available locally and from all the with micronutrients increased yields up to 120 percent consortium partners. Although the model uses the (Rego and others 2007). microwatershed as a geographic unit for soil and water con- In Tad Fa and Wang Chai watersheds in Thailand and in servation and management, its effect is strengthened with Thanh Ha and Huong Dao watersheds in Vietnam, the improved agronomical practices and diversified income- package of practices included introducing improved crop generating activities. Water management is used as an entry varieties; constructing and rehabilitating farm ponds; intro- point for enhancing agricultural productivity and rural ducing legumes to the cropping systems; using vegetative incomes. The knowledge-based entry point to build rapport contour bounds, using staggered trenches, and planting Gli- with the community in place of a money- and capital-based ricidia sepium trees and vetiver grass on bunds; growing entry point enhanced community participation by provid- fruit trees on steep slopes; using contour cultivation on mild ing tangible economic benefits to individuals through slopes; introducing innovative integrated pest management enhanced productivity. Farmers' participatory research and (IPM) techniques, such as using molasses to trap moths; development approach is fully operationalized, and no free and diversifying cultivation with horticultural crops. inputs are provided to farmers. The consortium's approach In China, farmers from Lucheba and Xioaoxincum aims to showcase increased incomes for villagers. After they watersheds have harvested rainwater in underground cis- are convinced that the innovations improve their livelihood terns and surface tanks; diversified the systems by growing security, they become ambassadors for the cause, convinc- high-value vegetables and fruits; introduced innovative IPM ing neighboring villages to practice community watershed options, such as use of light traps and tobacco waste; and development technologies (Wani and others 2006). earned additional income from allied activities, such as rear- Although the activities initiated by the International ing of pigs and rabbits as well as biogas production. Leuji- Crops Research Institute for the Semi-Arid Tropics agh village in Lucheba watershed has become a model bio- (ICRISAT) and its partners started with soil and water con- gas village for the country. The village uses plant and animal servation, the watersheds became the site for implementing wastes (pig manure) for biogas production, thereby allow- IGNRM. In Adarsha watershed, Kothapally, in Andhra ing sanitation and energy self-sufficiency. Pradesh, India, the package of interventions included intro- ducing broad-bed and furrow cultivation, planting Gliri- BENEFITS AND RESULTS OF THE ACTIVITY cidia on the bunds (an embankment used especially in India to control the flow of water) for green manure, introducing Many innovations are being implemented with success in new crops, using high-yielding and stress-tolerant improved watersheds. In Thailand, an innovative IPM technique of cultivars and cropping systems, innovating with pest man- mixing molasses with water and storing it in open bottles to agement techniques, and developing microenterprises for trap adult moths before they lay their eggs has practically additional income generation along with low-cost rainwater eliminated the use of chemical pesticides in vegetable crops. harvesting and groundwater recharging structures through- The innovations also provide income-generating activi- out the toposequence. ties to women's self-help groups (SHGs) and landless farm- Choosing an appropriate cropping sequence and match- ers. In Kothapally and hundreds of watersheds in Andhra ing crop rotation with the soil profile and changing rainfall Pradesh, Gujarat, Karnatka, Madhya Pradesh, and Rajasthan, patterns helped minimize the effect of drought in Kotha- the members of the SHGs feed parthenium weed to earth- pally. A combination of maize-pigeonpea and maize fol- worms, generate valuable vermicompost, and earn about lowed by chickpea proved to be most beneficial because Rs 500 per person per month from its sale. The SHGs also INVESTMENT NOTE 5.3: INTEGRATED NATURAL RESOURCE MANAGEMENT 109 produce and sell biopesticide made from neem and Gliri- servation. Establishing low-cost water-harvesting struc- cidia plant leaves using earthworms. Catering to the needs of tures (WHSs) throughout the toposequence improved generating biodiesel plantations, the SHG members started a groundwater levels, benefiting many small farmers. Even nursery to raise seedlings of Jatropha and Pongamia. after the rainy season, the water level in wells nearer to Likewise, the women's SHG in Goverdhanpura in Bundi WHSs sustained good groundwater yield. In the various district of Rajasthan has started manufacturing washing watersheds of India, such as Lalatora in Madhya Pradesh, powder as an income-generating activity. The small profit the treated area registered a groundwater level rise of helps run the SHG and provides additional income to 7.3 meters. At Bundi, Rajasthan, the average rise was women members. 5.7 meters, and the irrigated area increased from 207 hectares to 343 hectares (figure 5.1). In Kothapally water- shed, the groundwater level rise was 4.2 meters in open Increasing Crop Productivity wells. The various WHSs resulted in an additional ground- Increasing crop productivity is common in all the water- water recharge per year of approximately 428,000 cubic sheds and is evident soon after the inception of watershed meters on average. This improvement in groundwater interventions. For example, in benchmark watersheds of availability guaranteed the supply of clean drinking water. Andhra Pradesh, improved crop management technologies In Lucheba watershed in southern China, a drinking-water increased maize yield by two and one-half times and project, comprising a water storage tank and pipelines to sorghum by three times. Overall, in 65 community water- farm households, was a joint effort of the community and sheds (each measuring approximately 500 hectares), imple- the watershed project. It solved the drinking-water prob- menting best practices resulted in significant yield advan- lem for 62 households and more than 300 head of livestock tages in sorghum (35 to 270 percent), maize (30 to and provided major impetus for the excellent farmer par- 174 percent), pearl millet (72 to 242 percent), groundnuts ticipation in the project. Similarly, in Thanh Ha watershed (28 to 179 percent), and pigeonpeas as a sole crop (97 to in Vietnam, collective pumping of well water and establish- 204 percent) and as an intercrop (40 to 110 percent). In ment of efficient water distribution systems enabled the Thanh Ha watershed of Vietnam, yields of soybeans, farmers' group to earn more income by growing water- groundnuts, and mung beans increased by three- to fourfold melon, which provided maximum income for households. (2.8 to 3.5 tons per hectare) as compared with baseline yields Through improved yields and income-generating oppor- (0.5 to 1.0 tons per hectare), thereby reducing the yield gaps tunities, the families in the watershed projects have more between potential and farmers' yields. A reduction in nitro- money in their hands. For instance, in Kothapally, the aver- gen fertilizer (90 to 120 kilograms of urea per hectare) by age income (including livestock and nonfarming sources) 38 percent increased maize yield by 18 percent. In Tad Fa was Rs 42,500 (US$1,036.60) in 2001. In comparison, the watershed of northeastern Thailand, maize yield increased average income in the neighboring villages without water- by 27 to 34 percent with improved crop management. shed management approaches was Rs 27,600 (US$673.10). Even in the drought year of 2002, Kothapally farmers earned more from crop cultivation than farmers in the neighboring Improving Water Availability villages, resulting in reduced migration from Kothapally. In Improved water availability in the watersheds was attrib- the Tad Fa and Wang Chai watersheds in Thailand, farm uted to efficient management of rainwater and in situ con- income increased 45 percent. On the whole, the farmers Table 5.4 Seasonal Rainfall, Runoff, and Soil Loss from Different Benchmark Watersheds in India and Thailand Soil loss Seasonal Runoff (mm) (tons per hectare) Watershed rainfall (mm) Treated Untreated Treated Untreated Kothapally,Andhra Pradesh, India 743 44 67 0.82 1.90 Lalatora, Madhya Pradesh, India 1,046 70 273 0.63 3.2 Ringnodia, Madhya Pradesh, India 764 21 66 0.75 2.2 Tad Fa, Khon Kaen, northeast Thailand 1,284 169 364 4.21 31.2 Source: Authors' elaboration. 110 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Figure 5.1 Effect of Watershed Interventions on Groundwater Levels at Two Benchmark Sites in India a. Bundi watershed, Rajasthan b. Adrasha watershed, Andhra Pradesh 0 1,000 0 1,500 well well in 6 in 6 1,000 500 level (millimeters) level (millimeters) (meters)12 (meters)12 500 water water 18 0 rainfall 18 0 rainfall 2002 2003 2004 2005 2006 2000 2001 2002 2003 2004 2005 2006 years years rainfall near check dam away from check dam Source: Authors' elaboration. earned an average net income of B 45,530 (US$1,230) per from 0.41 in 1998 to 0.73 in 2002. In Thanh Ha, Vietnam, cropping season (Shiferaw and Rao 2006). the CAF changed from 0.25 in 1998 to 0.60 in 2002 with the Improved land and water management practices along introduction of legumes. Similarly, rehabilitation of the with integrated nutrient management--consisting of appli- common property resource land in Bundi watershed cations of inorganic fertilizers and organic amendments through the collective action of the community ensured the such as crop residues, vermicompost, farm manures, and availability of fodder for all the households and income of Gliricidia loppings, as well as crop diversification with US$1,670 per year for the SHG through sale of grass to the legumes--not only enhanced productivity but also surrounding villages. Aboveground diversity of plants improved soil quality. Increased carbon sequestration of (54 plant species belonging to 35 families) as well as below- 7.4 tons per hectare in 24 years was observed with improved ground diversity of microorganisms (21 bacterial isolates, management options in a long-term watershed experiment 31 fungal species, and 1.6 times higher biomass carbon) at ICRISAT. Normalized difference vegetation index estima- were evident in rehabilitated common property when com- tion from satellite images showed that within four years, pared with the degraded common property (9 plant species, vegetation cover increased by 35 percent in Kothapally. The 18 bacterial isolates, and 20 fungal isolates, of which 75 per- IGNRM options in the watersheds reduced loss of nitrate- cent belonged to Aspergillus genus) (Wani and others 2005). nitrogen in runoff water (8 kilograms compared with 14 kilograms of nitrogen per hectare). Introduction of IPM Promoting Natural Resource Management at the in cotton and pigoenpeas substantially reduced the number Landscape Level of chemical insecticidal sprays during the season, and reduced use of pesticides resulted in less pollution of water Data obtained by using new science tools, such as remote bodies with harmful chemicals. sensing, promote a comprehensive understanding of the effects of the changes (that is, vegetation cover on degraded lands) in the watersheds. This knowledge, in turn, has pro- Conserving Biodiversity vided the indicators to assess agricultural productivity. Pro- Conservation of biodiversity in the watersheds was engen- moting NRM at the landscape level by using tools that pro- dered through participatory natural resource management vide the needed database is anticipated to have better effect (NRM). The index of surface percentage of crops, crop because of the possible integration of all the factors (natural agrobiodiversity factor (CAF), and surface variability of resources with the ancillary information). main crops changed as a result of integrated watershed Although some interventions took place at plot to farm management interventions. Pronounced agrobiodiversity levels, the effects of NRM--such as sustainability of pro- effects were observed in Kothapally watershed, where farm- duction, improved soil and water quality, and other envi- ers now grow 22 crops in a season with a remarkable shift in ronment resources--have been looked at from a landscape cropping pattern from cotton (200 hectares in 1998 to perspective. Equal attention was focused on both on-site 100 hectares in 2002) to a maize-pigeonpea intercrop sys- and off-site effects. The effect of water conservation at the tem (40 hectares to 180 hectares), thereby changing the CAF upper ridge on downstream communities was also consid- INVESTMENT NOTE 5.3: INTEGRATED NATURAL RESOURCE MANAGEMENT 111 ered. This effect accounts for some successes in addressing pilot watershed sites and scaled out through the World concerns about equity issues, such as benefits for the poor- Bank­funded Sujala Watershed Project. With financial sup- est people--like the landless, who were previously unable to port from the Sir Dorabji Tata Trust, the ICRISAT-led con- take advantage of improved soil and water conditions in sortium of partners has implemented watershed projects in activities implemented only at field scales. Clearly, off-site Madhya Pradesh and Rajasthan in India. Watershed projects effects of watershed management--upstream-downstream are also being implemented in Rajasthan and Tamil Nadu in equity--need to be strengthened for enhanced outcomes. partnership with the Confederation of Indian Industry and the Coca-Cola Foundation. With funding from the Asian Development Bank, ICRISAT's model of watershed devel- Enhancing Partnerships and Institutional opment was implemented in selected villages in China, Innovations India, Thailand, and Vietnam. Enhancing partnerships and institutional innovations The outcomes of the ICRISAT's watershed research and through the consortium approach was the major impetus for development activities are also being used for South-South harnessing the watershed's potential to reduce household cooperation among countries in Asia and Africa. Consider- poverty. The underlying element of the consortium approach ing the usual long time lag between NRM research and sub- adapted in ICRISAT-led watersheds is engaging a range of sequent results, ICRISAT and the Soil and Water Research actors with the locales as the primary implementing unit. Management Network are focusing on adapting existing Joint efforts of ICRISAT and key partners--the national agri- knowledge for local conditions rather than on initiating cultural research systems (NARSs), nongovernmental organ- new research. For example, following visits to India by izations, government organizations, agricultural universities, African officials, the Association for Strengthening Agricul- and other private interest groups--with farm households as tural Research in Eastern and Central Africa and the Indian the key decision makers effectively addressed complex issues. Council for Agricultural Research (ICAR) entered into a SHGs, such as village seed banks, were established to provide memorandum of understanding to facilitate long-term col- timely and high-quality seeds. These SHGs also created the laboration. The government of Rwanda, through its agricul- venue for receiving technical support and building the capac- tural research institute, is working with ICAR to implement ity of members, such as women, in managing conservation pilot sites for the adaptation and demonstration of Indian and livelihood development activities. Incorporating a experiences in integrated management of watersheds. knowledge-based entry point in the approach led to the facil- itation of rapport and at the same time enabled the commu- nity to make rational decisions for its development. As RECOMMENDATIONS FOR PRACTITIONERS demonstrated by ICRISAT, the strongest merit of the consor- Manage natural resources on a smaller catchment scale tium approach is in capacity building, where farm house- (500 to 3,000 hectares) by adopting a sustainable liveli- holds are not the sole beneficiaries, but researchers, develop- hoods approach. ment agents, and students of various disciplines are also Adopt a holistic community watershed approach using trained, and policy makers from the NARSs are sensitized on water management as an entry point for improving the entire gamut of watershed activities. Private-public part- livelihoods. nership has provided the means for increased investments Remember that soil and water conservation measures are not only for enhancing productivity but also for building just the beginning for watershed development and not an institutions as engines for people-led NRM. end, as generally adopted. Recognize that knowledge-based entry-point activity promotes better community participation than subsidy- LESSONS LEARNED AND SCALING UP based entry-point activity. The success of the Kothapally example led to the acceptance Adopt productivity enhancement and income-generating of the watershed approach by the government of Andhra activities to ensure tangible economic benefits to individ- Pradesh for scaling up in 150 watersheds through the uals for increased collective action in the watersheds. Andhra Pradesh Rural Livelihoods Project, which is sup- ported by the U.K. Department for International Develop- ment. Observing this success, the government of Karnataka INVESTMENT NEEDS has also adopted productivity enhancement initiatives in 112 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Soil and water conservation measures address long-term Joshi, P. K, A. K. Jha, S. P. Wani, L. Joshi, and R. L. Shiyani. sustainability issues, and benefits are both on site and off 2005."Meta-Analysis to Assess Impact of Watershed Pro- site. This approach calls for investments by governments, gram and People's Participation: Comprehensive Assess- development donors, and others. ment." Research Report 8, International Water Manage- ment Institute, Colombo. Depending on topography, socioeconomic parameters, and infrastructure availability, development costs would Rego, T. J., K. L. Sahrawat, S. P. Wani, and G. Pardhasaradhi. vary between US$500 and US$1,500 per hectare. 2007. "Widespread Deficiencies of Sulfur, Boron, and Zinc in Indian Semi-arid Tropical Soils: On-Farm Crop Responses." Journal of Plant Nutrition 30 (10): 1569­83. POLICY AND FINANCIAL INCENTIVES Shiferaw, B., and K. P. C. Rao, eds. 2006. Integrated Manage- ment of Watersheds for Agricultural Diversification and Community watershed projects' success depends on par- Sustainable Livelihoods in Eastern and Central Africa: Les- ticipation and collective action by the members. Policies sons and Experiences from Semi-arid South Asia. enabling collective action for management of natural Patancheru, Andhra Pradesh, India: International Crop resources are needed. Research Institute for the Semi-Arid Tropics. More investment in upland and upstream areas is needed Wani, S. P., P. Pathak, H. M. Tam, A. Ramakrishna, P. Singh, to minimize land degradation and to address equity and and T. K. Sreedevi. 2002."Integrated Watershed Manage- gender parity issues. ment for Minimizing Land Degradation and Sustaining The artificial divide between rainfed and irrigated agri- Productivity in Asia." In Integrated Land Management in culture needs to be discarded. Work needs to be in a con- Dry Areas, ed. Z. Adee, 207­30. Beijing. tinuum, from rainfed to supplemental to fully irrigated Wani, S. P., Y. S. Ramakrishna, T. K. Sreedevi, T. D. Long, T. systems, if investments are to improve livelihoods. Wangkahart, B. Shiferaw, P. Pathak, and A. V. R. Kesava Financial incentives for poor upstream people who pro- Rao. 2005. "Issues, Concepts, Approaches, and Practices vide environmental services to downstream people need in the Integrated Watershed Management: Experience to be provided to encourage them to be better managers and Lessons from Asia." Paper submitted for the Indian of natural resources. Council for Agricultural Research, International Water Management Institute, International Crop Research Institute for the Semi-Arid Tropics, and Association for NOTE Strengthening Agricultural Research in Eastern and Cen- tral Africa joint mission to Nairobi, Kenya, November 1. For example, Adarsha Watershed, Kothapally, in Andhra 30­December 2, 2004. Pradesh, India, received 345 millimeters of rainfall in 24 Wani, S. P.,Y. S. Ramakrishna, T. K. Sreedevi, T. Wangkahart, hours on August 24, 2000. This downpour constituted N.V. Thang, S. Roy, Z. Li,Y. Dixin, Z. H.Ye,A. K. Choura- about 40 percent of mean annual rainfall. sia, B. Shiferaw, P. Pathak, P. Singh, G. V. Ranga Rao, R. P. Mula, S. Sitaraman, and Communication Office at ICRISAT. 2006. "Greening Drylands and Improving REFERENCES Livelihoods." International Crop Research Institute for the Semi-Arid Tropics, Patancheru, Andhra Pradesh, India. INVESTMENT NOTE 5.3: INTEGRATED NATURAL RESOURCE MANAGEMENT 113 I N V E S T M E N T N OT E 5 . 4 Enhancing Mobility of Pastoral Systems in Arid and Semiarid Regions of Sub-Saharan Africa to Combat Desertification P astoral systems in arid and semiarid regions of ity of natural rangelands and water resources for pastoral Sub-Saharan Africa are well suited to cope effec- production would simultaneously improve wild food avail- tively--and in an environmentally sustainable ability, provide critical micronutrients, and diversify manner--with the prevailing harsh and erratic ecological regional rural economies. Moreover, increasing the area and conditions of those regions. The ability of pastoralists to condition of rangelands adjacent to cropping areas would move their herds over large distances and to take refuge in favor the sustainability and productivity of the cropping more favorable sites during droughts was critical to their systems through (a) reduced soil erosion resulting from the livestock and livelihoods. Moreover, by maintaining the increased water retention capacity of the rangelands and supply of animal food products during regional droughts, (b) increased availability of animal manure per cropping they also mitigated the impact of simultaneous crop fail- area unit. Finally, mixed crop-rangeland systems would ures on food security in adjacent, more humid areas. reduce the impact of food-crop failure induced by drought Today, however, unfortunately, mobility of pastoralists is and crop-specific pests or diseases, thus contributing to the increasingly being constrained, which is causing the effec- livelihood of the 180 million people in Sub-Saharan Africa tiveness of the pastoral system to deteriorate fast. Further- who are food insecure. more, development policies have undermined the basic foundations of pastoralism. INTRODUCTION For many years, the multiple values and needs of tradi- tional mobile pastoralism have been neglected or misun- Pastoral systems in arid and semiarid regions of Sub- derstood. Only from the mid-1970s have field studies on Saharan Africa used to cope effectively and in an environ- pastoral systems emerged to help explain seasonal livestock mentally sustainable manner with the prevailing harsh and movements, herd-sex structures and productivity, range- erratic ecological conditions of those regions. The ability to land ecology, and the multiple functions of pastoralism. move their herds over large distances and take refuge in The advantages of opportune and flexible use of natural more favorable sites during droughts was critical to the live- resources, rather than control of stocking rates, have only stock and livelihoods of pasturalists. Moreover, by main- recently been accepted as the recommended scientific basis taining the supply of animal food products during regional of livestock development. droughts, they mitigated the impact of simultaneous crop Mobile pastoralism can be an efficient and sustainable failures on food security in adjacent, more humid areas. system. Improving natural rangelands in arid and semiarid Unfortunately, mobility is increasingly being constrained by regions would also improve the world's carbon storage various developments, and the effectiveness of the pastoral capacity, biodiversity, and water quality. Arid and semiarid system is deteriorating fast. As a result, pastoralists are now lands represent about two-thirds of Africa's total land area burdening rather than supporting larger societies. This note of nearly 30 million square kilometers and host about provides the rationale for investment in the recovery of 189 million people. Enhancing the condition and availabil- mobility of these pastoral systems. This note was prepared by S. Leloup, consultant. 114 KEY SUSTAINABLE LAND else have been driving the increasing competitive and con- MANAGEMENT ISSUES flicting use of arid and semiarid regions. For a long time, the multiple values and needs of tradi- Mobile pastoral systems in arid and semiarid regions make tional mobile pastoralism have been neglected or misunder- sustainable use of natural resources by tracking climatic and stood. Until the 1970s, pastoralism was considered ineffi- landscape variability (Niamir-Fuller 2000). However, land cient and backward, and livestock research and degradation will occur when livestock is forced to stay year development focused on providing veterinary care and round in restricted areas. In semiarid and adjacent subhu- increasing beef productivity per animal. Only from the mid- mid regions, land degradation is clearly linked to settlement 1970s have field studies on pastoral systems emerged to help and to the combined effect of growing human populations explain seasonal livestock movements, herd-sex structures and uncoordinated different land uses. For example, in West and productivity, rangeland ecology, and the multiple func- Africa, uncontrolled expansion of low-input cropping sys- tions of pastoralism (Blench and Marriage 1999; Breman tems, accompanied by uncontrolled bush fires, fuelwood and de Wit 1983; de Ridder and Wagenaar 1984). The collection, and increasing numbers of sedentary livestock, advantages of opportune and flexible use of natural induces severe degradation of both croplands and range- resources, rather than control of stocking rates, have only lands (Leloup 1994). Hence, the notion that overgrazing or recently been accepted as the recommended scientific basis livestock holding in general is the primary cause of deserti- of livestock development (Behnke, Scoones, and Kerven fication in Africa is no longer justified. 1993). Various policies, such as the following examples, have TRENDS OF RESOURCE USE undermined basic foundations of pastoralism: During the past century, frequency and distances of herd State boundaries were established that neglected the movements have declined (see, for example, Niamir-Fuller interests of local land-use patterns and societies. 2000), and various forms and degrees of settlement have Pastoralists have been weakly represented at the national occurred. Spontaneous settlement is usually caused by long level. Ministries in charge of livestock generally do not droughts; encroachment of other land uses (Cullis and Wat- address issues of accessibility of natural resources or son 2004; Leloup 1994; Mkutu 2004); comparative lack of availability of social services (that is, education, health infrastructure and social services; disease control policies care, and infrastructure). (Morton 2001); shifting of ownership (Niamir-Fuller 2000); Inadequate land-use policies and legislation have neg- and breakdown of customary pastoral social hierarchies, in lected existing customary tenure systems and under- addition to social insecurity (Morton 2001). Governments mined relevant local authorities, in particular with sometimes promote settlement to intensify and commer- regard to the use of natural rangelands (Kirk 2000). cialize animal production and to facilitate social control and Unfavorable incentive policies have been practiced. delivery of social and livestock specific services (Pratt, Le Dumping of beef, in particular by the European Union, Gall, and de Haan 1997). Involuntary settlement of pas- was favored by African governments. This practice toralists by governments because of dam construction, reduced the income of West African pastoralists and famine, and civil war has also been reported (Larsen and caused them to take up arable farming. National govern- Hassan 2003). ment policies of subsidizing inputs have favored crop- Since about the 1920s, vast areas of natural rangelands in ping systems over pastoral systems and fuel (Pratt, Le arid and semiarid regions have been taken over by cropping Gall, and de Haan 1997). Moreover, subsidizing livestock systems, semiprivate and private livestock and game ranching at the expense of rangelands for pastoralists ranches, nature reserves, and infrastructure. The and wildlife is still ongoing (Cullis and Watson 2004). encroached rangelands included the better areas for grazing during the dry season, which provided easier access to water. Such areas are the key resources ensuring the overall LESSONS LEARNED sustainability of the pastoral system. Mobility of pastoral systems enhances ability to cope with droughts and prevents natural resources degradation. KEY DRIVERS Rather than changing environmental conditions and the inherent malfunctioning of pastoral systems, the increas- The demands of growing human populations everywhere INVESTMENT NOTE 5.4: ENHANCING MOBILITY OF PASTORAL SYSTEMS 115 ing degradation and downward poverty cycle associated Such cases are of concern in national situations, such as with these systems can be explained by misunderstand- those in Benin, Burkina Faso, Côte d'Ivoire, Sudan, and Tan- ing, lack of knowledge, and neglect of the effectiveness zania, as well as in transnational situations, such as those and needs of mobile pastoral systems in arid and semi- between Kenya and Somalia or Mauritania and Senegal (see, arid areas. for example, Shazali and Ahmed 1999; van Driel 2001). Pas- The multifunctionality of pastoral systems--such as the toral development could, therefore, prevent some of the supply of live animals, milk, meat, manure, hides, trans- conflict or postconflict social upheaval and deprivation. port, and animal traction--makes Sub-Saharan Africa's Enhancing the condition and availability of natural mobile pastoralist more productive than U.S. and Aus- rangelands and water resources1 for pastoral production tralian livestock systems under similar ecological envi- would simultaneously improve the availability of wild ronments (Breman and de Wit 1983; de Ridder and foods, provide critical micronutrients, and diversify regional Wagenaar 1984). Fodder supply is achieved with mini- rural economies. Moreover, increasing the area and condi- mal labor and low economic cost, chance of disease tion of rangelands adjacent to cropping areas would favor transmission between animals is low, and access to vari- the sustainability and productivity of cropping systems ous markets and social communities and gatherings is through (a) reduced soil erosion resulting from the easy (Niamir-Fuller 2000). increased water retention capacity of the rangelands and (b) The ecological, social, and economic interests of mobile increased availability of animal manure per cropping area pastoralists have been too often overlooked. unit. Finally, mixed crop-rangeland systems would reduce the impact of food-crop failure induced by drought and crop-specific pests or diseases, thus contributing to the OPPORTUNITIES FOR SUSTAINABLE livelihood of the 180 million people in Sub-Saharan Africa LAND MANAGEMENT who are food insecure (Ehui and others 2002). Rather than a backward, antiquated system, mobile pas- toralism can be an efficient and sustainable system. Improv- RATIONALE FOR INVESTMENTS ing natural rangelands in arid and semiarid regions would improve the world's carbon storage capacity, biodiversity, Declining mobility is leading Sub-Saharan African pastoralists and water quality. in a downward cycle of environmental degradation, poverty, Arid and semiarid lands represent about two-thirds of and increased food-aid dependency. Standards of living are Africa's total land area of nearly 30 million square kilome- falling among the approximate 20 million mobile pastoralists ters (UNEP 2000) and host about 189 million people. The in Africa, often resulting in settlement and the need to rely on semiarid and arid areas in the Horn make up 70 percent of alternative income sources, such as cropping and hired labor; the total land area of this type and provide an average of 20 on out-migration to urban centers; or, ultimately, food aid to 30 percent of gross domestic product (GDP), with sub- (Niamir-Fuller 2000). Absentee investors and owners are stantial subregional trade (Little 1996). In West Africa, the increasingly contracting pastoralists to herd their livestock pastoral sector contributes between 10 percent and 20 per- while often putting restrictions on livestock movements to cent of total GDP in Mali, Mauritania, and Niger, and there facilitate control (Fafchamps, Udry, and Czukas 1998). is active trade between those countries. Pastoral develop- Per capita ownership of livestock is declining signifi- ment could, therefore, be an important force in regional cantly, and many pastoralist families are now below the min- development. imum subsistence level. In addition, production per livestock Support to mobile pastoralists would be of immediate unit is declining. For example, from 1975 to 1995, beef pro- benefit to the approximately 30 million pastoral peoples duction per animal declined slightly from 135 kilogram per living in arid areas (Thornton and others 2002).These peo- head to 129 kilogram per head (Ehui and others 2002). Fre- ple are some of the most deprived populations in the region, quent and almost permanent relief interventions in human and they often remain far removed geographically, linguisti- food aid and feed supplements for livestock are the result cally, culturally, academically, and economically from those (Morton 2001; Pratt, Le Gall, and de Haan 1997). For exam- who run the country (Pratt, Le Gall, and de Haan 1997). ple, in the Horn of Africa, pastoralists usually represent the More than most other groups, mobile pastoralists are part of the national population that most depends on food involved in and affected by enduring social tensions that aid. The insights described earlier suggest that investing in often result from competition over natural resource uses. mobile pastoral development would address the following 116 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS issues of general interest to economic development of the by introducing countervailing import tariffs on meats and arid and semiarid areas of Sub-Saharan Africa: limiting distribution of subsidized livestock feed). Providing livestock feed causes declining mobility, thereby inducing Maintain efficient natural resource use in arid and semi- long-term dependency and abuse of systems, which often arid areas. reach only the more sedentary and wealthy livestock owners Support important subregional and national economies. (Hazell 2000). Water-use fees would improve sustainability Reduce poverty. of water infrastructure and cause better spatial distribution Reduce social conflicts. of livestock. Permitting livestock in nature reserves may also Enhance food security. be a viable option to enhance mobility. RECOMMENDATIONS FOR PRACTITIONERS Resource Access Policies Broad-Based Consultations and Partnerships A critical priority is the development of appropriate legisla- tion that ensures access and user rights (not necessarily Raising awareness of all policy makers on national, subre- property rights) to critical grazing and water resources; lim- gional, and regional levels is required to define the long-term its encroachment of other uses and users (for example, vision on the role of mobile pastoral systems as a tool of sus- cropping and ranching); integrates various natural tainable natural resources management. Timing (that is, dove- resources uses and users; and, in some areas, reclaims some tailing campaigns to raise awareness with the preparation of of the important lost grazing and water resources for pas- major policy papers, such as World Bank Poverty Reduction toral use. Although highly sensitive, such legislation is Strategy Papers, and donor assistance strategies) and broad- absolutely essential for environmentally and socially sus- based ownership (that is, involvement of infrastructure and tainable development of these areas. Where increased crop- social service departments) are essential because of the cross- ping and declining stock numbers have made long migra- cutting nature of the issues. Adequate representation of pas- tion impossible, shorter treks, with a closer integration of toralists in defining a long-term vision and the subsequent crops and livestock, are probably the best strategy. Commu- follow-up is critical. The ALive program, with its Web site, nity institutions can facilitate and enforce contracts between facilitates communication among various stakeholders. the different land uses and users. Research Infrastructure Monitoring activities need to be supported to fill the gaps in knowledge on a country-by-country basis (for example, total Infrastructure needs concern mostly water, networks of path- number of pastoralists and their livestock, importance of ways through crop areas, markets, and mobile communica- absentee owners, benefits and costs to national economy, tion and weather forecasting equipment to manage drought. physical constraints to mobility, policies constraining mobil- Sustainability of those investments is a major issue that needs ity, pastoral organizations). Meanwhile, adequate indicators to to be addressed through clear agreements with pastoral users monitor the situation of mobile pastoralism and its role in on cost-sharing and maintenance responsibilities. larger economies need to be defined; then, long-term mea- surement needs to be arranged.Research should also assess the Services lessons learned that are available in the literature regarding various attempts to improve the situation of pastoralists (for Service needs concern the technical services, such as veteri- example, water-use fees, grazing fees, livestock corridors, inte- nary care and livestock marketing information, and cover grated livestock-wildlife management, integrated livestock- adapted social services, such as health care and education. forest management, and grazing reserves) while attempting to Needed investments include equipment and training to produce new, out-of-the-box incentives to be tested. replace the current static service models for human and ani- mal health and education with mobile service models. Major strategic decisions are required in education on the curricu- Incentive Policies lum (with a focus on pastoral indigenous knowledge rather Public funds and mechanisms need to be used to support than more formal teaching and language) and "training-the- the viability and mobility of pastoral systems (for example, trainer" programs (Kratli 2001). In health care, the major INVESTMENT NOTE 5.4: ENHANCING MOBILITY OF PASTORAL SYSTEMS 117 strategic decision concerns the combination of human and Kratli, S. 2001. "Education Provision to Pastoralists." IDS animal basic health care systems, an issue that is often Working Paper 126, Institute of Development Studies, debated and has many synergies, but is rarely implemented. University of Sussex, U.K. Larsen, K., and M. Hassan. 2003. Sedentarisation of Nomadic People: The Case of the Hawawir in Um Jawasir, Northern NOTE Sudan. DCG Report 24, Drylands Coordination Group, 1. Natural rangelands and water resources contribute to Ås, Norway. many aspects of interest to economic and social develop- Leloup, S. 1994. "Multiple Use of Rangelands within ment, such as biomass fuels, human and veterinary health Agropastoral Systems in Southern Mali." Ph.D. thesis, care products, shelter materials, water transport, cultural Wageningen University, Netherlands. values, and sometimes ecotourism. Little, P. D. 1996. "Cross-Border Cattle Trade and Food Security in the Kenya/Somalia Borderlands." Bingham- ton, NY: Institute for Development Anthropology. REFERENCES Mkutu, K. 2004. Pastoralism and Conflict in the Horn of Behnke, R. H., I. Scoones, and C. Kerven, eds. 1993. Range Africa. London: Africa Peace Forum, Saferworld, and Ecology at Dis-equilibrium. London: Overseas Develop- University of Bradford. ment Institute. Morton, J., ed. 2001. Pastoralism, Drought, and Planning: Blench, R., and Z. Marriage. 1999. "Drought and Livestock Lessons from Northern Kenya and Elsewhere. Chatham, in Semi-arid Africa and Southwest Asia." Working Paper U.K.: Natural Resources Institute, University of Green- 117, Overseas Development Institute, London. wich. Breman, H., and C. T. de Wit. 1983. "Rangeland Productiv- Niamir-Fuller, M. 2000. "Managing Mobility in African ity in the Sahel." Science 221 (4618): 1341­47. Rangelands." In Property Rights, Risk, and Livestock Cullis, A., and C. Watson. 2004. "Winners and Losers: Pri- Development, ed. N. McCarthy, B. Swallow, M. Kirk, and vatising the Commons in Botswana." Securing the Com- P. Hazell, 102­31. Washington, DC: International Food mons 9, International Institute for Environment and Policy Research Institute. Development, London. Pratt, D. J., F. Le Gall, and C. de Haan. 1997. "Investing in de Ridder, N., and K. T. Wagenaar. 1984. "A Comparison Pastoralism: Sustainable Natural Resource Use in Arid between the Productivity of Traditional Livestock Sys- Africa and the Middle East."World Bank Technical Paper tems and Ranching in Eastern Botswana." International 365, World Bank, Washington, DC. Livestock Center for Africa Newsletter 3 (3): 5­7. Shazali, S., and A. G. M. Ahmed. 1999. "Pastoral Land Ehui, S. K., S. E. Benin, T. William, and S. Meijer. 2002. Tenure and Agricultural Expansion: Sudan and the Horn "Food Security in Sub-Saharan Africa to 2020. Socio- of Africa." Paper 185, International Institute for Environ- economics and Policy Research." Working Paper 49, ment and Development, London, U.K. International Livestock Research Institute, Nairobi. Thornton, P. K., R. L. Kruska, N. Henninger, P. M. Kristjan- Fafchamps, M., U. Udry, and K. Czukas. 1998."Drought and son, R. S. Reid, F. Atieno, A. N. Odero, and T. Ndegwa. Saving in West Africa: Are Livestock a Buffer Stock?" 2002. Mapping Poverty and Livestock in the Developing Journal of Development Economics 55 (2): 273­305. World. Nairobi: International Livestock Research Insti- tute. Hazell, P. 2000."Public Policy and Drought Management in Agropastoral Systems." In Property Rights, Risk, and Live- UNEP (United Nations Environment Programme). 2000. stock Development, ed. N. McCarthy, B. Swallow, M. Kirk, Global Environment Outlook 2000. Nairobi: UNEP. and P. Hazell, 86­101. Washington, DC: International van Driel, A. 2001. Sharing a Valley: The Changing Relations Food Policy Research Institute. between Agriculturalists and Pastoralists in the Niger Val- Kirk, M. 2000. "The Context for Livestock and Crop-Live- ley of Benin. Leiden, Netherlands: African Studies Centre. stock Development in Africa: The Evolving Role of the State in Influencing Property Rights over Grazing SELECTED READINGS Resources in Sub-Saharan Africa." In Property Rights, Risk, and Livestock Development, ed. N. McCarthy, B. ALive. 2006. "Investing in Maintaining Mobility in Pastoral Swallow, M. Kirk, and P. Hazell, 23­54. Washington, DC: Systems of the Arid and Semi-arid Regions of Sub-Saha- International Food Policy Research Institute. ran Africa." ALive Policy Note, World Bank, Washington, DC. 118 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS de Haan, C. 1994. "An Overview of the World Bank's WEB RESOURCES Involvement in Pastoral Development. Pastoral Develop- LEAD electronic conference policy papers. Livestock, Environ- ment." Network Paper 36b, Overseas Development Insti- ment And Development (LEAD) is a multi-institutional tute, London. initiative of FAO formed to promote ecologically sus- de Haan, C., T. Schillhorn van Veen, B. Brandenburg, J. Gau- tainable livestock production systems. It focuses on pro- thier, F. Le Gall, R. Mearns, and M. Siméon. 2001. Live- tecting the natural resources that are affected by livestock stock Development: Implications for Rural Poverty, the production and processing and on poverty reduction Environment, and Global Food Security. Washington, DC: and public health enhancement through appropriate World Bank. forms of livestock development. LEAD hosts an elec- Delgado, C., M. Rosegrant, H. Steinfeld, S. Ehui, and C. tronic conference on Maintaining Mobility and Manag- Courbois. 1999. "Livestock to 2020: The Next Food Rev- ing Drought. This e-conference discusses and reviews olution." Food, Agriculture, and the Environment Dis- two policy options papers to inform policy makers and cussion Paper 28, International Food Policy Research decision makers in international aid and financial insti- Institute, Washington, DC. tutions on the latest developments in key areas impor- McCarthy, N., B. Swallow, M. Kirk, and P. Hazell, eds. 2000. tant for pro-poor livestock development, and provide Property Rights, Risks, and Livestock Development in them with options on how to address them: Africa. Washington, DC: International Food Policy http://www.virtualcentre.org/en/ele/econf_03_alive/pol Research Institute. icy.htm. Savory, A. 1988. Holistic Resources Management. Washing- ton, DC: Island Press. INVESTMENT NOTE 5.4: ENHANCING MOBILITY OF PASTORAL SYSTEMS 119 I N V E S T M E N T N OT E 5 . 5 Sustainable Land Management in Marginal Dry Areas of the Middle East and North Africa: An Integrated Natural Resource Management T he International Center for Agricultural Research Extending more than 450 square kilometers, the valley's in the Dry Areas (ICARDA), based in Aleppo, Syr- main habitats are agricultural lands and rangelands that are ian Arab Republic, has been working with farmers home to 58 villages of 5 to 270 households per village and a in the Middle East and North Africa to develop innovative total population of approximately 37,000. Pressures on crop diversification alternatives for smallholder farmers. In these lands include high population growth rates, erratic marginal drylands of the Khanasser valley, the rural poor rainfall patterns and droughts, soil erosion from both wind live between the traditional agricultural areas and the arid and water, declining soil fertility, saline groundwater, lack of rangelands with less than 200 millimeters of yearly rainfall. drought-tolerant germplasm and alternative crop-livestock Pressures on these lands are considerable, landholdings are options, lack of credit and financial capital, lack of infor- shrinking in size, and land productivity is decreasing--with mation about new technologies and farming practices, resulting increased poverty and out-migration. unclear land property rights, policy disincentives to invest In the past, promising technologies were not adopted in dry areas, and lack of markets and market information. because they were developed in isolation from the require- As a result of high population growth rates, landholdings ments of the local communities and were based on an inad- are shrinking in size, and land productivity is decreasing-- equate understanding of the asset base and flows as well as with resulting increased poverty and out-migration. local informal institutions. This study shows that sharing The farming systems are dryland rainfed mixed crop- knowledge and increasing public awareness of land degra- livestock and pastoral, as defined by Dixon and Gulliver dation facilitate closer cooperation among the stakeholders with Gibbon (2001). Agriculture, based on extensive sheep involved in sustainable land management (SLM) and result rearing and cultivation of barley mainly for forage, is still in options targeted at the various sectors of the population, the main activity; however, livelihoods depend on both on- each with different access to natural, physical, human, and and off-farm income. Households in the Khanasser valley financial capital. Although income generation is the first can be categorized into three main groups (La Rovere and priority of the land users, most of the technological options others 2006): also contribute to more sustainable management of the land. The lessons learned in this pilot program are applica- Agriculturalists who grow crops, fatten lambs, and ble more widely in the Middle East and North Africa. undertake wage labor (about 40 percent of the house- holds) Laborers who are semilandless and rely mostly on on- KEY SUSTAINABLE LAND farm earnings and migrations (50 percent of the house- MANAGEMENT ISSUES holds) In marginal drylands of the Khanasser valley, the rural poor Pastoralists who are extensive herders, migrating for live between the traditional agricultural areas and the arid wage labor or occasionally engaging in intensive lamb rangelands with less than 200 millimeters of yearly rainfall. fattening (about 10 percent of the households). This note was prepared by R. Thomas, F. Turkelboom, R. La Rovere, A. Aw-Hassan, and A. Bruggeman, International Cen- ter for Agricultural Research in the Dry Areas, Aleppo, Syrian Arab Republic. 120 The main coping strategies of households living in these extension agents, and decision makers. Table 5.5 summa- marginal areas, therefore, include diversifying livelihood rizes the results of this exercise. strategies, intensifying agriculture, finding off-farm The study attempted comprehensively to address the employment, and exiting agriculture. This grouping imme- complexity of this marginal dryland by identifying environ- diately raises questions on who to target and with what. If mentally benign options that improve livelihoods, reduce the goal is primarily poverty alleviation, then interventions poverty, and sustain the natural resource base. An interdis- should focus on the poorest (laborers and pastoralists). If ciplinary approach was taken to introduce new land-use the goal is to expand food production, then the focus options and to broaden interactions among local communi- should be on agriculturalists. If the goal is to protect the ties, researchers, and local and national governments by cre- land, the emphasis should be on the mainly government- ating multistakeholder platforms (Campbell and others controlled communal rangelands and the privately owned 2006). cultivated land (land used mainly by pastoralists and agri- culturalists). LESSONS LEARNED The tool used to help orient the project team was a sim- ple analysis of the strengths, weaknesses, opportunities, and First, the study team analyzed previous experiences. In the threats of the marginal dry areas. The input to the analysis past, promising technologies were not adopted because they came from contributions from land users, researchers, were developed in isolation from the requirements of the Table 5.5 Major Strengths,Weaknesses, Opportunities, and Threats for the Khanasser Valley as an Example of Marginal Drylands Strengths Weaknesses Opportunities Threats · Indigenous knowledge and · Cash-flow problems · Investments of off-farm · Aging and feminization of local innovations (resulting in lack of income into productive active Khanasser population · Strong social networks and long-term investments) resources · Declining social networks rich local culture · Poor nutritional · Better education levels · Destruction of traditional · Comparative advantage for status of children and expertise "beehive houses" small ruminant production · Limited experience with · Increased awareness of · Increased population pressure · Salt lake with rich bird nontraditional farming the risks of resource and too small landholdings biodiversity enterprises degradation · Depletion of groundwater · Relatively unpolluted · Lack of adapted crop · Cooperatives resources environment germplasm · Improved market knowledge · Recurrent droughts · Reasonable mobility and · Decreasing productivity through mobile phones · Further decline of soil fertility accessible markets · Degraded natural resource and other media and groundwater levels · Improved basic services base (soil, groundwater, · Out-migration and · Declining groundwater quality (electricity, roads, vegetation) and degrading off-farm opportunities and salinization of irrigated mobile-phone network) management practices · Sheep fattening fields · Land degradation masked · Potential to improve the · Population by intensive sheep by variations in rainfall traditional barley system fattening and untreated village · Poor extension services · Improved germplasm sewage · Diversification for cash and · Degradation of the fragile subsistence purposes Jabul salt lake ecosystem · Agrotourism, ecotourism, · Unreliable export markets for and cultural tourism sheep · Runoff water harvesting and efficient small-scale irrigation systems · Soil fertility improvement · Rangeland rehabilitation and medicinal plants collection · Better government services and increased attention to poverty alleviation and environmental services in marginal areas Source: Authors' elaboration. INVESTMENT NOTE 5.5: SUSTAINABLE LAND MANAGEMENT IN MARGINAL DRY AREAS OF THE MIDDLE EAST AND NORTH AFRICA 121 local communities and were based on an inadequate under- Institutional options: standing of the asset base and flows and of local informal ­ Traditional dairy institutions (Jabban) for sharing institutions. Clearly, a need existed to study livelihood knowledge and providing informal credit strategies in greater detail for better targeting of agricultural ­ Village saving and credit associations (Sanadiq, estab- and nonagricultural interventions. Multistakeholder lished and operated by a parallel development project processes are required that bring together local populations led by the United Nations Development Programme). and decision makers to develop common understandings of the different perceptions of these marginal zones and to RATIONALE FOR INVESTMENT facilitate better organizational ability of community-based groups. In addition, the time lag between the announce- The marginal zone of Syria represented by this case study ment of a change in restrictions to cropping on marginal covers about 11 percent of the country's land area and lands and the implementation of the new regulations 14 percent of the population (about 2 million people). pointed to the need to improve communication between Poverty is greatest in areas located within this zone. The fact policy makers and land users. that many men migrate to urban areas results in labor short- ages and in sociocultural decline from the loss of social struc- ture and cultural heritage. Investments are needed both to OPPORTUNITIES FOR SUSTAINABLE LAND restore the social and physical infrastructures and to reverse MANAGEMENT: PRODUCTS AND SERVICES land degradation. The latter is a slowly changing variable not Following this analysis, the team then developed and refined perceived as urgent by local populations but is a process that a set of options that had been researched previously in the threatens long-term sustainability of the region. Importantly, area. After on-farm trials, the options were tried and tested this approach can be applied (with local adaptations) across jointly by researchers and interested land users who were large areas of North Africa, Iraq, the Islamic Republic of Iran, organized into farmer interest groups on a voluntary basis. Jordan, and Central Asia that are characterized by similar From this collaboration, the following feasible options were agro-ecological and socioeconomic factors. identified: RECOMMENDATIONS FOR PRACTITIONERS Options that strengthen the traditional farming system: ­ New barley varieties selected by using a participatory The study showed that knowledge sharing and increased breeding approach public awareness of land degradation are required to facili- ­ Barley production with application of phosphogyp- tate closer cooperation among the stakeholders involved in sum to improve soil fertility and to increase and sta- SLM. As a result of closer integration among all stakehold- bilize production in dry years ers, the study team developed a set of options. The options ­ Dairy products from sheep for consumption or sale are targeted at the various sectors of the population--each ­ Seed priming of barley seeds with nutrient solutions with different access to natural, physical, human, and finan- to improve crop establishment cial capital. Although the team recognizes that income gen- Diversification options: eration is the first priority of the land users, most of the ­ Barley intercropped with Atriplex shrubs to stabilize technological options also contribute to more sustainable forage production, increase biomass during dry years, management of the land. The study demonstrated to gov- and enhance protein content in sheep diets ernment researchers, extension agents, and land users the ­ Improved vetch production by selection of drought- value of collaboration. Consequently, plans are under way tolerant varieties to reduce production risks to replicate the Khanasser valley example in similar areas of ­ Improved management of rainfed cumin (a new cash Syria. crop) to stabilize and increase production and For each crop enterprise, specific technological objec- improve its marketing value tives have been identified along with a corresponding agro- ­ Olive orchards, using water harvesting and cultivating nomic approach. A summary of the objectives and the on foothill slopes, to increase production and reduce approaches taken to introduce technological interventions summer irrigation by groundwater is shown in table 5.6. Intensification options: For all these technologies and options, the study team ­ Improved lamb fattening by using lower-cost feeds prepared feasibility reports, including ex ante economic 122 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Table 5.6 Technological Interventions Introduced in the Khanasser Valley Enterprise Objective of technology Approach Barley (rainfed) Stabilize and enhance barley productivity. Selection and improvement of barley varieties using a farmer-breeding participatory approach Barley (rainfed) Stabilize feed production, increase dry-year biomass, Intercrop with the Atriplex (saltbush) shrub for sheep and enhance protein content. grazing. Barley (rainfed) Improve soil fertility, and increase and stabilize Apply a phosphogypsum amendment residue of the fertilizer production in dry years. industry. Wheat (irrigated) Improve rainfall water productivity and yields. Implement supplemental irrigation using sprinkler and surface methods. Vetch Reduce production risks, and increase feed availability. Include improved drought-tolerant vetch varieties in traditional rotations. Cumin (rainfed) Stabilize and increase production, and improve its Improve management. marketing outcome. Olive orchards Increase olive production, and reduce groundwater Cultivate olive trees on foothills by using water-harvesting use for irrigation. practices Sheep (lambs) Intensify production. Fatten lambs by using lower-cost feeds. Sheep (extensive) Enhance home consumption and sale of dairy surplus. Improve small-scale dairy sheep institutions and strategies (for example, for marketing). Sheep (dairy) Improve sheep productivity. Apply various small-ruminant technologies (for example, health, productivity) Water harvesting Improve water-use efficiency, and protect Combine with olive orchard management. natural resources. Phosphogypsum Restore soil fertility. Combine with barley crop improvements. applications Source: Adapted from La Rovere and others 2007. analyses (La Rovere and Aw-Hassan 2005; La Rovere and oritized issues that constrain the adoption of technologies others 2007). The study team took this effort further, how- and resources and identifies potential solutions. This simple ever, with analysis based on the characteristics of the differ- framework requires a multidisciplinary approach and helps ent livelihood categories and assets of the defined popula- foster greater understanding and communication among all tion groups. Thus, the options were categorized as follows: parties. Profitable in the short term and requiring more aware- REFERENCES ness and information Profitable but requiring investment and are prone to cli- Campbell, B., J. Hagmann, A. Stroud, R. Thomas, and E. matic risks Wollenberg. 2006. Navigating amidst Complexity: Guide Highly profitable but needing high investments to Implementing Effective Research and Development to Improve Livelihoods and the Environment. Bogor, Indone- Profitable only in the long run and needing initial invest- sia: Center for International Forestry Research. ment. http://www.icarda.cgiar.org/publications/navi- gatingamidstcomplexity.pdf. MULTILEVEL ANALYTICAL FRAMEWORK Dixon, J., and A. Gulliver, with D. Gibbon. 2001. Farming Systems and Poverty: Improving Farmers' Livelihoods in a To help determine the main driving variables, the study Changing World. Rome: Food and Agriculture Organiza- used a toolbox approach that comprises diagnostic, tion and World Bank. http://www.fao.org/farmingsys problem-solving, and process tools (Turkelboom and others tems/. 2004). An example of a multilevel analytical framework La Rovere, R., and A. Aw-Hassan. 2005. Ex ante Assessment used to identify the main constraints on the hill slopes of of Agricultural Technologies for Use in Dry Marginal Areas: the valley is presented in figure 5.2. Biophysical and socio- The Case of the Khanasser Valley, Syria. Integrated Natu- economic factors are examined in a framework consisting of ral Resource Management Technical Report 6. Aleppo, a "spatial pillar" and a "stakeholder pillar" that are linked Syrian Arab Republic: International Center for Agricul- both vertically and horizontally. The tool lists the main pri- tural Research in the Dry Areas. INVESTMENT NOTE 5.5: SUSTAINABLE LAND MANAGEMENT IN MARGINAL DRY AREAS OF THE MIDDLE EAST AND NORTH AFRICA 123 Figure 5.2 Application of the Multilevel Analytical Framework to the Management of Olive Orchards on Hill Slopes at Khanasser Valley Spatial levels Stakeholder levels Marginal drylands Policy and institutions · Climate suitability: · Policy regarding state land? ­ Can olives grow properly in this type of climate? · Olive policy in Syria? ­ Selection of adapted varieties. · Credit availability? · Institutional analysis plus services. Khanasser valley: Trading links: · Land suitability: Can olives grow on stony hillsides? · Do marketing channels exist for olives? (Sub)catchments: Communities: · Runoff water use: Is there competition between upslope · Expansion of olive orchards? and downslope? · Will olives affect equity? · Competition between grazing and olive orchards and potential for communal agreed arrangements. Field: Household livelihood strategies: · What are the local management practices, technical · Who is interested in growing olives and what are their knowledge, and knowledge gaps? Awareness, participatory motives? research, and training about improved husbandry. · Are there gender divisions related to olive orchards? · Soil and water management: Soil and water harvesting, · What are the technical knowledge sources? irrigation, tillage, soil erosion, and use of ancient terraces. · For subsistence or cash? Enterprise budgets for olives. · Tree husbandry: Pruning, diseases, soil fertility management, · Alternative tree crops:Are there adapted and viable and diagnosis of unproductive trees. alternatives? Source: ICARDA. La Rovere, R., A. Aw-Hassan, F. Turkelboom, and R. Management: A Sourcebook. Ottawa: International Devel- Thomas. 2006. "Targeting Research for Poverty Reduc- opment Research Centre. http://www.idrc.ca/en/ev- tion in Marginal Areas of Rural Syria." Development and 84706-201-1-DO_TOPIC.html. Change 37 (3): 627­48. Pound, B., S. Snapp, C. McDougall, and A. Braun, eds. 2003. La Rovere, R., F. Turkelboom, A. Aw-Hassan, A. Bruggeman, Managing Natural Resources for Sustainable Livelihoods: and R. Thomas (Forthcoming). "A Comprehensive Uniting Science and Participation. Ottawa: International Assessment of Technological Options for Improving Development Research Centre. http://www.idrc.ca/ Rural Livelihoods in the Dry Marginal Areas of Syria." en/ev-34000-201-1-DO_TOPIC.html. International Journal of Agricultural Sustainability. Thomas, R., F. Turkelboom, R. La Rovere, T. Oweis, A. Turkelboom, F., R. Thomas, R. La Rovere, and A. Aw-Has- Bruggeman, and A. Aw-Hassan. 2004. "Towards Inte- san. 2004. "An Integrated Natural Resources Manage- grated Natural Resources Management (INRM) in Dry ment (INRM) Framework for Coping with Land Degra- Areas Subject to Land Degradation: The Example of the dation in Dry Areas." In Ecosystem-Based Assessment of Khanasser Valley in Syria." In Combating Desertification: Soil Degradation to Facilitate Land Users' and Land Own- Sustainable Management of Marginal Drylands (SUMA- ers' Prompt Actions, ed. P. Zdruli, P. Steduto, S. Kapur, and MAD), 85­93. UNESCO-MAB Dryland Series 3. Paris: E. Akca, 91­109. Bari, Italy: Istituto Agronomico United Nations Educational, Scientific, and Cultural Mediterraneo. Organization. http://www.icarda.cgiar.org/INRMsite/ Towards_INRM.pdf. Tyler, S. R. 2006a. Comanagement of Natural Resources: Local SELECTED READING Learning for Poverty Reduction. Ottawa: International Gonsalves, J., T. Becker, A. Braun, D. Campilan, H. de Development Research Centre. http://www.idrc.ca/en/ Chavez, E. Fajber, M. Kapiriri, J. Rivaca-Caminade, and ev-103297-201-1-DO_TOPIC.html#begining. R. Vernooy, eds. 2005. Participatory Research and Devel- ------. 2006b. Communities, Livelihoods, and Natural opment for Sustainable Agriculture and Natural Resource Resources: Action Research and Policy Change in Asia. 124 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Ottawa: International Development Research Centre. research approach that aims at improving livelihoods, http://www.idrc.ca/en/ev-97782-201-1-DO_TOPIC.html. agroecosystem resilience, agricultural productivity, and environmental services. The Web site facilitates the shar- ing of experiences, approaches, and results among scien- WEB RESOURCES tists working on INRM issues in the Consultative Group Integrated Natural Resource Management Web site. Inte- on International Agricultural Research and partner insti- grated Natural Resource Management (INRM) is a tutions. http://www.icarda.cgiar.org/INRMsite/. INVESTMENT NOTE 5.5: SUSTAINABLE LAND MANAGEMENT IN MARGINAL DRY AREAS OF THE MIDDLE EAST AND NORTH AFRICA 125 I N V E S T M E N T N OT E 5 . 6 Adaptation and Mitigation Strategies in Sustainable Land Management Approaches to Combat the Impacts of Climate Change C limate change has the potential to undermine sig- sensing, and research into "weather within climate." These nificantly efforts in the sustainable management of advances, however, will need to be matched with better agricultural land, particularly in subtropical and means for disseminating forecasts to farming communities tropical regions. The impacts of climate change of concern through multiple forums, such as those where information to agricultural land management include amplification of on water, health, housing, and disaster management is drought-flood cycles, increase in wind and rain intensity, shared. shift in the spatial and temporal distribution of rainfall, and range expansion of agricultural pests and diseases. The INTRODUCTION degree of this maladaptation to climate variability could increase over the next several decades, with climate change Climate change has the potential to significantly undermine potentially derailing future development efforts in climate- efforts to sustain and manage agricultural land, particularly vulnerable regions such as Africa. in subtropical and tropical regions. The impacts of climate Developing more coherent links between land manage- change--including (a) amplification of drought-flood ment and institutional change could create a more con- cycles, (b) increase in wind and rain intensity, (c) shift in the ducive environment for land improvement. For example, spatial and temporal distribution of rainfall, and (d) range the recent revegetation phenomenon in the Sahel is rooted expansion of agricultural pests and diseases (IPCC 2007)-- both in technical support for land improvement and in legal are of concern to agricultural land management. The dis- code reforms that provided local communities with control ruptive impacts of climate change on agriculture are more over resource management decisions. likely to be experienced in terms of increased seasonal and In Africa, with its dependence on rainfed agriculture, the interannual climate variability and higher frequency of combined factors of variable rainfall, high temperatures, extreme events than as mean changes in the climate. and poor soil fertility heighten the sensitivity of smallholder These effects will not be uniformly distributed, nor will producers to shocks from extreme climate events. In the they be exclusively negative. High-latitude zones that do not near to medium term, there is reasonably good potential to limit moisture are expected to experience increased produc- enhance rainfed production sustainability through tivity from warmer temperatures and longer growing sea- improvements in water capture and storage, combined with sons, assuming relatively modest temperature increases better soil and fertility management. Fairly modest changes (less than 3°C). In contrast, low-latitude zones that will have the potential to triple cereal yields in high-risk farming undergo the smallest increase in warming will likely be sub- environments. jected to the greatest negative influence from climate There are also opportunities to link greenhouse gas change and variability because of the multiple pressures of (GHG) mitigation simultaneously with sustainable land use land degradation, poverty, and weak institutional capacity. and adaptation to climate change. Other options include This combination of stress factors increases the vulnerabil- advances in probabilistic forecasting, embedding of crop ity of smallholder producers to shocks from extreme cli- models within climate models, enhanced use of remote matic events, such as El Niño episodes, thus leading to This note was prepared by J. Padgham, U.S. Agency for International Development. 126 heightened risk of a poverty trap at the local level and mate models into soil erosion models are beginning to diminished economic growth at the national level (Brown address this research gap. However, the complexity of and Lall 2006). The degree of this maladaptation to climate these models will likely limit their use to wealthy regions. variability could increase over the next several decades, with In developing regions, two-dimensional hillslope models climate change potentially derailing future development and geographic information systems can be used more efforts in climate-vulnerable regions such as Africa. widely to quantify erosion and develop landslide hazard Climate change has the potential to intersect with sus- maps. tainable land management (SLM) efforts directly (by affect- Prioritization. Because limited resources will be available ing soil function, watershed hydrology, and vegetation pat- for addressing the multitudinous impacts of climate terns) and indirectly (by stimulating changes in land-use change, identification will be necessary of priority areas practices and altering the dynamics of invasive species). where serious soil erosion is occurring that could accel- This note examines critical issues related to how climate erate with climate change. Boardman (2006) suggested change will affect soil and water management, and it identifying soil erosion hotspots where anthropologically explores the potential to improve land management induced soil erosion is high because of topography, cli- through efforts to mitigate agricultural GHG emissions, to mate, and population growth. These areas include (a) the use seasonal climate forecasts to support agriculture man- Andes and Central American highlands; (b) the Loess agement decisions, and to adapt to climate variability and Plateau and Yangtze basin in China; and (c) the countries change. of Ethiopia, Lesotho, and Swaziland, as well as the Sahel in Africa. Management. Widening the adoption of practices and KEY SUSTAINABLE LAND MANAGEMENT technologies that enhance soil coverage will become ISSUES: SOIL AND WATER MANAGEMENT increasingly critical to future agricultural land manage- Intensification of the hydrologic cycle, in which climate ment under climate change. The broad category of con- change is manifested by increased frequency and intensity servation agriculture contains many such interven- of flooding and drought, as well as by more extreme storms tions--cover crops, agroforestry, and improved fallows with high-intensity rainfall, could significantly affect land to reduce the period during which soil surfaces are management. Substantial increases in future soil erosion are exposed--which, along with conservation tillage and use projected because of the important role of extreme events of green manuring, can maintain or increase soil organic that contribute to total soil erosion (Nearing, Pruski, and matter levels and conserve soil moisture (Lal 2005; O'Neal 2004). Agricultural soils of the tropics are particu- Sanchez 2000). larly vulnerable to erosion from extreme events because low soil organic matter levels and weak structures reduce their The resilience of conservation farming systems in the resilience to erosive forces; crop productivity in these areas Central American highlands to El Niño drought and the cat- is quite sensitive to cumulative soil loss. Socioeconomic fac- astrophic soil losses from Hurricane Mitch provides strong tors that mediate land-use practices will also influence evidence of conservation agriculture's soil stabilization future changes in soil erosion risk. These factors include potential. However, achieving broad-scale adoption of this shifts in cropping patterns and land use in response to mar- set of practices is a significant challenge, given that factors ket signals that would occur, for instance, with increased such as land tenure instability, rural labor shortages, and demand for biofuels and rural out-migration. nonfarm income sources tend to have a dissuasive influence Addressing the threat of increased soil erosion posed by on soil improvement measures (Knowler 2004). climate change will require better quantification of the Developing more coherent links between land manage- problem, greater attention to prioritizing which production ment and institutional change could create a more con- systems and regions are vulnerable, and a redoubling of soil ducive environment for land improvement. For example, erosion management efforts: the recent revegetation phenomenon in the Sahel is rooted both in technical support for land improvement and in legal Quantification. Future approaches to soil erosion model- code reforms that provided local communities with control ing and assessment will need to better capture the role of over resource management decisions, such as in Niger, extreme events in soil erosion (Boardman 2006). Efforts where ownership of trees was transferred from central to to integrate meteorological time series from global cli- local control. This policy change appears to have been an INVESTMENT NOTE 5.6:ADAPTATION AND MITIGATION STRATEGIES IN SUSTAINABLE LAND MANAGEMENT 127 important catalyst for investments in agroforestry and land (DeAngelo and others 2005). Land clearance for agriculture, rehabilitation. The area that has undergone revegetation is nitrogenous fertilizer, flooded rice production, and livestock extensive, with estimates of between 2 million and 3 mil- constitute the main sources of agricultural GHGs. lion hectares in Niger (U.S. Geologic Survey, unpublished Reducing the global warming potential of agriculture data) and 0.5 million hectares in Burkina Faso (Reij, Tap- provides a number of opportunities to simultaneously link pan, and Belemvire 2005). GHG mitigation with SLM and adaptation to climate Regions that are highly dependent on climate-sensitive change. From a GHG mitigative standpoint, avoiding agri- sectors are vulnerable to changes in water availability with culturally based emissions of nitrous oxide and methane climate change. Africa's dependence on rainfed agriculture through enhanced factor productivity and energy efficiency exemplifies this situation because the combined factors of is more economical than modifying land-use practices to variable rainfall, high temperatures, and poor soil fertility enhance carbon sequestration in soil (Smith and others heighten the sensitivity of smallholder producers to shocks 2007). Soil carbon sequestration, as a mitigative strategy, is from extreme climate events. A recent assessment by the less robust because carbon storage in soils is impermanent Intergovernmental Panel on Climate Change (IPCC 2007) (that is, lasting decades); is sensitive to management estimated that between 75 million and 250 million people changes; and can result in elevated nitrous oxide emissions. in Africa will experience increased water stress by the end of this century as a result of elevated surface temperatures, OPPORTUNITIES FOR SUSTAINABLE increased rainfall variability, and aridity. Semiarid regions LAND MANAGEMENT are the most vulnerable to rainfall reductions. For example, a 10 percent decrease in precipitation in regions receiving Specific options for linking GHG mitigation with SLM 500 millimeters per year is estimated to reduce surface include the following: drainage by 50 percent (de Wit and Stankiewicz 2006). Long-term changes in precipitation patterns may simply Change water management practices in paddy rice produc- reduce the total amount of land available for agriculture. In tion. Significant future reductions in methane emissions the near to medium term, however, there is reasonably good from rice can be achieved through improved water man- potential to sustain and enhance rainfed production agement. For instance, over the past two decades, 80 per- through improvements in water capture and storage com- cent of paddy rice production in China has shifted from bined with better soil management. One of the key chal- continuously flooding to ephemeral drainage at midsea- lenges will be to diminish the feedback between water man- son. This change resulted in an average 40 percent reduc- agement risk and declining soil fertility, wherein the tion in methane emissions and an overall improvement prospect of crop failure from insufficient soil moisture hin- of yield because of better root growth and fewer unpro- ders investments in soil fertility, which, in turn, diminishes ductive panicles (Li and others 2006).An additional 20 to the potential of soils to capture and retain water, thus 60 percent reduction in methane production is possible increasing the vulnerability to drought. One way to address without sacrificing yield through adopting shallow this issue is to focus on the manageable part of climatic vari- flooding and through slowing methane production by ability by linking better in situ rainfall retention with incre- substituting urea for ammonium sulfate fertilizer mental amounts of fertilizer to bridge ephemeral dry spells (DeAngelo and others 2005; Li and others 2006). that occur during sensitive plant growth stages. Rockström Improve nitrogen-use efficiency. Reductions in methane (2004) reported that these types of fairly small-scale emissions from rice do not necessarily lead to an overall changes can double and triple cereal yields in high-risk reduction in net GHG emissions, because shifts between farming environments. anoxic and oxic soil environments accelerate nitrification and denitrification processes, resulting in greater nitrous oxide production (DeAngelo and others 2005; Li and LESSONS LEARNED others 2006). Leakage of nitrogen from rice and other GHG emissions from agriculture represent a significant cropping systems can be reduced by better matching fer- source of climate forcing. Globally, agriculture contributes tilizer application with plant demand (for example, by between 70 and 90 percent of anthropogenic nitrous oxide, applying slow-release fertilizer nitrogen, split fertilizer between 40 and 50 percent of anthropogenic methane, and application, and nitrification inhibitors). Enhanced 15 percent of anthropogenic carbon dioxide emissions nitrogen-use efficiency can also be achieved through the 128 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS practice of site-specific nutrient management in which to be matched with better means of disseminating forecasts fertilizer nitrogen is used only for supplying that incre- to farming communities through multiple forums, such as ment not provided by indigenous nutrient sources. This those where information on water, health, housing, and dis- method can both reduce nitrous oxide emissions and aster management is shared (Vogel and O'Brien 2006). improve the economics of production through enhanced factor productivity. RECOMMENDATIONS FOR PRACTITIONERS Retain more biomass on agricultural lands. Carbon sequestration on agricultural lands can be enhanced Climate change is occurring within a background of larger through the deployment of SLM practices such as agro- global change with respect to population growth, urbaniza- forestry, conservation tillage, use of rotations and cover tion, land and water use, and biodiversity. Thus, efforts to crops, and rehabilitation of degraded lands. Increasing adapt to the impacts of climate change should do so in a carbon sequestration in soils, although less effective at manner that is consistent with these broader development reducing global warming potential than avoiding emis- issues. In this context, there are several opportunities to sions, is essential for bolstering the long-term sustainable apply the products and services developed for SLM that will management of soil and water. Other carbon sequestra- enhance adaptation to climate change in agriculture: tion practices, such as agroforestry and improved fal- lows, also produce a number of ancillary benefits (for Address maladaptation to current climate variability. example, improved income, nutrition, and protection of There is significant scope for enhancing climate risk biodiversity). management in vulnerable regions, such as in El Niño­affected areas of southern and eastern Africa. It can be accomplished through (a) broader use of water SEASONAL CLIMATE FORECASTS AND conservation in agriculture; (b) better understanding of SUSTAINABLE LAND MANAGEMENT and support for local coping strategies; (c) resolving pro- Agricultural productivity and economic growth strongly duction bottlenecks, such as access to seed; (d) promot- track seasonal and interannual rainfall variability in coun- ing changes in policies to give local communities greater tries that rely heavily on rainfed agriculture (Brown and Lall stake in resource management decisions; and (e) provid- 2006). This relationship has important implications for ing access to seasonal climate information by local deci- SLM in highly variable climate regimes because investments sion makers. in land improvement and yield-enhancing technologies are Invest in soil protection. Conservation agriculture prac- often stymied by uncertainty and risk around the timing, tices and measures that increase soil organic matter distribution, and quantity of rainfall. To the extent that cli- and reduce the time that soils are bare will become mate change is manifested as increasing intra- and interan- more important for enhancing the resilience of soils to nual climate variability, the influence of rainfall uncertainty greater erosive forces with climate change. Stabilizing in dampening SLM investments could become even greater. the resource base and replenishing soil fertility Advances in improving the ability to provide useful sea- through low-cost and locally relevant means is an sonal climate forecasts and in developing pathways for dis- important precursor to more technologically intensive seminating and applying that information will be required adaptation measures, such as expansion of irrigation to address this critical information gap. Forecasts that are and use of drought-tolerant varieties (Sanchez 2005). timely and locally relevant can aid decision making. In good SLM has significant knowledge and operational pres- rainfall years, farmers and supporting institutions can invest ence in this area. in greater inputs to recover from or prepare for production Couple soil fertility improvements with soil water man- downturns in poor rainfall years, when risk-avoidance agement. In smallholder production systems, farmers strategies are prudent (Hansen and others 2006). Progress tend to invest in soil fertility only after other production in climate-based crop forecasting will depend on (a) con- risks, especially those associated with access to water, are tinued advances in probabilistic forecasting and downscal- lessened. Reducing water risk is more cost-effective than ing, (b) embedding of crop models within climate models, attempting to address absolute water scarcity. SLM and (c) enhanced use of remote sensing and research into could assist in this process through several entry points, "weather within climate." For seasonal climate forecasts to such as (a) targeting small investments in rainwater cap- be effective, however, advances in forecasting skills will need ture and storage for supplemental irrigation, (b) pro- INVESTMENT NOTE 5.6:ADAPTATION AND MITIGATION STRATEGIES IN SUSTAINABLE LAND MANAGEMENT 129 moting practices that reduce runoff to bridge the gap Reij, C., G. Tappan, and A. Belemvire. 2005."Changing Land between rains, and (c) linking fertility inputs to seasonal Management Practices and Vegetation on the Central rainfall projections. Plateau of Burkina Faso (1968­2002)." Journal of Arid Environment 63 (3): 642­59. Rockström, J. 2004. "Making the Best of Climatic Variabil- REFERENCES ity: Options for Upgrading Rainfed Farming in Water Boardman, J. 2006."Soil Erosion Science: Reflections on the Scarce Regions." 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New York: Taylor and ence, Control, Policy, and Implementation: Proceedings of Francis. the Fourth International Symposium on Non-CO2 Green- Smith, P., D. Martino, Z. Cai, and D. Gwary, H. Janzen, P. house Gases, NCGG4, Utrecht, the Netherlands, July 4­6, Kumar, B. McCarl, S. Ogle, F. O'Mara, C. Rice, B. Scholes, 2005, ed. A. van Amstel, 609­17. Rotterdam, Nether- O. Sirotenko, M. Howden, T. McAllister, G. Pan,V. Roma- lands: Millpress. nenkov, U. Schneider, and S. Towprayoon. 2007. "Policy de Wit, M., and J. Stankiewicz. 2006. "Changes in Surface and Technological Constraints to Implementation of Water Supply across Africa with Predicted Climate Greenhouse Gas Mitigation Options in Agriculture." Change." Science Express 10 (1126): 1­9. Agriculture Ecosystems and the Environment 118 (1­4): 6­28. Hansen, J. W., A. Challinor, A. Ines, T. Wheeler, and V. Moron. 2006. "Translating Climate Forecasts into Agri- Vogel, C., and K. 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Tyndall Centre for Climate Change Research, Nor- Local, National, and Global Perspectives." Land Degrada- wich, U.K. tion and Development 15 (6): 543­61. Lai, R., B. A. Stewart, N. Uphoff, and D. O. Hansen, eds. Lal, R. 2005. "Climate Change, Soil Carbon Dynamics, and 2005. Climate Change and Global Food Security. New Global Food Security." In Climate Change and Global York: Taylor and Francis. Food Security, ed. R. Lal, B. A. Stewart, N. Uphoff, and D. Low, P. S., ed. 2005. Climate Change and Africa. Cambridge, O. Hansen, 113­43. New York: Taylor and Francis. U.K.: Cambridge University Press. Li, C., W. Salas, B. DeAngelo, and S. Rose. 2006. "Assessing Sivakumar, M., H. Das, and O. Brunini. 2005. "Impacts of Alternatives for Mitigating Net Greenhouse Gas Emis- Present and Future Climate Variability and Change on sions and Increasing Yields from Rice Production in Agriculture and Forestry in the Arid and Semiarid Trop- China over the Next Twenty Years." Journal of Environ- ics." Climatic Change 70 (1­2): 31­72. mental Quality 35: 1554­65. Tirpak, D., and M. Ward. 2005. "The Adaptation Land- Nearing,M.A.,F.F.Pruski,and M.R.O'Neal.2004."Expected scape." COM/ENV/EPOC/IEA/SLT 12, Organisation for Climate Change Impacts on Soil Erosion Rates: A Review." Economic Co-operation and Development, Paris, Journal of Soil Water Conservation 59 (1): 43­50. France. 130 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS I N N O VAT I V E A C T I V I T Y P R O F I L E 5 . 1 High-Value Cash Crops for Semiarid Regions: Cumin Production in Khanasser, Syrian Arab Republic C umin is an innovative cash crop in the Middle East able for households with even small amounts of agricul- and North Africa. It requires relatively little land, tural land; however, they will need to have adequate family little water, and few soil nutrients because of its low labor. biomass. Farmers are attracted to it because of these low Proper agronomic management reduces the risk for input requirements and its relatively short cycle of about 100 farmers. Some suggested management practices include the days. The International Center for Agricultural Research in following: the Dry Areas, based in Aleppo, Syrian Arab Republic, has been working with farmers to develop innovative crop diver- Planting in mid-January sification alternatives for smallholder farmers. This note Mixing seeds and fertilizer, and planting them together shows the potential for introducing a reliably profitable cash (using cereal drill) crop to a conventional monocropping system in an area of Using a seed rate of 30 kilograms per hectare low rainfall. Cumin provides a profitable rotation crop for Fertilizing: poor farmers reliant on barley cash crops. The requirements ­ At planting, 50 kilograms per hectare of triple super of the new crop were carefully investigated to ensure that it phosphate and 50 kilograms per hectare of urea was a consistent and reliable alternative. ­ If spring rains are adequate, 50 kilograms of ammo- nium nitrate (33 percent) can be top-dressed Weed control: PRESENTATION OF INNOVATION ­ Hand weeding at early stages of cumin growth Currently, cumin is the only rainfed cash crop available for ­ Herbicide application of Treflan 15 days before plant- Khanasser farmers as an alternative to barley monocrop- ing and Afalon or Gesagard soon after emergence. ping. Preliminary results indicate that yields of barley after cumin are more sustainable than barley monocropping and BENEFITS AND RESULTS OF THE ACTIVITY that residual water is available for the following barley crop. When grown under supplemental irrigation, cumin requires Cumin provides an alternative rainfed cash crop with less water than wheat. The inclusion of cumin contributes acceptable yields ranging from 50 to 1,000 kilograms per to diversification of the cropping system and farm income, hectare with averages around 250 kilograms per hectare. and manual weeding and harvesting of the crop generate Gross income per season is about LS 28,990 per hectare local employment opportunities. (US$576 per hectare) with a net annual profit of about LS 16,245 per hectare (US$323 per hectare). Yields and profits are higher if the crop is irrigated. Only small land PROJECT OBJECTIVE AND DESCRIPTION areas of 0.08 to 1.60 hectares are required for profitable Cumin is a cash crop with a short growing cycle and activities; however, this figure varies with fluctuating mar- demands few moisture and nutrient inputs. Cumin is suit- ket prices. This profile was prepared by F. Turkelboom and R. Thomas, International Center for Agricultural Research in Dry Areas, Aleppo, Syrian Arab Republic. 131 LESSONS LEARNED AND ISSUES FOR SELECTED READINGS SCALING UP La Rovere, R., and A. Aw-Hassan. 2005. Ex ante Assessment Inputs have a high cost. of Agricultural Technologies for Use in Dry Marginal Areas: Good management knowledge is needed to obtain good The Case of the Khanasser Valley, Syria. Integrated Natu- returns and reduce risks of failure. ral Resource Management Technical Report 6. Aleppo, Syrian Arab Republic: International Center for Agricul- Cumin planted in succession is susceptible to the buildup tural Research in the Dry Areas. of cumin wilt disease (but this disease does not affect the La Rovere, R., A. Aw-Hassan, F. Turkelboom, and R. following barley crop). Thomas. 2006. "Targeting Research for Poverty Reduc- Fluctuations in cumin prices make the profits from tion in Marginal Areas of Rural Syria." Development and growing cumin uncertain, but during the period studied, Change 37 (3): 627­48. prices always remained above the minimum profitability La Rovere, R., F. Turkelboom, A. Aw-Hassan, A. Bruggeman, thresholds (and they have recently improved). and R. Thomas (Forthcoming). "A Comprehensive Cumin prices remain competitive even in marginal areas, Assessment of Technological Options for Improving although they depend on international trade and need Rural Livelihoods in the Dry Marginal Areas of Syria." close monitoring. International Journal of Agricultural Sustainability. Farmers need better access to market and price informa- tion before they make planting or marketing decisions. Management recommendations that reduce production risks should be transferred to farmers through local extension services and farmer interest groups. ECONOMIC ASSESSMENT For rainfed production systems, the investment cost is cur- rently US$248 per hectare with a net return on capital of 106 percent. Net return on land is estimated at US$263 per hectare, on hired labor at 5 percent and on family labor at 17 percent. Cumin is attractive to farmers because of its low water requirements, short duration, and ability to con- tribute directly to household cash flow. Market price fluctu- ations represent a high risk. 132 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS I N N O VAT I V E A C T I V I T Y P R O F I L E 5 . 2 Economic and Sustainable Land Management Benefits of the Forage Legume: Vetch he International Center for Agricultural Research in T vetch are lower than those for cumin and wheat. Investment the Dry Areas (ICARDA), based in Aleppo, Syrian cost is US$126 per hectare with a net return on capital of Arab Republic, has been working with farmers to 160 percent, and net return on land is US$202 per hectare. develop innovative crop, forage, and livestock diversification alternatives for smallholder farmers. The objectives of LESSONS LEARNED ICARDA's work on forage systems are to introduce legumi- nous forage species (for example, vetch) to the farming sys- More information is required on the beneficial effects of tems of poor livestock farmers in rural and urban communi- vetch on soil fertility over the long term to increase the ties. This effort is intended to improve production and make attractiveness of this option. Agronomic management can use of the nitrogen-fixing ability of this legume on soils that be improved considerably by paying more attention to seed- have been depleted of nutrients and soil organic matter. ing rates and planting methods. Farmers need access to bet- Vetch is an annual forage legume that is planted in rota- ter storage and use practices of vetch hay and would benefit tion with barley in winter. It is either grazed or cut for hay- from reduced costs of weeding. Vetch appears to fit well making in early spring. Vetch seed can be harvested in late within the diversification strategies used by farmers under spring. Similarly, vetch straw is produced in late spring and mixed or intensive systems. used as a protein supplement to cereal straw for sheep meat and milk production. Vetch can be grown in dry areas with ISSUES FOR SCALING UP: INVESTMENTS annual rainfall ranging from 200 to 400 millimeters Future research on vetch should include efforts to empower although it is riskier than the more drought-tolerant barley. farmers to use the technology and improve the establishment and harvest of the crop. Greater support is required to estab- PRESENTATION OF INNOVATION lish and maintain viable forage seed systems. This effort can Field experimentation with farmers has shown that yields of be accomplished by paying more attention to the creation of barley straw and grain increase by 25 to 40 percent when market opportunities for fodder and forage seed. Efforts are grown in rotation with vetch, as compared to continuous required to improve seed quality of high-yielding varieties barley cropping. In addition, feeding vetch hay or grain as a and to make these varieties more readily available to farmers. supplement to low-quality cereal straw improves lamb growth by 20 to 30 percent. Lambs grazing on vetch in early SELECTED READING spring gain as much as 100 to 150 grams per day. La Rovere, R., and A. Aw-Hassan. 2005. Ex ante Assessment When vetch is planted in rotation with barley, soil fertility of Agricultural Technologies for Use in Dry Marginal Areas: is increased by 10 to 15 percent--mainly through increases in The Case of the Khanasser Valley, Syria. Integrated Natu- soil nitrogen and phosphorus. Additional income can be ral Resource Management Technical Report 6. Aleppo, earned by selling vetch seed and straw. In comparisons with Syrian Arab Republic: International Center for Agricul- other tested options, the production and marketing risks of tural Research in the Dry Areas. This profile was prepared by R. Thomas, F. Turkelboom, and R. LaRovere, International Center for Agricultural Research in Dry Areas, Aleppo, Syrian Arab Republic. 133 I N N O VAT I V E A C T I V I T Y P R O F I L E 5 . 3 Participatory Barley-Breeding Program for Semiarid Regions I n a conventional crop-breeding program, the most The general scheme starts with planning meetings where promising lines are released as varieties, and their seed farmers assist in designing a research agenda in which they is produced under controlled conditions; only then do will participate. Under the D-PPB approach, the initial farmers decide on adoption. The process often results in farmers' adoption drives the decision of which variety to many varieties being released, and only a few are adopted. release. Hence, adoption rates are higher and risks are min- The International Center for Agricultural Research in the imized, because farmers gain intimate knowledge of varietal Dry Areas (ICARDA) based in Aleppo, Syrian Arab Repub- performance as part of the process. The investment in seed lic, has been working with farmers to develop innovative production is nearly always paid off by farmers' adoption. crop, forage, and livestock diversification alternatives for smallholder farmers. BENEFITS AND RESULTS OF THE ACTIVITY The Decentralized-Participatory Plant Breeding (D-PPB) approach pioneered by ICARDA focuses on an Agriculturalists and land-poor laborers are benefiting from alternative way of conducting plant breeding that is more quicker access to improved barley varieties as a result of the efficient in bringing new varieties to farmers regardless of D-PPB approach. Indirectly, pastoralists and their sheep herds their farm size, location, wealth, or education. These vari- benefit from better barley. The cyclical nature of D-PPB pro- eties are adapted to the physical and socioeconomic envi- grams has enriched farmers' knowledge and has improved ronment. The component activities include (a) training of their negotiation capability, thereby empowering farming farmers, researchers, and extension personnel; (b) field tri- communities. Key project benefits include the following: als; (c) seed production; and (d) dissemination workshops and publications. Improved varieties are released quicker, and adoption rates are higher. Different varieties are being selected in different areas of PRESENTATION OF INNOVATION Syria in direct response to different ecological constraints. The D-PPB process turns the delivery phase of a plant Farmers spontaneously tested new varieties as early as breeding program upside down. The program is based on three years after starting the program. Thousands of the following concepts: hectares have been planted with two newly released vari- eties, and about 30 varieties are under large-scale testing. The traditional linear sequence of scientists to exten- In advanced yield trials, several lines outyielded the local sionists to farmers is replaced by a team approach with varieties; yield gains were modest in Mugherat (10 to 11 scientists, extension personnel, and farmers participating percent) and higher in Khanasser (22 to 28 percent). in variety development. Selection is conducted in farmers' fields using agronomic Farmers in Mugherat and Khanasser selected tall vari- practices they decide on. eties and varieties that grow faster in winter. The visual Farmers are the key decision makers. selection of farmers in Mugherat was more closely corre- This profile was prepared by S. Ceccarelli and S. Grando, International Center for Agricultural Research in the Dry Areas, Aleppo, Syrian Arab Republic. 134 lated with grain yield (r = 0.503) than that of farmers in The difficulty of national program scientists in dealing Khanasser (r = 0.059). with farmers as partners is an ongoing concern. Changes within the national agricultural research and extension sys- tems are slow. LESSONS LEARNED AND ISSUES FOR WIDER APPLICATION SELECTED READINGS Farmers are excellent partners: their contribution to the program increases with their understanding of the Ceccarelli, S., and S. Grando. 2005. "Decentralized-Partici- process, which becomes more and more demand driven. patory Plant Breeding: A Case from Syria." In Participa- The quality of participation is unrelated to culture, reli- tory Research and Development for Sustainable Agriculture gion, education, age, wealth, or gender. and Natural Resource Management, vol. 1, ed. J. Gon- salves, T. Becker,A. Braun, D. Campilan, H. De Chavez, E. As the program develops, the breeder becomes more and Fajber, M. Kapiriri, J. Rivaca-Caminade, and R. Vernooy, more a facilitator and a provider of genetic variability. 193­99. Ottawa: International Development Research Participatory plant breeding increases crop biodiversity, Centre. promotes the use of land races and wild relatives, and is ------. 2007. "Decentralized-Participatory Plant Breeding: ideal for organic conditions. An Example of Demand-Driven Research." Euphytica In the case of Syria (the only country where a detailed 155 (3): 349­60. study was conducted), the cost-benefit ratio of participa- Ceccarelli, S., S. Grando, E. Bailey, A. Amri, M. El Felah, F. tory plant breeding is less than half (0.38) that of con- Nassif, S. Rezgui, and A. Yahyaoui. 2001. "Farmer Partic- ventional plant breeding. ipation in Barley Breeding in Syria, Morocco, and Participatory plant breeding offers the possibility of Tunisia." Euphytica 122 (3): 521­36. improving more than one crop within the same program Ceccarelli, S., S. Grando, M. Baum, and S. M. Udupa. 2004. (one of the first requests of farmers across many countries). "Breeding for Drought Resistance in a Changing Cli- Participatory plant breeding allows quick response to mate." In Challenges and Strategies of Dryland Agricul- both agronomic and climatic changes. ture, ed. S. C. Rao and J. Ryan, 167­90. Crop Science Participatory plant breeding is a good entry point (easy Society of America Special Publication 32. Madison, WI: to organize) for integrated participatory research. American Society of Agronomy. Participatory plant breeding is a good training ground Ceccarelli, S., S. Grando, and R. H. Booth. 1996. "Interna- for future plant breeders and can be used in university tional Breeding Programmes and Resource-Poor Farm- curricula. ers: Crop Improvement in Difficult Environments." In Participatory Plant Breeding: Proceedings of a Workshop on Participatory Plant Breeding, 26­29 July 1995, ISSUES FOR SCALING UP: INVESTMENTS Wageningen, Netherlands, ed. P. Eyzaguirre and M. Iwanaga, 99­116. Rome: International Plant Genetic In several countries, the D-PPB approach generated changes Resources Institute. in the attitude of policy makers and scientists toward the Ceccarelli, S., S. Grando, M. Singh, M. Michael, A. Shikho, benefits of participatory research. At the same time, variety M. Al Issa, A. Al Saleh, G. Kaleonjy, S. M. Al Ghanem, A. release systems are considered too rigid. L. Al Hasan, H. Dalla, S. Basha, and T. Basha. 2003. "A Extension services need to take on new tasks. The role of Methodological Study on Participatory Barley Breeding: extension in the D-PPB approach is in participating with II. Response to Selection." Euphytica 133 (2): 185­200. farmers and researchers, in developing technology, and in Mangione, D., S. Senni, M. Puccioni, S. Grando, and S. Cec- involving additional farmers in the process, rather than in carelli. 2006. "The Cost of Participatory Barley Breed- transferring research results from researchers to farmers. ing." Euphytica 150 (3): 289­306. INNOVATIVE ACTIVITY PROFILE 5.3: PARTICIPATORY BARLEY-BREEDING PROGRAM FOR SEMIARID REGIONS 135 I N N O VAT I V E A C T I V I T Y P R O F I L E 5 . 4 Climate Risk Management in Support of Sustainable Land Management C hanges in climate patterns, such as the ones pro- human livelihoods. Coping strategies of rural and agricul- jected by climate change scenarios for many parts turally based communities in response to such events often of the developing world, have the potential to lead to unsustainable land management practices. For change current land management practices fundamentally instance, after cyclones destroyed vanilla plantations in and to alter the risk profile of agriculturally based Madagascar in 2004, many rural communities turned to economies. Thus, with additional increasing commercial- shifting cultivation that infringes on protected areas and ization and expansion of agriculture and its integration into causes soil erosion. Thus, sustainable farming, of which risk international markets and supply chains, new risk manage- management is an important component, is essential to ment approaches are required that are adapted to the agri- sustainable land management and the preservation of the cultural and rural sectors in developing countries and to the natural resource base. pervasive risks affecting those sectors. This profile outlines Longer-term changes in climate patterns, such as the the fundamental elements of a climate risk management ones projected by climate change scenarios for many parts approach for agricultural systems. of the developing world, have the potential to change cur- rent land management practices fundamentally and to alter the risk profile of agriculturally based economies. These INTRODUCTION changes represent an additional layer of risk and uncer- Farming and land management activities are exposed to tainty, and increasingly they need to be considered as part seasonal climate risks arising from interannual climate vari- of a sound climate risk management framework. ability and anthropogenic perturbations of the climate sys- tem, which are likely to result in more frequent extreme PROJECT OBJECTIVE AND DESCRIPTION weather events. A key element of agricultural and rural risk management includes the efficient use of inherently vari- Agricultural actors in developing countries--including able natural resources (for example, runoff) and measures commercial producers and smallholder farmers, rural com- to increase the resilience of land and crop management sys- munities, suppliers, traders, and planners--have long dealt tems against seasonal climate threats (for example, with the risks in agricultural production and have adopted droughts and floods). Unmitigated risks are likely to result traditional and ad hoc means to cope with them. At the in increased crop and yield losses and, in extreme cases, in same time, with increasing commercialization and expan- loss of the natural resource base (for example, soil erosion). sion of agriculture and its integration in international mar- Land management practices and agricultural expansion kets and supply chains, risk patterns and exposure can can alter (increase or decrease) the exposure to natural per- change dramatically and require risk management ils and the potential impacts associated with them. Extreme approaches that are adapted to the agricultural and rural climatic events can result in irreversible damage to land sector in developing countries and to the pervasive risks management and farming systems and, by extension, to affecting it. This profile was prepared by A. Lotsch, World Bank, Agriculture and Rural Development Commodity Risk Management Group, Washington, D.C. 136 The Commodity Risk Management Group has worked microfinance institution or the delivery of goods and with partners in several countries in Africa, Asia, and Latin services (for example, business interruption for input America with the objective of assisting agricultural produc- suppliers). ers and farmers, rural lending institutions, and governments in developing means to identify, quantify, and manage risks Risk Quantification arising from both market forces (such as commodity price volatility) and climatic events (such as seasonal droughts, After risks and their systemic links have been identified, the floods, and storms). With respect to land management sys- potential losses arising from such risks need to be quanti- tems, the overarching objectives of risk management include fied. For quantitative risk, modeling framework risk is com- protection of agriculturally based livelihoods; sustainable monly defined as a function of (a) the climate or weather use of natural assets (for example, soil, water, and plant hazard, (b) the exposure of agricultural assets to natural genetic material); and management of undesirable outcomes hazards, and (c) the vulnerability of these assets to such haz- from climate-related stress (for example, plant diseases). ards. Specifically, Although markets can have a long-term effect on the development of land management systems through trade Hazards are described by their spatial and temporal sta- and commodity prices (thereby altering risk profiles), sea- tistical properties (for example, likelihood of cyclones of sonal variations in climate--particularly extreme events-- a certain strength making landfall in a particular loca- tend to have more direct effects on the natural resource base tion). and agricultural assets. This profile focuses mostly on risks Exposure describes the absolute amount of assets (for arising from seasonal weather variability and extreme example, plantations) and economic activity that may events. The fundamental elements of a climate risk manage- experience harm because of the effects of natural events. ment approach for agricultural systems are outlined here Vulnerability (or sensitivity) captures the degree to which and include several novel technologies and approaches to assets and productive activities are susceptible to nega- managing long-term and seasonal climate risks. tive impacts of natural hazards. This breakdown of risk is important because it illustrates PRESENTATION OF INNOVATION that risk can arise from (a) temporary or permanent changes The development of risk management solutions requires a in hazard patterns (for example, climate cycles); (b) changes systematic and stepwise approach. The principal framework in the exposure (for example, agricultural expansion and for risk assessments in the productive sector includes risk intensification); and (c) changes in the vulnerability profiles identification, risk quantification, and design of risk man- (for example, crop choices). That is, risk can be reduced most agement instruments. effectively by managing the exposure and reducing the vul- nerability (increasing the resilience) of land management systems, whereas changing hazard patterns that are largely Risk Identification controlled by climatic processes is more difficult. Several perspectives may be chosen to identify risks affect- ing agricultural production: Risk Management Spatio-temporal. Identify the regions or locations that are Last, an appropriate risk management mechanism needs to affected by climatic stress and the season during which be developed to reduce (mitigate), transfer, or share the resid- such stress has the most significant impacts. ual risk. The appropriate management solution is a function Supply chain. Identify the elements in an agricultural of (a) the magnitude of the risk; (b) the likelihood that a neg- supply chain in which value added is at risk because of ative outcome may be realized; (c) the institutional (informal variability in climate. Additional risks in a supply chain or formal) capacity to cope with the risk; and (d) the nature may arise directly or indirectly from weather perturba- of the underlying hazard (for example, droughts represent a tions, such as diseases and product quality, and from covariate risk that tends to affect large areas simultaneously logistical and operational disruptions. and generally results in long-term and indirect losses,whereas Institutional. Identify the operations or assets of institu- floods tend to be more localized and cause direct damage to tions that are at risk, such as the lending portfolio of a crops and infrastructure such as irrigation systems). INNOVATIVE ACTIVITY PROFILE 5.4: CLIMATE RISK MANAGEMENT IN SUPPORT OF SUSTAINABLE LAND MANAGEMENT 137 Several existing and new technologies have been used about the vulnerability and exposure of assets to estimate and piloted in recent years to support risk modeling and the likely damages and financial losses arising from management in developing countries. These include (a) extreme climatic events. Advances in geo-information geo-information technologies, such as space- or air-borne technology, such as geographic information systems, remote sensing and cyclone and flood modeling; (b) proba- facilitate the assimilation and analysis of hazard, vulner- bilistic and quantitative risk modeling; and (c) innovative ability, and financial models in an integrated framework. approaches to transfer (insure) risk through market-based Many of these systems have become user friendly and approaches. These innovations can enhance and comple- can be deployed on desktop computer systems to be used ment more conventional approaches to risk management in in an interactive and dynamic fashion by decision mak- the productive sectors, such as water storage, crop diversifi- ers in support of risk assessment and management. cation, or flood mitigation schemes. Some of these innova- Innovative approaches for risk transfer. Most developing tions are featured here in relation to the risk framework countries lack agricultural insurance. Traditional multi- described: peril crop insurance (MPCI) programs, which compen- sate farmers on the basis of yield loss measured in the Remote-sensing technologies. Remote-sensing technolo- field, have major drawbacks: (a) adverse selection (that gies can provide cost-effective and rapid means to collect is, farmers know more about their risks than the insurer, hazard information. Satellite-based sensors provide leading the low-risk farmers to opt out and leaving the repeated observations of atmospheric and terrestrial insurer with only bad risks); (b) moral hazard (that is, conditions and can cover large geographic areas with farmers' behaviors can influence the extent of damage moderate resolution sensors or small areas with very that qualifies for insurance payouts); and (c) high high spatial resolution. Examples for applications of administrative costs, especially in small farmer commu- remote-sensing technology include (a) flood mapping nities, and difficulties of objective loss adjustment. As a and detection, (b) measurement of tropical rainfall, (c) result, a strong movement exists to develop index-based monitoring of vegetation and crop conditions, and (d) insurance solutions, which have several advantages over cyclone tracking. Although remote-sensing technology MPCI. Index-based insurance products are contingent provides a very powerful tool in many risk applications, claims contracts for which payouts are determined by an a key limitation is that it is a relatively new technology objective parameter, such as rainfall, temperature, and that provides limited historical observations, which are regional yield level, that is highly correlated with farm- critical in modeling the long-term patterns of climatic level yields or revenue outcomes. Farmers with index hazards. (For some sensors, reliable time series are avail- contracts receive timely payouts because the compensa- able from the mid-1980s; however, the more advanced tion is automatically triggered when the chosen index technologies generally provide fewer than 10 years of parameter reaches a prespecified level. The automatic temporal observations.) trigger reduces administrative costs for the insurer by Bio-geophysical and atmospheric models. Bio-geophysical eliminating the need for tedious field-level damage and atmospheric models are frequently used when direct assessment, while the objective and exogenous nature of observations of hazards are not available. Careful cali- the index prevents adverse selection and moral hazard. bration of models allows the simulation of hazard pat- Index products are most suitable for covariate risks terns over a longer time period, which is critical to quan- (risks affecting larger areas or groups of people simulta- tify trends and return periods of extreme climate events, neously), and most index product development to date such severe droughts or floods. Examples of state-of-the- has concentrated on rainfall deficit (that is, drought), art modeling in support of hazard analysis include (a) which is particularly difficult to insure by traditional floodplain and inundation models using numerical methods. water balance and drainage, (b) cyclone models that dynamically simulate the trajectories and wind speed of BENEFITS AND RESULTS OF THE ACTIVITY cyclones, and (c) regional circulation models that can be used to simulate seasonal climate patterns and provide Several benefits accrue from following a systematic seasonal forecasts. approach to assessing risks in the productive sector in rela- Risk models. Risk models combine the information about tion to sustainable land management and from applying the hazards in a probabilistic framework with information specific technologies described in this profile: 138 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS The disaggregation of risk into hazard, vulnerability, and without solid data and statistical capacity at all adminis- exposure provides a clear framework under which trative levels. experts from different disciplines, including climate National and local agencies could use readily available experts and meteorologists, social scientists, engineers, public data sources, such as the ones derived from satel- and agronomists, can collaborate on risk assessments. In lite data, more effectively. Capacity building in technical addition, it defines a clear functional relationship agencies, such as agrometeorological services, has the between natural hazards and negative outcomes of risk. potential to unlock the wealth of underused data sources A clear risk management framework identifies the areas that can generate a variety of public goods. where investments would have the highest marginal Simple hazard and risk assessments can be performed in effect to reduce risk. For instance, systematic risk model- most countries by compiling data from existing sources ing reveals how increasing exposure (for example, agri- (for example, land-use inventories or climatological time cultural expansion in floodplains) contributes to the series) and integrating them systematically in a common overall risk compared to the vulnerability arising from framework (through spatial-reference data layers in a poor farming practices. geographic information system). This approach can pro- A risk management framework is scalable, and the same vide a powerful starting point for engaging local agencies general framework can be used with varying geographic and stakeholders and can stimulate more focused sector- and sectoral detail. That is, simple risk models can be or asset-specific risk analyses. developed when data availability and quality are an issue, Insurance markets in the productive sectors, in particu- and more detailed and sector-specific models can easily lar agriculture, are largely underdeveloped in most client be incorporated if appropriate data are available. countries. Index-based insurance products using quanti- Quantifying and mapping risks has an important tative risk modeling can potentially provide more awareness-raising effect because risks are frequently not adapted risk management solutions for the agricultural explicitly addressed. Risk assessments can provide a pow- sector in developing countries. Deploying them effec- erful tool to introduce measures to manage risks before tively, however, requires capacity building in the domes- damages and losses occur, rather than after a disaster and tic insurance sector, leveraging of local capacity to model severe event. risk, investments in sustainable data collection and man- Climate risk management provides a framework to pro- agement systems, and risk education and sensitization mote new technology, such as better computer-based among stakeholders (such as producers, suppliers, and land-monitoring systems, and to build capacity for pub- lending institutions in an agricultural supply chain). lic and private sector entities, such as planning depart- ments or the domestic insurance market. INVESTMENT NEEDS AND PRIORITIES Key investments for better climate risk management include LESSONS LEARNED AND ISSUES FOR the following: WIDER APPLICATION Upgrading of hydrometeorological infrastructure, Good data are the most critical inputs for any risk mod- including synoptic weather stations, gauging stations for eling. Unfortunately, adequate data are rarely found in river runoff and surface water, and agrometeorological most client countries, or poor data management systems sites. This fundamental investment requires a long-term prevent the data from being readily used. Despite perspective, including the development of institutions sophisticated satellite technology and models, no substi- and agencies that have the mandate and resources to tute exists for high-quality data collection on the ground manage such systems and create added value through by agencies such as hydrometeorological services and dissemination of climate information. statistical bureaus. In many countries, particularly in Capacity building at the national and below-national Africa, the capacity to collect data on natural hazards, levels to collect, manage, disseminate, and use data for including weather data, is deteriorating rapidly. Invest- climate and disaster risk management. Such capacity ments in hydrometeorological infrastructure and data building includes basic training of technical personnel, management systems are fundamental to supporting cli- development of risk assessment protocols (before and mate risk management, which is virtually impossible after seasonal events), and statistical capacity building. INNOVATIVE ACTIVITY PROFILE 5.4: CLIMATE RISK MANAGEMENT IN SUPPORT OF SUSTAINABLE LAND MANAGEMENT 139 Development of multisector risk management frame- Hellmuth, M. E., A. Moorhead, M. C. Thomson, and J. works that clearly delineate and facilitate public and pri- Williams, eds. 2007. Climate Risk Management in Africa: vate sector responsibilities in risk management, includ- Learning from Practice. New York: Columbia University. ing insurance through market-based instruments and King, M. D., C. L. Parkinson, C. Partington, and R. G. disaster response by public entities. A key element of Williams. 2007. Our Changing Planet: A View from Space. such a framework is effective multilevel and multisector New York: Cambridge University Press. stakeholder coordination. UNDESA (United Nations Department of Economic and Systematic development and updating of baseline data Social Affairs). 2007."Developing Index-Based Insurance and natural hazards and risks arising from them. This for Agriculture in Developing Countries." Sustainable Development Innovation Brief 2, UNDESA, New York. effort would include development of land management http://www.un.org/esa/sustdev/publications/innov information systems, with routine inventories of the nat- ationbriefs/no2.pdf. ural resource base, inventories of the key assets in the productive sectors, and updating of vulnerability profiles using some of the technologies described in this profile. WEB RESOURCES Improvement of rural infrastructure and capacity. Hard Dartmouth Flood Observatory Web site. This Web site con- solutions for improving transportation, water storage tains an active archive of large floods, from 1985 to the facilities, information and communication infrastruc- present. http://www.dartmouth.edu/~floods. ture, drainage and irrigation systems are needed, as well International Task Force on Commodity Risk Management in as soft solutions for improving market development and Developing Countries. Lighting Africa is a World Bank diversification, community-driven risk management Group initiative. Its aim is to provide up to 250 million plans, or capacity extension services. people in Sub-Saharan Africa with access to non-fossil fuel based, low cost, safe, and reliable lighting products with associated basic energy services by the year 2030. SELECTED READINGS Web site: http://www.itf-commodityrisk.org. Hartell, J., H. Ibarra, J. Skees, and J. Syroka. 2006. Risk Man- agement in Agriculture for Natural Hazards. Rome: Isti- tuto di Servizi per il Mercato Agricolo Alimentare. http:// www.sicuragro.it/pages/..%5CItalia%5CDownloads %5CDerivati%20meteo%20Ismea%20-%20Ver %20Inglese.pdf. 140 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS I N N O VAT I V E A C T I V I T Y P R O F I L E 5 . 5 Land Degradation Surveillance: Quantifying and Monitoring Land Degradation D iagnostic surveillance approaches used in the pub- (GEF) project in Kenya, led by the Kenya Agricultural lic health sector can now be adapted and deployed Research Institute, which is designed to tackle land degra- to provide a reliable mechanism for evidence- dation problems in the Lake Victoria basin. Soil health sur- based learning and the sound targeting of investments in veillance has been recommended as part of a strategy sustainable land management (SLM) programs. Initially, a endorsed by the New Partnership for Africa's Development series of case definitions are developed through which the (NEPAD) for saving Africa's soils and is proposed for Sub- problem can be quantified. Then, sample units are screened Saharan Africa as a component of the Global Digital Soil to determine whether they meet the case criteria. This Map of the World project. process involves conducting prevalence surveys requiring measurement of a large number of sample units. The land INTRODUCTION management surveillance approach uses a combination of cutting-edge tools, such as satellite remote sensing at multi- Many of the problems associated with managing land stem ple scales; georeferenced ground-sampling schemes based from a lack of systematic and operational approaches for on sentinel sites; infrared spectroscopy for rapid, reliable assessing and monitoring land degradation at different soil and plant tissue analysis; and mixed-effects statistical scales (village to global). As a result, there is no mechanism models to provide population-based estimates from hierar- for sound targeting of interventions and no basis for reliable chical data. evidence-based learning from the billions of dollars that The approach provides a scientifically rigorous frame- have been invested in SLM programs. Recent scientific and work for evidenced-based management of land resources technical advances are enabling diagnostic surveillance that is modeled on well-tested scientific approaches used in approaches used in the public health sector to be deployed epidemiology. It provides a spatial framework for testing in SLM. Land degradation surveillance provides a spatial interventions in landscapes in a way that samples the vari- framework for diagnosis of land management problems, ability in conditions, thereby increasing the ability to gener- systematic targeting and testing of interventions, and assess- alize from outcomes. The baseline that the protocol gener- ment of outcomes. ates provides a scientifically rigorous platform for A broad range of stakeholders, such as regional and monitoring outcomes of intervention projects at a land- national policy makers, donors, environmental convention scape level. The approach is particularly well suited to pro- secretariats, and civil society, are asking these key questions: viding high-quality information at low cost in areas such as Sub-Saharan Africa, where existing data on land resources What is the state of the nation's land at a particular point are sparse. It is being used in a United Nations Environment in time? Programme (UNEP) capacity-building project to guide How much agricultural land in Sub-Saharan Africa is strategies for land restoration in five West African dryland currently suffering from productivity declines and off- countries and in a World Bank Global Environment Facility site impacts attributable to soil degradation? This profile was prepared by K. D. Shepherd, T.-G. Vågen, and T. Gumbricht, World Agroforesty Centre (ICRAF), Nairobi, Kenya, and M. G. Walsh, Earth Institute, Columbia University, New York. 141 What caused the degradation in places where it exists, Identify cause-and-effect relationships needed for pri- and how can further degradation be prevented? mary prevention, early detection, and rehabilitation of Can land degradation be reversed, and if so, what are the degraded land at different spatial scales. costs to individuals and to society? Provide a scientifically rigorous platform for testing and Are there cost-effective and socially acceptable means for monitoring land management interventions. treating degraded lands to increase their productivity, Provide a conceptual and logical framework for under- while avoiding harmful side effects to the environment, standing coupled social-ecological systems. such as the pollution of surface waters and accelerated greenhouse gas emissions? A diagnostic surveillance framework (box 5.1) can pro- vide a basis for a quantitative, evidence-based approach to land management. After a problem has been identified, a PROJECT OBJECTIVES AND DESCRIPTION critical step is to describe a case definition through which Surprisingly, the world does not have clear answers to these the problem can be quantified. Problems such as disease in questions at present. The basic premise of this project is that a populations generally exist as a continuum of severity; how- problem cannot be managed unless progress can be measured ever, for practical reasons, dichotomizing the diagnostic from a baseline toward a well-defined target. Thus, a land continuum into "cases" and "noncases" or "affected" and health surveillance system must accomplish the following: "nonaffected" is often helpful. The lack of rigorous stipula- tion of diagnostic criteria for key land degradation prob- Provide high spatial resolution and practical, timely, and lems is a major impediment in formulating a sound devel- cost-effective information about where specific land opment policy. Adequate definitions of degraded land and degradation processes occur in a given region or country nondegraded land are a prerequisite to assessing the extent of and how those processes are changing over time. land degradation. Identify areas at risk of degradation and the commensu- After case definitions are stipulated, a screening test is rate preventive measures in a spatially explicit way. required to measure the problem in individuals or sample Provide a framework for rigorous scientific testing and units and classify them as "case" or "noncase." The availabil- implementation of locally relevant rehabilitative soil ity of rapid, reliable (that is, highly repeatable and repro- management interventions, addressing what works, what ducible), and cost-effective screening tests (for example, does not, where, how, and at what cost to individuals and equivalent to blood tests used in medicine) is key to using society. the surveillance framework to conduct prevalence surveys Anticipate and respond to external requests from a wide involving measurement of a large number of sample units. audience (that is, farmers, conservationists, scientists, In clinical medicine, large investments are made in develop- and policy makers). ment of screening tests, and even the case definition may be defined in relation to the screening test. For example, for some disorders, an operational case definition is used that PRESENTATION OF DIAGNOSTIC assigns an arbitrary cut-off value of the screening test as a SURVEILLANCE AND OPERATIONAL decision threshold for treatment. FRAMEWORK The surveillance approach is put into effect using a com- Human health surveillance techniques are a normal part of bination of cutting-edge tools (figure 5.3), including satel- public health. Health surveillance is based on case definitions lite remote sensing at multiple scales; georeferenced that define prevalence (percentage of people affected) and ground-sampling schemes based on sentinel sites; infrared incidence (new cases). This project proposes an analogous spectroscopy for rapid, reliable soil and plant tissue analysis; land health surveillance system that provides the scientific and mixed-effects statistical models to provide population- and factual database essential to informed decision making based estimates from hierarchical data. The methods pro- and appropriate policy action (Shepherd and Walsh 2007). vide accurate information on the areas where land degrada- Soil health diagnostic surveillance aims are as follows: tion is taking place, on the different manifestations of land degradation and soil constraints, on the extent of the prob- Provide diagnostic information on land degradation lems, and on the sort of intervention strategies that are problems to guide resource allocation and management required to prevent or reverse degradation. The methods decisions. have been designed to be simple and cost-effective so that 142 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Box 5.1 Steps in the Diagnostic Surveillance Framework The diagnostic surveillance framework involves the 5. Conduct measurements. Simultaneous measure- following steps: ment of environmental and socioeconomic corre- lates permits problem risk factors to be identified. 1. Identify the specific land degradation problem or Controllable risk factors point to the main manage- groups of problems. ment levers for controlling the problem. 2. Develop a rigorous case definition of affected and 6. Confirm risk factors through follow-up surveys that nonaffected states. measure changes in the problem over time (inci- 3. Develop a screening test (or set of tests) so that sub- dence) and assess intervention outcomes. Assess- jects can be assigned rapidly to affected or nonaf- ment of outcomes may lead to a new or refined fected states. Infrared spectroscopy can play a key problem definition. role as a screening tool for identification of cases. 4. Apply the screening test to subjects in randomized The accompanying figure shows the relationship of sampling schemes designed to provide unbiased these steps. prevalence data on the specified problem. Source: International Centre for Research in Agroforestry. Diagnostic Surveillance Framework identify problem develop case definition develop screening tests measure measure prevalence environmental (number of cases/area) correlates infrared spectroscopy measure incidence differentiate (number of cases/area/time) risk factors confirm risk factors Source: Authors. they can be implemented in isolated areas and in countries domains are further sampled using sentinel sites, consisting with limited resources. of 10-by-10-kilometer blocks. Within sentinel sites, high- At a regional or national scale, land degradation risk resolution imagery and ground sampling are used to gather domains are first established using low-resolution time- data on vegetation and soil condition at randomized points. series satellite information on vegetation cover. These Infrared spectroscopy is used for rapid, reliable, and low-cost INNOVATIVE ACTIVITY PROFILE 5.5: LAND DEGRADATION SURVEILLANCE 143 Figure 5.3 Successive Samples of Land Degradation Problem Domains at a Hierarchy of Scales Using Satellite Imagery, Ground Sampling, and Laboratory Analysis of Soils by Infrared Spectroscopy national or district or watershed sentinel sites regional Lake Baringo, Kenya block or sentinel site trend in net primary productivity for Conversions Kenya 1981­2000 2001 soil organic carbon calibration 1 5 0 1 0 0 soil spectral signatures value 5 0 actual 2 r = 0 .9 4 0 0 5 0 1 0 0 1 5 0 predicted value Source: ICRAF. soil analysis and development of soil condition indexes. (see http://www.worldagroforestry.org/wadrylands/index Degradation indexes are related to risk factors such as vege- .html) and in a World Bank GEF project in Kenya, led by the tation type and cover and are then mapped out through cal- Kenya Agricultural Research Institute, which is designed to ibration to the satellite imagery using statistical inference. tackle land degradation problems in the Lake Victoria basin. This information is used to spatially target land management Soil health surveillance has been recommended as part of a strategies for systematic testing. The sentinel sites provide NEPAD-endorsed strategy for saving Africa's soils (Swift not only a framework for change detection through follow- and Shepherd 2007) and is proposed for Sub-Saharan Africa up surveys (for example, after five years) but also a spatial as a component of the Global Digital Soil Map of the World platform for testing recommended land management project (see http://www.globalsoilmap.net/). Further infor- options. For example, spatially distributing tree planting tri- mation on infrared spectroscopy for sensing soil quality is als in each sub-block ensures that species are tested over a available at http://www.worldagroforestrycentre.org/sens wide range of land conditions; consequently, growth perfor- ingsoil/. mance can be correlated with site indexes, which can be used to predict tree performance at new sites. The steps used in BENEFITS AND RESULTS OF THE ACTIVITY the framework are described in more detail in box 5.2 The land degradation surveillance framework is being The activity provides a scientifically rigorous framework for used in a UNEP capacity-building project to guide strategies evidenced-based management of land resources, modeled for land restoration in five West African dryland countries on well-tested scientific approaches used in epidemiology. 144 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS Box 5.2 Steps in the Land Degradation Surveillance Framework The land degradation surveillance framework involves about 14 to 16 field days. The number of plots can be the following steps: adjusted, if desired, to meet different objectives. 5. Characterize soil samples using infrared spectroscopy. 1. At a regional or national scale, establish land degra- This technique is widely used in industry for rapid dation risk domains using low-resolution time- and routine characterization of materials and has series satellite information on vegetation cover in been adapted for rapid, reliable, and low-cost soil combination with long-term rainfall records. The analysis. This no-chemical method is attractive for risk domains indicate areas where land may have laboratories in developing countries because it mini- been degraded or recovered over the past 25 years mizes sample preparation and requires only a source and are used as a sampling frame for more detailed of electricity. Furthermore, many agricultural inputs studies. Alternatively, stratification and sampling of and products can be analyzed using the same instru- the Landsat World Reference System grid can be ment. Subsets of samples are sent to specialized labo- used as a sampling frame. Ancillary data on popula- ratories for conventional soil analysis and isotope tion, infrastructure, climatic zones, and the like are analysis. These expensive analyses, conducted on rela- integrated to build quantitative scenario analyses. tively few samples, are calibrated to the infrared spec- 2. Sample contrasting areas using moderate-resolution tral data and predicted for all samples. Also, spectral (for example, Landsat, ASTER, SPOT) satellite indicators of soil condition are derived that success- imagery, which provides data on major land-cover fully screen soils into intact or degraded categories. conversions. Processing of full-coverage imagery at 6. Compile standard data-entry sheets that can be this scale provides data on prevalence of woody cover enabled for Web-based data entry. The data are and bare soil areas.Variation within these areas is fur- compiled in a central database. Individual users are ther sampled through sentinel sites to provide more provided with password access to their own data. detailed information on land condition. Sentinel sites 7. Use specialized statistical analyses for handling hier- consist of 10-by-10-kilometer blocks, which are logis- archical data to derive population-based estimates tically convenient for field sampling while being large for indicators of land condition and to analyze the enough to encompass major landscape variability. effect of environmental covariates (for example, veg- 3. For the sentinel sites, obtain high-resolution (0.6 to etation cover and soil spectral indicators) at different 2.4 meter) satellite imagery, which allows individual spatial scales. Robust statistical inference mecha- fields, trees, and erosion features to be observed. nisms with spatial models, pedotransfer functions, Within the sites, a standardized, georeferenced and expert systems are under development. ground survey is used to provide direct measurement 8. Use the georeferenced sampling scheme to allow of land condition. The 10-by-10-km blocks are spa- ground observations (for example, soil condition tially stratified into 2.5-kilometer sub-blocks. Within index) to be calibrated directly to satellite imagery each sub-block, an area of 1 square kilometer is sam- and to be spatially interpolated and mapped. pled using a cluster of 10 randomized 1,000-square- 9. Produce electronic atlases showing areas that are meter observation plots. Direct observations are already degraded, areas at risk, and intact areas, with made in four 100-square-meter subplots. Socioeco- matched recommendations on intervention strategies. nomic surveys also use the cluster design (for exam- 10.Propose spatially explicit land management strategies ple, sampling of households or villages nearest to clus- for systematic testing (for example, enrichment plant- ter centroids). ing of trees to meet specific tree-density targets). 4. Within plots, observe landform, topography, visible 11.Through the sentinel sites, provide not only a frame- signs of soil erosion, land use, vegetation type and work for change detection through follow-up sur- cover, and vegetation density and distribution, and veys (for example, after five years) but also a spatial take soil samples. Vegetation type is classified using platform for testing land management interventions. the Food and Agriculture Organization Land Cover For example, spatially distributing tree planting tri- Classification System, supplemented with woody bio- als in the blocks ensures that species are tested over a mass estimates. Single-ring infiltration measurements wide range of land conditions, so that growth per- are made on a selection of plots (three in each cluster). formance can be related back to site indexes, which A field crew of four people can complete a block in can be used to predict tree performance at new sites. Source: International Centre for Research in Agroforestry. INNOVATIVE ACTIVITY PROFILE 5.5: LAND DEGRADATION SURVEILLANCE 145 Currently, no comparable system is in operation. The sys- building and support role. A government would need to tematic application of the approach will provide unbiased take the following steps to implement a national-level sur- prevalence data on land degradation problems and permit veillance program: quantification of land degradation risk factors, thereby enabling preventive and rehabilitative measures for SLM to Provide exposure training in the approaches and meth- be appropriately targeted. The approach provides a spatial ods to a national team of scientists. framework for testing interventions in landscapes in a way Equip a national soil laboratory with a near-infrared that samples the variability in conditions, thereby increasing spectrometer (about US$75,000), provide basic training, the ability to generalize from outcomes. The baseline that ensure basic facilities for soil processing and storage, and the protocol generates provides a scientifically rigorous provide limited conventional soil analysis. platform for monitoring effects of intervention projects at a Provide resources for two survey teams for about landscape level. The hierarchical sampling frame and statis- 12 months of fieldwork every five years (each team will tical methods used allow systematic aggregation of results need one surveyor and two field assistants, as well as a and population-level inferences to be made about land vehicle, a global positioning system, an auger set, and properties at different scales. The approach is particularly field operating funds) to establish sentinel sites (for well suited to providing high-quality information at low example, 50 sites) throughout the country. cost in areas such as Sub-Saharan Africa, where existing data Train a national remote-sensing and geographic infor- on land resources are sparse. mation system lab in data analytical techniques with sup- port from the regional surveillance center. Orient national agronomic testing and socioeconomic LESSONS LEARNED AND ISSUES FOR research programs to work through the sentinel sites. WIDER APPLICATION Establish additional sentinel sites for setting up baselines The most difficult area for adoption is the advanced data and monitoring outcomes for individual development analysis techniques used. An efficient solution to this barrier projects aimed at land improvement. could be establishment of regional analytical centers, which would provide sampling schemes (global position system REFERENCES points, standardized forms, and protocols), as well as remote-sensing information and processing of field data Shepherd, K. D., and M. G. Walsh. 2007. "Infrared Spec- posted by field teams on the Internet. In addition, the cen- troscopy--Enabling an Evidence-Based Diagnostic Sur- ters would fulfill a technical and scientific capacity-building veillance Approach to Agricultural and Environmental and support role. Management in Developing Countries." Journal of Near Infrared Spectroscopy 15: 1­19. Swift, M. J., and K. D. Shepherd, eds. 2007. Saving Africa's INVESTMENT NEEDS AND PRIORITIES Soils: Science and Technology for Improved Soil Manage- ment in Africa. Kenya, Nairobi: World Agroforestry Centre. Widespread application of this approach principally requires investment in capacity building of national teams in the approaches and methods. Operating costs for imple- SELECTED READING menting a national surveillance system in the field are mod- Infrared Diagnostics for Agriculture and the Environment. est, and existing soil or natural resource survey departments 2008. "Sensing Soil Condition: Infrared Diagnostics for could easily take up this role. The advanced data analysis Agriculture and the Environment." World Agroforestry techniques used are the most difficult area for adoption. An Centre, Nairobi. http://www.worldagroforestrycentre efficient solution to this barrier could be establishment of .org/sensingsoil/. regional analytical centers that would provide sampling Vågen, T-G., K. D. Shepherd, and M. G. Walsh. 2006. "Sens- schemes (global position system points, standardized forms, ing Landscape Level Change in Soil Quality Following and protocols); remote-sensing information; and process- Deforestation and Conversion in the Highlands of ing of field data posted by field teams on the Internet. The Madagascar Using Vis-NIR Spectroscopy." Geoderma centers would also fulfill a technical and scientific capacity- 133: 281­94. 146 CHAPTER 5: RAINFED DRY AND COLD FARMING SYSTEMS WEB RESOURCES change, and environmental degradation: http://www .globalsoilmap.net/. Global Digital Soil Map of the World. Global Digital Soil Map of the World project seeks to make a new digital soil map West Africa Drylands Project. The West Africa Drylands project of the world using state-of-the-art and emerging tech- emphasizes the application of science-based tools to help nologies for soil mapping and predicting soil properties accelerate learning on sustainable dryland management at fine resolution. The map will be supplemented by and increase adaptive capacity at all scales, from local com- interpretation and functionality options that aim to munities to regional and international policy bodies. Learn assist better decision-making in various global issues, more about the project on its web site: http://www.world such as food production and hunger eradication, climate agroforestry.org/wadrylands/index.html. INNOVATIVE ACTIVITY PROFILE 5.5: LAND DEGRADATION SURVEILLANCE 147 PA RT I I I Web-Based Resources C H A P T E R 6 Web-Based Tools and Methods for Sustainable Land Management T his section provides information to help locate key Surface elevation products are produced by a semiauto- resources on tools and methods being developed mated process and placed at this Web site for USDA and by international, national, and civil society agen- public viewing. Monitoring heights for approximately 100 cies that work on different aspects of land and natural reservoirs and lakes around the world will greatly assist the resource management. Production Estimates and Crop Assessment Division of the FAS in locating regional droughts quickly, as well as improve crop production estimates for irrigated regions GLOBAL FIELD AND MARKET INTELLIGENCE located downstream from lakes and reservoirs. All targeted ON CEREAL AND OILSEEDS lakes and reservoirs are located within major agricultural The U.S. Department of Agriculture (USDA) and Foreign regions around the world. Reservoir and lake height varia- Agricultural Service (FAS) have a site where users can access tions may be viewed by placing the cursor on and clicking near real-time data and growing conditions for major the continent of interest. cereal, fiber (such as cotton), and oilseed crops in most The link to Global Reservoir and Lake Monitor project is countries (figure 6.1). http://www.pecad.fas.usda.gov/cropexplorer/global_reser To use the USDA-FAS Crop Explorer, go to http://www voir/. .pecad.fas.usda.gov/cropexplorer/. HYDROLOGICAL DATA AND DIGITAL REMOTE-SENSING TOOL FOR WATER WATERSHED MAPS RESOURCES MANAGEMENT The Conservation Science Program of the World Wildlife The USDA and FAS, in cooperation with the National Aero- Fund (WWF) is currently developing a new and innovative nautics and Space Administration (NASA) and the Univer- global hydrological database, called HydroSHEDS. sity of Maryland, are routinely monitoring lake and reser- HydroSHEDS stands for Hydrological data and maps based voir height variations for approximately 100 lakes located on SHuttle Elevation Derivatives at Multiple Scales (figure around the world. The Global Reservoir and Lake Monitor 6.3). For many parts of the world, these data and the tools project (figure 6.2) is the first of its kind to use near real- built to use them open a range of previously inaccessible time radar altimeter data over inland water bodies in an analyses and applications related to freshwater conservation operational manner. and environmental planning. HydroSHEDS is based on 151 Figure 6.1 USDA-FAS Crop Explorer Source: http://www.pecad.fas.usda.gov/cropexplorer/. Figure 6.2 USDA-FAS Global Reservoir and Lake Monitor Source: http://www.pecad.fas.usda.gov/cropexplorer/global_reservoir/. high-resolution elevation data obtained during a Space models, to estimate flow regimes. HydroSHEDS allows sci- Shuttle flight for NASA's Shuttle Radar Topography Mission. entists and managers to perform analyses that range from At the most basic level, HydroSHEDS allows scientists to basic watershed delineation to sophisticated flow modeling. create digital river and watershed maps. These maps can HydroSHEDS can be used for a wide range of applica- then be coupled with a variety of other geospatial data sets tions. WWF has already applied the data to create aquatic or applied in computer simulations, such as hydrologic habitat classification maps for remote and poorly mapped 152 CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT Figure 6.3 HydroSHEDS Database Source: http://hydrosheds.cr.usgs.gov. regions, such as the Amazon headwaters and the Guiana ponents has a number of advantages. It separates indirect Shield. Ultimately, taxonomists will be able to link their field- water routing from direct water diversions. The former site locations directly to digital river maps. WWF researchers includes impacts of land-use change and climate change hope to use HydroSHEDS in the future to assess the possible and is expressed mainly through the vertical model--that is, impacts of climate change on freshwater ecosystems. the water balance at the grid cell level. The latter includes HydroSHEDS has been developed by the Conservation increased withdrawals and diversions for agricultural, Science Program of WWF, in partnership with the U.S. Geo- industrial, and domestic use and affects mainly the horizon- logical Survey, the International Centre for Tropical Agri- tal model, which represents the flow routing. The separation culture, the Nature Conservancy, and the Center for Envi- into the grid cell and channel components creates an easy ronmental Systems Research at the University of Kassel in interface to treat non-point-source and in-channel chemical Germany. Major funding for this project was provided to processes separately. WWF by JohnsonDiversey Inc. To learn more about the variable infiltration capacity Data for Asia, Central America, and South America are (VIC) macroscale hydrologic model, visit http://www.hydro now available. Other continents are scheduled for comple- .washington.edu/Lettenmaier/Models/VIC/VIChome.html. tion by 2009. HydroSHEDS data are freely available for non- The Distributed Hydrology Soil Vegetation Model commercial use. (DHSVM) is a distributed hydrologic model that explicitly For more information and data, visit http://hydrosheds represents the effects of topography and vegetation on water .cr.usgs.gov. fluxes through the landscape. It is typically applied at high spatial resolutions on the order of 100 meters for watersheds of up to 104 square kilometers and at subdaily time scales BASIN AND WATERSHED SCALE for multiyear simulations (figure 6.4). HYDROLOGICAL MODELING To learn more about DHSVM, visit http://www The hydrology of a regional-scale river system can be mod- .hydro.washington.edu/Lettenmaier/Models/DHSVM/index eled as a geospatially explicit water mass balance for each .shtml. grid cell within the basin contributing to stream flow and downstream routing. As such, a model can be divided into RIVER BASIN DEVELOPMENT AND two major components: (a) a vertical component that cal- MANAGEMENT culates the water balance at each individual grid cell and (b) a horizontal component that routes the runoff generated by The International Water Management Institute is document- each grid cell to the ocean. This split into two separate com- ing the historical development of nine river basins from dif- CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT 153 Figure 6.4 The Distributed Hydrology Soil Vegetation Model Source: Lettenmaier, University of Washington, Seattle. ferent parts of the world to derive generic understanding The Dartmouth Flood Observatory detects, maps, and mea- about how societies manage water resources under growing sures major flood events worldwide using satellite remote population and basin closure, which problems are faced, and sensing. The record of such events is preserved as a "World which range of solutions (technical and institutional) are Atlas of Flooded Lands." available for a given physical and societal context (see figure An "Active Archive of Large Floods, 1985 to present," 6.5). The studies first address the past transformations of each describes these events individually. Maps and images basin, periodize changes, and draw lessons on how population accompany many of the floods described and can be growth and water resource development relate to food pro- accessed by links in the yearly catalogs (see, for example, fig- duction and environmental degradation and preservation. ure 6.6). As the archive of reliable data grows, the possibility Second, they investigate in more detail the present situation increases of predicting where and when major flooding will and define the scope for improvement in management, alloca- occur and of analyzing trends over time. tion, environmental services, and income generation. A third Surface Water Watch is a satellite-based surface-water part deals with projections and scenarios, with the aim of monitoring system. Orbital AMSR-E (Advanced Microwave informing current or future stakeholders' dialogues and pro- Scanning Radiometer for the Earth Observing System) viding decision makers with a state-of-the-art analysis and microwave measurements over selected river reaches and understanding of the basin challenges and opportunities. wetlands are used to measure discharge and watershed To learn more about the conceptual framework, basin runoff. The system can be used to determine where flooding studies, and tools, visit http://www.iwmi.cgiar.org/assess is under way today, to predict inundation extents, and to ment/Research_Projects/River_Basin_Development_and_ assess the current runoff status of watersheds. For rivers in Management/. cold regions, river ice status is also being monitored. To access the Dartmouth Flood Observatory and its products, visit http://www.dartmouth.edu/~floods/. TRACKING FLOODS GLOBALLY: THE DARTMOUTH FLOOD OBSERVATORY THE CARNEGIE LANDSAT ANALYSIS SYSTEM 154 CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT Figure 6.5 River Basin Development and Management Comparative Study Source: http://www.iwmi.cgiar.org/assessment/Research_Projects/River_Basin_Development_and_Management. Figure 6.6 Dartmouth Flood Observatory Map Source: http://www.dartmouth.edu/~floods/. CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT 155 Problems in detecting selective logging with remote sensing Figure 6.7 compares an example of the CLAS high- are complicated by the fact that tree species diversity in resolution detection of selective logging in the eastern Ama- some tropical rainforests (for example, the Brazilian Ama- zon during 2001 to 2002 from the CLAS processing (right), zon or the Congo) is very high, and most species are locally with deforestation mapping provided by standard Landsat rare. Logging is highly selective because markets accept only processing (Program for the Estimation of Deforestation in a few species for timber use. This situation contrasts with the Brazilian Amazon, or PRODES). logging practices in other parts of the world where clear- For more information on CLAS and associated publica- cutting or nearly complete harvests predominate. These tions, visit http://asnerlab.stanford.edu/. large differences in logging intensity result in variation of forest disturbance and collateral damages caused by har- PLANT BIODIVERSITY: RAPID SURVEY, vesting activities. CLASSIFICATION, AND MAPPING The Carnegie Landsat Analysis System (CLAS) uses high spatial resolution satellite data for regional and global stud- The Center for Biodiversity Management (CBM) provides ies of forest disturbance. CLAS is an automated processing users worldwide with free access to state-of-the-art biodi- system that includes (a) atmospheric correction of satellite versity assessment methodology and related software. The data; (b) deconvolution of spectral signatures into subpixel software highlighted here, VegClass 2.0 and DOMAIN, are fractional cover of live forest canopy, forest debris, and bare available free at http://www.cbmglobe.org/softwaredev.htm. substrates; (c) cloud, water, and deforestation masking; and (d) pattern recognition algorithms for forest disturbance VegClass 2.0: Field Tool for Vegetation Data mapping. Entry and Classification Figure 6.7 Comparison of CLAS High-Resolution Processing with Standard Landsat Processing Source: Asner and others 2005. Note: The image on the left shows deforestation mapping under standard Landsat processing for PRODES. The image on the right shows deforestation mapping using CLAS high-resolution processing. 156 CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT VegClass 2.0 is a computer-assisted data-entry and analytical Mosaic images were created by the NASA MODIS (Moderate- package for general vegetation classification and analysis. It is Resolution Imaging Spectroradiometer) Rapid Response Sys- built around a novel system of classifying vegetation accord- tem team to overlap the agricultural regions shown by the rec- ing to morphological adaptations to environment as well as tangles in panel a of figure 6.8. New MODIS mosaics are species, vegetation structure, and additional recording-site produced daily for each agricultural region in false color and physical features. The software allows the user to choose from true color from the Terra and Aqua satellites at 1-kilometer, a range of variables to suit a particular purpose and scale. Ref- 500-meter, and 250-meter resolution. These near real-time erences to the theory and practice underlying this software images can be viewed and downloaded after clicking on a are available in scientific literature, as well as on the Internet. region (panel b of figure 6.8). The software runs on personal computers with Microsoft To access daily images, go to http://www.pecad.fas.usda Windows® software. The instructions are in simple English. .gov/cropexplorer/modis_summary. With minimal training, users of VegClass will find it a power- ful tool for both entering and compiling field data. VegClass INTEGRATED GLOBAL OBSERVATIONS uses a formal protocol that allows transfer of data summaries FOR LAND into a wide range of industrial computerized spreadsheet and relational database formats, such as Microsoft Excel® and Since its creation in 1998, the Integrated Global Observing Access®. Strategy (IGOS) has sought to provide a comprehensive Apart from being useful in the field, VegClass is an excel- framework to harmonize the common interests of the lent tool for training purposes and has been successfully major space-based and in situ systems for global observa- used in a number of developing countries in tropical West tion of the Earth. Africa (Cameroon) and the sub-Sahel (Mali); southern Integrated Global Observations for Land (IGOL) is the Africa (Mozambique); Indomalesia (India, Indonesia, the land theme of IGOS and has the responsibility of designing Philippines, Thailand, and Vietnam); and Latin America a cohesive program of activities that will provide a compre- (Brazil, Costa Rica, and Peru). Because it provides a ready hensive picture of the present state of terrestrial ecosystems means of producing standardized data sets, VegClass is and build capacity for long-term monitoring of those rapidly becoming popular in vegetation surveys in different ecosystems. Global Observation of Forest and Land Cover countries. It provides a unique, generic means of recording Dynamics is strongly involved in developing the IGOL and comparing data within and between regions, and it is a theme. The current IGOL aims at an integrated and opera- unique tool for global and local comparative purposes. Veg- tional land observation system that focuses on the following Class has been supported by the Center for International areas (figure 6.9): Forestry Research as well as by CBM. Land cover, land-cover change, and fire Land use and land-use change DOMAIN: Habitat Mapping Package Agricultural production, food security, sustainable agri- DOMAIN is a user-friendly software program that makes culture, and forestry possible the exploration of potential habitats for plant and Land degradation and soils animal species. Unlike many other potential mapping pro- Ecosystems and ecosystem goods and services grams, DOMAIN allows the use of relatively few spatially Biodiversity and conservation referenced data points, such as known species locations. Human health and effects of land properties on vectors When these data points are overlaid on known environ- Water resource management, water use for agriculture, mental variables, such as soil type, elevation, and certain cli- and human use of water mate variables, the program constructs an environmental Disaster early warning systems (for fires, floods, and DOMAIN map showing different levels of similarity. The droughts) program is now widely used in more than 80 countries. Climate change impacts on land properties Energy (biomass and fuelwood) Urbanization and infrastructure AGRICULTURAL PRODUCTION REGIONS AND MODIS: NASA'S MODERATE RESOLUTION To visit IGOS, go to http://www.eohandbook.com/ IMAGING SPECTRORADIOMETER igosp/. The IGOL Web site is at http://www.fao.org/ gtos/igol. CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT 157 Figure 6.8 MODIS Image Gallery a. MODIS world map b. MODIS mosaic image Source: http://www.pecad.fas.usda.gov/cropexplorer/modis_summary/. 158 CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT Figure 6.9 Integrated and Operational Land Observation System Source: Food and Agriculture Organization. REFERENCE Asner, G. P., D. E. Knapp, E. N. Broadbent, P. J. C. Oliveira, M. Keller, and J. N. Silva."Selective Logging in the Brazil- ian Amazon." Science 310 (5747): 480­82. CHAPTER 6:WEB-BASED TOOLS AND METHODS FOR SUSTAINABLE LAND MANAGEMENT 159 G LO S S A R Y Many of the definitions in this glossary have been sourced is common and so is the use of irrigation water. Agriculture from the Intergovernmental Panel on Climate Change, includes crop production, livestock production, fisheries, http://www.ipcc.ch/pdf/glossary/ipcc-glossary.pdf. and timber. In most cases, the products are sold to markets. Abatement: Processes and technologies leading to the reduc- Agro-ecological system: Total of natural resources, people, tion of greenhouse gas emissions. and their interactions in an area, where the processes within the system are relatively independent of those in other agro- Adaptation: Adjustment in natural or human systems, in ecological systems. response to actual or expected climatic stimuli or their effects, that moderates, harms, or exploits beneficial Annex I countries: Group of countries included in annex I to opportunities. the United Nations Framework Convention on Climate Change. Annex I includes all developed countries in the Afforestation: Act or process of establishing a forest where Organisation for Economic Co-operation and Development one has not existed in recent history. and economies in transition (including the Russian Federa- tion and Ukraine). Afforestation Grant Scheme: Scheme proposed by the gov- ernment whereby landowners would be invited to tender for Annex B countries or parties: Group of countries included in grants for establishing new post-2007 Kyoto-compliant annex B of the Kyoto Protocol that agreed to a target for forests. their greenhouse gas emissions. Annex B includes all the annex I countries except Belarus and Turkey. Agricultural plains, lowland plains, or plains: Lower part of river basins between the headwaters and the coastal areas Biofuel: Fuel produced from plants, animal products, and (except in urban areas). They are mainly flat or rolling lands waste. Biofuels include alcohols, biodiesel, "black liquor" with large streams or rivers. In Asia and parts of Latin Amer- from the paper manufacturing process, wood, and soybean ica, they typically contain large contiguous areas with rain- oil. fed agriculture and irrigation systems. Huge areas are under low-intensity grazing or ranching in Latin America and Carbon credits: Tradable unit that represents the right to Africa. emit 1 ton of carbon dioxide equivalent emissions. Agriculture: All human activities where natural resources are Carbon dioxide (CO2): Naturally occurring gas that is a used to produce the raw materials for food, feed, and fiber. byproduct of burning and a breakdown of fossil fuels and Use of equipment, fertilizer, and fossil energy in the process biomass, land-use changes, and other industrial processes. It 161 is the principal human-induced greenhouse gas that affects in nature reservations, in recreational areas, and for houses the Earth's temperature. and roads, even though for these purposes nondegraded lands are far superior. Soil degradation refers to the Carbon dioxide equivalent (CO2e): Quantity of a given processes that reduce the capacity of the soil to support greenhouse gas multiplied by its global warming potential, agriculture. which equates its global warming impact relative to carbon dioxide. It is the standard unit for comparing the degree of Desertification: Form of land degradation in which vegeta- warming that emissions of different greenhouse gases can tion cannot reestablish itself after removal by harvesting, cause. burning, or grazing. It occurs because of overexploitation and may occur in nearly every climate, but particularly in Carbon (C) sequestration: Process by which carbon from the semiarid environments. Strong winds increase the vulnera- air (in CO2) is absorbed by growing plants and trees and is bility to desertification. left in dead plants (dead roots, exudates, mulch) in the soil. C sequestration increases soil organic matter. It counteracts Devegetation: Removal of natural vegetation and crops that buildup of CO2 in the air and hence climatic change and is leave the land surface bare and exposed to degradation by also an aspect of land rehabilitation: the more carbon is water, wind erosion, and leaching. Deforestation is the form retained in the soil, the better its fertility, water-holding of devegetation where tress and shrubs are removed. capacity, and resilience. Reestablishment of plant and tree species in devegetated areas is often difficult because of harsh environmental con- Climate change: Change in climate, attributed directly or ditions for germination and establishment. Grazing of indirectly to human activity, that alters the composition of emerging plants can modify the vegetation composition sig- the global atmosphere and that is additional to natural cli- nificantly so that mainly unpalatable, weedy species are mate variability observed over a comparable time period. present in low density, rendering land unfit for agriculture. Devegetation can lead to desertification. Coastal areas: Land area between the coast of the sea or the ocean and a line approximately 100 kilometers inland with Ecological footprint: Virtual area cultivated or exploited to all water bodies in it, plus the marine zone, where most fish- grow the crops and livestock that supply the food an average eries, aquaculture, and tourism take place. person consumes annually. Typically, this area is not con- tiguous, and part of this area may be far away--even in Co-benefits: Benefits of policies that are beyond the scope of other countries. Its size ranges from 100 square meters to the original policy. 1 hectare, or even beyond these values, depending on the type of food consumed (vegetarian or rich in animal pro- Commitment period: Range of years within which parties to tein) and the productivity of the farming system (depen- the Kyoto Protocol are required to meet their greenhouse dent on the intensity of management practices and the qual- gas emissions target, which is averaged over the years of the ity of the natural resources). The size of the ecological commitment period. The first commitment period is 2008 footprint can be used to compare consequences of different to 2012. The targets are set relative to greenhouse gas emis- lifestyles in different zones. sions in the base year (in New Zealand's case, 1990), multi- plied by five. Ecosystem services: Various benefits that ecosystems provide to people, including food, clean water, nature, and wildlife Deforestation: Direct human-induced conversion of forested as well as protection against natural disasters such as flood- land to nonforested land (that is, as agriculture). ing. Agriculture is always part of an ecosystem, and agricul- ture can be seen as an ecosystem service. Degradation: For the purposes of this sourcebook, sum of the processes that render land or water economically less Emission unit or allowance: Tradable unit representing the valuable for agricultural production or for other ecosystem right to emit 1 ton of carbon dioxide equivalent emissions. services. Continued degradation leads to zero or negative economic agricultural productivity. Degraded land and Encroachment: Use of land for agriculture in protected natural water can have a significant nonagricultural value, such as areas. Although predominant in headwaters and coastal areas, 162 GLOSSARY it is also common in plains. The term refers to people moving Forest: Minimum area of 1 hectare of land with tree-crown onto new land,which happens when they have few alternatives cover (or equivalent stocking level) of more than 30 percent, for food production in unprotected areas. In other situations, with trees able to reach the potential of a minimum height people have been living in and cultivating the encroached area of 5 meters at maturity in situ. A forest may consist either of for a long time, albeit in smaller numbers, and the notion of closed forest formations, where trees of various stories and protected area was recently imposed on them. undergrowth cover a high proportion of the ground, or open forest formations. Young natural stands and all plan- Emissions: Intentional and unintentional release of green- tations that have yet to reach a crown density of 30 percent house gases into the atmosphere. or tree height of 5 meters are included under this definition. So, too, are areas normally forming part of forest that are Environmental flow: Flow of water required to maintain temporarily unstocked as a result of human interventions, healthy wetlands and other ecosystems. such as harvesting or natural causes, but are expected to revert to forest. Environmental security: Condition of natural resources in a particular area. Full environmental security is achieved Fossil fuel: Fuel that is sourced from fossilized biomass such when the resources provide full environmental services to as oil and gas. the human beings who depend on this area and when this condition is sustainable. Rehabilitation of degraded areas to Globalization: Process by which more and more goods and achieve this situation is feasible only if the damage thresh- services are traded internationally. It encompasses greater old has not been exceeded. commercialization of farming and more dependence on trade for achieving food security. Erosion: Process of movement of soil particles, with organic matter and nutrients contained in them, because of rain, Grain equivalent: Weight of grain (typically wheat) that water movement, or wind. Erosion is accompanied by dep- would be required to replace a certain amount of food. osition nearby or at a distance. Erosion is a natural process Daily food has an endless variety of composition, water con- that can be accelerated by soil cultivation or deforestation. tent, and edible parts and is produced from many crops. The Construction of infrastructure (that is, roads and paths) can term grain equivalent is used to express all these parts in a contribute much toward accelerating erosion. single dimension. Evapotranspiration: Process by which water passes from the Greenhouse gas (GHG): Greenhouse gases are constituents liquid state in soil and plants into a gaseous state in the air. of the atmosphere, both natural and human induced, that Only the fraction that passes through plants can contribute absorb and reemit infrared radiation. Greenhouse gas emis- to crop production. sions covered by the emissions limitation commitment for the first commitment period of the Kyoto Protocol are car- Food security: For the purposes of this sourcebook, produc- bon dioxide (CO2), methane (CH4), nitrous oxide (NO2), tion of food, access to food, and use of food. For global food hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), and security, the emphasis is that sufficient food should be pro- sulfur hexafluoride (SF6). duced in the world to meet the full requirements of all peo- ple: total global food supply equals the total global demand. Greenhouse gas intensity/global warming potential: Index For household food security, the focus is on the ability of that approximates the time-integrated warming effect of a households, both urban and rural, to purchase or produce unit mass of a given greenhouse gas in today's atmosphere, the food they need for a healthy and active life. Disposable relative to that of carbon dioxide. income is a crucial issue.Women are typically gatekeepers of household food security. For national food security, the Gross domestic product (GDP): National income earned by focus is on sufficient food for all people in a nation. production in a country. National food security can be ensured through any combi- nation of national production and food imports and Groundwater: Water extracted from the soil depth beyond exports. Food security always has components of produc- the rooting zone, generally with manual or motorized tion, access, and use. pumps. GLOSSARY 163 Groundwater depletion: Process of extraction of groundwa- countries listed in its annex B (industrial nations) to meet ter from below the rooting zone, sometimes from depths greenhouse gas reduction targets during the period from below 50 meters, at a rate faster than groundwater recharge 2008 to 2012 (see http://unfccc.int/kyoto_protocol/items/ takes place. 2830.php for further information). Headwaters (or upland watersheds): Upper parts of river Land managers: Farmers (includes arable, horticultural, and basins, where water is collected in small streams that merge pastoral farmers) and foresters. into larger ones. They often flow into a reservoir or major river. Headwaters are typically hilly and mountainous areas Land use: Refers to the type of management; major cate- originally forested or covered with perennial vegetation; in gories of land use are annual crops, perennial crops, fallows, many cases, they are the home of nature reservations. Peo- pastures, and herding on rangelands. ple in headwaters, sometimes living in tribes or other groupings of minorities, include the poorest people with Low-emissions technologies: Technologies that lead to often less formal rights than those downstream. reduced emissions of greenhouse gases (as opposed to con- ventional technologies). Heterogeneity and diversity: Gradual changes in the nature and intensity of natural resources in space or in time and to Methane (CH4): Hydrocarbon that is a greenhouse gas pro- sociological and cultural diversity among the people living duced through anaerobic (without oxygen) decomposition there. This natural phenomenon is the cause of problems of waste in landfills, animal digestion, decomposition of ani- and opportunities, but it makes effective management always mal wastes, production and distribution of natural gas and highly site and situation specific. People at "peaks" can do oil, coal production, and incomplete fossil fuel combustion. very well. Poor people are generally found at the "troughs." Mitigation: Any action that results, by design, in the reduc- Holistic and participatory approaches: Successful approaches in tion of greenhouse gas emissions by sources or removals by reducing degradation and improving food security. These sinks. approaches consider how to make the best use of, or to increase,all resources that people should have at their disposal: Nitrification inhibitor: Product that reduces the conversion natural, human, physical, social, and financial resources. of various forms of nitrogen into nitrate and nitrous oxide. Hotspots: Areas where the particular degradation problem is Nitrous oxide (NO2): Powerful greenhouse gas emitted relatively intensive and significant. through soil management practices, animal wastes, fertiliz- ers, fossil fuel combustion, and biomass burning. Intergovernmental Panel on Climate Change (IPCC): Orga- nization established by the World Meteorological Organiza- Nutrient depletion or mining: Process that slowly depletes the tion and the United Nations Environment Programme to soil of its mineral constituents (that is, mainly phosphorus, assess scientific, technical, and socioeconomic information potassium, and nitrogen). These plant nutrients are essential relevant for the understanding of climate change, its poten- to crops. Depletion may take 5 to 50 years before the soil can tial effects, and options for its adaptation and mitigation. no longer support economically sustainable cropping. The process is common on marginal soils where crop residues are Kyoto-compliant land: Land that was not forestland as of not recycled. The nutrient balance, which assumes a negative December 31, 1989. value under depletion, refers to the difference of the inputs of nutrients into a farm (or catchment, region, or country) Kyoto forest: Forest that has been established by direct from fertilizers, manure, biological nitrogen fixation, and human activity on land that was not forestland as of rainfall and the outputs (in crop harvests, leaching, and ero- December 31, 1989. sion). Plants also absorb micronutrients (including calcium, magnesium, iron, zinc, and copper) in small quantities. Cor- Kyoto Protocol: Protocol to the United Nations Framework rection of the negative balance was long considered unneces- Convention on Climate Change that requires ratifying sary, but micronutrient deficiencies are increasingly showing 164 GLOSSARY up in food crops and in human nutrition. Appropriate fertil- Rumen: Stomach of a ruminant animal. izers can remediate this problem. Ruminant animal: Cloven-hoofed mammal that digests its Offset: To compensate for the effects of activities through food in two steps. Ruminant animals include cows, sheep, other means. Offsetting greenhouse gas emissions could deer, and goats. include planting trees, using nitrification inhibitors, or improving the energy efficiency of farm operations. Salinization: Process of building up concentrations of salt in water or soil to levels that reduce or prevent crop growth. On-site and off-site effects: Effects observed at the same loca- tion or area (on-site effects) or beyond (off-site effects). Off- Seawater intrusion: Process of seawater moving through site effects are often not included in economic evaluations the subsoil into the land. If seawater reaches the surface, of practices. salinization of soil and surface water occurs. The process occurs when fresh water near the coast is extracted from Participatory: "With the people": designing and implementing the soil. intervention strategies should be done with all stakeholders. Sequestration: Uptake and storage of carbon. Carbon can be Permanent forest sink initiative: Initiative that allows sequestered (stored) by plants as organic material or by landowners to get the economic value of removing carbon industrial processes, such as pumping deep underground. dioxide from the atmosphere and sequestering (storing) it in the form of new forests. Sink: Any process, activity, or mechanism that removes a greenhouse gas or a precursor of a greenhouse gas from the Plains and lowland plains: Area downstream of headwaters atmosphere. and upstream of coastal zones, excluding urban and peri- urban areas. Plains are usually flat and contain most agri- Sink credit: Unit derived from a forest sink activity that cultural activities. results in a net removal of greenhouse gases. Post-2012 negotiations: Negotiations already commenced Soil organic matter (SOM): Remainder of plants, animals, that aim to result in an international framework for and microbes in the upper layers of the soil. SOM contains addressing climate change following the first commitment carbon (40 percent), nitrogen (0.1 to 1.0 percent), phos- period of the Kyoto Protocol. phorus, potassium, and other plant micronutrients. SOM enhances the soil's water-holding capacity. Potential productivity: Biological production in conditions where inputs are not limiting and management is optimal. Technology transfer: Set of processes that covers the Potential productivity is used as a reference value for the exchange of knowledge and goods among different stake- current level of productivity and yield gap. holders. Technology transfer leads to the dissemination of technology for adapting to or mitigating climate change. Price-based instruments (measures): Intervention that encourages or discourages practices by changing the price of Threshold: Criteria that define which firms, sites, or other or creating a price for activities that emit or absorb green- business units are required to participate in a policy house gases. measure. Resilience: Property of complex ecosystems and society to Tradable permit regime: Situation whereby a government withstand external pressure without significant internal allocates permits to industry members to cover all or some of change. Pressure beyond a threshold causes the system to their current greenhouse gas emissions. Members are liable collapse. for emissions above the level of emission permits they hold. Revenue recycling: Return to the economy of revenue United Nations Framework Convention on Climate Change derived from a policy measure. (UNFCCC): Convention negotiated in 1992 that aims to GLOSSARY 165 stabilize greenhouse gas concentrations at levels that avoid Voluntary greenhouse gas reporting (VGGR): System whereby dangerous human interference with the climate system. sector participants voluntarily report their emissions to a central registry in accordance with a prescribed and stan- Urban and peri-urban areas: Parts of a river basin where dard format. people and management of land and water are strongly affected by large concentrations of people. The term refers Wastewater: Water from households and cities that has been to cities with more than a few hundred thousand inhabi- used domestically and often contains urine and feces of tants and particularly to mega-cities of several million peo- humans and animals plus organic remainders of food ple, plus the area with horticulture and animal husbandry preparations. Wastewater may contain valuable plant nutri- that surround them. Most of these cities are in the lower ents but is often a carrier of diseases and heavy metals. parts of basins, often at or close to the coast. Important exceptions include the highland cities of Mexico, the Andes, Water: All surface water in rivers, lakes, reservoirs, wetlands, and the Himalayas. and aquifers. Peri-urban and urban agriculture (PUA) refers to very inten- Water productivity: Quantity of produce, measured in sive, small- or large-scale agriculture (particularly horticul- weight or monetary terms per unit of water. Water produc- ture, floriculture, and poultry and pig production) that tivity can be determined at the plot, farm, catchment, and occurs in or near cities. It is characterized by its strong ties basin scale. to urban life and markets--more so than by geography. PUA is a major consumer of city wastes (liquid and solid) Water quality: Change in the availability of water (increases but contributes to groundwater pollution and health or reductions) in quantity, the contents of particles and dis- hazards. solved materials, and contamination with diseases. 166 GLOSSARY I N D E X Boxes, figures, notes, and tables are indicated by b, f, n, and t See also specific topics respectively. The term "sustainable land management" is agriculture, definition of, 161 abbreviated as SLM throughout the index. agriculture, forestry, and other land use (AFOLU), carbon effects of, 65, 66, 67 abatement, definition of, 161 See also carbon emissions reduction adaptation, definition of, 161 agro-ecological systems, definition of, 161 afforestation air quality and global change, 8­9 definition of, 161 See also climate change Kyoto Protocol, 65, 66 Ajayi, O.C., 60, 61 large-scale programs in China, India, and Indonesia, 68 Akinnifesi, F.K., 60, 61 Afforestation Grant Scheme, 161 ALive program, 117 AfriAfya, 37 Alternatives to Slash-and-Burn (ASB) Programme, 39­44, 41t, Africa 65­70, 68f, 68n1 See also specific countries and regions Amede, T., 96 bean farming in, 83­87 Amezquita, E., 78 climate change and, 126, 128 Andhra Pradesh Rural Livelihoods Project, 112 climate risk management in, 137 animal health, mobile service models for, 117 fertilizer use in, 17 Annex I countries. See United Nations Framework Convention fodder shrubs in, 88­94 on Climate Change (UNFCCC) food production in, 96 aquaculture. See integrated agriculture-aquaculture (IAA) hillside agriculture in, 78, 81 Arimi, H., 88 humid and subhumid areas in, 25 ASB. See Alternatives to Slash-and-Burn Programme indigenous fruit trees in. See indigenous fruit trees (IFTs) Asia malaria in, 9 See also specific countries mixed-maize farming systems in, 25 carbon emissions reduction in, 68 no-till systems in, 17 climate risk management in, 137 poverty traps in, 34 hillside agriculture in, 78, 81 production landscape in, 10f, 11 humid and subhumid areas in, 25 soil degradation in, 34 HydroSHEDS and, 153 soybean farming in, 34­38 indigenous fruit trees (IFTs) in, 60 water and feed challenges in, 27 malaria in, 9 See also livestock no-till systems in, 17 agricultural diversification. See diversification; specific topics production landscape in, 10f agricultural insurance products, 138, 139 water and feed challenges in, 27 Agricultural Investment Sourcebook (World Bank), 3 Asian Development Bank, 112 agricultural plains, definition of, 161 Attica, 6b agricultural productivity, 3, 5 available natural resource base, 15 167 Aw-Hassan, A., 120 California, wastewater aquifer recharging in, 49 Ayarza, M., 78 Cameroon carbon emissions reduction in. See carbon emissions reduction barley fallow land management in, 56­59 breeding program. See participatory approaches description of innovation, 57 production, 122, 123t effects on vegetation community and biodiversity, 57­58, 58t Barrious, E., 78 lessons learned, 58­59 bean farming, 83­87 overview, 56­57 key SLM issues, 83­84 patterns of variation in species composition, 58 lessons learned, 84 rainforest conservation and poverty reduction, balancing in, opportunities for SLM, 84­85 39­44 rationale for investment, 85­86 See also rainforest conservation recommendations for practitioners, 86 VegClass 2.0 and, 157 Web resources for, 87 Canada's International Development Research Center, 35 beef, dumping of, 114 CaNaSTA (Crop Niche Selection for Tropical Agriculture), 2 bees, natural habitat loss and, 8 8­29 Bekele, S., 96 capacity building, 139 Belize, PES in, 54 Capacity Observation of Forest and Land Cover Dynamics, 157 Benin, mobile pastoralists in, 116 carbon credits, 161 biodiversity carbon dioxide (CO2), 6, 161­62 community watershed model, 111 carbon dioxide equivalent (CO2e), 162 conservation of, 111 carbon emissions reduction, 65­70 decline in, 6 ASB option, 66­67 in humid and subhumid areas, 25 benefits and effect of activity, 67 tree crops and, 18 emissions, definition of, 163 Web-based tools for surveying, classification, and mapping, emission unit or allowance, 162 156­57 lessons learned, 67­68, 68f biofuel, 3, 9, 109, 118n1, 161 project objective and description, 65­66 bio-geophysical and atmospheric models, 138 Web resources for, 69­70 biological nitrogen fixation (BNF), 104, 105t carbon sequestration, 162 biotechnology, 17, 18 Carnegie Landstat Analysis System (CLAS), 154, 156, 156f Blackie, M.J., 12 Castro, A., 78 Blümmel, M., 96 CDM (clean development mechanism), 65­70 BNF (biological nitrogen fixation), 104, 105t Ceccarelli, S., 134 Bosma, R.H., 71 Center for Biodiversity Management (CBM), 156­57 Brazil Center for Environmental Systems Research, 153 carbon emissions reduction in. See carbon emissions reduction Center for International Forestry Research, 157 CLAS and, 156 Central America indigenous fruit trees (IFTs) in, 61 See also Latin America and Caribbean countries; specific PES in, 53 countries rainforest conservation and poverty reduction, balancing in, conservation farming in, 127 39­44 co-researching with farmers in, 29­30 ASB matrix, 40t, 40­41 ecologically mediated disease in, 9 integrated natural resources management (INRM) approach, HydroSHEDS and, 153 40 livestock in, 27­33 key drivers for degradation dynamics, 40­41 diagnosis of farm and market contexts, 29, 29t key SLM issues, 39­40 forage use and production criteria, 29, 29t lessons learned, 41 fostering innovation and learning processes, 29­30 opportunities for SLM, 42 key SLM issues, 27­28, 28f rationale for investment, 42 lessons learned, 28­30 recommendations for practitioners, 42 matching forage, 28­29 Web resources for, 43­44 opportunities for SLM in, 30­31, 31b VegClass 2.0 and, 157 pasture rehabilitation and intensification, 30, 31b Bruggeman, A, 120 rationale for investment in, 31 Burkina Faso recommendations for practitioners, 31­32 mobile pastoralists in, 116 sharing knowledge and scaling out activities, 30 Zai systems as forage niches in, 100 Web resources for, 33 bushmeat hunting, 9 PES in, 54 168 INDEX slash-and-burn agricultural practices in, 78­80 policy and financial incentives, 113 See also no-burn agricultural zones recommendations for practitioners, 112 Central Asia, marginal dry areas in, 122 water availability and, 110­11, 111f Challenge Program for Water and Food, 81 Confederation of Indian Industry, 112 Chianu, J.N., 34 Conference of the Parties to the United Nations Framework China Convention on Climate Change (UNFCCC), 65 carbon emissions reduction in, 68 Congo, Republic of, PABRA in, 85 community watershed model in, 108, 109, 112 conservation farming practices, 17, 26, 30, 127 groundwater declines and land use in, 45­50 See also specific topics See also groundwater declines Conservation Science Program (WWF), 151­53, 153f regional climate change in, 8 conservation tillage practices, 16, 17, 129 CIAT. See International Center for Tropical Agriculture (Centro Consortium for Integrated Soil Management, 81 Internacional de Agricultura Tropical) consultations and partnerships, 117 civil society organizations, 5, 92 Consultative Group on International Agriculture Research clean development mechanism (CDM), 65­70 centers, 4 climate-based crop forecasting, 126, 129 co-researching with farmers, 29­30 climate change Costa Rica See also carbon emissions reduction; global change carbon emissions reduction in, 68 adaptation and mitigation strategies for, 126­30 PES in, 53­54 key SLM in soil and water management, 127­28 VegClass 2.0 and, 157 opportunities for SLM, 128­29 Côte d'Ivoire, mobile pastoralists in, 116 overview, 126­27 Crop Niche Selection for Tropical Agriculture (CaNaSTA), recommendations for practitioners, 129­30 28­29 seasonal climate forecast and SLM, 129 crops definition of, 162 crop-livestock integration, 17, 26 lessons learned, 128 high-value cash crops, 131­32 climate risk management, 136­40 horticultural crops, 17 benefits and results of activity, 138­39 intercropping system, 35 investment needs and priorities, 139­40 tree crops. See tree crops lessons learned, 139 cryptosporidiosis, 9 overview, 136 cumin production, 131­32 presentation of innovation, 137­38 cut-and-carry forage systems, 30­31 project objective and description, 136­37 cyanobacteria, 8 risk identification, 137 risk management, 137­38 dairy products, 122, 123t risk quantification, 137 Dartmouth Flood Observatory, 154, 155f Web resources for, 140 Decentralized-Participatory Plan Breeding (D-PPB), 134­35 coastal areas and waters deforestation artisinal fishing and farming systems, 15, 15t carbon emissions reduction from, 65­70 definition of, 162 definition of, 162 degradation of, 8 forage production and conservation and, 31 co-benefits, definition of, 162 in humid and subhumid areas, 25 Coca Cola Foundation, 112 infectious diseases and, 9 Colombia rainforest conservation and poverty reduction and, 39­40 forage use in, 29­30 degradation PES in, 54 See also land and soil degradation; water conservation and use commitment period, definition of, 162 carbon emissions reduction from, 65­70 commodity prices, effect of decrease of, 3­4, 11 definition of, 162 Commodity Risk Management Group, 137 land degradation surveillance, 141­44 community watershed model, 108­13 desertification benefits and results of activity, 109­12 in Cameroon, 56 biodiversity and, 111 definition of, 162 crop productivity and, 110 pastoral systems and. See mobile pastoralism investment needs, 112­13 devegetation, definition of, 162 lessons learned, 112 disease and global change, 8, 9 natural resource management at landscape level and, 111­12 Distributed Hydrology Soil Vegetation Model (DHSVM), 153 overview, 108­9, 110t diversification partnerships and institutional innovations and, 112 See also specific topics INDEX 169 food shrubs and, 93 fallow lands, management of. See forests in highland and sloping areas, 77 FAO. See Food and Agriculture Organization in humid and subhumid areas, 26 farming systems intensification and, 17­18 See also specific types livestock and, 17 as baseline for targeting investments, 15­16 in marginal dry areas, 122 comparison of, 15, 15f, 16b production, 16b, 26 good practices for, 23 diversity of land management systems and poverty overview, 23 reduction, 13­16 World Bank's rural development strategy and, 14 Dixin, Y., 108 Farming Systems and Poverty: Improving Farmers' Livelihoods in a Dixon, J., 16, 23, 25, 120 Changing World (FAO & World Bank), 13­14 DOMAIN, 156, 157 FAS (Foreign Agriculture Service), 151, 152f Donovan, C., 12 Fernandez-Rivera, S., 98 D-PPB (Decentralized-Participatory Plan Breeding), Ferreria, O., 78 134­35 fertilizer use, 7­8, 17 dry areas. See marginal dry areas See also manures; specific topics dry seasons, 27­28, 28f fiber production systems, 5­6 dualistic farming systems, 15, 15t flood tracking, 154, 155f Dumanski, J., 12 fodder, livestock. See forage production and conservation; Dunstan, S.C.S., 98 livestock Duong, L.T., 71 Food and Agriculture Organization (FAO), 13­14, 78, 79, 81 East Africa food and fiber production systems, requirements for, 5­6 See also specific countries food-borne illnesses, 9 fodder shrubs in, 88­94 food production, 4, 7­8, 9 benefits and effect of activity, 90, 91t See also specific countries, regions, and topics issues for wider application, 92­93 food security, definition of, 163 lessons learned, 90­92 forage production and conservation presentation of innovation, 89­90 ensiling alternatives, 30 project objective, 88 environmental effects, 31 study area description, 88­89 fodder shrubs in East Africa, 88­94 ecological footprint, definition of, 162 benefits and effect of activity, 90 ecologically mediated diseases, 9 issues for wider application, 92­93 ecosystem services, 3, 4b, 162 lessons learned, 90­92 ecotourism, 118n1 presentation of innovation, 89­90 education, mobile service models for, 117 project objective, 88 El Niño, 78, 79, 126, 127, 129 study area description, 88­89 El Salvador, PES in, 54 legume forage banks, 99 emigration, 77 legumes as, 30, 88, 99, 133 emissions. See carbon emissions reduction little bag silage (LBS), 30 Empresa Brasileria de Pesquisa Agropecuária, 41 livestock in Central America and, 27­33 encroachment, definition of, 162­63 diagnosis of farm and market contexts, 29, 29t environmental assessment, 18b forage use and production criteria and, 29, 29f environmental flow, 163 fostering innovation and learning processes, 29­30 environmental security, 163 key SLM issues, 27­28, 28f erosion lessons learned, 28­30 definition of, 163 matching forage, 28­29 food shrubs and, 93 opportunities for SLM in, 30­31, 31b livestock and, 98 pasture rehabilitation and intensification, 30, 31b quantification and management of, 127 rationale for investment in, 31 reduction of, 8, 17 recommendations for practitioners, 31­32 Ethiopia, PABRA in, 85 sharing knowledge and scaling out activities, 30 Europe Web resources for, 33 infectious diseases in, 9 pasture rehabilitation and intensification, 30, 31b production landscape in, 9, 10f, 11 smallholder livestock systems and. See livestock European Union (EU), 115 vetch as, 133 evapotranspiration, 7, 7f, 47, 47f, 49, 163 Zai systems as forage niches, 100 exit from agriculture, 16b, 26 Foreign Agriculture Service (FAS), 151, 152f 170 INDEX forests key drivers for degradation dynamics, 46­48 See also deforestation key SLM issues, 45, 46b agroforests, 42 opportunities for both water and land management, 48­49 fallow land management and species diversity in, 56­59 policy-water use nexus, 46­48, 47f, 48f description of forest fallow management innovation, 57 rationale for investment, 49 effects on vegetation community and biodiversity, 57­58, 58t trends in resource use, 45­46, 46f lessons learned, 58­59 Web resources for, 50 patterns of variation in species composition, 58 Gulliver, A., 16, 23, 25, 120 global change and, 8 Gumbricht, T., 141 permanent forest sink initiative, 165 resources, 18b habitat tree crops. See tree crops infectious diseases and wildlife habitat, 9 fossil fuel, definition of, 163 loss of native, 8 Franzel, S., 61, 88, 91 See also specific topics freshwater agriculture and aquaculture. See integrated mapping package for, 157 agriculture-aquaculture (IAA) modification, 9 freshwater resources. See water conservation and use natural habitats protection, 18b pollinators and, 8 GEF. See World Bank Global Environment Facility Haileslasie, A., 96 GHG. See greenhouse gas headwaters, definition of, 164 Gibbon, D., 16, 23, 120 health care, mobile service models for, 117­18 Global Assessment of Human-Induced Soil Degradation health surveillance, 142 (GLASOD), 28, 32n1 heterogeneity and diversity, definition of, 164 global change, 6­9, 7f Hiernaux, P., 98 See also climate change high-value cash crops, 131­32 drivers and impact of, 6­9 HIV, 9, 86 food production and, 7­8 holistic approaches, 164 forest resources and, 8 See also participatory approaches freshwater resources and, 8 Holmann, F., 27 historical perspective on, 6b Honduras infectious diseases and, 9 forage in, 30 regional climate and air quality, 8­9 no-burn agricultural zones in, 78­82 Global Digital Soil Map of the World, 141, 144, 147 See also no-burn agricultural zones global field and market intelligence on cereals and oilseeds, 151, pasture rehabilitation and intensification in, 30, 31b 152f PES in, 54 globalization, 6, 163 horticultural crops, 17 Global Reservoir and Lake Monitor project, 151, 152f hotspots, definition of, 164 glossary, 161­66 household income security associations, 11 good land management, importance of, 3­4 household strategies to improve livelihoods, 15, 16b, 25­26 governmental agencies, 5 Hurricane Mitch, 9, 28, 78, 79, 127 grain equivalent, definition of, 163 hydometeorological infrastructure, upgrading of, 139 Grando, S., 134 hydrologic cycle, changes in, 6, 7f, 127 Green Evolution strategy, 11­12 hydronomic zoning, 47­48, 48f, 49 greenhouse gas (GHG) See also groundwater declines definition, 163 HydroSHEDS, 151­53, 153f emissions definition of, 163 IAA. See integrated agriculture-aquaculture forage production and conservation and, 31 ICAR (Indian Council for Agricultural Research), 112 livestock and, 99 ICARDA. See International Center for Agricultural Research in mitigation, 126­30 the Dry Areas good practice guidelines for inventories, 65, 66 ICRAF (International Centre for Research in Agroforestry), 65 intensity/global warming potential, 163 ICRISAT (International Crops Research Institute for the Semi- voluntary greenhouse gas reporting (VGGR), 166 Arid Tropics), 103­7 Green Revolution, 7 IFTs. See indigenous fruit trees gross domestic product (GDP), definition of, 163 IGNRM. See integrated genetic and natural resource management groundwater declines, 45­50 IGOL (Integrated Global Observations for Land), 157 definitions, 163, 164 IGOS (Integrated Global Observing Strategy), 157 investment needs and priorities, 50 IITA. See International Institute of Tropical Agriculture INDEX 171 ILRI (International Institute for Land Reclamation and integrated natural resources management (INRM) approach, 40, Improvement), 96 68n1, 108­13 imaging spectroradiometer, 157 integrated nutrient management (INM), 103­7 incentive policies, 115, 117 biological nitrogen fixation (BNF), 104, 105t index-based insurance products, 138 investment needs of local and national governments or other India donors, 107 carbon emissions reduction in, 68 key SLM issues, 103, 104t community watershed model in, 108­13 lessons learned, 103­4 See also community watershed model opportunities for SLM, 104­6, 106t VegClass 2.0 and, 157 policy recommendations, 107 Indian Council for Agricultural Research (ICAR), 112 rationale for investment, 106 indicators for SLM and landscape resilience, 13, 14b recommendations for practitioners, 106­7 indigenous fruit trees (IFTs), 60­64 integrated pest and disease management (IPDM), 86 benefits for SLM, 61 integrated pest management (IPM), 16, 17, 26 investment needs, priorities, and scaling up, 63 integrated plant nutrition, 16 lessons learned, 61­63 Integrated Silvopastoral Approaches to Ecosystem Management, overview, 60 54 policy considerations, 63 intensification, 17­18, 30, 31b, 122 tree domestication innovation, 61, 61f Intergovernmental Panel on Climate Change (IPCC), 65, 66­67, indigenous peoples action plan, 18b 128, 164 Indonesia intermediate land uses, advantages of, 65­70 carbon emissions reduction in, 68 International Center for Tropical Agriculture (Centro See also carbon emissions reduction Internacional de Agricultura Tropical, CIAT) rainforest conservation and poverty reduction, balancing in, bean farming and, 83, 85 39­44 HydroSHEDS and, 153 See also rainforest conservation livestock in Central America and, 27­33 ASB matrix, 40t, 40­41 non-burn agricultural zones in Honduras and, 78, 81 VegClass 2.0 and, 157 soybean farming and, 34 infectious diseases, 8, 9, 86 International Centre for Research in Agroforestry (ICRAF), 65 infrastructure development, 117, 139 International Crops Research Institute for the Semi-Arid Tropics INM. See integrated nutrient management (ICRISAT), 103­7 Innovative Activity Profiles International Institute for Land Reclamation and Improvement carbon emissions reduction, 65­70 (ILRI), 96 climate risk management, 136­40 International Institute of Tropical Agriculture (IITA), 35, 36 definition of, 4 International Maize and Wheat Improvement Center, 36 fallow lands in Cameroon, 56­59 International Union for the Protection of New Plant Varieties, 63 farming systems good practices and, 16, 23 International Water Management Institute (IWMI), 45­50, fodder shrubs in East Africa, 88­94 153­54, 155f forest tree crops, 60­64 international waterways, projects in, 18b high-value cash crops, 131­32 Investment Notes integrated agriculture-aquaculture (IAA) in Vietnam, bean farming in Africa, 83­87 71­75 best practices and, 16 land degradation surveillance, 141­44 climate change, adaptation and mitigation strategies for, legume forage, 133 126­30 participatory barley-breeding program, 134­35 definition of, 4 Institut des Sciences Agronomiques du Rwanda, 85 farming systems good practices in, 23 insurance products for agriculture, 138, 139 groundwater declines, 45­50 integrated agriculture-aquaculture (IAA), 71­75 integrated natural resource management for watershed adoption of aquaculture practices, 72­73, 73t function in semiarid tropics, 108­13 investment needs and priorities, 75 integrated nutrient management (INM), 103­7 on-farm resource flows and role of ponds, 73­74 livestock in Central America, 27­33 overview, 71­72, 72f marginal dry lands, 120­25 project description, 72 mobile pastoralism, 114­19 integrated crop-livestock production, 17, 26 no-burn agricultural zones in Honduras, 78­82 integrated genetic and natural resource management (IGNRM), payment for environmental services (PES), 51­55 108­9, 111 rainforest conservation and poverty reduction, 39­44 Integrated Global Observations for Land (IGOL), 157 smallholder livestock systems in Sub-Saharan Africa, 96­102 Integrated Global Observing Strategy (IGOS), 157 soybean farming in Africa, 34­38 172 INDEX investments, future directions for, 16­18 lessons learned, 146 See also specific topics overview, 141­42 involuntary resettlement, 18b project objectives and description, 142 IPAD (impact assessment of policy reforms to agricultural Web resources for, 147 development) project, 72 land management IPCC. See Intergovernmental Panel on Climate Change land managers, definition of, 164 IPDM (integrated pest and disease management), 86 systems and poverty alleviation, 13­16 IPM. See integrated pest management trade-offs, 12­13 Iran and Iraq, marginal dry areas in, 122 landscape resilience. See resilience irrigated farming systems, 15, 15t land use irrigation, 7­8, 9, 17 See also sustainable land management (SLM); specific types of See also ground water declines; specific topics uses (e.g., crops, livestock) confronting effects of, 13 Jabban, 122 definition of, 164 Jaenicke, H., 61 La Rovere, R., 120, 133 Janssen, W., 61 Latin America and Caribbean countries JohnsonDiversey Inc., 153 See also Central America Jordan, marginal dry areas in, 122 climate risk management in, 137 food production in, 96 Kasyoki, J., 39, 65 hillside agriculture in, 78, 81 Kendy, E., 45 humid and subhumid areas in, 25 Kenya HydroSHEDS and, 153 farmer groups in, 86 indigenous fruit trees in. See indigenous fruit trees (IFTs) fodder shrubs and livestock productivity in. See forage land degradation in, 27 production and conservation malaria in, 9 land degradation surveillance in, 141 no-till systems in, 17 mobile pastoralists in, 116 payment for environmental services in, 51­55 PABRA in, 83, 85, 86 See also payment for environmental services (PES) soybean farming in, 34­38 production landscape in, 9, 10f Kenya Agricultural Research Institute, 36, 141, 144 rainfed farming systems in, 77 Kenya Forestry Research Institute, 36 VegClass 2.0 and, 157 Kenyatta University, 36 water and feed challenges in, 27 knowledge and information services, 18 LBS (little bag silage), 30 Kwesiga, F.R., 61 Leakey, R.B., 61 Kyoto-compliant land, definition of, 164 legume forage banks, 99 Kyoto forest, definition of, 164 legumes as forage, 30, 88, 99, 133 Kyoto Protocol, 65­70, 164 Leloup, S., 114 annex B countries or parties, 161 Lewis, J., 39 annex X proposed, 67 lines of credit, 31 post-2012 negotiations, 165 little bag silage (LBS), 30 livestock Lake Basin Development Authority, 36 in Central America, 27­33 land and soil degradation diversification of, 17 See also specific countries and topics fodder shrubs and, 88­94 carbon emissions reduction from, 65­70 integrated crop-livestock production and, 17, 26 See also carbon emissions reduction livestock-land and livestock-water systems, 96­102 definition of, 162 in mixed farming systems, 25, 77 Global Assessment of Human-Induced Soil Degradation mobile pastoralism, 114­19 (GLASOD), 28, 32n1 pasture-livestock system in Brazil, 41 historical perspective on, 6b ruminants, 77, 97, 165 soil degradation, defined, 162 smallholder livestock systems in Sub-Saharan Africa, soil protection, investment in, 129 96­102 soil rooting depth and permeability, improvement in, 16 implications for SLM, 97­99 surveillance, 141­44 investment needs, 101 benefits and results of activity, 144, 146 key SLM issues, 96­97 diagnostic surveillance and operational framework, 142­44, lessons learned, 99 143b, 144f, 145b opportunities for scaling up, 99­101 investment needs and priorities, 146 recommendations for practitioners and policy makers, 101 INDEX 173 water and nutrient implications, 97­99 MODIS (Moderate Resolution Imaging Spectroradiometer, zero-grazing systems, 88 NASA), 157, 158f Löffler, H., 98 monsoons, 108 Lotsch, A., 136 "mother and baby" trial design, 12 lowland plains, definition of, 161, 165 Mozambique, VegClass 2.0 and, 157 MPCI (multi-peril crop insurance), 138 malaria, deforestation and, 9 multilateral and bilateral organizations, 5 Malawi multi-peril crop insurance (MPCI), 138 farmers groups in, 86 PABRA in, 83 NARSs (national agricultural research systems), 112 Malaysia, infectious diseases in, 9 National Aeronautics and Space Administration (NASA), 151, Mali 152 pastoral sector in, 116 MODIS (Moderate Resolution Imaging Spectroradiometer), VegClass 2.0 and, 157 157, 158f manures National Agricultural Research Organization of Uganda, 91 green, 85 national agricultural research systems (NARSs), 112 management of, 100­101 National Forestry Financing Fund (Fondo Nacional de organic, 105­6 Financiamiento, FONAFIFO, Costa Rico), 53­54 marginal dry areas, 120­25 national organizations, 5 key SLM issues, 120­21, 121t Nature Conservancy, 153 lessons learned, 121­22 New Partnership for Africa's Development (NEPAD), 141 multilevel analytical framework, 123, 124f Ngobo, M., 56 opportunities for SLM, 122 Nhan, D.K., 71 rationale for investment, 122 Nicaragua recommendations for practitioners, 122­23, 123t forage in, 30 Web resources for, 125 PES in, 54 marginal land farmers, commodity prices' effect on, 3­4, 11 Niger, agroforestry in, 127­28 market and private escort development, 18 Nigeria market supply chains, 18 pastoral sector in, 116 Matakala, P., 61 soybean farming in, 35, 35f Matlon, P.J., 98 Nipah virus, 9 Mauritania, pastoral sector in, 116 nitrification inhibitor, definition of, 164 May, P.H., 51 nitrogen-use efficiency, improvement in, 128­29 Mbili intercropping system, 35 nitrous oxide (NO2), 164 MesoAmerican Biological Corridor, 54 no-burn agricultural zones, 78­82 methane (MH4), 164 key SLM issues in, 78­79 Mexico lessons learned, 79­80 carbon emissions reduction in, 68 opportunities for SLM, 80 PES in, 54 rationale for investment, 80­81 microorganisms in soil, 103­4 recommendations for practitioners, 81 Middle East, 131 Web resources for, 82 See also specific countries nongovernmental agencies, 5, 112 Millennium Development Goals, 3 nongovernmental organizations (NGOs), 91 Misra, A.K., 99 North Africa mitigation, definition of, 164 cumin production in, 131 mixed-crop livestock systems. See crops marginal dry areas in, 122 mixed farming systems, 25 North America mixed-maize farming systems, 25 infectious diseases in, 9 mobile pastoralism, 114­19 production landscape in, 9, 10f, 11 key drivers, 115 no-till systems, 17 key SLM issues, 115 See also conservation tillage practices lessons learned, 115­16 NRM (participatory natural resource management), 111­12 opportunities for SLM, 116 nutrient depletion or mining, definition of, 164­65 overview, 114 rationale for investments, 116­17 off-farm income, 16b, 26, 73, 77, 120 recommendations for practitioners, 117­18 offset, definition of, 165 trends of resource use, 115 Ohiokpehai, O., 34 Web resources for, 119 on-site and off-site effects, definition of, 165 174 INDEX organic farming, 17 PRODES (Program for the Estimation of Deforestation in the organic manures, 105­6 Brazilian Amazon), 156 ozone (O3), 9 production landscapes, 4, 9­12, 10f Program for Sustainable Hillside Agriculture in Central America, PABRA (Pan-African Bean Research Alliance), 83­87 54 paddy rice production, changes in, 128 public policy and regulatory systems, 18, 53 Padgham, J., 126 participatory approaches QSMAS (Quesungual Slash-and-Mulch Agroforestry System, barley-breeding program, 122, 123t, 134­35 Honduras), 78­82 definition of, 165 domestication and, 60, 61 rainfed farming systems See also indigenous fruit trees (IFTs) dry and cold farming systems, 95­147 experimentation process and, 11­12, 86 climate change, adaptation and mitigation strategies for, natural resource management as, 111­12 126­30 pastures. See forage production and conservation; livestock climate risk management, 136­40 Pathak, P., 108 high-value cash crops, 131­32 Pavon, J., 78 integrated natural resource management for watershed payment for environmental services (PES), 51­55 function in semiarid tropics, 108­13 capacity-building opportunities for, 54n1 integrated nutrient management (INM), 103­7 costs and benefits for services, 52t, 53 land degradation surveillance, 141­44 key SLM issues, 51, 52b legume forage, 133 lessons learned, 51­53, 52t marginal dry areas, 120­25 opportunities for SLM, 52t, 53­54 mobile pastoralism, 114­19 recommendations for practitioners, 54 overview, 15, 15t, 23 types of services generated by good land-use practices, 52b participatory barley-breeding program, 134­35 Web resources for, 55 smallholder livestock systems in Sub-Saharan Africa, Peden, D., 96, 99 96­102 peri-urban and urban agriculture (PUA), 166 in highlands and sloping areas, 77­94 permanent forest sink initiative, definition of, 165 bean farming in Africa, 83­87 Peru fodder shrubs in East Africa, 88­94 carbon emissions reduction in. See carbon emissions reduction no-burn agricultural zones in Honduras, 78­82 indigenous fruit trees (IFTs) in, 61 overview, 15, 15t, 23 VegClass 2.0 and, 157 in humid and subhumid areas, 25­75 PES. See payment for environmental services carbon emissions reduction, 65­70 pest control. See integrated pest management (IPM) fallow lands in Cameroon, 56­59 Peters, M., 27 forest tree crops, 60­64 Philippines groundwater declines, 45­50 carbon emissions reduction in. See carbon emissions reduction integrated agriculture-aquaculture in Vietnam, 71­75 VegClass 2.0 and, 157 livestock in Central America, 27­33 plains, definition of, 161, 165 overview, 15, 15t, 23, 25 plants payment for environmental services, 51­55 improvement of varieties of, 16­17, 63 rainforest conservation and poverty reduction, 25, 39­44 integrated plant nutrition, 16 soybean farming in Africa, 34­38 Web-based tools and methods, 156­57 principles pertaining to, 16 Plato on land degradation, 6b rainforest conservation Pond-Live Project (Vietnam), 72 balancing with poverty reduction, 25, 39­44 See also Vietnam ASB matrix, 40t, 40­41 ponds in integrated agriculture-aquaculture (IAA), 73­74 integrated natural resources management (INRM) approach, potential productivity, definition of, 165 40 poverty reduction, balancing with rainforest conservation, key drivers for degradation dynamics, 40t, 40­41 39­44 key SLM issues, 39­40 See also rainforest conservation lessons learned, 41 poverty traps, 34 opportunities for SLM, 42 Powell, J.M., 98 rationale for investment, 42 precision agriculture, 17 recommendations for practitioners, 42 pressure-state-response framework, 13, 14b Web resources for, 43­44 price-based instruments (measures), definition of, 165 humid area farming systems and, 25 ProAmbiente (Brazil), 53 Ramakrishna, Y.S., 108 INDEX 175 Rao, C.S., 103 Shuttle Radar Topography Mission (NASA), 152 Rao, I., 78 Sileshi, G., 60, 61 Reaching the Rural Poor (World Bank), 3 simian foamy virus, 9 reclamation of cultivated land, 16 Singh, P., 108 reduction of emissions from deforestation and degradation sink, definition of, 165 (REDD), 65­70 sink credit, definition of, 165 regional climate and global change, 8­9 Sir Dorabji Tata Trust, 112 Rego, T.J., 108 slash-and-burn agricultural practices, 25, 78­80 regulatory frameworks, 18, 53 See also Alternatives to Slash-and-Burn (ASB) Programme; no- remote-sensing technologies, 138, 151, 152f burn agricultural zones See also Web-based tools and methods for SLM SLM. See sustainable land management research and development smallholders See also specific topics livestock systems in Sub-Saharan Africa, 96­102 farmers groups, 86 needs of, 11 See also participatory approaches Smyth, A.J., 12 forage production and conservation and, 31­32 Snapp, S.S., 12 mobile pastoralism and, 117 SoFT (Selection of Forages for the Tropics), 28 resettlement action plan, 18b soil degradation. See land and soil degradation resilience soil health surveillance, 141, 142 definition of, 165 soil microorganisms, 103­4 landscape resilience, 13, 14b soil organic matter (SOM) resource access policies, 117 See also specific countries and topics revenue recycling, definition of, 165 build up of, 16 risk models, 138 definition, 165 See also climate risk management Somalia, mobile pastoralists in, 116 risk transfer approaches, 138 South America. See Latin America and Caribbean countries Rivera, M., 78 South Asia river basin development and management, 153­54, 155f food production in, 96 Rockefeller Foundation, 37 production landscape in, 9, 10f Rondon, M., 78 rainfed farming systems in highland and sloping areas in, 77 rumen, definition of, 165 Southeast Asia ruminant animals, 77, 97, 165 food production in, 96 See also livestock forest resources in, 8 rural development strategy, 3 rainfed farming systems in highland and sloping areas in, 77 Rwanda soybean farming in Africa, 34­38 community watershed model in, 112 key SLM issues, 34 fodder shrubs and livestock productivity in. See forage lessons learned, 34­35, 35f production and conservation opportunities for SLM, 35 PABRA in, 85 rationale for investment, 35­36 recommendations for practitioners, 36­37 Sahrawat, K.L., 103 Web resources for, 37­38 salinization, definition of, 165 species diversity in forests. See forests Sanadiq, 122 Sreedevi, T.K., 108 Sanchez, N., 78 Stewart, J., 88 Sanginga, N., 34 Sub-Saharan Africa savings and credit cooperative societies, 11 See also specific countries SCALE (Systemwide Collaborative Action for Livelihoods), 92 community watershed model in, 108 seawater intrusion, definition of, 165 land degradation surveillance in, 141, 144 Selection of Forages for the Tropics (SoFT), 28 livestock in, 88 self-help groups (SHGs), 11, 109­10, 111, 112 production landscape in, 10f Senegal, mobile pastoralists in, 116 smallholder livestock systems in, 96­102 sequestration, definition of, 165 See also livestock Shallow, B., 65 soil nutrient losses in, 34 Shaping the Future of Water for Agriculture: A Sourcebook for soybean farming in, 36 Investment in Agricultural Water Management Sudan, mobile pastoralists in, 116 (World Bank), 3 Sujala Watershed Project, 112 Shepherd. K.D., 141 Surface Water Watch, 154 SHGs. See self-help groups surveillance of land and soil degradation, 141­44 176 INDEX sustainability, concept of, 12 Thomas, R., 120, 131, 133 sustainability index, 12 threshold, definition of, 165 Sustainable Aquaculture for Poverty Alleviation program tillage practices, 16, 17, 129 (Vietnam), 71 Tomich, T., 39 sustainable land management (SLM) tradable permit regime, definition of, 165 See also specific regions, countries, and topics trade-off analysis, 12­13 definition of, 5­6, 6f traditional farming system in marginal dry areas, 122 indicators of, 13, 14b tree crops investments, future direction for, 16­18, 18b indigenous fruit trees (IFTs), 60­64 need and scope of, 4, 5 investment in, 18 outcome measures, 4 in mixed farming systems, 25 production landscape and, 11 rainforest conservation and, 42 rainfed farming systems, principles for, 16 Tropical Soil Biology and Fertility Institute (TSBF), 34, 36 See also rainfed farming systems trust and respect, building of, 12 Syria Turkelboom, F., 120, 131, 133 high-value cash crops in, 131­32 marginal dry areas in, 120­25 Uganda key SLM issues, 120­21, 121t farmers groups in, 86 lessons learned, 121­22 fodder shrubs and livestock productivity in. See forage multilevel analytical framework, 123, 124f production and conservation opportunities for sustainable management, 122 PABRA in, 83, 85, 86 rationale for investment, 122 U.K. Department for International Development, 112 recommendations for practitioners, 122­23, 123t United Nations Development Programme, 122 Web resources for, 125 United Nations Environment Programme (UNEP), 141, 144 mobile pastoralism in, 114­19 United Nations Framework Convention on Climate Change key drivers, 115 (UNFCCC), 65, 165­66 key SLM issues, 115 annex I countries, 66, 67, 161 lessons learned, 115­16 non-annex I countries, 67 opportunities for SLM, 116 United States, forest resources in, 8 overview, 114 upland watersheds, definition of, 164 rationale for investments, 116­17 urban and peri-urban areas, definition of, 166 recommendations for practitioners, 117­18 urban-based farming systems, 15, 15t trends of resource use, 115 urban "heat islands," 8 Web resources for, 119 urbanization, effect of, 8, 14b, 49, 97, 129, 157 participatory barley-breeding program in, 122, 134­35 U.S. Geological Survey, 153 vetch as forage in, 133 USDA (U.S. Department of Agriculture), 151, 152f Tadesse, G., 99 Vågen, T.-G., 141 Tanzania Valentim, J., 39 farmers groups in, 86 Valladares, D., 78 fodder shrubs and livestock productivity in. See forage Vanlauwe, B., 34 production and conservation van Noordwijk, M., 65 mobile pastoralists in, 116 variable infiltration capacity (VIC) macroscale hydrologic model, PABRA in, 83, 86 153 Tchoundjeu, Z., 61 VegClass 2.0, 156­57 technology, 16­18 vehicle emissions, 9 See also Web-based tools and methods for SLM Verchot, L., 65 low cost, 11 Verdegem, M.J.C., 71 low-emissions, 164 vermicompost, 105­6, 106t, 109 remote-sensing, 138, 151, 152f vetch as legume forage, 133 transfer, 165 Vietnam Thailand community watershed model in, 108­13 carbon emissions reduction in. See carbon emissions See also community watershed model reduction integrated agriculture-aquaculture in, 71­75 community watershed model in, 108­13 See also integrated agriculture-aquaculture (IAA) See also community watershed model VegClass 2.0 and, 157 VegClass 2.0 and, 157 voluntary greenhouse gas reporting (VGGR), 166 Thanh, D.N., 71 Vosti, S., 39 INDEX 177 Walsh, M.G., 141 Weise, M., 56 Wambugu, C., 88, 91 Welchez, L.A., 78 Wangkahart, T, 108 West Africa Wani, S.P., 103, 108 See also specific countries wastewater dry lands project in, 141, 144, 147 aquifer recharging with, 49 pastoral sector in, 116 definition of, 166 Western Europe, production landscape in, 9 water conservation and use wetland rice-based farming systems, 15, 15t See also coastal areas and waters; groundwater declines; White, D., 27, 83 watersheds; specific countries and topics WHSs (water-harvesting structures), 110 definition of water, 166 Williams, T.O., 98 global change and, 8 Witcover, J., 39 quality, 166 women rainwater management and, 16 bean farming and, 86 water-harvesting structures (WHSs), 110 self-help groups (SHGs), 11, 109­10, 111, 112 watersheds soybean farming in Africa and, 34 basin and watershed scale hydrological modeling, 153 World Agroforestry Centre, 61, 65, 91, 92 community watershed model, 108­13 World Bank See also community watershed model community watershed model and, 112 hydrological data and digital watershed maps, 151­53, Global Environment Facility (GEF), 53, 141, 144 153f Innovative Activity Profiles and, 4 Web-based tools and methods for SLM, 4, 151­59 Investment Notes and, 4 See also specific topics Poverty Reduction Strategy papers, 117 basin and watershed scale hydrological modeling, 153 rural development strategy of, 3, 13­14 Carnegie Landstat Analysis System (CLAS), 154, 156, 156f SLM and natural resource management investments and, 18, Dartmouth Flood Observatory, 154, 155f 18b global field and market intelligence on cereals and oilseeds, SLM projects and, 4­5 151, 152f World Wildlife Fund (WWF), 151­53, 153f hydrological data and digital watershed maps, 151­53, 153f Integrated Global Observing Strategy (IGOS), 157 Zai systems as forage niches, 100 NASA's MODIS (Moderate Resolution Imaging zero-grazing systems, 88 Spectroradiometer), 157, 158f Zhong Li, 108 plant biodiversity, 156­57 Zimbabwe, integrated nutrient management in, 106 remote-sensing tool for water resource management, 138, 151, zones and zoning 152f hydronomic zoning, 47­48, 48f, 49 river basin development and management, 153­54, 155f no-burn agricultural zones, 78­82 178 INDEX ECO-AUDIT Environmental Benefits Statement The World Bank is committed to Saved: preserving endangered forests and natural · 11 trees resources.The Office of the Publisher has cho- · 7 million BTUs of total sen to print Sustainable Land Management energy Sourcebook on recycled paper including 30% · 942 pounds of total post-consumer recycled fiber in accordance greenhouse gases with the recommended standards for paper · 3,911 gallons of waste water usage set by the Green Press Initiative, a non- · 502 pounds of solid waste profit program supporting publishers in using fiber that is not sourced from endan- gered forests. For more information, visit www.greenpressinitiative.org. Policies promoting pro-poor agricultural growth are the key to helping countries achieve the Millennium Development Goals--especially the goal of halving poverty and hunger by 2015. The public sector, private sector, and civil society organizations are working to enhance productivity and competitiveness of the agricultural sector to reduce rural poverty and sustain the natural resource base. The pathways involve participation by rural communi- ties, science and technology, knowledge generation and further learning, capacity enhancement, and institution building. Sustainable land management (SLM)--an essential component of such policies--will help to ensure the productivity of agriculture, forestry, fisheries, and hydrology. SLM will also support a range of ecosystem services on which agriculture depends. The Sustainable Land Management Sourcebook provides a knowledge repository of tested practices and innovative resource management approaches that are currently being tested. The diverse menu of options represents the current state of the art of good land management practices. Section one identifies the need and scope for SLM and food production in relation to cross-sector issues such as freshwater and forest resources, regional climate and air quality, and interactions with biodiversity conservation and increasingly valuable ecosystem services. Section two categorizes the diversity of land management systems globally and the strategies for improving household livelihoods in each system type. Section three presents a range of investment notes that summarize good practice, as well as innovative activity profiles that highlight design of successful or innovative investments. Section four identifies easy-to-access, Web-based resources relevant for land and natural resource managers. The Sourcebook is a living document that will be periodically updated and expanded as new material and findings become available on good land management practices. This book will be of interest to project managers and practitioners working to enhance land and natural resource management in developing countries. ISBN 978-0-8213-7432-0 SKU 17432