Advancing Conservation and Use of Natural Resources

SANREM CRSP 2003 - 2004 Annual Report Advancing Conservation and Use of Natural Resources

SANREM CRSP Annual Report 2003 - 2004

Kristen R. Miller Editor

Sustainable Agriculture and Natural Resource Management Collaborative Research Support Program 1422 Experiment Station Road Watkinsville, GA 30677 USA The SANREM CRSP is supported by the United States Agency for International Development Cooperative Agreement Number PCE-A-00-98-00019-00, and is managed through the Office of International Agriculture, College of Agricultural and Environmental Sciences at the University of Georgia, Athens, GA, USA.

Annual Report 2003-2004

Kristen R. Miller Editor

Sustainable Agriculture and Natural Resource Management

Collaborative Research Support Program

1422 Experiment Station Road

Watkinsville, Georgia, 30677, USA

Cover Photograph by Jan Flora Contents

Introduction...... 5

SANREMAndes...... 7

SANREMDecisionSupportSystems...... 33

SANREMGlobalImpactsandInformationExchange...... 55

SANREMSoutheastAsia...... 63

SANREMWestAfrica...... 113

SANREMCRSP 2003-2004AnnualReport

Introduction

This Annual Report marks the conclusion of ership of R. Rhoades put together a ToolBook- SANREM’s second Phase (1998-2004). based multimedia CD with data, documents, Fittingly, the report is full of great accomplish- maps, photographs pertaining to Cotacachi, as ments under the rubrics of integration, problem well as a GIS-based Atlas of Cotacachi Canton. solving, institution strengthening, up scaling Rola, Sumbalan and Suminguit produced a and ensuring the impact of research beyond the document titled "Realities of watershed man- life of the project. agement in the Philippines: the Manupali Watershed Experience." Deutsch el al. conclud- The year was enthusiastically devoted to syn- ed a monograph of community-based water thesizing information and making it available monitoring based on the Philippines and to stakeholders. All projects organized and con- Ecuador projects. Buck et al. completed a state ducted synthesis conferences, often in different of the art assessment on natural and social sci- formats depending on the stakeholders that ence research worldwide on the management of SANREM researchers wanted to reach. SAN- land use systems to support biodiversity con- REM SE Asia launched the first synthesis conservation. Badini completed soil characteriza- ference on January 13-14, 2004 ("Land Use tion, botanical and pasture biomass analyses in Change in Tropical Watersheds’, Manila, Madiama, Mali in order to ascertain the contri- Philippines). SANREM Andes organized its bution of rotational grazing to soil carbon conference in Cotacachi, Ecuador sequestration and pasture biomass production. ("Sustainability of Landscapes and Livelihoods Nazarea and Rhoades organized a state of the in the Andes," January 15-17). SANREM’s art workshop on agrobiodiversity conservation West Africa’s conference was one month later issues (April 30-May 1). Crane concluded (February 24-26) and titled "Institutional research on local knowledge of soils and soil Innovations and Technological Development fertility maintenance in Mali, and Rodriguez for a Decentralized and Sustainable NRM". and Southgate completed research on farmers’ The DSS project, for its part, organized a work- willingness to accept compensation in return shop in Nairobi, Kenya integrating data, for changing or abandoning agricultural activi- research results and analysis at farm- sub- ties in upper watersheds in the Quito water- national and national level (May 4, 2004). shed, Ecuador. SANREM SE Asia also organized in May a meeting in Lantapan with local and provincial In all projects, detailed data on soils, slopes and government officials, producers’ groups, the gradients, land use, weather, stream channels Tigbantay Wahig, HPI, and other stakeholders. and stream flow, water quality and quantity were completed and integrated into GIS layers. Individual projects also contributed to consoli- From these layers, SANREM researchers pro- dating and synthesizing information. For duced interpretive maps specifically tailored to instance, the Andes researchers under the lead- meet the needs of natural resource decision

5 makers around site-specific constraints. In into lesson plans. A Manual for Training on Ecuador, for instance, the interest was on Policy Analysis for Watershed Management increasing productivity through soil fertility was produced in the Philippines at the request management and improved use of irrigation, of officials of the Department of the Interior and so maps were produced to identify fertile and Local Government. Several GIS training soils, locate water sources for increased irriga- workshops for local government planners were tion, and characterize sources of water contam- organized in Lantapan, as well as a 8-week 1- ination. In Kenya, the interest was on ascer- hour radio broadcast program titled School on taining the potential impact of implementing Air, where technological information was pro- the government’s policy of massive reforesta- vided to farmers by ICRAF, HPI and SANREM tion in watersheds in the country. Maps and personnel. supporting analysis were produced to document the economic and soil sediment impact of To ensure the "portability" of the SANREM land uses that would be displaced as a result of experience, our researchers distilled research reforestation. Sub-basins were identified for results into multiple channels with a remark- priority reforestation. In the Philippines, GIS able productivity. Three book manuscripts layers of land use and livestock and human have been submitted to CABI by, respectively, population densities within sub-watersheds the Andes, SE Asia and West Africa projects were prepared. The information was used to and will be printed and distributed later in the determine the environmental and economic year. In the period 1998-2004, SANREM pro- costs and benefits related to the utilization of duced 86 refereed journal articles, 84 book livestock manure to intensify agricultural pro- chapters, 18 books, 53 policy briefs, 74 duction. research reports, 57 working papers, 105 conference presentations, and 18 tool documenta- Research results and analysis were presented to tion papers. decision-makers and host country researchers. Datasets for a climate change study in Mali and SANREM funds sponsored 33 Ph.D.s and 16 Senegal were made available to AGRHYMET. MS/MA theses. The ToolBook CD and the Cotacachi Canton Atlas were delivered to local government offi- All and all, this Annual Report brings news of cials, UNORCAC, the Ministry of the a very productive year and 6 year period. Environment, the Institute of Hydrology and local NGOs in Ecuador. By collaborating with the Philippines Watershed Management Carlos A. Perez Coalition, SANREM SE Asia team members Director were able to participate in the drafting of posi- SANREM CRSP tion papers that were presented to the Secretary of the Department of Natural Resources and the President of the Philippines.

We made sure that the effect of SANREM would continue beyond the life of the project. The ME produced a training manual for upper primary and secondary school teachers to encourage them to incorporate NRM principles

6 SANREMAndes

SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) AND_1

Coordination and Management of SANREM-Andes Principal Investigator ABSTRACT and collaborators in the Andes; link with Robert Rhoades During the final year of SANREM Phase Management Entity and other regional II, this workplan ensured coordination projects. and fiscal management of the Andean program by providing timely administra- Achievements tive and financial support to PIs and host IBR (The Institute for Behavioral country collaborators. The project effi- Research, University of Georgia) ciently linked with the Management responded efficiently and professionally Entity by filing timely reports and sup- to multiple and last minute requests for plying information as requested by detailed budgetary reporting. The year USAID or the ME. After several years of was especially challenging given the fre- decentralized databases in Cotacachi, quent changes in budget decisions and Catholic University-Quito, and UGA, the need to frequently re-write budgets. IBR interdisciplinary database was centralized worked effectively with accounting sup- and distributed to all partners, including port offices at Auburn, Iowa State, Ohio local partners in the Canton Cotacachi. A State and UGA (The University of full-time Ecuadorian coordinator (Ing Georgia) to move funds speedily through Xavier Zapata) has maintained excellent the pipeline. The facilities in Ecuador oversight of the program through is pri- were upgraded and experienced high mary base in Cotacachi but also from occupancy rates in Year 6 with as many as Catholic University-Quito. The activity 6 researchers at a time staying in the has continued to link with the global apartment and office. Online services mountain initiative by providing excel- were maintained as well as new comput- lent models, methods, and data for ing facilities (Auburn) installed along informing scientists and decision-makers with a fax and printer. The SANREM about mountain-specific planning. SAN- vehicle (owned by UNORCAC-United REM-Andes participated in a developing Peasant Organization of Cotacachi) was grant proposals with CIAT's "communi- upgraded and maintained during a final ties and watersheds" network. In addition, year of intensive use. The vehicle was in January, 2004, a conference on turned back to UNOCAC permanently at "Sustaining Livelihoods and Landscapes the end of the project on May 31, 2004. in the Andes" was held in which over 100 national and international individuals, OBJECTIVE 2 including Ecuadorian regional and Manage an organized central database national decision-makers, participated. and facilitate exchange among SANREM researchers as well as among other part- OBJECTIVE 1 ners in the Andean region. Provide timely administrative and coordination support to Principal Investigators

9 Achievements (Global Positioning Systems), 3-dimensional mod- The SANREM-Andes listserv was updated and els, and basic field research. directly shared with all PIs and collaborators. All project data have been delivered and entered into Advances in Scaling Up the database. Monsarrath Mejia of Catholic The SANREM-Andes experience was scaled up to University-Quito has integrated all information in a scientists, practitioners, and decision makers inter- comprehensive Atlas of Cotacachi. The Toolbook ested in natural resource management questions. CD has been completed and a beta-version devel- The initiatives in which SANREM participated oped for final discussion among participants. The through scholarly presentation, networking, or Toolbook CD will be included in the SANREM- information sharing include Chapter 13, Agenda 21, Andes final book publication to be published by the the CGIAR Mountain Initiative, CONDESAN end of 2004. (Consortium for the Sustainable Development of the Andean Ecoregion), and the Communities and OBJECTIVE 3 Watersheds program at CIAT. International agen- Link the SANREM Andean project with the global cies, such as IPGRI, have adopted SANREM- interagency initiative for Chapter 13, Agenda 21 Andes ideas, methods, and approaches on in situ (Sustainable Mountain Development). In addition, conservation. Andes publications have been the PM will link SANREM-Andes to CIAT's "com- reviewed by a number of prestigious journals, all munities and watershed' network, UBC-Canada's with positive outcomes. Himal-Andes watershed network, and the CGIAR Global Challenge competition for a system-wide Major Outputs program on "food and water". Non-Degree Training Achievements Workshop The international SANREM-Andes Synthesis Community history workshop was attended by 175 Conference "Sustaining Landscapes and person(s). Livelihoods in the Andes" was held on January 15- 17, 2004 in Cotacachi, Ecuador. In addition to international and national participants, many high level government decision makers from the ministries of agriculture and environment were in attendance. During May, 2004, a final meeting of the Cotacachi Natural Resources Management Plan was held and all SANREM data distributed to interested parties (beta version of the Toolbook, copy of Cotacachi Atlas, and CD of research data). R. Rhoades and V. Nazarea participated in the British Academy of Sciences meeting (the travel was not financed by SANREM) and presented on their Cotacachi research. The presentation was well received and will be published as a chapter in a book on indigenous knowledge edited by Dr. Paul Sillitoe.

Advances in Capacity Building Six Ecuadorians linked with partner organizations were trained individually in the Toolbook application, data collection and storage methods, use of GIS (Geographical Information Systems)/GPS

10 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) AND_2

Innovative Approaches to Agrobiodiversity Principal Enhancement, Repatriation, and Policy in the Andes Investigator Virginia Nazarea ABSTRACT nication as well as a complementation of Repatriation (returning to the place of ori- knowledge and skills that will lead to more sustainable conservation of plant gin) of gene bank accessions is gaining Co-Principal momentum internationally. Efforts at genetic resources within Cotacachi and Investigator repatriation are fueled by increasing sci- beyond. Better understanding also con- Magdelana Fueres entific recognition of the limitations of ex tributes to a smoother process of institu- situ conservation as well as political tionalization of these initiatives. At the Rafael Guitarra advocacy revolving around intellectual end of Year 6, an international conference property rights and ancestral claims. In on in situ conservation and repatriation Cesar Tapia Cotacachi, enhancement of agrobiodiver- was hosted at the University of Georgia in sity through the repatriation of traditional Athens. Jamie Estrella Andean crops is currently being pursued Proyecto Ally by UNORCAC, several NGOs, INIAP OBJECTIVE 1 Tarpuy (the national gene bank), and local com- Research the past, present, and potential munities, with various stakes and degrees place of traditional Andean crops in the Manolo Morales of engagement. SANREM-Andes biodi- Cotacachi landscape with special empha- versity thrust that has emphasized memo- sis on intergenerational connection, eth- Miguel Holle ry banking and in situ conservation has nic identity, and gender roles, along with raised awareness about the importance of food sufficiency and food sovereignty. Maria Scurrah renewing traditional crops and management practices within the broader context Achievements Henry Shands of cultural revitalization. The recent rush During the year, UGA Ph.D. student to repatriate germplasm, however, needs Juana Camacho spent July/August in to be tempered by research into the cul- Cotacachi conducting research on gender tural and legal context of repatriation. roles and food sovereignty in Cotacachi. Building on a foundation of knowledge This research was presented at the SAN- and experience gained from five years of REM final meeting in Cotacachi, Jan., SANREM research on biodiversity con- 2004. The three masters students com- servation in Asia and Latin America, this pleted their fieldwork and are presently Year 6 project investigated disjunctures in writing up the results. All presented in the how repatriation and genetic diversity is SANREM-Andes conference. A visit was understood by local people, scientists, made to the Finca de Futuros Ancestrales political advocates, and policy makers. in July, 2003, when a survey of partici- Moreover, it opened dialogue across dif- pants' viewpoints was implemented. The ferent world views in the management of data have been analyzed and written up this critical and fragile resource. Through by Shiloh Moates. The plots have all been experiential learning on both sides, our harvested and seeds for future plantings project facilitates more effective commu- have been distributed. Information on the

11 50 accessions has been sent to INIAP. A tasting and developed and will be submitted to a major press cooking experiment was carried out on the various for publication. A documentary film "Conservation accessions. The project is now following the fates with a Small C" (approximately 10 minutes) has of the landraces grown out in the finca as they pass been completed in English and Spanish bilingual through post-harvest aspects of the food system. formats.

OBJECTIVE 2 Advances in Research Facilitate dialogue and collaboration between par- The main advance was to bring solid research sys- ticipating communities and national, regional, and tematization to a field that is largely based on international "players" in Cotacachi agrobiodiversi- untested assumptions and methods. Despite the rush ty conservation and disseminate lessons learned to repatriation, little is known on how to do it effec- from SANREM's research. Through dialogue and tively and sustainably. An article was be written on experiential learning, pave the way for institutional- the cultural signficance of Andean grains and ization of more effective means of repatriation and tubers. A Ph.D. dissertation on "Gender, Resistance, in situ conservation. and Food Sovereignty in the Andes" (by a Colombian national) and three masters theses on Achievements sustainable development related to genetic The night-time storytelling activity was successful- resources were also completed. ly completed. Given that the area has become a center of repatriation activites due to a large PL480 Advances in Capacity Building project in the region, the visits of national scientists Representatives from interested NGOs and INIAP are a regular occurence. The "reverse" field trip to (and other government agencies) were trained in the national gene bank did not take place in Year 6 memory banking and in situ conservation methods. but is planned for a post-project phase funded by While there is much projected activity next year by non-USAID sources. Training of UNORCAC field NGOs, it is obvious that the consequences and pro- assistants in in situ research is complete. cedures for successfully reintroducing material are not clear. SANREM can provide systematic OBJECTIVE 3 research to guide the process. Gene bank managers Based on the Cotacachi experience, generate useful from Quito and Lima will be sensitized to local per- policy guidelines on biodiversity conservation and spectives and constraints, thus building a pan- sustainable repatriation that is, at the same time, Andean base for the productive collaboration of sci- culturally compatible and equitably beneficial. entific and local communities in biodiversity con- These policy guidelines will identify what condi- servation. Three theses and one Ph.D. are still in tions need to be in place for repatriation and in situ progress but will be completed this year. In conservation to be successful. Cotacachi community-wide interest in in-situ conservation is currently high. Achievements The conference on biodiversity conservation, Advances in Scaling Up enhancement and repatriation has proposed to the Development of a book on repatriation based on the UGA State of the Art competition was not funded. international conference (Athens, April-May, 2004) However, the interest was so high on the UGA cam- that will involve scientists, gene bank managers, pus that numerous departments, centers, and insti- legal experts, and policy makers is in process. tutes provided funds. The conference was held on Distribution of publication to international centers, April 30-May 1 with great success. Key individuals national programs, NGOs, and local communities representing law, policy, and agrobiodiversity will follow. The Cotacachi Declaration can also research and activism participated. They represent serve as an Andean model for definition of respon- indigenous peoples, professors, genebank man- sibilities and benefits in the context of the Andean agers, research administrators, policy makers and Pact. activists. A proceedings of the conference is to be 12 The documentary film "Conservation with a Small Fueres, M. and R. Flores. 2004. Returning Andean C" will have global dissemination. Presentation at Crops to Promote ecotourism. Paper presented at the British Academy of Sciences (not funded by conference entitled Seeds of Resistance/Seeds of SANREM) brings SANREM research to interna- Hope. Ethnoecology/Biodiversity Laboratory, tional academic circles. University of Georgia, Athens, GA. April 30 - May 1, 2004. Advances in Policy Impacts Based on this research, guidelines were developed Nazarea, V. 2004. Marginalities of the Mind, or the for the conservation, enhancement, and repatriation Anthropology of Quirkiness. Paper presented at of germplasm in a culturally-contextualized, equi- conference entitled Seeds of Resistance/Seeds of table, and sustainable manner. These guidelines Hope. Ethnoecology/Biodiversity Laboratory, were utilized in a policy dialogue with key policy University of Georgia, Athens, GA. April 30 - May makers in Ecuador. This dialogue involved repre- 1, 2004. sentatives of all levels--local communities, indigenous organizations like Jambi Mascaric and Degree Training UNORCAC, government agencies like INIAP, and Juana Camacho, Ph.D., 2001 - 2005 international centers like CIP and IPGRI.

The outcome of the dialogue and recommendations based on the repatriation conference can conceiv- ably impact policies at various levels, including increased awareness of the importance of linking in situ gene banking with repatriation efforts in a more informed manner.

Advances in Environment and Natural Resource Management Andean crops have been and continue to be repatri- ated to Cotacachi. The lessons learned from agrobiodiversity research in Cotacachi are being adopted by other projects.

Major Outputs Conference Paper Camacho, J. 2004. Alimentación y Cultura en Cotacachi. Paper presented at Conference on Sustaining Landscapes and Livelihoods in the Andes. SANREM Andes Research Synthesis Conference. Cotacachi, Ecuador. January 2004.

Camacho, J. and A. Henne. 2004. Plants, Place, and Resistance in New York City and Colombia’s Pacific Coast. Paper presented at conference entitled Seeds of Resistance/Seeds of Hope. Ethnoecology/Biodiversity Laboratory, University of Georgia, Athens, GA. April 30 - May 1, 2004.

13 SANREMCRSP May 2004 Sustainable Agriculture and Natural Resource Management Annual Report Collaborative Research Support Program AND_3 Funded by the U.S. Agency for International Development (USAID)

Organizational Innovations for Sustainability Principal Investigator ABSTRACT UNORCAC’s capacity for institutional Jan Flora The capacity of indigenous organizations strengthening of the community-based to address issues of natural resources organizations (particularly the 43 rural management in the context of decentral- communities affiliated with UNOR- ization and globalization is key for long- CAC), coalition building with other Co-Principal term sustainability in Ecuador. Internal groups inside and outside the municipio, Investigator organizational mechanisms must be in and policy impact. Cornelia Flora place to assure accountability, participa- OBJECTIVE 1 Mary Garcia tion, and effective use of limited Bravo resources. Organizational capacity means Determine the changes in UNORCAC's that the organization has the ability to institutional capacity for management Florencia articulate the goals of the community and its bridging and bonding social capi- Campana well enough to appropriately use (or tal. reject) outside technical assistance and Fernando Larrea other resources. Cotacachi's indigenous Achievements secondary-level organization, UNOR- An assessment of the changes in CAC, is adept at forming connections UNORCAC's institutional capacity for with groups from outside the geographic management of natural resource issues area (i.e. creating bridging social capital), through its use of bridging and bonding particularly with international non-gov- social capital was carried out by using ernmental development organizations already collected data as well as observa- (NGOs). Effective negotiation with other tions of UNORCAC's operations. Key stakeholders requires organizational informant interviews and focus group capacity and strong networks. Ironically, interviews were carried out with local conflict over access and control of natural leaders, members of “Committee execu- resources has grown: between communi- tive” of UNORCAC, technicians who ties, between the municipality and the work with UNORCAC, leaders and secondary-level indigenous organization, members of the communities that consti- with large landowners. But, building tute UNORCAC, leaders and members of local and external coalitions for demo- "Watershed Committees” for the cratic resource management can reconcile Pitzambitze River and Cuychic Cocha conflicting claims. Taking into account River as well as surveys with local farm- the changing national and international ers. A report summarizing changes in context, we have assessed the present UNORCAC’s organizational capacity organizational capacity of UNORCAC to over the past half decade, as it affects its serve as a major actor for sustainable nat- ability to make natural resource manage- ural resource management in the munici- ment decisions is being finalized to be pio, using our 1998 study as a bench- submitted on May 31, 2004. mark. We have determined how bridging and bonding social capital contribute to

14 The report also analyzes the relationship between Appraisal of Agricultural Knowledge and UNORCAC and some of its member communities, Information Systems) approach and the Advocacy based on data gathered jointly by Heifer-Ecuador Coalition Framework (ACF), and, most important- and individuals from the communities themselves. ly, for determining future directions of Grupo The data has been analyzed, and synthesized in dia- Yanapai. The facilitator is also to guide the group grams and graphics of results classified by “indica- through a visioning/strategic planning process. tor, variable, subtheme and theme”. Workshops, focus groups, and interviews with peo- Heifer continued to participate in meetings, work- ple from two communities in the Central Highlands shops, and activities related to advocacy coalitions of Peru and other resource persons were conducted led by UNORCAC. for the purpose of documenting and interpreting how and if the advocacy coalition framework has OBJECTIVE 2 strengthened community capacity in the communi- Analyze how bridging and bonding social capital ties of Quilcas and Rangra. The final report is being can be used in the course of the design of the finalized to be presented by May 31, 2004. Municipal Natural Resource Plan Advances in Research Achievements This research will build on our previous work on Because the effort to develop a Natural Resource advocacy coalitions and institutional capacity. The Plan for the Canton was not fully realized, this three papers presented at the SANREM-Andes objective was subsumed into the development of a Synthesis Conference in January 2004 will, among Toolbook CD, that is the joint effort of the various other things, assess how collective natural resource SANREM-Andes projects. The institutional group management decisions have influenced the institu- designed the Institutional section of the Toolbook. tional capacity and the bridging and bonding social capital of an indigenous secondary organization OBJECTIVE 3 (Ecuador) and of an indigenous community (Peru). Determine the best practices for strengthening These papers are titled, "Rules of Evidence, organizations of those who are only recently includ- Advocacy Coalitions, and Natural Resource ed in decision making processes regarding NRM so Management" (Jan and Cornelia Flora) and that sustainability -- social, ecological, and eco- “Agroecology experiences and natural resources nomic -- can be achieved. management in the Andean region of the Cotacachi Canton” (Fernando Larrea). Achievements The Toolbook includes a documentation of best Advances in Capacity Building practices. The comparison of the Peruvian and Florencia Campana and Mary García of Heifer- Ecuadorian cases was developed and presented at Ecuador enrolled in an 8-week intensive English the Synthesis Conference in January, but additional course at the University of Delaware in 2004. This funds were received for Grupo Yanapai to do an will be an enormous boost to their effectiveness as assessment of its experiences with advocacy coali- researchers and grant-writers, since it will enhance tions and develop a plan for the future. The final their English reading comprehension and will equip report on this assessment provides the additional them to communicate more readily with mono-lin- information on the Peruvian case to feed further gual English-speakers who represent American or elaboration of the comparison between the two British foundations and other institutions. It will countries. also be helpful to them in their applied work, particularly in broadening ability to interact with funding The Grupo Yanapai worked with a facilitator to organizations on behalf of Heifer-Ecuador and in develop a plan for assessing its experience as a collaboration with indigenous groups whom they learning organization using the RAAKS (Rapid advise.

15 In Peru, an interview community leaders conducted role in CONACAMI, the Coordinating Body of with the regional director of OXFAM America (as Communities Affected by Mining. The timing is part of the advocacy coalition methodology) led to propitious since certain decisions and functions are a grant to the Peasant Community of Quilcas from being decentralized from the national government the Global Green Grant Foundation for training in to regional governments. collective property rights and recovery of natural resources, with collaboration of the Grupo Yanapai. In Ecuador, policy impact is slow in coming, but it In October 2003, 175 peasants and peasant leaders is likely to occur through the strengthening of were trained from the communities of Quilcas, UNORCAC’s linkages to local, regional, and Rangra, Saño, Chicche. A representative of the min- national governments. UNORCAC initiated a dia- ing company also participated in this training. logue with the Minister for the Environment on the Although this was not specifically a SANREM management of the Cotacachi-Cayapas Bio- activity, it was a direct outgrowth of the advocacy reserve, that has been partly informed by the advo- coalition action-research. cacy coalition research and methodology. However, the potential results of these actions remain con- Advances in Scaling Up strained by the Ministry' weakness and/or inability The techniques and methodologies are being shared to deliberate or to mediate an agreement about with CIAT via the Toolbook CD, to the National which local entity(ies) that should manage the Agrarian University-La Molina in Peru, as well as Reserve. to collaborators in the Global Livestock CRSP in Mexico, Ecuador, and Bolivia. Two workshops on The national and international institutions we have the advocacy coalition methodology were conduct- collaborated with will be interested in the findings ed with development professionals in Peru as part related how to facilitate the effective participation of intensive classes for community, agricultural, of groups that had been previously left out of and rural development professionals ,pursuing processes and deliberations concerning natural Masters in Agricultural Innovation for Rural resource management planning. The Toolbook CD Development at the National Agrarian University- and the forthcoming SANREM-Andes Synthesis La Molina. Monograph will be useful tools for informing Ecuadorian, US, and international audiences. The Co-PIs also gave a presentation on “Advocacy Coalitions and Rural Development in the Andes Advances in Environment and Natural Region” to the Vern Larson Colloquium Series of Resource Management the Office of International Programs, Kansas State This project is one of several component in SAN- University, Manhattan, KS in March 2004. REM-Andes’s integrated thrust aimed at improving natural resource management in Cotacachi, Advances in Policy Impacts Ecuador. The advocacy coalition framework and As a result of the participatory advocacy coalitions other methodologies used in this project facilitate research, communities in Peru have taken actions the involvement of marginalized groups, including that may eventually affect local and regional policy. the largely indigenous rural communities of The Quilcas community led a regional coalition Cotacachi. aimed to curbing the environmental abuses of small mining companies on community grasslands. This SANREM-Andes has contributed to improving the action may lead to changes in the process whereby capacity of UNORCAC to negotiate with other mining permits are granted, that may allow a actors around natural resource management issues. greater role for communities whose land is being The increased sophistication with which UNOR- used. This development is a direct result of the CAC forms strategic alliances can be seen in the application of the Advocacy Coalition Framework, case of the discussion around decentralized man- which fostered contacts and alliances that thrust the agement of the Cotacachi-Cayapas Bio-Reserve. community of Quilcas into a regional leadership When cantons and municipalities emerged as the

16 organizing entities around which decentralized Other Major Outputs management would occur, UNORCAC made links Conference Paper with the adjacent municipality of Uruquí in an Flora, C., Rames, Hurtado and Morales. 2004. attempt to block the municipality of Cotacachi Capital Social, Empoderamiento y Medioambiente (which is allied with a mestizo faction) from taking Social. Paper presented at Conference on undue advantage of lucrative tourist concessions in Sustaining Landscapes and Livelihoods in the the bio-reserve without investing in the environ- Andes. SANREM Andes Research Synthesis mental conservation of the reserve. Unfortunately, Conference. Cotacachi, Ecuador. January 2004. it was unable to negotiate an end to the impasse that has plagued the attempt to establish a decentralized Degree Training natural resource management. Edith Fernandez-Baca, M.A., 1999 - 2004 In Peru, there have been advances, particularly as regards natural resource management. A study that Non-Degree Training quantified the natural resources lost as a result of Workshop the talcum mine in the highland portion of the peas- Intensive English language study was attended by 2 ant community of Quilcas, financed by the Global person(s) and lasted 40 day(s). Green Grants Foundation, was concluded. The study indicated that more than 180 hectares of grassland had been destroyed by the mining operation. During Year 6 and previously numerous attempts were made to open dialogue with the mining company, but when they did send a representative the person did not have authority to negotiate on behalf of the company. The fact that the Community of Quilcas is the regional representative to CONACAMI and the convener of CORE- CAMI, the regional affiliate of CONACAMI means that the institutional base for future negotiations with mining companies is in place.

Publications Book Chapters Flora, C. 2003. Democracy: Balancing Market, State, and Civil Society. Pp. 88-100 In Bell, M. and F. Hendricks (eds). Walking Toward Justice: Democratization in Rural Life. Bristol, UK. JAI/Elsevier.

Flora, C. and M. Bendini. 2003. Globalización en Cadenas de Valor Agroalimentaria: Relaciones Entre el Mercado, el Estado y la Sociedad Civil. In Bendini, M., S. Cavalcanti, M. Murmis y P. Tsakoumagkos (eds.) El Campo en La Sociologa Actual: Una Perspectiva Latinoamericana. Buenos Aires: Editorial La Colmena.

17 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) AND_4

Water Resources Management and Education in Principal Andean Watersheds Investigator Bryan Duncan ABSTRACT Interpretations of Chemical and The focus of the AU water-monitoring Bacteriological Data Resulting From project was broadened beyond health and Community based Water Monitoring Co-Principal sanitation to Natural Resource (CBWM) in Three Streams in Cotacachi", was made by Sergio Ruiz-Cordova,in Investigator Management (NRM) planning. AU per- William Deutsch sonnel conducted three trips to Ecuador January 2004 to the Asamblea Cantonal, during this period and several meetings UNORCAC and other stakeholders Sergio S. Ruiz- were conducted with local leaders to attending the SANREM-Andes Cordova work with NRM planning of the intersec- Conference. A second presentation enti- toral committee of the Asamblea tled "Taking More Care of Our Water: Rosemary Cantonal. Some Year 6 activities were Institutional Experiences and Fernholz integrated with the work of other Perspectives for a better of community researchers and NGO partners to 1) based water resources management in Nicolas Gomez improve data management and presenta- Cotacachi", was made by Auburn Team member, Dr. Rosemary Fernholz. The Rosalinda tion, 2) advance Community-based Water Gavilanes Monitoring (CBWM), 3) strengthen insti- Global Water Watch website is active tutional and research links, and 4) initiate now and includes Ecuador Water Watch. Jomar Cevallos scaling up/out activities. Feasibility of web-based data management is an ongoing activity. Auki Tituana OBJECTIVE 1 Analyze and present existing data (out- OBJECTIVE 2 puts from water monitoring in Phase II) to Establish and provide full support to pilot stakeholders of the project. A major target CBWM groups. will be use of the data for the annual meetings of the Cantonal and UNOR- Achievements CAC asambleas, and other policy-setting Fifteen participants attended a certifica- institutions. tion workshop for bacteria and physico- chemical monitoring representing three Achievements new community organizations from the As planned a new computer was placed at provinces of Cotapaxi (UNOCANC and the SANREM Cotacachi office, and the UOPICJJ) and Pichincha (UNOPAC), in new version of the Ecuador Water Watch addition to Imbabura (UNORCAC). relational database was installed and test- CBWM has also extended to new loca- ed. Training was provided to the UNOR- tions in the Pichincha province. CAC water coordinator on use of the Assistance was extended to a CBWM database for data entry, data editing and project in Intag in partnership with production of graphics and reports. A DECOIN, a local environmental protec- presentation entitled "Initial tion organization working in Intag com-

18 munities. Each organization is monitoring more Achievements than five sites, with plans to expand to 20 sites. Three NGOs, Heifer International, Christian Technical assistance, supplies, quality assurance, Children’s Fund/Ecuador and DECOIN, and one and data management are being provided on a con- governmental organization, ECORAE, expressed tinuing basis to each organization. A locally built 3- interest in CBWM projects. Visits were made to D model of UNORCAC project watersheds was project sites of the NGOs, and possible follow-up used for environmental education, thus the pro- activities were discussed. Four meetings were held posed EnviroScape watershed model was not need- with the GO at which a memorandum of under- ed. standing was signed. A memorandum of agreement was signed with Heifer Ecuador, and training and OBJECTIVE 3 monitoring activities were immediately implement- Institutional and research links will be strength- ed in two new provinces (Pichincha and Cotopaxi) ened. and continued in Imbabura. Technical assistance was extended to DECOIN for CBWM activities in Achievements Intag region of Imbabura. Meetings were held with Formal linkages were established with a new main PROPEDINE (World Bank supported) and Plan partner organization. This is an extremely important International to investigate possibilities for cooper- accomplishment for sustainability of CBWM in ation in CBWM in Ecuador. Ecuador. Heifer-Ecuador was approached by the AU team because of long and close relations Advances in Research between Auburn University and Heifer Fifteen new monitors (a total of 101 certified mon- International. Discussions were held, terms of itors in Ecuador) representing one existing and agreement were decided, and a memorandum of three new CBWM groups were trained. Sixty-three agreement was signed. A basic certification work- sites were monitored for physical-chemical param- shop was conducted, monitoring activities initiated eters yielding 183 records and 37 sites were sam- and three new community-monitoring groups estab- pled for coliform bacteria rendering 147 bacterial lished under this new partnership. Heifer-Ecuador records. These records were created and entered has had close relations with UNORCAC for the into the local UNORCAC database as well as the past several years, and will now broaden this rela- GWW database at Auburn University during Year 6. tionship to include support and coordination for These records increased the cumulative total to 805 CBWM. A memorandum of agreement with chemistry records from 142 monitoring sites and DECOIN has been proposed and is being reviewed. 1228 bacteriological records from 226 sites since In the meantime cooperation with DECOIN in CBWM started in Ecuador. CBWM has begun. Cooperation has occured with the UGA soils/water project to measure stream flow Advances in Capacity Building and rainfall. An AU social scientist, Dr. Rosemary Four new CBWM groups were established to fur- Fernholz, visited Ecuador project sites to initiate ther community-based participatory research. One research relative to resolution of water conflicts. basic certification workshop was conducted for 15 Interviews with key actors have been conducted participants including members of three new organ- and recorded and more are planned. Two meetings izations. The UNORCAC water coordinator were held with the director of the National Council received training on data management and GWW for Water Resources, especially to inquire about database and was a key supporter in the training and experiences with water conflicts. follow up of monitoring activities in the new locations. Issues important to sustainability of the OBJECTIVE 4 groups were addressed. A principal actor in this Scaling out/up activities will be initiated. activity, together with the AU team, is the new partner, Heifer-Ecuador. Key local participants from UNORCAC and Heifer-Ecuador were trained on aspects of data management.

19 Advances in Scaling Up oping natural resources policy for the local govern- Three NGOs, Heifer International, Christian ment. Children’s Fund/Ecuador and DECOIN, and one governmental organization, ECORAE, expressed Advances in Environment and Natural interest in CBWM projects. Visits were made to Resource Management project sites of the NGOs, and follow-up activities Data were collected and some steps were taken to were discussed. Numerous meetings were held with integrate the CBWM with a natural resources man- the GO at which a memorandum of understanding agement plan for Cotacachi. Data were provided in was signed. A memorandum of agreement was digital format to the municipal water commissioner, signed with Heifer Ecuador, and training and mon- to the cantonal assembly and to UNORCAC to be itoring activities were immediately implemented in used as baseline for future proposals to improve two new provinces (Pichincha and Cotopaxi) as drinking water systems as well as streams and well as in Imbabura. CBWM activities were intro- springs. SANREM collaborated with PUCE duced to two second-degree organizations in the (Pontificia Universidad Catolica del Ecuador)- Cotopaxi province and eight monitoring sites were Quito to do an assessment of the Cambugan water tested for water chemistry. Two organizations in the system that provides drinking water to six commu- Pichincha province were also introduced to CBWM nities. Water quality data also supported a proposal and started testing at 18 monitoring sites. Technical for improving the water system facilities and assistance was extended to DECOIN for CBWM improving the water quality of this system that ben- activities in Intag region of Imbabura. Meetings efits more than 1200 people from 300 families. were held with PROPEDINE (World Bank support- Another proposal was submitted to assess in more ed) and Plan International to investigate possibili- detail three irrigation systems that provide the water ties for cooperation in CBWM in Ecuador. to 12 communities.

Advances in Policy Impacts Publications Links were established with the Asamblea Book Chapters Cantonal, especially through Jomar Cevallos who is Ruiz-Córdova, S., B. Duncan, W. Deutsch and N. well aware of the CBWM project with UNORCAC, Gómez. 2004. Community-Based Water Monitoring Carlos Zorrilla, former president of the In Cotacachi, Imbabura, Ecuador. Community- Intersectorial Canton Committee for Natural Based Water Monitoring Monograph. Resources and Executive Director of DECOIN, and the current president of the Committee, Anibal Other Major Outputs Robalino. SANREM researchers were in frequent Conference Paper contact with these individuals. A decision was taken Fernholz, R. 2004. Tomando Mas Cuidado de by the Asamblea Cantonal in September 2003 to Nuestra Agua. Paper presented at Conference on address problems of water resources as the highest Sustaining Landscapes and Livelihoods in the priority among Cantonal issues. New fees for water Andes. SANREM Andes Research Synthesis consumption were approved by the Asamblea Conference. Cotacachi, Ecuador. January 2004. Cantonal considering the need of a routine analysis Ruiz-Córdova, S. 2004. Interpretaciones Iniciales of drinking water in all the systems. Links to the de Datos Químicos y Bacteriológicos Resultado de Mayor’s office were established through frequent Monitoreo de Agua con Participación Comunitaria direct talks with the mayor, and cooperation with en Tres Ríos del Area de Cotacachi, Imbabura, Arq. Rosalinda Gavilanes, the City of Cotacachi Ecuador. Paper presented at Conference on water commissioner. A presentation entitled "Initial Sustaining Landscapes and Livelihoods in the Interpretations of Chemical and Bacteriological Andes. SANREM Andes Research Synthesis Data Resulting From Community Based Water Conference. Cotacachi, Ecuador. January 2004. Monitoring (CBWM) in Three Streams in Cotacachi" was made in January 2004 to the Tools Cantonal Asamblea, the body responsible for devel- Deutsch, W., B. Duncan and S. Ruiz Córdova. 20 2003. Manual de Certificación Básica, Monitoreo Bacteriologico de Agua. Guía Para Ejecutar Proyectos Participativos de Monitoreo de Agua en Comunidades de La Región Andina. Auburn University. Auburn, AL.

Deutsch, W., B. Duncan and S. Ruiz Córdova. 2003. Manual de Certificación Básica, Monitoreo Fisico-Quimico de Agua. Guía Para Ejecutar Proyectos Participativos de Monitoreo de Agua en Comunidades de La Región Andina. Auburn University. Auburn, AL.

21 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) AND_5

Linking Science, Planning, and Policy in the Andes: Principal The Cotacachi Natural Resources Management Plan Investigator Robert Rhoades ABSTRACT maps, photos, charts, tables), the In Year 6, SANREM-Andes research Toolbook multimedia presentation (with findings were brought to bear on the com- embedded specific information), and sev- Co-Principal plex planning process facing the multiple eral CDs of individual projects with all the projects' information. All of this infor- Investigator stakeholders of Cotacachi Canton. The Bryan Duncan canton is in the process of developing a mation has been delivered to the people natural resource management plan which of Cotacachi, including decision makers William Miller is linked to a new legal structure for gov- in positions of power (e.g., Municipality erning and using natural resources. SAN- of Cotacahi, UNORCAC, Cantonal Douglas Southgate REM researchers interacted with the can- Assembly, Ministries, Institute of ton-wide Natural Resource Management Hydrology, etc.). News stories have been Cornelia Flora Committee which is developing the plan. written in national and regional papers in By providing data on water, soils, biodi- Ecuador highlighting the accomplish- Jan Flora versity, and landuse change the commitments of the SANREM-Andes project. Virginia Nazarea tee was able to take advantage of scientific information for the first time in its exis- OBJECTIVE 2 Juan Hidalgo tence. Particularly useful was the Utilize the knowledge base and participa- Cotacachi Canton Atlas developed by tory planning involving diverse stake- Hernan Velasquez Monsarrath Mejia of Catholic University- holders from all critical sectors to facili- Quito. The rich data on water were also of tate the design, writing, and publishing of Rafael Guitarra great interest to the planning committee. a bilingual NRM plan for the Canton. Auki Tituana

OBJECTIVE 1 Achievements Sandra Brown Integrate and synthesize SANREM- SANREM researchers from various proj- Andes interdisciplinary research data, ects met regularly with the Natural Canton findings, and methods into a knowledge Resources Management committee of the Intersectoral base under the joint guidance of the Cantonal Assembly. The committee is Committee on Cotacachi Canton Natural Resource made up of elected or appointed represen- Natural Resources Committee. tatives: mayor, President of Canton (Carlos Zorilla) Assembly, City Commission on tourism, Achievements UNORCAC, Neighborhood Federation, After 5 years of interdisciplinary rural Andean and Intag parishes, local research, the PIs of SANREM-Andes government committee on health, educa- joined together over the past 12 months to tion, and modernization, professional present their rich data in an integrated organization/chambers of production, framework and centralized node. The Ministry of Environment, NGOS, and products of this databank on Cotacachi any other person selected by the include: the Canton Atlas (with graphic Committee. Obviously with so many var-

22 ied agendas, the points of view and data require- advance of the agricultural frontier in the high zone. ments varied. The approach of the SANREM team The institutional analysis demonstrated that there is was to meet with focus groups (often by invitation a great deal of conflict over land rights and titling. of the committee) to present specific information In this regard, the local government is at odds with (e.g., on water and soils) which then served as a the local indigenous organization and the Ministry basis for discussion. SANREM outputs (e.g., of Environment. Understanding this complexity of Cantonal Atlas, Toolbook presentation) helped local stakeholder conflict is important in developing the stakeholders better understand the dynamics of nat- Canton Natural Resource Management Plan and its ural resource use in the Cotacachi region. The "Cantonal Ordenanza". approach of SANREM was not to "tell" the committee what to do, but rather to serve as a research OBJECTIVE 4 backstopping on critical issues. The committee dis- Jointly with the Canton Assembly, document the cussed several options for a NRM plan based on process of developing a Natural Resource protocols provided by SANREM (e.g., example of Management plan in contexts of social conflict over Sonoran Desert Plan for Tucson, Arizona). The resources and disseminate the experience through SANREM-Andes Synthesis Conference held in outreach documents and scientific papers. Cotacachi in January, 2004, which was attended by many committee members and local decision mak- Achievements ers, presented an excellent overview of the region. SANREM-Andes completed 16 community histo- During the conference, roundtables were held in the ries and distributed them to the communities for evening on water, biodiversity and other themes for final approval. During the final conference, the his- discussion and planning. tories were presented in a ceremony to those community leaders in attendance. Much of the video OBJECTIVE 3 footage shot by the SANREM project in Cotacachi Draw on SANREM-Andes research to analyze key was edited and developed into a series of short films policies, laws, and conventions related to the water, on the area (e.g., development of the Maqueta of land, and biodiversity components of the NRM Cotacachi, ceremonies and rituals of Cotacachi, plan. etc.). The project still has a great of specific data and visual media that needs to be finalized into a Achievements documentary film. At the close of the project, we The study of institutions of Cotacachi has been are placing this information on a website called largely under the Iowa State project activity "Virtual Cotacachi". (AND_3) related to advocacy coalitions and social capital. However, in addition, this synthesis project OBJECTIVE 5 examined the particular issues surrounding the nat- Organize an international synthesis conference ural resource planning process of the Canton. ("Toward Sustainable Environments and Mountain Research by an indigenous woman on the conces- Communities") jointly with the Canton Assembly to sions agreements with the National Institute of discuss and compare participatory, decentralized Hydrology in Ibarra demonstrated that conflict over natural resource planning experiences in Latin water is increasing. The laws governing water are America. rarely heeded, especially the clause about indigenous rights. Water rights tend to be concentrated Achievements with historical owners (e.g., former haciendas) with The capstone conference for SANREM-Andes little being release to the indigenous communities. "Sustainability of Landscapes and Livelihoods in The landuse change analysis of 40 years has been the Andes: Reflections, Status, and Advances for completed and written up in a final report. the Integration of Science and Cultural Values in Significant changes are related to growth of the Cotacachi" was held January 15-17 in Cotacachi, floriculture industry, urban zones, and eucalyptus Ecuador. Over 100 individual participated in the plantations. Except in one zone, there is not an

23 conference. The conference program centered on Union). SANREM data, photos, and other informa- three key themes--soil, water, and biodiversity. tion appear all over the Canton in posters and infor- Research professor from four American universities mation sheets disseminated by other projects. The (Auburn, UGA, Ohio State, and Iowa State)and large World Bank project scheduled to begin this their teams made presentations. The program year in the Ambi Watershed has access to SAN- opened on January 15 in the Casa de Las Culturas REM-Andes research and will incorporate it into in Cotacachi with opening remarks by the President their work. SANREM-trained assistants are now of UNORCAC and the Mayor of Cotacachi. employed by these projects. Dignitaries from USAID and the ministries then made comments on the importance of research for Advances in Policy Impacts natural resource management. The program consist- SANREM-Andes research has been critical in helped of 6 sessions: 1. General overview of Cotacachi; ing Cotacachi Canton achieve its goal of becoming 2. Influence of Soil and Water in the Landscape of a Green Canton. The canton has received several Cotacachi; 3. Biodiversity and Agrobiodiversity in international awards (Dubai Prize, UNESCO award Cotacachi; 4. Ethnoecology of Cotacachi; 5. for conflict resolution). SANREM-Andes has been Institutions and Planning for Natural Resources; 6. an integral part of this process. SANREM water Conclusions and Recommendations. By accounts research has been critical in forming water groups of all that participated, it was a successful confer- and re-defining local regulations. At a global level, ence. the impact has been on Chapter 13, Agenda 21 initiatives (mountain sustainablity) as an example of Advances in Research how sustainability science can be effective within Advances in research include: 1. A 40-year landuse context of strong cultural identification. change maps and analysis; 2. transformations and trajectories developed for each landuse category; 2. Advances in Environment and Natural Community histories of 16 communities completed Resource Management and distributed; 3. Content analysis of water and Due to SANREM-Andes research, a rich database land policies completed; 4. In-depth study of (including publications) is available for the NRM Cambugan water system and Chumavi completed: plan and development of legal structures for the 5. 3-D model (Maqueta) and future visioning exer- Canton. This information is being used widely by cise completed in Cotacachi. All final papers for the international agencies as well as local groups seek- final SANREM-Andes book have been received ing funding. The approximate number of people and are being edited. who have benefited is 40,000 over an area of 21,000 hectares. Advances in Capacity Building SANREM research presented in international fora, utilized by local NRM planners, accepted and used Major Outputs by NGOs and other projects for their own agendas Conference Paper in development. Capacity building in the final year Rhoades, R. 2004. When Seeds are Scarce: was connected mainly with the diffusion of data and Globalization and the Responses of Three Cultures. findings of the project. All participants in SAN- Paper presented at conference entitled Seeds of REM received individual training in Toolbook use, Resistance/Seeds of Hope. use of GPS units, and other aspects of research. Ethnoecology/Biodiversity Laboratory, University of Georgia, Athens, GA. April 30 - May 1, 2004. Advances in Scaling Up Rhoades, R. and S. Moates. 2004. La Finca de SANREM-Andes research has been utilized by Futuros Ancestrales. Paper presented at UNORCAC to gain funding for a number of new Conference on Sustaining Landscapes and projects on agrobiodiversity (USDA/IPGRI/INIAP Livelihoods in the Andes. SANREM Andes with PL480 funds) and food security (European

24 Research Synthesis Conference. Cotacachi, Ecuador. January 2004.

Rhoades, R. and X. Zapata. 2004. Analisis Multitemporal de Cambio del Uso del Suelo en la Region Andian del Canton Cotacachi Entre Los Años 1963 y 2000. Paper presented at Conference on Sustaining Landscapes and Livelihoods in the Andes. SANREM Andes Research Synthesis Conference. Cotacachi, Ecuador. January 2004.

Degree Training Karla Vasquez, Ph.D., 2002 - 2003 Shiloh Moates, Ph.D., 2003 - 2006 Brian Campbell, Ph.D., 2000 - 2004

25 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) AND_6

Soil, Water, and Land Use Interactions in Cotacachi Principal Canton, Ecuador Investigator William Miller ABSTRACT nation from grazing animals was clearly Soil properties, elevation, and land use identified as the major contributor to data collected during Phase II of the proj- impaired water quality in upstream areas, ect were integrated into a GIS database whereas discharge of (untreated) sewage Co-Principal Investigator and combined with new data in order to further deteriorates water quality as the Franz Zehetner provide a deliverable set of spatial and streams flow through the urban centers temporal input for a natural resource Quiroga and Cotacachi. Faced with an management plan. Hydrologic modeling important and urgent bacterial problem in produced water yield data over time with- the area (children in the surrounding com- in the Cotacachi region as a further addi- munities frequently contract water-related tion to the database. The model predic- stomach diseases), the efforts of this tions were verified through field calibra- objective were directed towards raising tion. awareness and giving recommendations for the control of fecal contamination and OBJECTIVE 1 the mitigation of associated health problems. Assist in water quality sampling and analysis (with B. Duncan, Auburn Univ.) for sediment, nutrients, pesticides, and OBJECTIVE 2 trace metals. Integrate and synthesize soils, land use, and topographic data collected during Achievements Phase II into a hydrologic model, which predicts water quantity in various altitudi- In collaboration with Xavier Zapata Rios, nal zones covering several Andean sub- existing water quality data, collected over catchments. the years through Auburn’s community- based water monitoring program, were incorporated into a GIS to analyze tempo- Achievements ral and spatial distribution of water pollu- The studied watersheds were delineated, tion in the studied landscape. The three and relevant topographic, soil, and land major streams in the SANREM-Andes cover data were compiled and integrated study site (Yanayacu, Pichambiche, and into a GIS. Using the WGEN model Pichavi) showed similar trends, with pris- (Richardson and Wright, 1984), a 30-year tine water close to the springs and weather dataset was randomly generated increasing bacterial contamination with based on an existing 30-year dataset for distance from the springs. In an effort to the area, and average and extreme weath- identify sources of contamination, the er patterns were analyzed. three streams were closely surveyed in Evapotranspiration and soil water balance the field from the springs to the watershed were estimated with the DSSAT model outlets into the Rio Ambi. Fecal contami- (Jones et al., 1998) for different altitudi-

26 nal zones of the study area. The data were incorpo- and used to calibrate the hydrologic model of rated into the HEC-HMS model (Hydrologic Objective 2. Engineering Center – Hydrologic Modeling System) to predict stream discharge at various loca- OBJECTIVE 4 tions (elevations) for different weather scenarios. Design, prepare, and present interpretive maps/databases incorporating biophysical data Jones, J.W., G.Y. Tsuji, G. Hoogenboom, L.A. related to agriculture, environmental issues, and Hunt, P.K. Thornton, P.W. Wilkens, D.T. Imamura, water quality/quantity at various scales of interest W.T. Bowen, and U. Singh. 1998. Decision support to stakeholders and decision-makers in the study system for agrotechnology transfer: DSSAT v3. In: area. G.Y. Tsuji et al. (eds.), Understanding Options for Agricultural Production. Kluwer Academic Achievements Publishers, Dordrecht, The Netherlands, pp. 157- A variety of GIS layers were prepared (e.g., water- 177. shed boundaries, rainfall distribution, stream network, slope gradients, soil fertility, erodibility, land Richardson, C.W., and D.A. Wright. 1984. WGEN: use, water quantity/quality, etc.), and interpretive A Model for Generating Daily Weather Variables. maps were designed to address questions such as USDA-ARS, ARS-8, Washington, DC. the sources of water contamination or the location of fertile soils and water sources for irrigated agri- OBJECTIVE 3 culture. Calibrate and adjust the hydrologic model using hydrographs developed from precipitation and Advances in Research stream discharge data collected during Phase II and Stream baseflow and storm hydrographs (rainfall – continuously monitored throughout the rainy sea- stream discharge relationships) were determined for son of Year 6. the studied watersheds. A 30-year weather dataset for the area was statistically analyzed, and precipi- Achievements tation patterns for average as well as dry and wet Dry-season water availability was extensively sur- years were identified. Data on climate, topography, veyed in the area under study. For the three princi- soils, and land use were incorporated into the HEC- pal streams, baseflow was measured at various HMS model (Hydrologic Engineering Center – points (elevations) in the main channel as well as in Hydrologic Modeling System) to predict water inflowing creeks and outflowing irrigation canals. quantity / availability in various altitudinal zones Additionally, the dry-season flow of all other for several climate scenarios. (minor) springs in the area was determined to obtain a total of available water. Since in the area Advances in Capacity Building under study, the heaviest rainfall events generally Local community leaders were involved in the cli- occur during the night, we installed six automated mate and stream flow monitoring and thus learned rain gauges and stream stage sensors to capture low-tech approaches for the measurement of rain- these important events with a high temporal resolu- fall, stream discharge, and water flow in irrigation tion. The rain gauges were installed between eleva- canals. The president of the local water authority tions of 4000 and 2450 m above sea level, covering received extensive training in climate and stream the entire SANREM-Andes study site. One of the flow monitoring as well as mapping of water water depth sensors was installed in the Cuicocha sources using GPS technology, and is now able to crater lake to obtain better insight into the role of supervise such activities. The results of the dry-sea- this water body in the hydrology of the area. The son water monitoring (dry-season water availability other sensors have been continuously monitoring in the area, location of water sources, feasibility stage height at different points in the major streams evaluation of potential expansions of irrigation sys- of the area. Storm hydrographs of heavy rainfall tems) were presented and discussed during the events registered by these sensors were constructed SANREM-Andes conference in January. Selected 27 themes from the bio-physical resource database information is available about the hydrology. In (e.g., soil fertility, erodibility, land use change, Cotacachi, local decision makers are aware of the water quantity/quality, etc.) were graphically pre- necessity to better understand the complex hydro- sented to local stakeholders and decision makers. logic processes in the region in order to manage their water resources in a sustainable way. While it Advances in Scaling Up is too early to observe the effects of this activity on The stream discharge monitoring was expanded the environment, long-term benefits beyond SAN- from the pilot Yanayacu watershed to the entire REM presence are expected as a result of improved study area of SANREM Andes. Field scale model- water resources management in the area. ing results (evapotranspiration, soil water balance) were scaled up and used as input for hydrologic Publications modeling at the watershed scale. The methods used Book Chapters in this activity to map water sources and measure Zehetner, F., and W. Miller. 2004. In Press. Towards water flow in streams and irrigation canals have Sustainable Crop Production in Andean been adopted by key members of the local water Communities, Ecuador: An Assessment of the Soils’ authority and employed within other research and Nutrient Status. In Rhoades, R. (ed.) SANREM- development projects in the area, e.g. the study of Andes Phase II Synthesis Monograph. water quantity in irrigation systems and of the construction of potable water systems in mountain Zehetner, F., and W. Miller. 2004. In Press. Shaping communities. The hydrologic monitoring with the an Andean landscape: Volcanism and Topography, automated equipment installed and calibrated as Climate and Hydrology, Soils and Agriculture in the part of this activity will be continued by UNOR- Cotacachi Area, Northern Ecuador. In Rhoades, R. CAC, the local indigenous organization, in collabo- (ed.) SANREM-Andes Phase II Synthesis ration with Nicolas Gomez, a key member of the Monograph. local water authority, and Xavier Zapata Rios, who has served as on-site coordinator for SANREM- Zehetner, F., W. Miller, and X. Zapata Rios. 2004. Andes during Year 6. In Press. Plant – Water Relations in an Andean Landscape: Modeling the Effect of Irrigation on Advances in Policy Impacts Upland Crop Production. In Rhoades, R. (ed.) Three articles tailored to a non-technical audience SANREM-Andes Phase II Synthesis Monograph. were prepared in Spanish language and are currently being revised for Dr. Rhoades’s book on SAN- Other Major Outputs REM research in the Ecuadorian Andes. They Conference Paper address soil fertility, water availability, and irriga- Zehetner, F. and W. Miller. 2004. Fertilidad de Los tion, and include model predictions, interpretations Suelos y Productividad de los Cultivos en la Zona and recommendations. Key data from the bio-phys- Andina de Cotacachi. Paper presented at ical resource database (e.g., soil fertility parame- Conference on Sustaining Landscapes and ters, water quality, etc.) and modeling scenarios Livelihoods in the Andes. SANREM Andes were graphically presented and included along with Research Synthesis Conference. Cotacachi, interpretations and recommendations in the SAN- Ecuador. January 2004. REM-Andes toolbook CD, which is intended, among others, for policy makers at the community Zehetner, F. and W. Miller. 2004. Describiendo el and municipal levels. Paisaje Geología, Clima, Suelos y Hidrología en el Area de Cotacachi. Paper presented at Conference Advances in Environment and Natural on Sustaining Landscapes and Livelihoods in the Resource Management Andes. SANREM Andes Research Synthesis The automated stream gauging and hydrologic Conference. Cotacachi, Ecuador. January 2004. modeling conducted as part of this activity is pio- neer work in the Ecuadorian Andes, where little 28 Degree Training Franz Zehetner, Ph.D., 2000 - 2003

Non-Degree Training On the job training Stream gauging, maintenance of rain gauges and stream gauges, data download and processing of hydrologic data was attended by 5 person(s) and lasted 270 day(s).

29 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) AND_7

Watershed Development in Ecuador: Economic Principal Analysis and Policy Dialogue Investigator Douglas Southgate ABSTRACT completed by the middle of May. This Demonstration of the value of watershed sample will be combined with the 80- management and assessment of the cap- household sample that co-PI Rodriguez Co-Principal ture of this value has been undertaken in interviewed for his doctorate, which was completed in June 2003. Findings con- Investigator two places. One is Cotacachi, where pre- Fabian Rodriguez vious research indicates that households’ tained in Rodriguez' dissertation were willingness-to-pay for water supplies that also reported at the July 2003 Annual clean and reliable exceeds existing water Meeting the Latin American Association tariffs. The other setting for research has of Environmental and Resource been the drainage basin containing Economists, which took place in Ecuador’s national capital, where poor Cartagena, as well as in the research brief watershed management may lead to inter- that was placed on the SANREM website basin water transfers requiring a capital in November 2003. The same findings expenditure of more than $1.5 billion. served as the basis for a presentation at Although dissemination of research find- the SANREM Synthesis Conference in ings was limited during Year 6, we antic- January 2004, which was held in ipate that our study will show that water- Cotacachi; this presentation will be shed conservation combined with intra- included in the conference proceedings, basin transfers (which would depend on which are being published in Ecuador. policy changes) would be the cheapest Finally, data collected from the combined way to supply Quito with water. sample of 280 households are currently being used in linear-programming (LP) OBJECTIVE 1 and contingent-valuation (CV) analyses To demonstrate the economic value of of water values. This research will be improved watershed management in reported in a manuscript to be submitted Cotacachi and to identify changes in pric- to a refereed journal by September 2004. ing and other policies required for improved local capture of this value. OBJECTIVE 2 To demonstrate the economic value of Achievements improved watershed management in the Household surveying began in Cotacachi drainage basin where Quito is located and on 15 March 2004 - in cooperation with to identify changes in pricing and other SANREM-Andes's local counterpart, the policies required for improved capture of Union de Indigenas y Campesinos de this value within the drainage basin. Cotacachi (UNORCAC), which supplied Closely related to the three core hypothe- enumerators. By April 15th, representa- ses is a series of research questions. tives of 200 households had been interviewed, and tabulation of all data was

30 Achievements access to resources is a critical part of a rural house- Consultation with environmental groups, Quito's hold's livelihood strategy, and therefore given up municipal water company, and other stakeholders only if sizable compensation is offered. led us to the conclusion that the best setting for an Observations along these lines about the size of economic analysis addressing conflicts over water WTA as well as implications for conservation initia- resource development would be a pair of communi- tives will be useful to development practitioners as ties in the eastern part of the watershed - Cangahua well as interesting to the academic community. and Oyacachi. Surveying of 200 households in the former community occurred during the second half Advances in Capacity Building of March 2004, with a questionnaire very similar to In addition to resulting from Rodriguez's daily the instrument used in Cotacachi. Analysis of the interaction with colleagues at Fundacion Antisana, data collected in Cangahua was completed in late capacity building has taken place thanks to (1) a April. The most significant finding is that house- seminar that Southgate (the PI) gave in USAID on holds' willingness-to-accept (WTA) compensation 10 December 2003, which was attended by repre- in return for changing or abandoning agricultural sentatives of various environmental groups; (2) activities in upper watersheds is sizable, relative to Rodriguez's talk at the SANREM regional work- the value of commodities produced thanks to these shop, on January, 15, 2004; and (3) presentations by activities as well as to household income. WTA esti- both individuals during the seminar on May, 7, mates were presented at a seminar organized on 2004 organized by Fundacion Antisana. May, 7, 2004 by Fundacion Antisana, the host- country counterpart for this activity, where Advances in Scaling Up Rodriguez currently works. A journal manuscript The success with which this activity has scaled up about the reasons for sizable WTA and implications from SANREM-Andes' site in Cotacachi is indicat- for watershed conservation initiatives will be sub- ed by the dialogue over the economics of watershed mitted by September 2004. Due to Oyacachi's management that now exists among: (1) Southgate; remote location and deficient telecommunications (2) Rodriguez and his colleagues at Fundacion links, surveying of 40 families (out of approximate- Antisana; (3) Quito's municipal government and the ly 100 that live there) was not completed until early water company, EMAAP-Q; (4) environmental May. Data collected there will be tabulated and organizations; (5) local communities; and (6) merged with the Cangahua set by the end of May. USAID, the Inter-American Development Bank, and other development agencies. One indicator of Advances in Research this dialogue is the memorandum of agreement that Contingent valuation (CV) has been used on a num- is currently being negotiated between Ohio State ber of occasions to estimate the willingness-to-pay University (OSU), where Southgate is a professor, (WTP) of rural households in poor countries for and EMAAP-Q, through the good offices of water supplies that are cleaner, more reliable, or Fundacion Antisana. both. Much rarer have been CV studies that address the same households' willingness-to-accept (WTA) Advances in Policy Impacts compensation to cut back on use of fragile The memorandum between OSU and EMAAP-Q is resources, as would be the case to improve water a good indicator that this activity, which started dur- supplies at lower elevations for example. The high ing the second half of 2003, will have impacts long WTA levels we are observing in the after the end of Year 6 on public policy governing Cangahua/Oyacachi site reflect two things about the development of water resources near Quito and impoverished populations in fragile environments. in other parts of Ecuador. Specific evidence of the First, their incomes are highly variable, subject to size of WTA is of great importance for the design of market and environmental shocks. Second, their conservation initiatives. ability to cope with income variability is limited by institutional rigidities and policy-induced distor- tions of various sorts. Under these circumstances,

31 Advances in Environment and Natural Resource Management Along with demonstrating that tariffs understate rural households' WTP for water (and therefore the value of watershed conservation), this project the very high value of natural resource access to rural households. Conservation initiatives need to take this value into account.

Major Outputs Conference Paper Rodriguez, F. 2004. Decisiones Locales Para el Maneojo de Cuencas. Paper presented at Conference on Sustaining Landscapes and Livelihoods in the Andes. SANREM Andes Research Synthesis Conference. Cotacachi, Ecuador. January 2004.

Rodriguez, F. and D. Southgate. 2003. Local Resolution of Watershed Management Trade-Offs: The Case of Cotacachi, Ecuador. Paper presented at Primer Congreso Latinoamericano de Economistas Ambientales y de Recursos Naturales. Cartagena de Indias. July 9-11, 2003.

Rodriguez, F. and D. Southgate. 2004. The Value of Water and the Benefits of Watershed Management - The Case of Cotacachi, Ecuador. Paper presented at Conference on Sustaining Landscapes and Livelihoods in the Andes. SANREM Andes Research Synthesis Conference. Cotacachi, Ecuador. January 2004.

32 SANREM DecisionSupportSystems

SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) DSS_1

Management, Synthesis, and Integration of the Principal Decision Support System Methods and Products Investigator Neville Clarke ABSTRACT organizations headquartered in Nairobi. This activity documents the provision of The Kenya Agricultural Research technical and scientific leadership for the Institute (KARI) established an institu- Co-Principal DSS project. It involves developing and tional home for the decision support sys- Investigator maintaining linkages across the activities tem staffed by scientists trained at Texas in year six and the synthesis of the results A&M. Linkages are being explored with Jerry Stuth of the total six-year effort of the DSS ILRI in a three way collaboration to add across all activities It helps ensure a animal disease and production capability Tanveer Butt coherent description of the methods and on a regional basis and to use the method- Jay Angerer their applications. The activity provides ology in the US for homeland security applications. KARI will request funds administrative and fiscal management of Jeffrey Vitale the DSS project and ensures ongoing from several of its donors, with DSS help, communication with the ME and spon- to provide ongoing application of the sys- Robert Kaitho sors. tem. A web-based approach is in place to provide to direct potential users to the rel- Bruce McCarl OBJECTIVE 1 evant models and databases and the relat- Paul Dyke Facilitate and provide technical and sci- ed publications that bring the overall six- year results into an overall context. entific leadership for the interrelation- Alpha Kergna ships between the other activities under the DSS. OBJECTIVE 2 Provide administrative and fiscal man- Achievements agement of the project. A training workshop for 14 Malian scientists and analysts was completed provid- Achievements ing level one capacity for use of the DSS. The stated objectives of this project have The Rift Valley study in Kenya was the been achieved, although some changes in subject of a 40 person workshop in the training aspect were made to reflect August 2003 aimed at final coordination the redirection of efforts from West to of results and analysis with Kenya part- East Africa. This was due to the fact that ners and reporting results and creating CILSS failed to acquire funding to use the new awareness for the DSS with senior DSS in their strategic planning, as decision makers. A final workshop was planned. The reports called for in the pub- held in Nairobi on May 4, 2004 to present lication plan for the project have been the results of Year 6 studies to a group of completed and documents placed on the 23 colleagues and senior officials of the Texas A&M Center for Natural Resource Government of Kenya and to regional Information Technology website. This international research and development has also been linked to the SANREM and FAO websites and the models and data-

35 bases resulting from the project over the course of explicit watershed studies on NRM management SANREM Phase II have been made available to provided policy makers with explicit information developing country partners. on options to sustainably increase food production in the future. Throughout SANREM Phase II, this Advances in Research project has maintained ongoing engagement with This activity aimed to ensure the integration of policy and decision makers in planning and evalua- products among the various components of the tion of results. This has enhanced the acceptance project and the establishmment of linkages occur and future utility of the research outcomes. with users and with other collaborators. Advances in Environment and Natural Advances in Capacity Building Resource Management Through integration of research products across the The overall goal of this project is to provide deci- project into more coherent packages, the overall sion makers with tools that allow them to make utility of the DSS by our national and international more informed decisions on policy and technology partners is greatly enhanced. This helps ensure the alternatives in matters affecting livelihood, environ- viability of the project through an informed set of ment and NRM. The aggregate DSS products pro- analysts capable to use the system and decision vide decision makers in East and West Africa with makers interested in using the products of future new analytic models, whose application addresses analyses. Workshops, completed in Year 6 provided key issues relative to sustainable production and capacity for national partners and decision makers food security. The studies in Year 6 have drawn to make use of the DSS on completion of SANREM together the outcomes from the previous five years Phase II. into a set of findings and principles that have global implications. Advances in Scaling Up The inherent structure of the DSS development is Major Outputs oriented around scaling upward and outward and developing ways of linking economic analysis Degree Training along politically defined boundaries with biophysi- Tanveer Butt, Ph.D., 2000 - 2003 cal analysis defined along geographically explicit Jay Angerer, Ph.D., 2000 - 2004 regions that transcend political boundaries. Farm, Kristen Zander, M.S., 2000 - 2004 sub-national, and national levels of scale are integrated in the Rift Valley Study that was the subject Non-Degree Training of the August 2003 workshop in Nairobi. Climate Workshop change studies compared multi-national and trans- Modeling was attended by 22 person(s) and lasted 1 regional predictions of effects wiht various options day(s). and methods for mitigation. The fundamental capabilities of the DSS have been proposed to USDA Use of DSS was attended by 14 person(s) and last- and DHS (Department of Homeland Security). ed 2 day(s).

Advances in Policy Impacts Final coordination of results and analysis; DSS The statement of intent by KARI to institutionalize awareness was attended by 40 person(s) and lasted the DSS and use it as a tool for ongoing policy 2 day(s). analysis, and the linkages with decision makers in the new government of Kenya offer encouraging evidence that there will be ongoing use of the DSS at the end of SANREM Phase II. This is helping to meet its intended use as a tool for policy and decision makers at varying levels of scale. Year 6 studies of climate change effects across Africa and 36 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) DSS-_2

Assessment of Factors Affecting Short and Long Term Principal Agricultural Productivity and Sustainable Use of Investigator Jeffrey Vitale Natural Resources ABSTRACT prone to environmental degradation Applying a newly developed web-based account for only about 15 percent of the Co-Principal method for simplifying the application of total food production in Kenya, as com- Investigator the decision support system, our modeling pared to a much higher percentage, 28 Jay Angerer results showed that yield productivity for percent, in Mali. In response to requests both baseline and new technologies will from our East and West Africa collabora- Jerry Stuth be much better maintained in the Rift tors, the web-based user interface applied Alpha Kergna Valley than in Sikasso. Yields for the to these studies was constructed to allow policy makers easier access to the DSS. major food crops in the Rift Valley, maize Robert Kaitho and wheat, will decline annually by 0.12 Results of our crop and environmental and 0.18 percent over the next 50 years; in simulations were summarized into a series Sikasso, maize and sorghum yields will of meta-equations that were subsequently decline much faster at rates of 0.24 and coded into a web-based application: 0.29 percent. Even though the potential (http://cnrit.tamu.edu/africacrops). for erosion is greater in the Rift Valley, with its higher rainfall and steeper slopes, OBJECTIVE 1 soil profiles are much deeper and of sig- Extend the product of DSS Year 5 by nificantly higher quality and are better developing further syntheses of the mod- able to regenerate losses in their upper els and databases in the DSS for Kenya layer than the thinner and less fertile lat- and Mali maintaining the overall spatially eritic soils found in Sikasso. Organic mat- explicit framework. Previously developed ter losses were found to be the most sig- meta-functions to describe results of bio- nificant long-term environmental conse- physical analyses will be extended to quence affecting farmers in both the Rift more comprehensively access and use the Valley and Sikasso, but the effects were existing DSS data. This will (a) allow much more severe in Sikasso. Outside of more rapid and broader assessment of the the Rift Valley and Sikasso study sites relative importance of various constraints showed qualitatively similar losses of pro- to meeting current and future food securi- ductivity over the long-term. Sorghum ty demands and (b) provide a readily and millet yields would decline annually accessible approach to assessing the rela- by about 0.31 and 0.36 percent in Kenya tive merits of alternative policies and and about the same, 0.29 and 0.35 percent, technologies that could be applied to over- in Mali. When the environmental analysis come these constraints to meet future was scaled-up to the national level, cluster demands that lead to reducing poverty and analysis found that from a strategic per- improving food security while making spective Kenya’s food production is less prudent use of natural resources. vulnerable than Mali’s. The areas most

37 Achievements attributable to these three environmental factors Through our workshops in Mali and Kenya, a set of (loss in organic matter, erosion, and nitrate runoff). key biophysical factors and environmental indicators related to increasing farm incomes and enhanc- Results were generated throughout Mali and Kenya ing food security were identified. These included using the range of farming systems that were found the quantity of organic matter (i.e. carbon) in the during the rapid and intensive surveys in SANREM soil, the supply of available macronutrients (NPK) II and further refined during recent training work- for the plant through applied/in-situ sources, water shops in Mali and Kenya. For example, in Kenya it and nitrate runoff, soil erosion, germplasm, and cli- was found that the major food crops (maize and matic factors (see DSS_3). Given the importance of wheat) would be most adversely affected over the soil organic matter, the crop model results were long-term by cumulative losses in soil organic mat- updated for both Mali and Kenya using a new ver- ter. This would result in an average annual loss of sion of EPIC called EPIC 3060 that contains an about $35 per hectare for maize farmers and about enhanced carbon-tracking module. Dynamics of $25 per hectare for wheat farmers. Given the wide decomposition and pooling of soil humus and other range of agro-ecological zones and production sys- carbon related attributes is more effectively repre- tems, GIS mappings and associated HTML sented in EPIC 3060. Imagemaps provided the best method for displaying the results of the meta-equations and CDA, allow- The meta-equation analysis that was begun in SAN- ing users to assess the spatial variability within the REM Phase II (Years 4 and 5) was restructured and DSS User Interface (see Objective 2). In Kenya, the enhanced through the development of a broader set areas with the highest levels of long-term degrada- of meta-equations that individually tracks the time tion are those located around the lower slopes of varying responses of the key biophysical factors (as Mount Kenya and the Aberdarees Mountains. In the identified by our Malian and Kenyan counterparts) cross-cutting analysis, the long-term degradation and crop yields. After considering various regres- costs have been presented in a table that includes sion techniques, ordinary least-squares (OLS) using both the East and West African sites. The results second and third order polynomials provided the indicate that the long-term degradation costs for the best fit for the meta-equations. Soil-specific vari- cotton-based farming systems in Mali would be, on ables were best handled using separate equations average, about three times that ($145 per hectare) of for each soil type. The results of the meta-equations either wheat ($58 per hectare) or maize ($63 per were considered to be good for both the Mali and hectare) based farming systems of the Kenyan Rift Kenya cases. The crop yield meta-equations were Valley. able to explain, on average, 65 percent (R-squared = 0.65) of the crop yields using rainfall, applied fer- OBJECTIVE 2 tilization, temperature, and soil specific properties. Develop a simple and versatile interface between Additional meta-equations were developed for the current DSS models and databases and the changes in soil organic matter, soil nitrate levels, needs of analysts in developing countries that apply soil erosion, crop available water, and nitrate the system. runoff. These equations generally had excellent explanatory power, with R-squared values that Achievements ranged from .7 (nitrate runoff) to .95 (changes in A simple planning interface to the DSS was devel- soil organic matter). To provide policy makers with oped for both Mali and Kenya to assess the out- a comprehensive view of the long-term environ- comes of specific scenarios that (1) identify the mental consequences, the meta-equations were most critical constraints to food security in the short used to assess the combined, long-term effects of and long term and (2) assess the consequences of soil erosion, loss in soil organic matter, and nitrate various policy and new technology options on food runoff on future farm profits. A technique known as security. An analytical engine was developed using Cumulative Degradation Analysis (CDA) was used a variety of JAVAenhanced scripts that assesses the to quantify the average annual loss in farm profits constraints imposed on crop productivity and food

38 security by each of the key biophysical factors R-squared values ranging between .51 (maize) and analyzed in Objective 1. JAVAwas selected so that .73 (sorghum.) In Kenya it was found that many the DSS planning tool could be used in web-based high rainfall areas were able to withstand soil ero- environments to maximize the potential user base; sion due to their deeper profiles and a greater abil- moreover the HTML format is considered as easi- ity to regenerate organic matter, particularly with ly accessed by users with limited computer skills the new maize and wheat varieties. Yields for the and allows users to access the interface in a con- major food crops in the Rift Valley, maize and venient and intuitive point-and-click manner. wheat, would decline annually by 0.12 and 0.18 percent over the next 50 years. In Sikasso, the rel- Our final design of the DSS User Interface is pri- atively high amount of rainfall that falls during the marily focused on the crop meta-equations and early growing season makes this region much their associated equations that detail how each of more susceptible to yield losses from erosion, par- the critical biophysical factors change over time ticularly since the lateritic soils have much less (see Objective 1). This approach allows users to ability to regenerate and maintain an adequate assess crop productivity for baseline and new tech- upper topsoil layer. In Sikasso, hence, maize and nologies in the short and long-term at user-select- sorghum yields would decline at higher annual ed sites in Mali and Kenya (the legacy databases, rates, 0.24 and 0.29 percent, than the Rift Valley. including our biophysical and survey data, are ref- In the drier areas of Kenya outside of the Rift erenced to the CNRIT website where interested Valley the results were similar to the areas in Mali users are able to acquire the data). Users navigate outside of Sikasso. In both cases the loss in soil through the interface guided by a variety of menus. organic matter contributed most significantly to The initial menu guides users to their country of the decline in yield productivity. Sorghum and mil- interest, Mali or Kenya, which then takes the user let yields would fall annually by about 0.31 and to a new screen that contains an HTML Imagemap 0.36 percent in Kenya and about the same, 0.29 of their selected country. This Imagemap contains and 0.35 percent, in Mali. The website is located at the spatially explicit representation that was used http://cnrit.tamu.edu/africacrops. in the TAMU spatial framework and allows users to access results at the highest resolution used in OBJECTIVE 3 our analysis (i.e. the simulation zone.) Users are Conduct a preliminary assessment of requirements prompted to select their region of interest through for extending this concept to a cross-regional a “mouse-click,” which then carries them through analysis capability to linking West and East Africa successive menus that allow them to view (graph- models and databases. ically and in tabular format): (1) crop yields in the short and long-term; (2) impacts of new Achievements germplasm on crop yields in the short and long- As stated under (Objective 1, the meta-analysis term, (3) impacts of higher fertilization on crop was developed in a general enough manner to yields in the short and long-term, (4) changes in allow results to be extrapolated to regions outside biophysical factors and environmental indicators of our case-study areas in Mali and Kenya. The over the long-term (organic matter, erosion, nitrate meta-equations, in particular, have purposely been runoff, and soil nitrate levels), and (5) rainfall. To structured so that they do not contain any “hard- provide greater flexibility, users are able to save coded” references to our sites in Mali or Kenya, the tables into text files for their own offline uses. allowing for parallel transfers to any point where In addition to developing the interface, multivari- the required data is available. During the recent ate regression models were developed to explain Symposium held in Nairobi in May 2004, we were long-term yield declines in terms of spatially able to acquire, through individual engagements dependent factors such as climate, geography, and with our East African counterparts, their insights soils. Results for the major food crops showed that into the practical considerations of extending the slope, soil depth, mean rainfall, and clay content analysis into a neighboring country such as were significant factors (at 90% confidence) with Uganda, Tanzania, Ethiopia, or Rwanda. Their

39 concerns for extrapolating results were similar to In Mali, our collaborators and workshop trainees our earlier experiences in extrapolating crop yields: will be able to access the results of the Mali meta- sites must be limited to areas that share a reasonable equation research via the web-based DSS User level of geographical similarity and for which the Interface. The Mali workshop conducted in Year 6 data is available. The bulk of our Year 6 efforts in laid the foundations for assessing the interface and the area of regional extrapolation were reflected in how trainees could utilize it in their research. Two the two climate change studies (see DSS 3). interdisciplinary teams of researchers, who work Interested DSS users can access the CNRIT website for key policy and technology institutions in Mali to view our regional extrapolation research from: and Kenya, were jointly trained on the DSS. These (1) the earlier studies that extrapolated crop yields teams were designed to assist the host country insti- from out Kenyan and Malian study sites into neigh- tutions in conceptualizing and formulating analyses boring countries in East and West Africa, (2) small on strategies to enhance food security through more holder dairy technology in Kenya extrapolated to effective use of agricultural technology and better Uganda and Tanzania, and (2) the recent climate management of the natural resource base using the change studies that provide results for neighboring DSS. The August 2003 workshops in East and West countries of Uganda and Senegal in East and West Africa have advanced SANREM DSS’s commit- Africa, respectively. ment to augment the human capacity of our collaborating institutions through further intensive train- Advances in Research ing on the methods and applications of the DSS. The meta-equations further strengthened the links On-going training efforts are aimed at transferring among the various elements of the SANREM DSS, the simple DSS user interface, which will better and have enhanced the DSS capacity to allow users facilitate the institutionalization of the more com- to explore the environmental consequences of poli- plex suite of DSS tools and data developed in the cy and technology options. Through providing earlier years of the SANREM DSS project. users access to the meta-equations through the DSS User Interface, a more complete description of the Advances in Scaling Up key factors that are linked to maintaining agricul- The issue of scaling is an explicit part of the SAN- tural productivity over the short and long terms is REM DSS. Analysts using the DSS have the capac- obtained. This provides a more approachable portal ity to assess the impacts of policy alternatives on for the complex set of analyses that were developed food security and other criteria at varying levels of by SANREM DSS in SANREM Phase II. Through scale that include the farm, provincial, and national its web-based design, there is potential to reach a levels. The advances made in Year 6 through the user base that extends beyond our East and West development of the meta-equations allow for more African collaborators and the close-out of the SAN- accurate extrapolations and scaling through REM program. increased generalization of our biophysical modeling output. The natural extension of this research is Advances in Capacity Building to utilize spatial techniques and methods to extrap- In Kenya, a four-person team has been established olate these results and findings from site-specific at the Kenya Agricultural Research Institute. This research to other locations using the concept of geo- follows from the August 2003 Workshop in Kenya, graphic equivalence. The development of the DSS where a selct group of KARI scientists went User Interface provides the first step in addressing through intensive training on the methods and scaling issues by policy analysts through providing applications of the DSS. One of the objectives of more convenient access to the DSS. this four-person team is to continue with the meta- equation analysis and to institute new studies to suit Advances in Policy Impacts the changing needs of KARI. This team will also The DSS User Interface was designed as a simple serve as a conduit within KARI to disseminate the tool to assist policy analysts in exploring the DSS User Interface in an effort to expose a greater impacts of various technology options on crop pro- number of scientists to the capabilities of the DSS. ductivity and food security in a systematic and inte-

40 grated manner. The East and West Africa case stud- depletion on farm profits: Case studies from Kenya ies that were conducted in SANREM Phase II form and Mali. Submitted to Agricultural Systems. the basis of the policy options included in the DSS User Interface, as they were the ones selected as most relevant by our KARI and IER counterparts. Through the 2003 East and West Africa workshops and 2004 Symposium in Nairobi, the process of transferring the DSS and its supporting user interface was advanced to increase the ownership of the DSS on behalf of our East and West African collaborating institutions. The East and West Africa research efforts have been linked in a cross-cutting matrix that assesses and synthesizes how policies compare across East and West Africa.

Advances in Environment and Natural Resource Management The DSS User Interface provides policy analysts with a balanced and linked picture of various economic, environmental, and biophysical criteria. The project's recent enhancement of the meta-equation analysis provides a clearer and more detailed view of the key factors linked to enhancing food security through maintaining yield productivity over time. This provides opportunities to assess various policy alternatives and the corresponding trade-offs between enhancing food security and prudent use of the natural resource base, in the short and long terms, across a broadly defined and scalable path- way of impacts. With the DSS packaged into this user-friendly environment, policy analysts have access to more complete and integrated analyses that includes the capacity to evaluate cross-cutting issues (that have emerged from the East and West Africa studies) in the improvement of food security.

Major Outputs Working Paper Vitale, J. and D. Bessler. 2004. Price discovery in and around the Sahel: A Malian case study. Submitted to World Development.

Vitale, J., J. Angerer and J. Stuth. 2004. Crop and livestock intensification issues in Southern Mali: A GIS based integrated modeling approach. Submitted to Agricultural Economics.

Vitale, J., P. Dyke and J. Angerer. 2004. The long term effects of soil erosion and organic matter

41 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) DSS_3

Synthesis of Climate Change Impact Across Africa Principal Investigator ABSTRACT in the SWAN database for Kenya and Tanveer Butt Following concern about climate change Senegal. The Kenyan study also included impacts on food security in developing the impact on livestock. In order to pro- countries, the DSS was used to assess vide biophysical models with the project- food security implications of climate ed changes in climate, the WXGEN Co-Principal change in Kenya, Mali, Uganda, and weather generator coefficients for the Investigator Senegal. The study used climate change region were splined using the AUSPLIN Bruce McCarl projections for these countries made by technique and an automated procedure Paul Dyke two of the Global Circulation Models was developed to modify the generator coefficients to reflect the projected (GCM) for the year 2030. The GCM pro- Jay Angerer jections show that these countries may changes in rainfall and temperature for a face a hotter and drier future conditions in georeferenced point. This allowed cli- Jerry Stuth general, thereby leading to a loss in agri- mate change scenarios to be spatially- cultural production with adverse econom- explicit, thus allowing biophysical simu- ic and food security implications. The lations for each of the climate change sce- challenge will be to develop a new set of narios to be conducted at the geographic germplasm that is more suitable for the scale dictated by the ASM model (agroe- changing conditions and establish cological zones in Kenya and districts in improved farming practices to accompa- Senegal). Databases were developed for ny the change in germplasm. Implications crop varieties and forage species parame- were also noted on potential shifts in ters that would be impacted by climate human populations from the current change. This allows for a more robust regions of high productivity to rangeland examination of the impacts as plants are areas where conditions are expected to impacted differently by climate change. improve. The Kenyan climate change yield responses were imbedded into the IAG OBJECTIVE 1 economic model. Complete the suite of IAG impact studies synthesizing data from Uganda and OBJECTIVE 2 Senegal along methodological lines Synthesize climate change impact results developed in earlier IAG climate change across five countries to identify agro-eco- impact studies in Mali, Kenya, and logical factors of high vulnerability and U.S.A. identify effective adaptations to reduce vulnerability. Achievements Climate change projections made by Achievements Canadian Global Circulation Model Climate change impact assessments done (CGCM) and Hadley Global Circulation for African countries show that they are Models (HADCM) were compiled for use vulnerable to climate change. Their vul-

42 nerability is based on two factors including the lim- Achievements ited availability of mitigative options and harsher The results of climate change impact study show climate change projections. that production of cereals may decline by 13 percent in Kenyan and 10 percent in Senegal. For potential mitigative strategies, we considered Consequently, prices and import of cereals may crop mix alterations, trade adaptations, improved increase. In Kenya, cereal imports may increase by technology adoption, and heat resistant varieties. 20 percent with a 77 percent increase in cereal We found that these adaptations did reduce climate prices. On rangelands, forage yields show an over- change impact. At the same time, there are other all decline of 14 percent. In Senegal, imports rise by mitigative strategies that are simply not available to 15 percent with a 47 percent increase in cereal producers in the African countries we studied. For prices. Such changes reflect the weakening domes- example, one of the adaptations found effective in tic food security conditions as the dependence on the US was changes in dates of planting and har- imports may be increasing. We also considered a vesting operations. However, this option was not number of adaptations to mitigate climate change available in countries like Mali and Senegal where impacts. We found that developing heat resistant scheduling of farming operations are dictated by varieties, opening up imports, and promoting the rainfall. Similarly, higher input application as a mit- adoption of improved cultivars may help reduce igative strategy may not be financially feasible for adverse climate change impacts. smallholders in these countries. Results from the Kenyan study, as well as from Year The second climate change vulnerability factor for 4 study in Mali, show that a wider adoption of exist- these African countries is that the climate change ing improved cultivars would be important in projections for African countries are harsh; the improving the worsening food security conditions. future is projected to be hotter and drier. For exam- Investing resources for the wider adoption of ple, 19 out of 20 climate change projections made improved cultivars is, therefore, advisable. We also for various agricultural areas in Mali by two GCMs find that the adoption of heat resistant varieties show a decrease in rainfall and an increase in tem- have a high pay-off for mitigating the climate perature. In contrast, the US study suggests that change impact. As developing heat resistant vari- agriculture may benefit from a mild warming (for eties take a considerably long time (10 to 15 years), example, cold northern state may have more frost it is important to focus efforts towards this end early free days) and an increase in precipitation in vari- on. Technology adoption also provides important ous US agricultural areas. gains in terms of reducing the negative impact of climate change both in East and West Africa. We Key policy recommendations stemming from cli- found that adoption of improved technology mate change impacts on the African countries we reduces the risk of hunger due to climate change studied point to the importance of: 1) investing in from 62 percent to 43 percent in Mali and from 63 heat-resistant varieties; 2) opening trade for percent to 47 percent in Kenya. In rangeland, we improving food security conditions in a post-cli- considered improvements in forage technology that mate change era; 3) improving extension services might be needed to maintain current level of forage for promoting the use of improved technology; and yields. The value of overall mitigating strategies in 4) developing the physical transport infrastructure Mali was close to $1.7 billion, while in Kenya it to handle larger volume of grain shipments from was $2 billion. outside the country and across surplus and deficit regions within the country . To disseminate the results of DSS climate change studies, a Symposium was held in Nairobi, Kenya OBJECTIVE 3 on May 4, 2004. The symposium participants Develop options for mitigation and their conse- included Kenyan government officials, national quences for national and international decision- agricultural researchers, and representatives of makers in anticipation of climate change. regional research institutions and various donor agencies. 43 To consolidate the findings from the DSS applicable or resilient to climate change. A separate study tions of climate change impacts (for Kenya on this is available on CNRIT web site. research), a research paper has been submitted to (and has been accepted by) the Journal of Climate Advances in Capacity Building Change. The databases on the CNRIT web site provide an easy access to results of economic and biophysical Advances in Research models. These databases are an important source of Data Sets: under the climate change activity, cli- decision making and future planning by African mate change projections for the entire globe have countries. Results of the study, as well as the study been compiled and linked with GIS. This allows the methodologies, are being published to make them capability not only to obtain GCM projection for available for educational use and decision making any country/region of the world but also to map by (see DSS 5). country/region for ease of analysis.

Networks created: results of the study have been Advances in Scaling Up presented to Kenyan policy makers as well as to The comparison of results of predicted climate various donor agencies working in Kenya. This was change in four African nations - both East and West achieved through a Symposium held in Nairobi, Africa - involving a highly diverse set of geograph- Kenya in May, 2004. The methods and results were ical and cultural conditions demonstrates the utility appreciated by the symposium participants and of the DSS to scaling from local to multinational helped IAG to form new network for research and levels. The general conclusions from diverse implementation of recommendations of the climate assessments provide useful insights into strategic change studies. planning for donors and for regional and multinational organizations dealing with climate change. New research methodologies and analytical tools developed: in order to provide biophysical models with the projected changes in climate, the WXGEN Advances in Policy Impacts weather generator coefficients for the region were The decision makers were informed of the vulnera- splined using the AUSPLIN technique and an auto- bility of African countries to climate change, partic- mated procedure was developed to modify the gen- ularly the increase in risk of hunger due to a fall in erator coefficients to reflect the projected changes cereal production. Decision makers’ attention was in rainfall and temperature for a georeferenced drawn to the possibility of increased cereal import point. This allowed climate change scenarios to be requiring adequate financial resources to meet the spatially-explicit, thus enabling biophysical model import needs as well the physical infrastructure to simulations for each of the climate change scenar- handle larger volume of imports. A paper is being ios to be conducted at the geographic scale dictated published (for Mali research) in the Journal of by the ASM model (agroecological zones in Kenya Climate Change, informing a wider audience that and districts). A paper on the methodology has been includes researchers and policy makers on the submitted for presentation to the African impacts of climate change on food security and the Association of Remote Sensing of the Environment potential mitigating adaptations that can help devel- conference in Nairobi Kenya in October, 2004. oping countries to cope with such impacts. The CNRIT study on climate change impacts is sched- Cross-cutting / cross-regional anaysis: the database uled to be presented at the SANREM generated from the climate change studies in Kenya Accomplishment Dissemination workshop in June and Mali is important for cross-cutting / cross- 2004. regional analysis. The two areas have similarities as well as marked differences, which provide a basis Advances in Environment and Natural for identifying features that make a region vulnera- Resource Management

44 The study is an estimate of how climate change Climate Change Impact Studies. Submitted to would impact farmlands and grazinglands in year African Association of Remote Sensing of the 2030. Our studies show a loss in overall farmland Environment Conference. Nairobi, Kenya. October productivity as reflected in a loss of crop yield. The 18-21, 2004. losses ranged from less than 5 percent to over 30 percent. Rangelands generally had decreased pro- ductions throughout Kenya and improvements in forage technology or mitigation of rangeland degradation will be needed to maintain current yields. We find that livelihood might get even more con- strained in Central, Nyanza and Eastern regions of Kenya, and most regions in Mali as climate conditions for both countries are predicted to become drier and hotter.

By providing these estimates and mitigative options to policy makers, adaptive strategies may be enact- ed to the benefit of rural and urban populations in developing countries.

Publications Book Chapters Schneider, U. and B. McCarl. 2003. Greenhouse Gas Mitigation Through Energy Crops in the U.S. with Implications for Asian-Pacific Countries. In Chang, C., D. Shaw and R. Mendelsohn (eds.) Global Warming and the Asian Pacific. Edward Elgar Publishing, UK.

Journal Articles Butt, T., M. Kim, B. McCarl, J. Angerer, P. Dyke, R. Kaitho and J. Stuth. 2004. In Press. Climate change impact assessment - A synthesis of economic and biophysical impacts. Journal of Climate Change.

McCarl, B., T. Butt and M. Kim. 2004. In Press. The cost of carbon sequestration. The Journal of Applied Agricultural Economics.

Schneider, U. and B. McCarl. 2003. Economic potential of biomass based fuels for greenhouse gas emission mitigation. Environmental and Resource Economics. 24(4): 291-312.

Other Major Outputs Conference Paper Angerer, J., P. Dyke, J. Stuth, and T. Butt. 2004. Use of Splined Weather Generator Coefficients to Derive Spatially Explicit Climate Data for Use in

45 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) DSS_4

Impacts of Emerging Reforestation Policy and Principal Investigator Agro-Forestry Technology on the Environment and Robert Kaitho Food Security in the Upper Tana River Basin of Kenya ABSTRACT percent with less inter-annual variability, The Upper Tana River Basin and the resulting in greater stability of water lev- Co-Principal string of dams below Masinga Dam is els in the reservoir. Replacement of tea Investigator strategically one of the most critical plantations by reforestation did not result Jerry Stuth resource areas of Kenya, providing water in hydrologic benefits. Deforestation Jay Angerer and hydroelectric power for 65 percent of would allow the government to pursue reduction of lake water levels to stabilize the needs of the Nation. Unregulated Paul Dyke deforestation and expansion of cultiva- fluctuation in vegetation, thicken the epil- tion practices onto marginal soils in this imnion with greater nutrient mixing, and Raghavan critical river basin has resulted in signifi- greater downstream delivery of more sta- Srinivasan cant reservoir siltation, reduced ecosys- ble water flows and coastal nutrient load- tem function of the reservoir and more ing. Priority subbasins were identified for Jeffrey Vitale erratic downstream flows. Using a partic- reforestation based on costs of dam sedi- ipatory process, collaborating technical ment management relative to sediment Tanveer Butt policy analysts working for key govern- yields to allow decision makers to ment institutions in Kenya identified the sequence reforestation efforts. need to assess the impact of meeting the Recommendations on government national goal of reforestation of 30 per- actions were made for greater enforce- cent of deforested lands with the infusion ment of illegal logging and illicit drug of new agro-forestry technologies and plantations, community based tree nurs- land tenure laws considering population ery and reforestation activities, improved expansion to 2015. Using a rapid rural land tenure laws, greater efforts in soil appraisal methodology, it was determined conservation of croplands, patterning that reforestation below 1850 m would be reforestation to preserve biodiversity and difficult to achieve. Reforestation impacts strategy promotion of tea plantations in on hydrology of the system in elevation key elevational areas. increments of 2000 m, 1950 m, 1900 m and 1850 m revealed that reforestation OBJECTIVE 1 would represent a 30 percent to 55 per- Develop a comprehensive suite of GIS cent increase in reforested area in the data coupled with biophysical and eco- Upper Tana River catchments. Full nomic tools and associated databases that implementation of reforestation to 1850 can be used for future planning needs of m would result in a 7 percent decrease in the Upper Tana River Basin. sediment loading in the Masinga Dam reservoir. Runoff yields would be similar Achievements to baseline conditions but peak annual A comprehensive set of spatial data on flows woud increase approximately 3

46 elevation, soils, land use, weather (ground and ods, exhibiting much greater loading in the high CHARM), stream channels, stream flow, and reser- rainfall years than in the low rainfall years. The voir capacity was acquired and assembled in a grid- baseline analysis served as a basis of establishing ded manner and assigned to hydrologic units to an incremental reforestation policy that was pur- parameterize the SWAT basin hydrology model of sued under Objective 3 of this workplan. the Upper Tana River. Information on crop budgets by major land use category was assembled based on OBJECTIVE 3 rapid rural appraisal and secondary data. After para- Determine the impact of reforestation policy and meterizing the SWAT model, with these input data emerging agro-forestry technology in the Upper the model was calibrated against flow gauges in Tana River Basin at varying levels of adoption on five locations in the watershed. Coefficient of environmental consequences and economic/food Efficiency computations revealed that the corre- security welfare of small holders in the watershed spondence between baseline flow data recorded at and the agricultural sector to meet national goals of each flow station from 1985 to 1995 provided 30% reforestation in the Basin, considering popula- acceptable model performance to superimpose a tion change to 2015. series of reforestation scenarios and discuss potential environmental and economic impacts. Achievements Once the SWAT model parameterization was stable OBJECTIVE 2 against the 1985-1995 flow gauge data for all five Determine the environmental impacts of deforesta- recording stations and our rapid rural appraisal was tion processes and unregulated extensification of completed, the government agencies involved in the farming practices that have occurred during the study felt that an elevation approach would be period from 1975 to 2000 in the Upper Tana River appropriate to determining reforestation patterns in Basin on small holders and watershed integrity. the Upper Tana River. Given that most of the farmers below 1850 m were well established for over 25 Achievements years and the land above 1850 m constituted mar- Most of the land use change in the Tana River basin ginal farming areas with grazing, recent squatters has occurred in the last 15 years as it relates to and illegal logging activities, this elevation would deforestation based on the forest cover data for the represent the maximum extent of expansion of the early years prior to the construction of the Masinga forested areas over the current baseline forest that is Dam that is the first reservior downstream from the mostly above 2000 m. To avoid excessive computa- Upper Tana River Basin. This dam controls a bulk tional demands, we established four expansion ele- of the water flowing into the Tana downstream. vation goals of 2000 m, 1950 m, 1900 m, and 1850 Sedimenttation has accelerated during this 15 year m. Over 1250 km2 would have to be reforested to period due to a combination of expanded farming achieve lowest elevation zone of 1850 m. and deforestation. There are three major catchments in the Upper Tana River basin, Tana being the The major land uses displaced by reforestation largest, Thika the smallest of the three, and Thiba would be grazing lands (41 percent), tea (19 per- the basin with the most sedimentation loss per unit cent), maize (16 percent), coffee (14 percent) and land area. We estimated that approximately 55 per- woodlots (5 percent). Our initial analysis revealed cent of the forest land area has been cut over since that reforestation of the tea plantations was not the formation of the dam, corresponding 1850 m advantageous in terms of reduced sedimentation elevation. Over 47 million tons of sediment has and economic benefits. However, displacement of flowed into the Masinga Dam since 1985 but over- the other land uses resulted in a reduction of 7 per- all runoff has not changed to any appreciable degree cent sediment loading per year. Peak annual inflow with an accumulated inflow of 72 million m3. Peak of water would change from -0.5 percent to +2.4 deposition occurred in April and November, .87 percent per year with less variance when fully refor- million tons and .68 million tons, respectively. ested down to 1850 m. The 1950 m level resulted in These periods corresponded with peak rainfall peri- an elevated loss of sediment and increased runoff

47 due to displacement of existing tea plantations, Advances in Research indicating that the current policy of encouraging tea The Collaborative Historical African Rainfall enterprises is compatible with downstream hydro- Model (CHARM) data from 1961 to 1997 was inte- logic benefits. Of the 60 sub-basins, we recom- grated with the Weather Generator (WxGEN) and mended that those in the Thiba catchment be given World Meteorological Organization (WMO) data to priority for reforestation, followed by the Tana create a georeferenced and gridded (11 x 11 km) catchment. Based on costs of dredging and dis- data set that utilizes an event-correction algorithm placement of cropping, there were several sub- to better match the behavior of rainfall collected by basins where it would no net benefit to displace- the Meteorological Satellite Rainfall Estimator ment of the current users of the land. The current (METEOSAT-RFE). The CHARM data is based on proposal is to lower the level of water in the historical data from WMO and image processing Masinga reservoir to help reduce fluctuations in that allows estimation of rainfall and temperature shoreline vegetation and improve ecosystem func- back to 1961 from a wide variety of data and remote tion of the epilimnion with greater nutrient mixing sensing sources. The data was smoothed to 10-day and cooler temperatures. The reduced depth of the intervals but the application of event correction reservoir would be better supported with a refor- with rainfall generators based on statistically valid estation program given the reduced sedimentation WMO data sets allows the adjustment of the record- in the inlet areas of the reservoir and the slightly ed data to behaviors more normal for the variation elevated flows but less variance in those flows of in rainfall event sizes in the region. This break water into the Masinga Dam ecosystem. These through in delivery of long term rainfall data for results were presented to key agencies, such as the Africa will allow exploration of a wide variety of forestry department, environmental groups, power biophysical processes including crop yields, range- generators and policy makers, and were well land production, animal production and hydrologi- received. They felt that the analytical framework cal processes at multiple scales. The fully parame- developed by this component would serve them terized SWAT model of the Upper Tana River offers well into the future as they explore new policies and an excellent tool for agencies to explore new policy technologies. options. The study of the Upper Tana River Basin constitutes the first major intervention analysis of OBJECTIVE 4 reforestation for the region. Assemble a simple meta-modeling environment derived from legacy databases to allow policy mak- Advances in Capacity Building ers to explore a range of technology/policy inter- Close coordination with the prior trainees has ventions within the limits of the analyses conducted enabled the identification of data needs, the collec- for the Upper Tana River Basin. tion of critical information, and an improved working relationship with government agencies that hold Achievements the critical data. A team of experts in KARI and the A comprehensive series of crop meta model equa- Ministry of Planning and Ministry of the tions have been upgraded using the new EPIC 3050 Environment working with water agencies in model that has improved soil carbon functions. A Kenya’s government will serve as a cadre of spe- wide array of crop germplasms and cropping prac- cialists able to meet meeting the analytical needs tices were established with these new carbon, nitro- for the formulation of reforestation policy of gen and yield functions for each agroecological Kenya. zone of the country, including the Upper Tana River basin. A website has been created where the user A Symposium was held at the International can click on a map, then select the crop and view Livestock Research Institute (ILRI) campus in long term yield changes that occur as soil carbon Nairobi Kenya in May 2004. The Impact levels or nitrogen levels change over time. This tool Assessment group presented results and led discus- can be found at http://cnrit.tamu.edu/africacrops. sions on the environmental and economic options and consequences of climate change, including

48 reforestations of the upper Tana river catchment and River Basin to better understand the environmental improved soil management in Kenya. Over 28 par- and economic consequences of their decisions. The ticipants attended the symposium, drawn from research on reforestation impacts on the hydrology international institutions: International Centre for of the Upper Tana River and the interactions gener- Research in Agroforestry (ICRAF), Forum for ated during the end-of-project workshop, have cat- Agricultural Research in Africa (FARA), ILRI and alyzed discussions among various agencies Drought Monitoring Centre, Nairobi; government involved in forestry, environment and power gener- institutions : Forestry Department, Ministry of ation to define next steps for implementing refor- Agriculture, Ministry of Planning and National estation policy. Policy makers expressed their inten- Development; government parastatals: KARI, tion to introduce legislation to facilitate actions for National Environment Management Authority, the promotion of reforestation in the region. Tana and Athi rivers Development Authority, Department for Resource Surveys and Remote Advances in Environment and Natural Sensing, University of Nairobi, Kenya Resource Management Meteorological Department and non-governmental The analysis on the effects of reforestation on the organizations and natural resources lobby groups. hydrology of the Upper Tana River basin has The Symposium participants were senior manage- impacted a region that generates 65 percent of all ment, policy and decision makers within their insti- the power for the country and provides a substantial tutions. amount of downstream drinking and irrigation water. Over 1250 km2 of land will be promoted for Advances in Scaling Up reforestation, reducing sediment loading by 7 per- The generalized grid approach applied in this cent per year and improving the ecosystem function research program has provided a clear mechanism of the Masinga Dam reservoir. Government policy for applying the concept of gridded weather data of retaining or expanding tea plantations in the mid system, linked with virtual representations of land- elevation zones has both positive downstream scapes within grids in biophysical models, to cap- hydrologic effects and upstream economic benefits. ture the effects of land use change on hydrological processes. The methodology will aid the perform- Major Outputs ance of aggregate or disaggregate analyses, scaling Working Paper up from the farm to the basin scale. It can be Byenkya, G., J. Stuth, J. Angerer, C. Sudhe and J. obtained by any country interested in linking grid- Kigongo. 2004. Impact of undesirable plant com- ded satellite weather data and hydrology models to munities on carrying capacity of a tropical savanna reflect how land use change will affect the environ- landscape. Submitted to the Journal of Range mental characteristics of a region and explore the Management. economic trade-offs of different policies. The weather data can be acquired from Vitale, J., J. Jacobs, J. Angerer, R. Kaitho, J. Stuth http://cnrit.tamu.edu/charm or and R. Srinivasan. 2004. An integrated economic http://cnrit.tamu.edu/rsg/rainfall/rainfall.cgi. The and hydrologic modeling approach to resolving Global Livestock CRSP is depending on the weath- externalities: A case study of the Tana River Basin. er data to support its Livestock Early Warning Submitted to Journal of Agricultural, Ecosystems, System and the newly emerging Livestock and the Environment. Information Network and Knowledge System.

Advances in Policy Impacts Using the concept of image map HTML interfaces to biophysical meta-equations linked to economic and environmental models allows policy makers and their technical advisors to explore different levels and patterns of reforestation in the Upper Tana

49 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) DSS_5

Institutionalization of The Decision Support System Principal Investigator ABSTRACT of reforestation on watershed health to Neville Clarke This effort was directed at ensuring that interest future potential users of the the DSS is available, useful, and usable in methodology and its application. the institutions of the host and other Co-Principal developing countries that are targets of OBJECTIVE 1 Investigator this research and development. Other Extend DSS capacity through installation Jeffrey Vitale activities in Year 6 simplified the inter- of legacy databases and models at face between user analysts and the DSS AGRHYMET for West Africa and con- Robert Kaitho and to demonstrate the utility of the sys- duct regional capacity building for CILSS tem through analysis on user-driven and its member countries. Alpha Kergna applications. In this activity, specific engagements were undertaken to institu- Achievements Jerry Stuth tionalize the DSS in KARI for East Africa A pilot study to evaluate the impact of the Tanveer Butt and at AGRHYMET and related countries FAO Special Programme on Food in West Africa. Successful institutional- Security (SPFS) was completed in Mali ization includes providing access to data- where estimates of village level increases bases and models, developing knowledge in production were conducted at the and skills of analysts, and helping ensure regional and national level. These results institutional commitment to continuing showed substantial positive impact of the use of the DSS. Developing country part- program. The results were presented to ners in Mali and Kenya gained skills in FAO (United Nations Food and applying the DSS through research using Agriculture Organization) Director the methods and workshops were held in General Jacques Diouf in October 2003 both countries to further develop this during his visit to TAMU (Texas A&M capacity. Models and related databases University). He was very interested and developed and used in West Africa were asked that we conduct a similar analysis provided to IER in Mali and for the program in Burkina Faso which is AGRHYMET in CILSS for future appli- nearing completion. This could lead to a cation. Models and databases were pro- broader application of the DSS to evalu- vided to the Kenya Agricultural Research ate the SPFS. CILSS (Comite Permanent Institute where an administrative unit was Inter-Etats de Lutte contra la Secheresse established to house scientists trained at au Sahel) has not developed funding to Texas A&M for application of the DSS to institutionalize the DSS at the regional analysis directed to priority setting for level in West Africa after SANREM II. research and governmental investments. Thus, the regional workshop originally A final Symposium was conducted in planned was not held. However, the data- Kenya to demonstrate the use of the DSS bases and know how were made available in several NRM applications including to AGRHYMET (West Africa Regional studies of climate change and evaluation Training Center for Training and

50 Application in Agriculture, Meteorology and future use of the DSS. Based on the positive reac- Hydrology) as called for in the Year 6 plan. tion to the results of the Rift Valley study and previous work, senior administrators, including the The databases for the climate change study in Mali Director General of KARI, made commitments to and Senegal, as well as the sector models, were also the future use of the DSS as an analytic tool by sen- completed and made available to AGHYMET as ior decision makers in the GOK and as an internal scheduled. Simplified approaches to using the mod- research planning tool in KARI. els have been provided. In February 2002, we conducted a regional workshop for analysts and A new administrative unit has been established in researchers under CILSS sponsorship to demon- KARI and individuals assigned to it to implement strate the use of the DSS to representatives of the the further development and use of the DSS. A new member nations of CILSS. In August 2003 we con- memorandum of agreement was developed between ducted a training workshop for 14 Malian scientists KARI and TAMU for further development and use and analysts, including DSS collaborators as well as of the DSS after completion of SANREM Phase II. analysts working in the various ministries. These This calls for KARI to acquire donor funds to insti- individuals now have capacity to use the DSS at tutionalize the DSS and for TAMU to back-stop stage 1 level of proficiency – which is to apply them them and continue to provide technical support. using the simplified interfaces for standard impact This will be enabled by real-time internet based analyses of options for research and policy. video, voice, and data communications system Application of the DSS has been made in a series of between East Africa and Texas A&M that has been studies in the Sikasso region in Year 5, providing installed and is now working at nearby ILRI relevant results for decision makers and demon- (International Livestock Research Institute). strating to them the utility of the system. Policy Discussions are underway with the staff and makers within the government have participated in Director General of ILRI for them to join with setting the agenda for the studies done using the KARI and TAMU in a three-way relationship DSS in Mali – and through these experiences have involving combining animal disease and production familiarity with the methods. models from ILRI with the DSS to provide an important new dimension to the DSS. The package OBJECTIVE 2 of models and databases relevant to East Africa was Extend DSS capacity in Kenya (East Africa) made available to the new KARI element at end of through the installation of legacy databases and Year 6. Much of this was in the form in a web-based models in the Kenya Agricultural Research Institute format using the new linkage noted above. A and continue regional capacity building as part of Symposium on results of current Tana River and research collaboration for KARI staff and members Climate Change studies was held in Nairobi in May of the Ministries of the Government of Kenya, and 2004 to provide further opportunity for capacity relevant NGOs in the region. building with both KARI staff and government decision makers. The new KARI commitment will Achievements be a highly relevant development for SANREM’s A reporting and capacity building workshop was DSS applications. held at KARI in August 2003 where the results of the Rift Valley Study conducted in Year 5 and com- OBJECTIVE 3 pleted in Year 6 were presented and discussed. The Conduct a cross regional assessment and synthesis workshop was attended by approximately 40 people of the methods and results from DSS studies in East – staff of KARI, representatives of the key min- and West Africa, including a collaborator-client istries, and several NGOs. Further engagement was workshop, to compare and contrast the products of had with the Kenyan staff given long term training the two sites and to derive a general statement of at TAMU last year. They were active collaborators applications and limitations of the method for gen- on the Year 6 work in Kenya and will be an impor- eral application in the SSA. tant part of the cadre of expertise that will make

51 Achievements Achievements There are a number of inherent geographic and This was a provisional objective in the initial work sociocultural factors that differentiate East and plan. It depended on the successful development of West Africa and that impact future sustainability of a CILSS proposal to WARP to continue the future natural resources and food security. We studied capacity building in the region for use of the DSS. these variables for both the current time frame and Given the failure of CILSS to acquire these funds for projections out to the years 2015 and 2030. during SANREM Year 6, the investment in capaci- Differences in climatic patterns and projections of ty building in the CILSS institutions is being limit- water availability play major roles. Differences in ed to that needed to provide minimum capacity to land tenure substantially affect farming practices use the DSS and to ensure that relevant databases and long term stewardship. Community held lands developed in West Africa during the course of in West African communities are not managed with SANREM II are delivered to AGRHYMET, which the same care as privately held lands in the East. is the institution designated by CILSS to continue Cropping systems are variable within countries and to develop and use the DSS methodology in the across countries depending on natural resources and future. This leaves the possibility of future engage- climate. Access to markets – for both imports and ment with CILSS should new resources become exports – affects not only food security, but overall available. As noted elsewhere, a regional workshop economic activity in different ways in these two with representatives of the CILSS nations was con- countries. The greater diversity of climate, eleva- ducted in February 2002, and a second training tion, soils and other natural resources variables in workshop was conducted in Mali in August 2003 to Kenya offers a greater diversity of current and build capacity to use the DSS. future options for meeting the goals of the World Food Summit regarding food security. This activity Advances in Research is closely linked to DSS-2 (Factors Affecting Short This activity was directed to institutionalization of and Long Term Productivity), wherein comparisons the DSS. The major research products of this proj- between East and West Africa were developed in ect in Year 6 were developed by other workplan in Year 6. The effects of trends in organic matter, the DSS pronect. The collaboration of Kenyan sci- macronutrients, water availability, and nitrogen entists in these activities enhanced their ability to runoff on productivity and food security were com- use the DSS models in the future. The cross-site pared between Mali and Kenya. The more fertile synthesis extended the evaluation of lessons learned soils and climatic diversity in Kenya offers more from East and West African studies carried ut dur- options for dealing with food security in the future ing SANREM Phase II. than in most of Mali. Similarly, the studies of climate change under DSS-3, where comparisons Advances in Capacity Building were made between Senegal, Mali, Uganda, and In the other workplans of the DSS project, methods Kenya, provided a cross cutting comparison of both were developed and applied to further simplify the the predicted impact and forecasted mitigation use of the DSS as a total system or of its constituent resulting from adoption of new germplasm and models for specific studies. The major accomplish- farming methods. The impacts of climate change ments are the establishment of a new unit in KARI, will be substantial across Africa and other tropical with staff assigned to set the DSS in place for use as areas. The ability to mitigate these effects may be a planning and evaluation method for KARI and greater in East than West Africa. The effects of relevant ministries, along with the possible linkage weather variability will be substantial in both with ILRI in a three way endeavor to further devel- regions. op and use the DSS after completion of SANREM Phase II. This will be a very significant contribution OBJECTIVE 4 to successful future use of the DSS system in East Potential expansion of activity through support Africa. from the USAID-WEST Africa Regional Program (WARP).

52 Advances in Scaling Up nology options. This broader view helps ensure that The cross-site synthesis of applications between policy decisions are informed by a better under- East and West Africa, coupled with the results of standing of their consequences on the lives of peo- research conducted under DSS-2, adds a scaling up ple in both rural and urban settings. The integrated dimension to the DSS, as its application on a trans- nature of the DSS provides a framework for pro- national basis was explored. This accrues to the moting the sustainable use of natural resources in overall development of models and databases that the context of efforts to enhance food security. allow for scaling up and out from farm and village levels to subnational and national levels in studies done in Mali and Kenya. Workshops and symposia conducted in East and West Africa and the linkage with AGRHYMET have provided broad access to the tools and databases of the DHS. The nesting of capacity in KARI and AGRHYMET and the potential linkages with regional organizations in East Africa offer good possibilities for future use of the system in these areas. The general lessons learned make the overall concepts available and useful on a global scale, where linkages are provided to FAO’s WAICENT.

Advances in Policy Impacts The progress toward developing an institutionalization commitment in KARI for the future use of the DSS both in the Institute and by the government of Kenya is very important to ensuring that the system is used by policy makers for planning and evaluation of policy and technology options. The incorporation of relevant databases and models at both KARI and AGRHYMET and the practical experience of scientists and analysts in East and West Africa contribute to the likelihood that the DSS will continue to be used by policy makers who must address the WFS (World Food Security) goals of decreasing hunger and poverty through the sustainable use of natural resources. The specific application of the DSS to relevant issue-based studies in both East and West Africa has provided decision- makers with quantitative estimates of the consequences of options they are considering to achieve these goals.

Advances in Environment and Natural Resource Management Successful incorporation of the DSS in developing country institutions helps ensure its ultimate utility. In terms of the overall project, the DSS provides a capacity for comprehensive integrated assessment of the consequences of alternative policy and tech- 53

SANREMGlobal Impactsand InformationExchange

SANREMCRSP May 2004 Sustainable Agriculture and Natural Resource Management Annual Report Collaborative Research Support Program GLO_11 Funded by the U.S. Agency for International Development (USAID)

Communications and Outreach Principal Investigator ABSTRACT Achievements Carla Roncoli This activity provides a diversity of com- Three Research Briefs have been communications and information exchange pleted, drawing from SANREM's channels that address a wide range of research in Ecuador. They focus on a) audiences on issues of sustainable agri- households' willingness to pay for Co-Principal culture (SA) and natural resource man- improving water resources, b) potential Investigator agement (NRM), including SANREM's vulnerabilities of Andean volcanic soils, Robert Phares research findings and outputs. Efforts and 3) applications of modeling tools to Kristen Miller have focused on facilitating both access improve soil fertility management and to information, tools, resources, and crop productivity. Complete sets of materials produced by SANREM and SANREM's Research Briefs (17 in total) other programs and agencies, as well as to have been disseminated to interested par- networking and exchange among ties during Synthesis Workshops in researchers, educators, and practitioners Ecuador and the Philippines. Synopses of interested in SA and NRM. An the Synthesis Workshops held in Ecuador, Ecoagriculture listserv has been managed Philippines, and Mali were featured on that enables greater interaction among the SANREM website, enabling viewers scientific, development, and advocacy to access workshop programs, paper circles. A variety of communication and abstracts, power point presentations, and educational materials have been produced workshop recommendations for future and disseminated. Availability of relevant research directions. information and downloadable documents has been greatly increased through Two Research Impact stories have been continuous updating of the various sec- produced, highlighting a) a participatory tors of the website (Announcements, 3D watershed model produced by the Related Links, What We Are Reading, SANREM-Andes team, and b) the attri- etc). A training manual for primary and bution of a prestigious environmental secondary educators in SANREM host award by the government of the countries has been developed to help dis- Philippines to the province of Bukidnon, seminate SANREM’s research to school- site of SANREM's research and capacity age learners while helping teachers to building efforts during the last 10 years. introduce concepts of natural resource A complete and updated list of SANREM management into their classroom lessons. publications and documents is available for viewing on the SANREM website, OBJECTIVE 1 and many of these publications are down- Collect and provide access to and facili- loadable. tate synthesis of knowledge generated by SANREM regional and global projects. Dr. Carla Roncoli gave a presentation at Kennesaw State University on Science and Sustainability: the Role of

57 Participatory Collaborative Research. Students OBJECTIVE 3 from four Environmental Studies classes and Promote understanding and adoption of sustain- faculty from Biological and Physical Sciences able agriculture and natural resource manage- attended the event. Besides being exposed to ment concept and practices, in particular as SANREM's principles and projects, participants undertaken by SANREM. were offered virtual a 'tour' of the SANREM website and introduced to the various resources Achievements available there. Educational and training materials produced by SANREM have been made available through the OBJECTIVE 2 website. For instance, three Spanish manuals on Facilitate exchange of information and data gen- biodiversity conservation have been produced erated by SANREM research with organizations and distributed, and the Watershed Directed and individuals interested in sustainable agricul- Reading module produced during Year 5 has ture and natural resource management. been updated and further circulated. ICRAF- Southeast Asia has requested (and obtained) per- Achievements mission to distribute the Watershed Directed Through the Ecoagriculture listserv that SAN- Reading module to participants in a regional REM is managing we have been able to reach a workshop on watershed management. variety of institutions and individuals who were not previously linked to SANREM. The listserv A training manual for upper primary and second- facilitates discussions about sustainable agricul- ary school teachers in all SANREM host coun- ture and natural resource management and tries was created with the goals of 1) disseminat- announces conferences, seminars, and new pub- ing information about SANREM’s work to lications about these topics. school age children, and 2) encouraging teachers to incorporate natural resource management The 'Announcements' page (http://www.san- principles into lessons for students. To meet rem.uga.edu/tmp/announce.cfm?pageID=39) these goals, we ‘translated’ several SANREM has continued to provide timely information on Research Briefs into lesson plans for teachers. national and international meetings, calls for The lesson plans were based on activities and papers and proposals, jobs in natural resource concepts specific to the SANREM projects cov- management or sustainable agriculture, opportu- ered in the Briefs, but are general enough that nities for internships and fellowships, and valu- they can ‘stand alone’ as lessons that discuss able resources and reference materials. We have NRM principles, independently from SANREM also updated and increased the number of avail- context. The lessons encourage interdisciplinary, able resources in the 'What We Are Reading' sec- learner-centered education through hands-on tion of our 'Resources' link (http://www.san- science inquiry, the scientific process, and use of rem.uga.edu/index.cfm?pageID=2). the outdoors as a classroom; they were not written to meet any specific curricular standards of We have continued to expand the number and SANREM host countries. The lessons were val- diversity of links to other resources and organi- idated by feedback from experts in the fields of zations (via the internet) related to SANREM’s science and environmental education (the foci of sustainable agriculture and natural Philippines, Ecuador, Guatemala, Honduras, resource management. Almost 1000 links to United States). Most reviewers felt that teachers organizations that promote SA and NRM can be with little science background and few resources accessed through the 'Related Links' page could understand and complete the activities and (http://www.sanrem.uga.edu/index.cfm?pageID that the lessons’ methodologies were sound. =32). Additional comments from the host-countries pointed out that some of the scientific content was more advanced that students in their country

58 would receive at the primary and secondary level from website access to resource materials and infor- and some of the language was too technical. Some mation about publication and funding opportunities reviewers gave suggested modifications for how the that would otherwise be unavailable to them. The lessons might work better in their countries, which reading module and training materials contributed were incorporated either into the body (lessons) or to improving understanding of SA and NRM by into the introductory material and/or appendixes of educators and practitioners in the U.S. and in the the final version. host-countries. The Teacher Manual for upper primary and secondary school teachers has improved The manual contains three Units of lessons focused awareness of NRM principles and integration of on Water, Soil, and Culture/Values. Each Unit is research skills into classroom lessons. comprised of three to five lessons. In addition, a template illustrating the procedure used to create Advances in Scaling Up such Units was provided to enable teachers to trans- Dissemination of the Watershed Directed Reading late scientific information (i.e., articles) into effec- module during a ICRAF regional workshop and the tive, engaging lesson plans that meet local curricu- publication of the Improved Watershed lar standards in their countries. Supporting materi- Management article by Perez and Tschinkel on a als were provided, including background informa- ODI (United Kingdom) website have considerably tion on the basic concepts of NRM and tools for widened the outreach of these tools. teaching these concepts to children; an explanation of the lesson plan format that we created and used; Advances in Policy Impacts a brief annotated list of web-based resources on The Research Briefs and other communication sustainable agriculture, environmental education, materials produced by this activity and posted on and service learning; information on how to incor- the SANREM website are designed to address the porate scientific inquiry in the classroom; an exam- information needs of professionals and policy mak- ple of children's science articles for teachers to ers. The article by Perez and Tschinkel on Improved translate into lesson plans; examples of existing Watershed Management has been featured on a teaching materials that integrate principles of sys- website specifically oriented to bringing research tems thinking, adaptive management, and construc- findings to policy makers in the United Kingdom tivism; and a sample agenda for a teacher training and internationally. workshop designed to equip teachers with the necessary understanding of NRM principles, learner- Advances in Environment and Natural centered pedagogical approaches, and methodology for creating lessons plans that are science-based and Resource Management encourage using local resources and the natural Resources and information provided online can environment as an engaging place to learn. assist decision makers in making more sustainable NRM decisions. The educational and communica- Advances in Research tion materials generated by this activity enable greater understanding and appreciation of sustain- Increased accessibility of research findings and out- ability issues, contributing to the development of an puts has stimulated dialogue among SANREM and environmentally sensitive citizenry. non-SANREM researchers, facilitating comparative analysis and integration of efforts. Information and recommendations from the three Synthesis Major Outputs Workshops publicized on the website have defined Briefs the state-of-the-art and future directions for SA and Rodriquez, F. and D. Southgate. 2003. Water NRM research in West Africa, Southeast Asia, and Resources Management and Willingness to Pay: the Andes. The Case of Cotacachi, Ecuador. SANREM CRSP Research Brief No. 15. Advances in Capacity Building Researchers in developing countries have benefited

59 Zehetner, F. and W. Miller. 2004. Plant-Water Relations in an Andean Landscape: Modeling the Effect of Irrigation on Upland Crop Production. SANREM CRSP Research Brief. No. 17.

Zehetner, F. and W. Miller. 2004. Towards Sustainable Crop Production in Andean Communities, Ecuador: An Assessment of the Soils' Nutrient Status. SANREM CRSP Research Brief. No. 16.

Tools Miller, K. and J. Wilson. 2004. In press. Creating learner-Centered, Multidisciplinary Lessons from Scientific Articles: A Training Manual for Teachers. SANREM CRSP ME. Watkinsville, GA.

60 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) GLO_31

Selecting Priorities and Opportunities in Ecoagrculture Principal ABSTRACT ers were assisted by two Ph.D. students, Investigator Carla Roncoli One report has been prepared to assess one in economics and one in ecology. The trends and gaps in ecoagriculture-related research team conducted extensive litera- research. Ecoagriculture is defined as ture reviews. The team evaluated docu- land use systems that produce both human mentation on ecoagriculture-related food and ecosystem services, including issues that were available in the main habitat for wild biodiversity. The report research journals and books (as well as includes the perspectives of natural gray literature), covering agriculture, con- resource management, economics, and servation of protected areas and landscape ecology. The assessment's goal was to ecology from social and natural science define the state of collective knowledge perspectives. In addition, the teams guid- on: 1) agricultural land use systems that ed their in-depth assessment through face- increase biodiversity, and 2) the ability of to-face interviews and virtual meetings researchers to influence biodiversity con- with a wide range of researchers and servation in agricultural ecosystems. The stakeholders throughout the US and report identifies ecoagriculture-related abroad. In order to ensure the inclusion of research priorities. Although the report's different perspectives and experiences, main thrust is on research, extension and the research team worked with an inter- education implications are also identified. disciplinary advisory panel. The panel was composed of more than 30 scholars OBJECTIVE 1 from Cornell University and from other Assess the current state of natural and institutions all over the world. social science research on the management of agricultural land use systems to OBJECTIVE 2 support biodiversity conservation, and Widely share the results of the research document efforts that show the ability of assessments with a broad, international scientists to combine, interpret and com- community of researchers and practition- municate their research results to deci- ers of, and investors in, ecoagriculture. sion-makers and influence changes in practice or policies that enhance biodiver- Achievements sity conservation. A draft version of the assessment report was widely circulated in electronic form Achievements to gain feedback from researchers and Team leaders were identified among practitioners representing agriculture, Cornell University faculty: Louise Buck conservation of protected areas, land- (Department of Natural Resources); scape ecology, and social and economic David Lee (Department of Applied sciences. The feedback was used to Economics), and Tom Gavin (Department enhance the overall quality of the report. of Conservation Biology). The team lead- Channels used for the report's distribution included the ecoagriculture partners net-

61 work, ASB-GLOBAL; EANTH-L; ASEAN Regional Centre for Biodiversity Conservation (ARCBC); CONDESAN; the Development Gateway, FRAMEgram, and SANREM’s website.

Advances in Research The review provides a state-of-the-art assessment of ecoagriculture research for researchers from different disciplines. The report will likely be a land- mark to define ecoagriculture research priorities for years to come.

Advances in Scaling Up The assessment report will be a key document in a September 2004 world ecoagricuture congress organized by Future Harvest and ICRAF, which will take place in Kenya. The report highlights the vast amount of ecoagriculture knowledge already available, gaps in research, as well as organizations and institutions that are researching or implementing ecoagriculture activities. Due to these conditions, the report will likely become a catalyst for wider partnerships, coordination and mutually supported leverage among stakeholders around strategic ecoagriculture research (and extension) activities throughout the world.

62 SANREM SoutheastAsia

SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_1

Administration and Research Management for Principal SANREM-Southeast Asia Investigator Ian Coxhead ABSTRACT and the administrators at the four institu- This activity lends administrative support tions with which we have subagreements. and coordination to all research and relat- The modification to the agreement ed activities being conducted by SAN- between UGA and UW that finally pro- Co-Principal REM-SEA researchers. vided the first half of the funding for Year Investigator 6, was not fully executed until November John Rowe OBJECTIVE 1 11, 2003 - six months after the beginning To manage and coordinate research and of the final project year. related activities conducted by PIs and work plan holders of the Southeast Asia OBJECTIVE 3 project. To coordinate documentation and communication of SANREM-SEA procedures Achievements and results. Project management proceeded smoothly, with the exception of difficulties associat- Achievements ed with delayed release of Year 6 funds. The SANREM Synthesis Conference held in January 2004 in Manila drew OBJECTIVE 2 researchers together with senior govern- To provide administrative guidance for ment officials and their advisors, as well the research programs of the Southeast as representatives NGOs and other groups Asia project with an interest in sustainable agriculture, natural resource management, and the Achievements development of the uplands. During this final year efficient financial administration of the project has been OBJECTIVE 4 made impossible by delays in the To facilitate project monitoring and eval- approval of budgets by USAID/ uation Washington. Achievements Over the last 18 months we developed Project's final meetings, in Malaybalay four separate budgets - Phase 3, Year 6, and Lantapan, May 17-19, bring together First half of Year 6, and finally the second project participants in concluding activi- half of Year 6. - These submissions not ties. Accomplishments and impacts of only took untold hours at UW, but also individual work plans are documented in stretched the limits of the time and their reports and in the PM's overview. patience among the 14 work plan leaders

65 Major Outputs Conference Paper Paningbatan, E. 2004. Application of PCARES in Locating the Soil Erosion “Hotspots” in the Manupali River Watershed. Paper presented at Conference on Land Use Changes in Tropical Watersheds. SANREM South East Asia Research Synthesis Conference. Manila, Philippines. January 13 - 14, 2004.

66 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_2

Administration and Coordination of the SANREM Principal CRSP Southeast Asian Program (PCARRD) Investigator Romalao ABSTRACT entitled “Human Dimensions of Family, Aggangan This activity afforded proper financial Farm and Community Forestry management and coordination of the International Symposium” which was held SANREM-SEA (PCARRD) project. at Washington State University-Pullman, Coordination and communication took from March 29 to April 1, 2004. He also Co-Principal Investigator place between SANREM-SEA PIs and had meetings with Dr. Ian Coxhead and Vel Suminguit Co-PIs, as well as the SANREM Dr. John Rowe, respectively SANREM- Management Entity (ME). SEA Program Manager and Program Administrator, based at the University of OBJECTIVE 1 Wisconsin-Madison on April 2-3, 2004 To provide timely administrative and and with the SANREM CRSP coordination support to regional principal Management Entity at the University of investigators and work plan holders. Georgia on April 5-6, 2004.

Achievements OBJECTIVE 3 1) Dr. John Rowe, SANREM-SEA To support scaling and outreach activities Program Administrator, based at the at the community, provincial, national and University of Wisconsin-Madison, visited regional levels. the PCARRD-based SANREM-SEA from December 7-11, 2003 for financial and Achievements selected workplans’ progress updates. 1) Dr. Vel Suminguit and Ms. Dinah Among the items discussed during the Tabbada of the SCO served as chapter pre- meetings were the smooth closing of the senters to the SEA_11 sponsored write- SANREM program in terms of financial shop held on April 18-21, 2004 at the utilization, identification of institutions for Sunrise Holiday Mansions in Tagaytay equipment turnover, and proposed activi- City, Philippines. The activity was con- ties for the culmination event of SAN- ducted for the production of a resource REM-SEA. manual on natural resource management for academic use. Dr. Suminguit presented OBJECTIVE 2 a chapter on GIS while Ms. Tabbada, a To build linkages with other agencies and chapter on the dissemination of NRM institutions which are implementing simi- researches. Dr. R.T. Aggangan, Regional lar programs. Program Co-Director, and Ms. Ma. R.M. Baltazar, Communication Specialist, served as editors and publication consult- Achievements ant for the manual. 1) Dr. Romulo T. Aggangan of SANREM- PCARRD presented a paper on SAN- REM-SEA experiences in a conference 67 2) Dr. Vel Suminguit co-authored with Dr. Agnes 2) The SCO-based development communication Rola and Dr. Antonio T. Sumbalan a paper on specialists implemented a School-on-the-Air pro- “Realities of Watershed Management in the gram, teaching farmers about agrosilvopastoral sys- Philippines: The Manupali Watershed Experience”. tems, particularly about proper integration of goats The paper was presented to the members of the in agroforestry farms. Of 50 farmers who participat- Technical Advisory Committee (TAC) of the ed, 30 graduated from the program. Some farmers Bukidnon Watershed Protection and Development did not graduate because they failed to submit the Council (BWPDC) on May 13, 2004 to provide the answers to weekly tests. The participants expressed TAC/BWPDC fresh insights on how to advance great enthusiasm for the program. watershed management for the province of Bukidnon. OBJECTIVE 5 To organize and coordinate the annual conference, 3) The SCO assisted the implementation of the GIS seminar and fora of SANREM CRSP-Southeast workplan SEA_11 Activity 4 “Capacity Building Asia partners. and Technical Support Services” of Dr. Tony Sumbalan and Agnes Rola. Two SCO staff (Vel and Achievements Jefrey) participated the Geospatial Information 1) Dr. Romulo T. Aggangan, SANREM-SEA System trainings held in La Trinidad, Benguet and Regional Program Co-Director and PCARRD- Cagayan de Oro respectively. based staff under the SEA_2 workplan, Ms. Ma. Rowena M. Baltazar, Mr. Edgar S. Romuar and Mr. 4) SANREM-PCARRD assisted the Philippine JE’Berlin E. Bautista, served as working committee Institute for Development Studies (PIDS) workplan chairs/members for the conduct of the SANREM entitled "Watershed-based Water Management International Research Conference on Sustainable Approach" in organizing a discussion forum enti- Agriculture and Natural Resources Management tled "The Realities of Watershed Management held from January 12-15, 2004 at the Sulo Hotel, Approach in the Philippines held last May 14, 2004 Quezon City, Philippines. The conference’s overall at the Bulwagang Panday Karunungan, PCARRD, coordinators were Dr. Gerald Shively and Dr. Ma. Los Baños, Laguna. Victoria O. Espaldon, principal investigators for SEA_24 and SEA_11, respectively. Among the pre- OBJECTIVE 4 senters included SANREM SCO’s Dr. Vel J. To support program capacity building activities, Suminguit, Site Coordinator, and Ms. Dinah Q. especially for community-based partners. Tabbada, IEC Specialist.

Achievements 2) The SCO served as the main organizer and coor- 1) The 2nd Lantapan Farmers’ Technology Forum dinator of the SANREM CRSP/SEA culminating was held on January 27, 2004 at the Lantapan activities, which were held from May 17-19 at the Municipal Gymnasium. The SANREM SCO, following different venues: Kaamulan Folk Arts PCARRD-based staff and the Northern Mindanao Theatre for the Provincial Level policy/decision- Consortium for Agriculture Resources Research makers; Songco Barangay. Hall for the “School-on- and Development (NOMCARRD) Director Dr. the-Air” graduation rites; Lantapan Municipal Hall, Rebecca Cagmat coordinated the one-day event. for the Farmers’ Information and Technology Topics discussed included technologies for integrat- Services (FITS) inauguration and SANREM-SEA ed pest management, soil nutrient management, handover ceremony of various materials and equip- agroforestry-based farming systems, soil erosion ments; Maramag Municipal Hall for the members control, animal management, and financing and of the League of Municipal Planners – Bukidnon marketing. In general, the objective of having high- Chapter. A presentation on "Sustaining and er farmer attendance was achieved, with farmers Upscaling of the SANREM Methodology and comprising about 70 percent of forum participants. Outputs: The SANREM Experience", was given by Dr. Patricio Faylon, PCARRD Executive Director

68 during the meeting with provincial level policy and Advances in Capacity Building decision-makers. Meanwhile, Dr. Aggangan pre- SANREM-PCARRD participated and displayed a sented a synthesis of SANREM-SEA research and SANREM-SEA project poster at the first National activities during the FITS inauguration, and Dr. Agroforestry Congress entitled “Convergence for Suminguit presented, on behalf of Dr. Ian Coxhead, Agroforestry Development in the Philippines” at a paper on "Economy and Environmental Linkages: the Leyte State University, Baybay, Leyte, A Synthesis of SANREM’s Research Work in Philippines. A SANREM poster was developed and Lantapan" during the meeting with municipal plan- printed for use in future exhibits as well. ning and development coordinators in Maramag. Advances in Scaling Up OBJECTIVE 6 The Regional Program Co-Director assisted the SA To improve public dissemination of research out- and NRM model documentation of different farm puts. activities in Lam Dong, Vietnam. The Regional Program Co-Director and the Site Coordinator Achievements served as evaluators and panelists of the NOM- 1) Publications currently in press include the SAN- CARRD-organized Region 10 R&D Symposium. REM-SEA Update newsletter, Vol. 4 No. 3 covering The site coordinator represented SANREM-SEA in the period of September –December 2003. meetings held by the Technical Advisory Committee of the Bukidnon Watershed Protection 2) The edited volume on "Sustaining Upland and Development Council. Development in Southeast Asia: Issues, Tools and Institutions for Natural Resources Management", Advances in Policy Impacts was released in January 10, 2004. The book SANREM-SCO assisted the policy analysis and includes selected papers presented during the inter- governance workplan in planning the GIS training national conference of the same title held in Makati and in implementing the policy analysis workshop City, Philippines in May 2001. for members of the Technical Advisory Committee (TAC) of the Bukidnon Watershed Protection OBJECTIVE 7 Development Council (BWPDC). To facilitate access and sharing of primary data. Major Outputs Achievements General Information 1) Dr. Vel Suminguit, Sid Bagares and a hired field- SANREM-PCARRD. 2003. SANREM Newsletter worker completed the geo-referencing of 163 plots Vol.4 No.2. owned by farmer cooperators and the mapping of Lantapan road networks. The georeferencing and Proceedings mapping activities are essential inputs to other Serrano, R. and R. Aggangan (eds). 2003. SANREM-SEA workplans, especially those on Sustaining Upland Development in Southeast Asia watershed and economic modeling. (Issues, Tools and Institutions for Local Natural Resource Management). SANREM International Advances in Research Conference. May 28-30, 2001. The implementation of the of 2nd Lantapan Farmers Technology Forum took place in January 2004. The activity serves as a forum for farmers and researchers to come together and share experiences and expertise. Additionally, SEA_2 coordinated the 7th Steering committee and the 11th Technical Working Group meeting for the Lantapan-Based R&D projects.

69 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_3

Maintaining Watershed Integrity 1: Synthesis Volume Principal of 250-300 pages based on SANREM- Investigator ABSTRACT Gerald Shively This activity has integrated knowledge SEA research. The title for the volume is regarding the human and physical "Land use changes in tropical water- processes influencing watershed integri- sheds: causes, consequences, and policy ty. We have documented what is known options." Although we had originally Co-Principal about the connections between farmer anticipated jointly publishing the book in Investigator behavior, land use practices, and eco- the Philippines, we will instead distribute David Midmore nomic and environmental outcomes in copies of the book published by CABI. the Manupali watershed, seeking to Twelve chapters have been compiled and William Deutsch underscore causality between incentives, the book should appear in print near the Ian Coxhead activities, and outcomes. The activity has end of 2004. expressly taken the watershed as a unit Agens Rola of analysis and has worked across multi- OBJECTIVE 2 ple scales and multiple disciplines. A Disseminate research findings among Victor Ella research monograph was organized in Philippine research and policy communi- Year 5. In Year 6 this was significantly ty. Maria Delos expanded in scope beyond the theme of Angeles watershed modeling, so as to include Achievements Victoria Espaldon additional and new research results that SANREM-SEA held a Synthesis go well beyond the policy modeling Conference in January 2004 near the work of SEA24. A Synthesis Conference campus of the University of the with more than 100 participants from Philippines at Diliman. This venue, in universities, government agencies, and Quezon City, proved advantageous both NGOs was held in the Philippines in in terms of travel and in terms of accom- January 2004 to showcase SANREM modating participants from national research findings. agencies in the Philippines such as the Department of Agriculture and the OBJECTIVE 1 Department of Environment and Natural Produce high quality research mono- Resource. The conference was hosted by graph to be jointly published and distrib- the Geography Department at UP uted by an international publisher Diliman and had two main purposes: 1) (CABI) and a Philippines publishing to share a set of related research findings house (Ateneo Press). with the academic and policy communities in the Philippines; and 2) to bring Achievements together final drafts of manuscripts for In September 2003 Ian Coxhead and the SANREM-SEA research monograph. Gerald Shively (the editors) signed a We have arranged for 200 copies of the contract with CAB International (the book to be made available for free or "at publisher) to produce a hardcover book cost" distribution in the Philippines.

70 Advances in Research The research conference and edited volume integrate research findings from previously separate activities, highlighting connections and synergies between biophysical, economic, and social research.

Advances in Capacity Building Output from the research monograph is likely to form the basis for improved policy making and academic understanding.

Advances in Scaling Up The research monograph was significantly expanded in scope beyond the theme of watershed modeling, so as to include additional and new research results that go well beyond the policy modeling work of SEA 24.

Advances in Policy Impacts Conference invitees included local, regional, and national representatives from the Department of Agriculture and the Department of Environment and Natural Resources.

Publications Books Coxhead, I. and G. Shively (eds.). 2004. Land Use Changes in Tropical Watersheds: Causes, Consequences, and Policy Options. CABI Press, London, UK.

Other Major Outputs

Degree Training Charles Zelek, Ph.D., 1997 - 2003

71 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_4

Maintaining Watershed Integrity 2: Land Use Principal Practices and Environmental Outcomes Investigator Gerald Shively ABSTRACT Achievements This activity aimed to identify patterns One trip by David Midmore and Antonio of causality between land use practices Dano in August, followed up by a visit Co-Principal and environmental outcomes. by Antonio Dano, and another trip by Investigator Biophysical features of farm plots and both in January 2004 has led to the des- David Midmore sub-watersheds will be linked to socioe- ignation of two adjacent microwater- conomic and land use data that have sheds for the monitoring of TSS and pes- William Deutsch been collected over the years 1994-2002 ticide loadings. We were dependent upon by SANREM-SEA. Using state-of-the- availability of GIS data for this, and now Victor Ella art soil prediction technology (such as have identified a micro-watershed that the WEPP model), land cover effects are was used by the MSEC site in Mapawa Steven Ventura being evaluated. Outcomes under con- Songco. Gauging stations are still pro- trasting management regimes are under viding data in this <90 hectare micro- Gerald Shively study in adjacent watersheds. We have watershed. We have monitored stream Gregg Clark analyzed historical data to examine rela- and TSS and pesticides in this and an tionships between erosive rainfall events adjacent watershed, with contrasting land Ian Coxhead and the measurement of buildup of TSS use practices, and the data management in river samples. We have also quantified is being coordinated by Dr. Vic Ella for Bayou Demeke C sequestration (above and below his modeling activities. The strategy for ground, in lignified material) in various the sampling, transport and analyses Antonio Dano agroforestry systems, and spatially moni- have been determined and circulated tored the implementation of management among cooperators. In-principle agree- Vel Suminguit practices that mitigate soil erosion. Since ments to cooperate with the TW on water Maria Delos much of the research is still ongoing, to sampling and with HPI and the Angeses be completed shortly, and data are not Macaulay Institute are in place. Our consolidated, future outcomes from the sampling station with the TW is accord- Victoria Espaldon project and conclusions/policy directives ing to what we have agreed, ie Tugasan, will continue to flow after official clo- Maagnao, Alanib and Kulasihan rivers. sure. An MS student from UPLB (Edward Lapong, under Dr Vic Ella) is monitoring OBJECTIVE 1 the runoff, pesticide levels, TSS and Through monitoring of TSS and pesti- other parameters for water quality in the cides of two adjacent micro-watersheds new year. To date, during the dry season of contrasting land use, show how differ- we have not encountered detectable lev- ences in land use (e.g. natural vegetative els of the pesticides commonly used in strips or agroforestry) relate to TSS and the watershedin river samples. Stream pesticide loading in streams and rivers. flow is just begining to increase with the onset of the rainy season. We have also

72 collected transect data along many N/S and E/W OBJECTIVE 3 transects in the water hsed, on the Identify connections between economic incentives presence/absence of erosion mitigation practices and environmental outcomes at the individual farm (including natural vegetative strips, high value level, and the potential impact of alternative eco- hedgerows, agroforestry and forestry), at c. 200 m nomic and environmental policies at the watershed intervals, to (a) quantify the importance of these level. on a landscape scale, and (b) to allow for ground- truthing of remote sensing approaches to quantify Achievements the same. Given the size of the data set, this ana- This activity draws heavily upon the modelling lytical activity will continue beyond the life of the activities of Dr. Gerald Shively (refer to SEA03), project, and output will be incorporated into Dr and these are being supported by data Ella's WEPP model for an integrated watershed. generation/analysis by other members of this project team. A number of research papers were pre- OBJECTIVE 2 pared for the January 2004 Synthesis Conference, Use these data to simulate and predict soil erosion and these have provided the background for final and sediment yield using a WEPP model for a sub- conclusions on economic and environmental poli- catchment (based on geo-referenced land cover cies for the Philippines. Sharing of data among data) and evaluate the effect of land use changes members within the project team is taking place, on soil erosion and sediment yield using the being further encouraged by the Synthesis WEPP model. Conference, as the benefits of multiple approaches to analysis and use of the data were presented. Achievements The WEPP computer simulation model to be used OBJECTIVE 4 in this project was upgraded based on recent pro- Quantify important environmental services (e.g. C gramming updates done at the National Soil sequestration, nutrient uptake) of key agricultural Erosion Research Laboratory of USDA. Updates systems and use this information as input to policy on breakpoint climate data generation have also planning (e.g. as part of the RUPES project). been incorporated. Additional secondary data needed as inputs for the WEPP model are current- Achievements ly being gathered from various sources. Existing Sampling of tree plots (mainly aboveground, plus developed soil erosion hillslope and watershed some root studies) has taken place, and analysed scale models are continuously being refined to data have been presented in the January confer- take into account additional data obtained at the ence held in Manila. Root and timber samples for sites and in preparation for model recalibration, total carbon have been analysed at the Forest validation and simulation of the effects of land Products Research and Development Institute, Los cover changes. The DEM (Digital Elevation Banos, and modelled predictions compare will Model) for the MSEC site at Mapawa Songco has with actual values for C-sequestration. Some of been developed, for the development and valida- these data are presented in the CABI book men- tion of WEPP, to include TSS and other parame- tioned before, and other data will be combined for ters of water quality. A Masters student (Edward a refereed publication on the topic. Soil samples Lapong, from UPLB, under supervision of Dr Vic collected from the sampled trees are still awaiting Ella) has commenced intensive sampling, and data analyses at CMU, but the data, once derived, will has been inputted into the WEPP model. In aid in the interpretations of nutrient uptake by January 2004 Dr Midmore met with the field trees in an agroforestry system. water quality data collection team, and with Dr Ella and the student, to monitor progress and qual- Other non-environmental services have been pro- ity in data collections and analysis. vided by the moves towards agroforestry in the watershed. Examples of these have been docu-

73 mented by ICRAF. For example, marketing of management practices to mitigate erosion is seeds and seedlings is becoming an additional unique. source of income among tree farm growers in Lantapan. In response to the increasing demand Advances in Capacity Building for seeds and seedlings from visitors, ICRAF con- Some local involvement by TW in the sampling tinues to assist both ATSAL and Landcare farmer- for pesticides has taken place. However, the collectors and growers in drafting guidelines to required methods and costs preclude local partici- ensure fair and equitable marketing and profit pation. Interaction with the water quality monitor- sharing schemes between and amongst the mem- ing workplan has been very useful. Involvement of bers of the two organizations. An initial draft on the TW and the pesticide sampling team in the the sales and marketing of seeds and seedling pro- training on biological assessment in Lantapan con- duce has already been drafted and this will be pre- ducted by Dr Bill Deutsch, 13-14 January 2004, sented to Landcare members during their strategic now allows for combined analyses - for develop- planning workshop by early next year. Institutional ment of correlation tools between biological interactions that may lead to development of poli- assessment and the logistically difficult and finan- cy that promotes sustainable development in cially unaffordable pesticide analyses. upland watersheds have been facilitated through visits to the watershed, by agencies such as: the Advances in Scaling Up IFAD-DAR Northern Mindanao Community The ability to promote environmental stewardship Initiatives and Resource Management Project, across the region will hinge upon our ability to 'get IFAD-DAR Western Mindanao Community the message across'. From now onwards, this will Initiatives Project, IFAD-DA Cordillera Highland occur mainly through written outputs. We will Agriculture and Resources Management Project in continue to write research results and to make Northern Luzon, CARE Philippines Project in Mt. research outcomes available on-line as they are Isarog in the Bicol Region, Catholic Relief published and to use them in outreach activities. A Services - Southeast Asia and the Pacific, Ministry one-year sabbatical in the UK will enable Dr. of Forest and Soil Conservation of Nepal, USAID- Midmore to write extensively. Nepal, Training Centre for Tropical Resources and Conservation Sustainability, EU-DA Upland Advances in Policy Impacts Development Programme of Southern Mindanao, Tying in with the TW, the outcomes of the USAID-EcoGovernance, Davao City Water research have been publicized locally. The data are District, Watershed Management Coalition supporting policy modeling work and will be pre- (Western Visayas Chapter), Provincial Government sented to various policy bodies in the Philippines of Bohol, and a number of LGUs. during project closure. Advances in Research Advances in Environment and Natural It is still too early to determine at what scale land use or land use changes can be correlated with soil Resource Management erosion, sediment yield, and pesticide loads in We have now quantified the extent of C sequestra- waterways, for the correlation analyses have to be tion, and data can be used (a) for further verfica- run. To date, some are under way. The quantification and development of model scenarios, and (b) tion of Carbon sequestered identified the value of to provide the basis for a C credit payment ecological services afforded by certain land use scheme. Sequestration of nutrients lost to annual and crop management practices in the Manupali cropping through leaching has also been quanti- watershed (see paper presenteded at the SAN- fied. Data on the potential benefits of various land REM-SEA Synthesis Conference in January 2004). management practices in minimising pesticide pol- The data continue to accrue, and full conclusions lution of waterways are still being analysed and can only be drawn after completing the ongoing will feed into the formulation of policy directives. field work. Our approach to transect monitoring of

74 Publications Midmore, D. et al. 2005. Carbon Sequestration in Book Chapters Agroforestry Systems, Matching Modelled and Midmore, D., D. Poudel, T. Nissen, A. Daño and Harvest Data. G. Zhu. 2004. Biophysical Outcomes of Planting Annual Crops With Trees and in Rotation With Degree Training Other Species in an Upland Tropical Environment. Edward Lapong, M.S., 2003 - 2004 In Coxhead, I. and G. Shively (eds.) Land Use Changes in Tropical Watersheds: Causes, Consequences, and Policy Options. CABI Press, London, UK.

Other Major Outputs Conference Paper Ella, V. 2004. Simulating Surface Runoff, Soil Erosion and Sediment Yield in Manupali Subwatersheds Using the WEPP Model. Paper presented at Conference on Land Use Changes in Tropical Watersheds. SANREM South East Asia Research Synthesis Conference. Manila, Philippines. January 13 - 14, 2004.

Midmore, D. 2004. Updates on Our Understanding of the Impacts of Land Use and Farming Practices on Biophysical Outcomes in the Tropical Uplands of Mindanao, the Philippines. Paper presented at Conference on Land Use Changes in Tropical Watersheds. SAN- REM South East Asia Research Synthesis Conference. Manila, Philippines. January 13 - 14, 2004.

Proceedings Dano, A. and D. Midmore. 2002. Analyses of Soil and Water Conservation Technologies in Vegetable Based Upland Production System of Manupali. In Proceedings of International Soil Conservation Organisation Conference. Beijing, China. May 26- 30, 2004.

Working Paper Midmore, D. et al. 2005. A Transect Approach to Monitoring Adoption of Erosion Mitigation Practices in a Highland Tropical Watershed.

Midmore, D. et al. 2005. Comparisons Between Land Management Practices in Their Effectiveness in Mitigating Erosion, and Pesticide Contamination of Waterways.

75 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_5

Maintaining Watershed Integrity 3: Water Resource Principal Management and Education Investigator William Deutsch ABSTRACT Bacteriological samples. In addition to The Year 6 activities focused on integrat- monthly monitoring of four rivers in ing our work with that of other SAN- Lantapan, the TW also monitor a site at REM-SEA researchers and NGO partners the MKAVI plantation monthly. Members Co-Principal Investigator to advance Community-Based Water of the TW and Ms. Sid Bagares (SAN- Jim Orprecio Monitoring (CBWM) in the areas of 1) REM) assisted Mr. Rodd Dyer with his field methods and data management, 2) research on watershed management in local group capacity-building and institu- Lantapan. Water sampling with Mr. Dyer tionalization, 3) use of the CBWM model was conducted at 22 sites throughout the for positive policy impacts and 4) spread Maagnao, Alanib and Kulasihan water- of CBWM beyond Lantapan. Particular sheds, 28 September – 3 October 2003. focus was given to development of an Fourteen of the chosen sites had original- online database, connected to the Global ly been established and sampled by Water Watch (GWW) program, for Heifer Project International (HPI)/TW Filipino Water Watchers to enter their between 1994 and 1996 and were chosen water sample data and 2) a Synthesis to represent the spatial variability of live- Monograph on Community-Based Water stock density and production systems, Monitoring (CBWM) projects in five human population and agricultural land countries over a 11-year period. use at the barangay and subwatershed level. Mr. Dyer conducted a short training OBJECTIVE 1 on the use of a flow meter to the TW To build on the extensive database of the members. Samples collected will be ana- community-based water monitors in the lyzed by Mr. Dyer for nutrients and chem- Philippines, develop new sampling meth- icals, TSS (Total Suspended Solids) and ods and efficiently manage and dissemi- fecal coliforms. The results of his nate the water data. research effort with the TW have been used by four other SEA projects: SEA_4 Achievements (Midmore and Ella), SEA_6 (Rola and Coxhead), and SEA_12 (Rola and Dyer). Water monitoring by The Tigbantay The online database for use by communi- Wahig (TW) in Lantapan, the Munong El ty-based water monitors in the group (Maitum, Sarangani Province), and Philippines is functional via CD and is the Magtubo Water Watch group (Bohol planned to be functional online by May Province), with technical backstopping 31, 2004. The WQM (Water Quality from project staff, produced a total of 681 Monitoring) Project Coordinator visited new Total Suspended Solids (TSS) sam- Auburn University last August 20-24, ples, 333 Water Chemistry samples, 95 2003 (at no SANREM expense) and met Stream Discharge/Soil Export measure- with Dr. Bill Deutsch and staff regarding ments, 32 Nutrient samples and 216 procedures for logging water data on-line.

76 A Global Water Watch web page is under construc- within the MKAVI banana plantation area. tion that includes data entry and access and features MKAVI’s Pollution Control Officer assisted the about the SANREM project. group in the monitoring activity. The study of the sustainability and institutionalization of the TW is OBJECTIVE 2 complete. Dr. Rosemary Fernholz completed two To assist CBWM groups in leadership development chapters of the Synthesis Monograph that will com- and technical skills, and work with governmental pare and contrast the TW with other water monitor- and nongovernmental agencies to institutionalize ing groups in Ecuador and the US. There is sustain- CBWM programs after SANREM able support from both NGOs and GOs for watershed monitoring and management by the estab- Achievements lished Water Watch groups in the Philippines and TW members attended Rodd Dyer's workshop on Thailand. the use of a flow meter for measuring stream flow and discharge in September, 2003). A OBJECTIVE 3 Bacteriological Monitoring workshop and commu- To develop and articulate the CBWM model nity-level survey of drinking water was conducted (including group formation, sampling techniques, by HPI staff Trainers as part of the "Let's Help quality assurance, comparability with professional Bohol" (LHB) project and the local Magbalantay sa data and overall usefulness for natural resource Tubig Bol-anon (MagTuBo) monitoring group on management) for positive policy impacts at the 26 November 2003 in Tagbilaran City, Bohol. local, national and international levels. Selected representatives from the Municipal Health Offices and Sanitary Engineers Offices participated Achievements in the training. A bacteriological survey was con- A Synthesis Monograph on Community-based ducted after the training in the municipalities of Water Monitoring (CBWM) projects in five coun- Catigbian, Balilihan and Antequera. The surveys tries over a 11-year period is being finalized. were the first of larger-scale surveys to be conduct- During Year 6, the document was extensively ed in the municipalities of Bohol included in phas- revised with suggestions from the SANREM ME es I and II of the LHB program. The Taglantaw and with a new format and case studies for most Tubig sa Baungon (TATuBa) is a newly formed chapters. Drafts of the document, including a flow Water Watch group in the Municipality of Baungon, chart model of CBWM, were used in numerous Bukidnon. HPI staff conducted a Bacteriological meetings and workshops to communicate the con- Monitoring workshop, followed by a bacteriologi- cept of CBWM to policy makers and potential proj- cal survey in the Barangays of Kalilangan and ect leaders in Thailand, Brazil and Ecuador. The Laculac. The TATuBa group plans to present the document was also presented at the SANREM-SEA results of the survey to the Barangay Councils for Synthesis Conference, Manila (January 2004). possible support in formulating Barangay-level Updated water quality data collected by the TW and ordinances. Bill Deutsch conducted a Stream collated, interpreted, and summarized at AU was Biological Assessment workshop for four sent to Dr. Rola for development of a new Policy Philippines Water Watch groups in January 2004. Brief. In addition to the Water Synthesis Document, Two participants from the Forest Research and summations of our work plan accomplishments are Development Sector of the Department of currently in press in three books: a chapter authored Environment and Natural Resources also attended by Rola, Deutsch, Orprecio and Sumbalan for pub- the bioassessment workshop. A Memorandum of lication in a water policy-related book edited by Understanding has been implemented between HPI Rola; a chapter in the UNESCO-sponsored book and the Mt. Kitanglad Agriventures, Inc. (MKAVI) entitled 'Forests, Water, and People in the Humid to provide assistance for continuation of the TW Tropics' in press with Cambridge University Press; beyond the SANREM project. In addition to the a chapter authored by Deutsch and Orprecio, for regular monthly water monitoring of the TW, the publication in a SANREM SEA edited volume. group conducted monthly water quality monitoring

77 OBJECTIVE 4 new data analyses, for a chapter in the Water To spread and develop CBWM groups outside of Synthesis Document. Lantapan. Social Research: The process of institutionalizing Achievements the CBWM groups has been documented, including Dr. Bill Deutsch, Jim Orprecio and other ways that groups receive local funding and support HI/Philippines staff participated in a series of meet- for their continuation. Dr. Rosemary Fernholz com- ings in northern Thailand on 7 –16 August 2003. pleted a field study of CBWM groups in the The team met with professors and students of Philippines and Ecuador and two chapters for the Chiang Mai University headed by Dr. Yuwadee Water Synthesis Document related to institutional- Peerapornpisal to discuss possible collaboration in ization and group sustainability. The final draft of the CBWM project with CMU (Central Mindanao the Water Synthesis Document, entitled, University), Heifer International and Auburn Community-based Water Monitoring: Global University. On 8 August, the work plan team and Experiences for Practical Programs in Watershed Heifer International/Thailand (HI/T) staff made Management, will be distributed for review in June presentations about the water monitoring activities 2004. in Sansuk Village to several press reporters. This led to a front-page article about the project in the Advances in Capacity Building Bangkok Post newspaper, and other local articles Several workshops were conducted in the report and radio interviews. The HPI International Study period on topics such as stream current measure- Tour brought participants (mainly U.S. donors and ments, water chemistry and bacteriological moni- partners) to Lantapan in January 2004 to see toring and stream biological assessment. demonstrations of water monitoring by the TW. The Monitoring groups in four locations in the establishment of a Global Water Watch network has Philippines and in the Sansuk Village in Thailand allowed new countries/groups to participate and are now able to collect water data themselves and learn from work plan experiences. Representatives are compiling multi-year data sets. Three of the four from institutions in the Ukraine and Argentina vis- Philippine sites have local trainers who assist HPI ited AU to learn about CBWM and expressed inter- and AU personnel in conducting workshops. The est in starting programs in their countries. The TW group of Lantapan will reach their 10th CBWM project has been modeled in Brazil with anniversary of water monitoring in July 2004. All NGO (Christian Children's Fund) support, and a groups have agreed to participate in the Global proposal has been submitted to expand the program Water Watch network of citizen monitors and to be in other states of Brazil with Kellogg Foundation connected to similar groups in Ecuador, Brazil and support. the U.S. Local governmental units have received significant amounts of watershed data from the Advances in Research CBWM groups in every location where the SAN- REM project intervenes. These data have been pre- Biophysical Research: From January through May sented in written and oral forms, with regular input 2004, stream surveys resulted in preliminary evalu- and interpretation from local monitors. The Water ations of simple, biological assessment technolo- Watch groups are committed to data-to-action gies for estimating impacts of pesticides. About 40 strategies which maximize the use of their water files of water data records were received in AU data by LGUs. Pooling resources for development from the Philippines in November 2003 for entry of internet-based databases has helped to strengthen into the Global Water Watch database. These data U.S. based CBWM programs, especially Alabama were combined with data from the nine previous Water Watch. years for a comprehensive analysis of watershed conditions and trends. A summary of water data was prepared for presentation at the SANREM Advances in Scaling Up Conference in Manila in January 2004. The confer- There has been a consistent expansion of CBWM ence presentation was expanded with considerable, groups in the Philippines, with growth of local 78 groups and formation of new groups. Currently, national government efforts to protect and restore there are four active Water Watch groups in the water resources. This manuscript is also currently in Philippines and much of the scaling-up beyond press in a book edited by Rola. Lantapan has been with local government support. Training workshops in water quality monitoring Local Policy: All of the CBWM groups have pre- and group capacity building have been conducted sented their data to local governmental units on a or assisted by local trainers. Through HPI activities regular basis, and this has resulted in the develop- beyond SANREM, a new Water Watch group in ment of local ordinances and natural resource man- Baungon, Mindanao (Taglantaw Tubig Baungon, or agement plans. TaTuBa) has formed. There is strong support among the Heifer/Thailand director and staff for Institutional Change: The CBWM concept has expansion of CBWM in northern Thailand beyond influenced the future plans and formation of an the current group in Sansuk Village, Chiang Rai. International Center for Aquatic Resources and The workshops and meetings conducted there in Agro-Ecology. The SANREM, CBWM project has August 2003 and January 2004 generated interest also influenced the policy and approach of HPI's for new groups among several village leaders. The Agro-Ecology Initiative (with new, AU/HPI MOA Mekong River Program of HPI collaborated with for CBWM work), and CCF's Sustainable Human the work plan, supporting the attendance of repre- Development Program (with new AU/CCF MOA sentatives from Cambodia, Vietnam, Indonesia and for CBWM). China at the workshops and meetings that were held in Thailand in January 2004. Other Southeast Asian Advances in Environment and Natural country representatives of HPI plan to become Resource Management involved in the future and a strategic planning of There is an increasing amount of water and water- CBWM expansion within HPI programs has been shed data at all of the project sites. This information planned for July 2004 at the HPI International has documented the condition and trends of both Headquarters. The establishment of a Global Water surface and drinking water and has resulted in com- Watch (GWW) network has allowed new groups munity action for the prevention of waterborne dis- and countries to learn from our experiences and eases and better use of water supplies. For example, plan for participation and training in CBWM. the bacteriological survey in Sansuk Village, Expressions of interest have been received in 2004 Thailand identified a swine project as being the from the Ukraine, Argentina and Indonesia. A source of E. coli bacterial contamination of a local GWW brochure has been developed in English, river. The villagers and technical support staff of Spanish and Portuguese, and hundreds of copies HPI are designing alternative swine holding facili- have been distributed. A GWW website is made ties and streamside protection, with intentions of accessible by the public in May/June 2004. monitoring bacteria upstream and downstream from the site in the future. Many of the CBWM groups, Advances in Policy Impacts with assistance from HPI, have involved local National and Regional Policy: Dr. Agnes Rola of health officers and other officials in the training and the University of the Philippines, Los Banos, has monitoring activities, with expectations that this spearheaded the interaction with national and will facilitate use of local data in planning and regional policy makers and assessing the influence NRM management. HPI has also assisted the water of Policy Briefs related to this work plan. A new monitoring groups with livelihood projects, includ- Policy Brief, authored by Rola, Deutsch, Orprecio ing the distribution of cattle with training in live- and Sumbalan and based on the most comprehen- stock management. Livelihood projects were inte- sive data set from the AU/HPI work plan, is com- grated with CBWM to enable volunteers to monitor plete. The brief was submitted to a Congressional without sacrificing income. The UNESCO-spon- delegation that is responsible for formulating the sored book entitled "Forests, Water, People in the first Clean Water Act of the Philippines, and may Humid Tropics" (currently in press) includes a influence how local communities participate in chapter about CBWM that is based on the SAN-

79 REM work in Lantapan. The CBWM Synthesis Monitoring in the Philippines and Beyond: A Monograph, based on the experience with CBWM Decade of Investment and Potential. Paper present- projects in five countries over a period of 11 years, ed at Conference on Land Use Changes in Tropical is near completion. This monograph is specifically Watersheds. SANREM South East Asia Research designed for the practitioner of CBWM projects Synthesis Conference. Manila, Philippines. January and will be a resource for advancing participatory 13 - 14, 2004. research, local capacity, scaling up, policy development and natural resource management. Non-Degree Training Workshop Publications Bacteriological Monitoring was attended by 38 per- Book Chapters son(s) and lasted 1 day(s). Deutsch, W. and J. Orprecio. 2004. Community- based Water Monitoring in the Philippines and Introduction to Water Quality Monitoring was Beyond: a Decade of Investment and Potential. In attended by 30 person(s) and lasted 2 day(s). Coxhead, I. and G. Shively (eds.) Land Use Changes in Tropical Watersheds: Causes, Water Chemistry and Total Suspended Solids Consequences, and Policy Options. CABI Press, Monitoring was attended by 37 person(s) and lasted London, UK. 2 day(s).

Deutsch, W., J. Orprecio, A. Busby, J. Bago-Labis Water Chemistry Monitoring Workshop was attend- and E. Cequina. 2004. Community-Based ed by 32 person(s) and lasted 2 day(s). Hydrologic and Water Quality Assessments in Mindanao, Philippines. In Bonell, M. and L. Stream Biological Assessment Workshop was Bruijnzeel (eds.) Forests, Water and People in the attended by 28 person(s) and lasted 2 day(s). Humid Tropics : Past, Present and Future Hydrological Research for Integrated Land and Water Management. Cambridge University Press, Cambridge, UK.

Rola, A.,W. Deutsch, J. Orprecio and A. Sumbalan. 2004. Water Resources Management in a Bukidnon Sub-watershed: What Can Community Generated Data Offer? In Rola, A., H. Francisco, and J. Liguton (eds.) Winning the Water Wars: Watersheds, Water Policies, and Water Institutions. Philippine Institute for Development Studies, Makati City, Philippines.

Books Deutsch, W. and W. Hartup (eds.). 2004. Community-based Water Monitoring, Global Experiences for Practical Programs in Watershed Management. Community Based Water Monitoring Monograph. Auburn University. Auburn, AL.

Other Major Outputs Conference Paper Deutsch, W. 2004. Community-based Water

80 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_6

Policy and Governance 1: Synthesis Volume Principal ABSTRACT lished service industry, such as the dress Investigator Agnes Rola This work integrated lessons learned for shops, the barber/beauty shops, the small the past ten years of the SANREM-SEA eateries and even a furniture shop, which project in understanding the environmen- were not there when the project started in tal impact of economic development in a 1994. Public transport facilities are also Co-Principal Philippine upland village. Panel data on easily available, whereas previously a Investigator land use, technology choices and other motorcycle had to be hired to travel Ian Coxhead farmer practices; and socio-economic around the barangays of Lantapan. characteristics were analyzed to determine agricultural development pathways 2. Land use change appears due to rela- to attain income growth. Study results tive prices, as commercial crops com- revealed that this growth was accompa- mand higher prices than corn. Increasing nied by environmental degradation(i.e. of market access is also a driver of land use water resources). Roles of local institu- change. tions and national policies in balancing economic and environmental trade-offs 3. In the lower watershed (below 1000 were discussed from a watershed manage- masl), more corn farmers planted high ment perspective. yielding varieties in 2002 compared to 1994. Vegetable farmers in the upper OBJECTIVE 1 watershed are using more pesticides than To chronicle the responses of the study before. Organic fertilizers are popular community in terms of land and labor use because of increase in prices for inorgan- and sustainable farming practices to the ic fertilizer and of better technology trans- structural changes brought about by fer. Soil conservation measures are being decentralization and changing trade poli- practiced in the steep slopes. Inputs, such cies as seeds and chemicals, have become more accessible to farmers with the pro- Achievements liferation of farm input distributors in the barangays. Data analysis points to the following findings: 4. Most residents with high educational attainments obtained non-farm employ- 1. A significant structural transformation ment. Consistently with the national pat- has occurred in this upland area during tern, mean educational attainments of the past ten years. Traditional grains pro- males are found to be lower than those of duction is declining, while commercial females. In the lower watershed, mean crops production area are expanding. educational attainments of the native tribe There is a definite movement towards members, the Talaandigs, and of migrants non-farm income employment. New fea- are almost similar; but in the upper water- tures of the economic landscape of the shed, migrants had higher educational barangays (villages) are the newly estab- 81 attainments. In the lower watershed, mean educa- understanding the impacts of farmer decisions on tional attainments of families with small farm sizes the environment. A recent paper (Rola, Coxhead, (less than or equal to 2 hectares) are lower than that Deutsch, Sumbalan, 2002) reports of the relation- of families with higher farm sizes. On the other ship of land use to the water quality and quantity in hand, in the upper watershed, there is no distinct the area. Results from our study were reported back difference in the mean educational attainments of to and validated by farmers during meeting held in the two classes. Therefore, the probability to obtain June 2003. The meeting enabled us to learn more non-farm employment seems to be higher for a about factors driving farmers decisions and about lower watershed resident who is female and has a their perceptions relative to the impacts of econom- large farm size. In the upper watershed, a female ic development on land and water resources. These migrant seems to have a higher probability to land interactions indicated that farmers are very con- a nonfarm job. cerned about soil erosion. In addition, key informants, including local government officials and 5. Population growth rate in this upland village has employees of the National Irrigation slowed down during the past thirty years. Administration, point to the diversion of river water Population growth rate in the lower watershed dur- by plantations as the main cause for the decreased ing the past decade was higher than that in the upper stream flow in the area and for the unvailability of watershed. Migration in the upper watershed has water to rice fields in the dry season. Moreover the stopped due to two national laws (NIPAS and the feedback obtained and our analysis of farmers' deci- IPRA) which are being rigidly implemented at the sions points to the following: 1) Minimal or no local level. Dependency ratio is higher in the upper clearing of forest margins is favorable to the envi- watershed than in the lower watershed. It was ronment. 2) Intensive agriculture in the cleared declining in the lower watershed and remained lands will bring in more soil erosion and negative steady in the upper watershed. environmental impacts of chemical agriculture; 3) Planting perennials will have a positive effect on 6. Data shows that households invest in timber pro- the environment. 4) The effect on the environment duction; given opportunities for non-farm employ- of shifts in labor use from farm to non-farm activi- ment of the population with higher educational lev- ties is ambiguous (impact may be positive if farm- els, this shift to a less labor intensive land use may ers who remain in the household decide to plant be beneficial in the long term. perennials or leave the land fallow, but it may be negative if farmers rent out their farms); 5) 7. These structural changes have brought about Mechanized agriculture in sloping areas can accel- increased household incomes. In 2002, the highest erate soil erosion; 6) Inappropriate use of organic quartile of our respondents had a mean annual fertilizer can have negative environmental effects. income of P 113, 596 (in current prices), 33% of which was from crop income and 54% from the OBJECTIVE 3 nonfarm work. In 1998, this income figure was only To investigate the role of local government in the P52,630 (in current prices) with 46% of income pursuit of sustainable economic development. share in crop agriculture and 53% in non farm work. Mean annual income of all families in our Achievements sample was P19,625 in 1998 and P42, 833 in 2002 (To crosslist with SEA 9 and SEA 11) (both in current prices). Following the training of 61 municipal and provin- OBJECTIVE 2 cial planners in GIS use for policy and planning, the To understand the impacts of these farmer decisions provincial government has pledged an amount of P on the environment 2.5 million for sustainable development activities starting in mid 2004 (and incumbent upon the vic- Achievements tory of the current Governor). Local government Time series data analyses are now available for units of the municipalities involved shared in the costs of the training. 82 Advances in Capacity Building Philippines. In Rola, A., H. Francisco and J.Liguton We have trained 61 municipal and provincial plan- (eds.) Winning the Water Wars: Watersheds, Water ning and development officers in the use of GIS for Policies,and Water Institutions. Philippine Institute planning purposes. The GIS training module was for Development Studies, Makati City. Philippines. developed by Dr. Esteban Godilano. Rola, A., W. Deutsch, J. Orprecio and A. Sumbalan. A Manual for Training on Policy Analysis for 2004. Water Resources Management in a Bukidnon Watershed Management was produced, as request- Sub-Watershed: What Can Community Generatd ed by the officials of the Department of Interior and Data Offer? In Rola, A., H. Francisco and J.Liguton Local Governments, who participated in our train- (eds.) Winning the Water Wars: Watersheds, Water ing. This manual will be used for training local gov- Policies,and Water Institutions. Philippine Institute ernment officials. We have trained potential train- for Development Studies, Makati City. Philippines. ers, including Dr. Antonio Sumbalan and Dr. Vel Suminguit, who can now conduct trainings for local Tabien, C., A. Rola, W. Carada and E. Devibar. groups in Bukidnon. We also provided a copy of the 2003. Linking Research and Local Governance in manual to the training coordinator of the Local Environmental Management: The Experience in Government Academy (LGA) in Manila. Lantapan, Bukidnon, Philippines. In Serrano, R. and R. Aggangan (eds.) Sustaining Upland Advances in Policy Impacts Development in Southeast Asia (Issues, Tools, and While the book has yet to be published, results of Institutions for Local Natural Resource our work and that of the collective SANREM-SEA Management). Los Banos, Laguna, Philippines: research team have already had a policy impact at PCARRD. the provincial level. This is demonstrated by the fact that for two consecutive years, the province of Books Bukidonon has won the Provincial category of the Rola, A., H. Francisco and J. Liguton (eds.). 2004. Clean and Green award. This award recognizes not Winning the Water Wars: Watersheds, Water only effectiveness in combating pollution but also Policies and Water Institutions. Philippine Institute proactive implementation of institutional mecha- for Development Studies, Makati City, Philippines. nisms and policy interventions that promote sustainable development. Other Major Outputs Conference Paper Our close alliance with the key advisor to the Rola, A. and I. Coxhead. 2003. Economic Growth Governor faciitated adoption of our study results. and Upland Resource Management in Southeast We were able to convince the Governor to focus on Asia: Challenges for Policy and Institutional policies that seek to address the trade-offs between Development. Plenary paper presented at the 25th economic growth and environmental sustainability, International Conference of Agricultural by investing in training planners in the towns and Economists. Durban, South Africa. August 16-22, province for capacity building of modern planning 2003. tools. As a follow-up activity, the Governor has pledged P 2.5 million for activities that can be done Rola, A. and I. Coxhead. 2004. Development by these trained staff. Other political allies at vari- Policies, Institutions and the Environment in the ous levels are also expected to contribute to the Uplands of Southeast Asia. Paper presented at funds to modernize planning efforts for sustainable Conference on Land Use Changes in Tropical develoment in Bukidnon. Watersheds. SANREM South East Asia Research Synthesis Conference. Manila, Philippines. January Publications 13 - 14, 2004. Book Chapters Rola, A. and H. Francisco. 2004. Towards a Win- Tools Win Water Management Approach in the Paunlagui, M. and A. Rola. 2004. Policy Analysis

83 for Watershed Management. A Trainer's Manual. Institute of Strategic Planning and Policy Studies. University of the Philippines Los Banos. College, Laguna, Philippines.

Working Paper Rola, A., A. Sumbalan and V. Suminguit. 2004. Realities of the Watershed Management Approach: The Manupali Watershed Experience. ISPPS Working Paper 04-04. University of the Philippines at Los Banos, College, Laguna, Philippines.

Non-Degree Training Workshop Policy Analysis on Watershed Management was attended by 26 person(s) and lasted 2 day(s).

Geospatial Information Systems in Local Governance (1st batch) was attended by 33 person(s) and lasted 5 day(s).

Geospatial Information Systems in Local Governance (2nd batch) was attended by 28 person(s) and lasted 5 day(s).

84 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_7

Policy and Governance 2: Enhancing Local Principal Government’s Role in Environmental Regulation Investigator Dulce Elazegui ABSTRACT EIA/ECC and the role of LGUs in the This workplan reviewed the implementa- process tion of one major environmental regulation in the Philippines, i.e., the Achievements Co-Principal Environmental Impact Statement (EIS) Addressing this objective entailed a Investigator Victoria Espaldon system. This dealt with the process of review of documents on the Philippine Environmental Impact Assessment (EIA) EIA system, e.g. Documents reviewed Antonio Sumbalan and the Environmental Clearance included the Procedural Manual for the Certificate (ECC) required of projects or Department of Environment and Natural undertakings that have environmental Resources (DENR) Administrative Order implications. The workplan looked into No. 96-37, which promotes streamlining the following aspects - policies and pro- the EIS system and public participation in cedures, institutions, and coordination the process. Other policy issuances among stakeholders involved in the EIS reviewed are Administrative Order (AO) system. It examined the role of local gov- No. 42, issued by the Office of the ernment units (LGUs) in the implementa- President in 2002 to further streamline tion of the EIS system and recommended the EIA process and the DENR’s AO No. measures to improve the ECC policy and 2003-30, which provides the implement- governance at the local level. The ing rules and guidelines for AO No. 42. research distilled some lessons and experience in the province of Bukidnon, the Comments and insights of people SANREM study site. To harness a local- involved in the system were obtained ly-based and more meaningful participa- through interviews of key informants. tory EIS system, a policy framework for These included officials or representa- administration and enforcement at the tives from national and regional agencies local level must be improved. This frame- like Environmental Management Bureau work should address constraints such as (EMB) of DENR; from the provincial inadequate understanding of the process, government of Bukidnon, municipal weak involvement by the local govern- planning and development officers and ment and community, and lack of coordi- other municipal officials, and barangay nation among stakeholders. These prob- (village) officials. Representatives from lems are largely due to limited informa- NGOs, POs such as farmers' organization and communication, which calls for tion, and ECC holders were also inter- improved strategies for awareness and viewed. capability building. OBJECTIVE 2 OBJECTIVE 1 To recommend measures to strengthen To examine the implementation of

85 the participation of LGUs in the issuance of ECC information, education, and communication (IEC) and in EIA campaign starting at the barangay (village) level. Local authorities are closest to the people and can Achievements play a significant role in educating and mobilizing Based on the review of EIS policies, the role of their constituents to become more sensitive to envi- LGUs in the EIS system was identified. Through ronmental concerns. IEC must start with efforts to interviews with key informants, enabling and limit- increase awareness on the EIS policy and proce- ing factors relative to participation of LGUs in the dures at all levels. In view of these conclusions, this EIA process were determined. Before finalizing the workplan conducted a discussion forum and orien- report, findings and recommendations were locally tation seminar on these topics. validated by presenting them in a discussion forum with local government officials. The final report has Advances in Scaling Up been issues in two formats, as a working paper and EIA policy in the Philippines is national in scope as a policy brief. An orientation seminar on the EIS but its procedural enactment is locally based. process was also conducted in response to the However, site-specific studies, examining the EIS expressed need of local officials to improving process at the local level, are rarely conducted in awareness of the EIS system. Public involvement the Philippines. Findings from this study will serve depends on the degree to which constituents are as guidelines to improve EIA implementation in allowed to influence the decision making process. other areas. Distribution of policy brief and work- Information dissemination and coordination among ing papers to disseminate the findings and recom- stakeholders are essential conditions. There is a mendations will enhance key stakeholders' aware- strong rationale for local-level efforts, since demo- ness of their role in the EIS process. cratically elected local authorities are the most effective agents of change. Advances in Policy Impacts By using the Bukidnon case, this workplan shows Advances in Research how the Philippine policy on EIA is implemented at The workplan provides research-based findings on the local level by integrating environmental and the opportunities (e.g., legal mandate) and chal- social considerations in the LGU's decisions rela- lenges (e.g., improving capacity) relative to local tive to the regulation of industrial activities. Sharing participation in EIA implementation. Experiences the results of the study with local constituents pro- and views of local stakeholders in Bukidnon served vides them a better understanding and appreciation as inputs to the analysis. The workplan contributes of the EIS policies. The results reinforced the need a set of lessons learned on EIA policies and prac- for policy changes, such as the creation of local tices in the context of a developing country. Data environment and natural resource office, the imple- gathered include information on policies pertaining mentation of local monitoring activities, and the to environmental protection at the national level provision of funding and support to enhance the and at the local (provincial) level; land use data, capacity of LGUs to participate in the EIS process. number of ECCs issued from 1991-2003 by municipality and by type of project in Bukidnon. Advances in Environment and Natural Resource Management Advances in Capacity Building The workplan presents site-specific lessons learned The workplan identified areas where potential for and highlights local initiatives that can improve the local participation in the EIA process is significant EIA system, ultimately mitigating negative envi- but needs to be fully realized. The provisions of ronmental and social impacts of economic devel- policies on the role of LGUs were examined. This opemnt. The need for direct involvement by LGUs analysis identified the specific stages in the ECC and for regular monitoring by local constituencies process where the LGUs are involved, pointing to is emphasized. the interventions needed to enhance such involvement A possible facilitating factor would be an

86 Publications Non-Degree Training Book Chapters Workshop Elazegui, D. 2004. Governance of Water Philippine EIA System was attended by 40 person(s) Resources: Realities and Challenges in the . Philippines. In Rola, A., H. Francisco, and J. Liguton (eds.) Winning the Water Wars: Watersheds, Water Policies and Water Institutions. Philippine Institute for Development Studies. Makati City, Philippines.

Sumbalan, A. and D. Elazegui. 2004. Policy Setting for Participatory Natural Resources Management. In Espaldon, V. et al. (eds.) Participatory Natural Resources Management Resource Book. PCARRD, Los Baños, Laguna, Philippines.

Other Major Outputs Briefs Elazegui, D. 2004. Institutions and Water – The Vital Connections. PIDS Policy Notes, PIDS, Makati City, Philippines.

Elazegui, D., V. Espaldon and A. Sumbalan. 2004. Local Participation in Environmental Regulation. CPAF Policy Brief No. 04-01.

Conference Paper Elazegui, D. 2004. Challenges of Sustainable Agricultural Development in a Southeast Asia Watershed Setting: The SANREM Experience. Paper presented at the International Workshop Towards More Effective and Efficient International Collaborative Research for Sustainable East Asian Agriculture and Rural Development. February 18- 21, 2004.

Working Paper Elazegui, D. and E. Combalicer. 2004. Realities of the Watershed Management Approach: The Magat Watershed Experience. ISPPS Working Paper No. 04-07. University of the Philippines Los Baños, College, Laguna, Philippines.

Elazegui, D., M. Espaldon and A. Sumbalan. 2004. Enhancing the Role of Local Government Units in Environmental Regulation. ISPPS Working Paper No. 04-06.

87 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_8

Policy and Governance 3: Devolution and Social Principal Capital for NRM Investigator Gladys Buenavista ABSTRACT ethnic, economic, and geographic fea- SANREM-SEA’s work in the Philippines tures that might serve as proxies for has provided valuable opportunity to social and economic heterogeneity (two examine the relationship between local key determinants of social capital); and Co-Principal governance and natural resource manage- (c) municipal budget analyses for the last Investigator ment in the context of decentralization as 5 years, identifiying planned and actual Antonio Sumbalan well to implement institutional strength- expenditures on a range of environment Victoria Espaldon ening activities and to enhance local gov- and natural resources activities, such as ernment’s capacity in the implementation "clean and green" initiatives, watershed of its devolved functions. This study protection. Some data collection activi- sought to deepen our understanding of the ties were held up in Year 6 due to late relationship between devolution and release of funds. The final data set is now social capital through an examination of being assembled (May 2004). the interactions between local government and social capital for NRM. Are The analysis strives to identify character- they complementary, or can one substi- istics that predispose a municipality or tute for the other? Using the data collect- community to implement NRM projects ed from the impact evaluation, and com- in a more or less effective manner. Initial plementing them with secondary and pri- results of quantitative analysis point to mary data, we have aimed to provide a three characteristics -- percentage of qualitative and quantitative analysis on indigenous people, ethnic diversity, and how local government could promote or electricity coverage (as a proxy for obstruct the construction of social capital wealth) -- as most important. A greater for NRM at the community level. proportion of indigenous people, and generally ethnic homogeneity, in the OBJECTIVE 1 municipality facilitates consensus build- To analyze the role of local government ing in the decision-making process rela- in the creation of social capital for ENRM tive to NRM projects. Higher level of at the community level. income (indicated by greater electricity coverage) is also associated with better Achievements NRM. With completion of the data set we can now control for other features (such A primary data set on assessment of as heterogeneity in land types). NRM activities in 15 Bukidnon municipalities is being analyzed. This data set consists of (a) a survey of respondents in 15 Bukidnon municipalities, which elicits OBJECTIVE 2 their perceptions and opinions of local To offer policy recommendations on how government activities relating to the envi- local government could promote and sus- ronment; (b) data on each municipality's tain social capital for ENRM. 88 Achievements Formulation of recommendations awaits the completion of quantitative analysis. This will be conducted under non-SANREM funding through the second half of 2004.

Advances in Research The idea of social capital as a 'network of relations of trust and reciprocity' may be an important factor explaining why some jurisdictions are able to make and implement NRM policies, while others are not. Preliminary results are consistent with this hypothesis, though more research-- in particular, controlling for other sources of heterogeneity that might affect the decision-making process-- is required before any definitive statement can be made. We anticipate a more definitive set of results shortly.

89 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_9

Policy and Governance 4: Integrated Fiscal and Principal Environmental Policy Using Spatial and Economic Investigator Ian Coxhead Data ABSTRACT This activity will now continue under This activity combines research on land other funding sources after the end of Co-Principal use by farm and plot with GIS-based data SANREM Phase II. Investigator on propensity to contribute soil and pollu- Agnes Rola tant runoff into streams to create a data OBJECTIVE 2 base for use in the design of local land tax Use results with an existing model (the Antonio Sumbalan policy. Municipalities impose land taxes Manupali Model) to simulate the likely as mandated under the Local Government land use and environmental effects of Gerald Shively Code; tax rates vary by land zoning clas- alternative tax or subsidy rates. Calculate David Midmore sifications. With additional information fiscal implications. on potential environmental damages by location and land use, the existing tax Achievements schedules can be augmented to include Integration with spatial model has not yet premia (or discounts) for land use or soil been completed. We have accumulated conservation practices. This activity is additional data on the nature of local tax- motivated by examples of similar ation systems and options, especially for schemes in the United States, notably, the real property tax, which varies though not exclusively, the widely- according to land use and quality. There is praised conservation land tax in Pepin no explicitly spatial component to this tax Co., Wisconsin system, but it appears from our research that there is no legal impediment to the OBJECTIVE 1 inclusion of spatial data in the setting of Combine existing farm and spatial data to real property tax rates. create a data base of land use by ecological zone. This activity with continue after formal project completion. See information Achievements under Objective 3. Georeferencing of farm survey sites in the landscape was delayed until April 2004 OBJECTIVE 3 due to late release of funds from USAID, Assess the relative merits of zone-based and georeferencing was completed only interventions designed to achieve target in May 2004. We now have a database environmental outcomes subject to fiscal that links the location, slope and size of constraints. each plot inthe sample to geographic information such as roads, rivers, slope of Achievements the landscape, population centers and so Findings in reported in Coxhead and on. 90 Demeke (2004) indicate that substantial changes in the national policy community. A more formal ver- agricultural land use in uplands may result from sion of the paper is to be presented as a Principal policy changes at national level. Corn area planted Paper at the annual meetings of the American in uplands, for example, could contract by as much Agricultural Economics Association in Denver CO, as 6.5 percent (more than 200,000 ha nationally) in August 2004. under trade policy reforms designed to bring the Philippines in compliance with WTO rules on agri- Advances in Research cultural trade barriers. Wage rises associated with We have made substantial advances in the compo- expansion of labor-intensive industries could have nents of the analysis: quantification of land use similarly large effects. These findings, if robust, response parameters, identification of tax policy create considerable 'space' for local initiatives in instruments, validation of general apporach with land use and management. Philippine research and policy community.

These findings help us to parameterize a model of Delivery of final research outputs hinges on pro- land use responses to policy interventions. Since cessing the (delayed) spatial data, which is part of farmers are assumed to maximize net revenues Bayou Demeke's Ph.D. dissertation. This work will from each operation (corn, vegetable, fallow), be completed under other funding sources follow- changes in land taxes that are specific to activities, ing the end of SANREM Phase II. rotations, or conservation methods are seen to be likely to be influential in determining land uses. Advances in Scaling Up This motivates a tax system analogous to that As it is the case for other SANREM-SEA research, applied for a time in the U.S., under which farmer our findings are now circulating in the national participants in federal income and price support level research and policy community. Our research schemes (e.g. for corn) were required in several indicates potential broader implications of findings states to submit erosion-minimizing land use plans, established at the local level, e.g. on land use the benefits from the support scheme being contin- responses to crop price changes. gent on compliance with these plans. Advances in Policy Impacts Coxhead and Demeke (2004) have shown that Limited advances so far, at local level; greater farmers in our Philippine study site are responsive impact will come with the completion of the analyt- to such market-based instruments. ical tax policy model. This work is now advancing since we have obtained the required spatial data. OBJECTIVE 4 Disseminate research findings among Philippine policy and research community. Advances in Environment and Natural Resource Management Achievements Expected impacts include greater efficiency and Initial econometric and policy results presented at equity in the design and implementation of local the SANREM-SEA Synthesis Conference held in real property taxes. Expansion of these taxes to Manila in January 2004. A working paper was com- include environmental values, analogous to U.S. pleted by May 2004 and circulated among schemes linking environmental conservation to par- Philippines researchers for comment and feedback. ticipation in federal price and income support programs. While this type of scheme may be still 'over A revised and improved version of the analysis is the horizon' in developing-countries, we expect our circulating in working paper form in the Philippine work to indicate what might be feasible in those agricultural policy community. A shorter version in contexts. non-technical language is under preparation for publication in the PIDS newsletter Development Major Outputs Research News, which has wide circulation within Conference Paper

91 Coxhead, I. 2004. Economic Incentives for Land Use Change: Evidence from Lantapan. Paper presented at Conference on Land Use Changes in Tropical Watersheds. SANREM South East Asia Research Synthesis Conference. Manila, Philippines. January 13 - 14, 2004.

Coxhead, I. and B. Demeke. 2004. Panel Data Evidence on Upland Agricultural Land Use in the Philippines: Can Economic Policy Reforms Reduce Environmental Damage? Paper presented at the American Agriculture Economics Association Meetings. Denver, CO. August 2-4, 2004.

Working Paper Coxhead, I., and Demeke, B. 2004. Soil Erosion in the Philippines: Do Government Policies Matter? To be published in PIDS Development Research News, 2nd or 3rd quarter 2004.

Degree Training Gregg Clark, M.S., 2001 - 2003 Brian Wiley, Ph.D., 2001 - 2006

92 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_10

Polciy and Governance 5: National Dissemination and Principal Advocacy to Policy Makers and Legislators Investigator Jennifer Liguton ABSTRACT and especially the enabling and hindering This is SANREM-SEA's primary channel conditions. The case studies focus on four for bringing research results to legislators watersheds, respecively those of the Co-Principal and their advisors/staffs in the Magat, Pangil, Maasin, and Manupali rivers. We have developed a conceptual Investigator Philippines. These efforts are largely Dulce Elazegui focused on issues relating to water framework to be used for in the analysis resources management and policy. of these case studies and completed Agnes Rola During Year 6, the project emphasized research and analysis. promotion and advocacy relative to the watershed approach in the direction of The papers have been finalized and high- water resources planners and managers. lights extracted for presentation during These efforts build on studies on water regional fora. We have packaged informa- resource management conducted during tion kits that contain handouts about Years 4 and 5, which pointed to the need watersheds, including definitions, illus- to address the country's water scarcity trations, and layman versions of the case problems in the context of a watershed studies. These kits will be distributed dur- unit. To achieve its goal of promoting ing the fora as well as disseminated to the watershed-based approaches amongst media and other concerned parties. national and local decisionmakers and Materials contained in the kits are also legislators and of helping them under- being revised and repackaged as an stand how to implement such approach in Economic Issue of the Day release. water resources planning and management, the workplan team embarked on a In collaboration with PCARRD and the number of dissemination and advocacy Philippine Watershed Management activities,including case studies which Coalition (PWMC), a nationwide advoca- were then presented before audiences in cy coalition, we have finalized arrange- various provinces in the country. ments for a series of regional fora to be held in May 2004 (Los Baños, Laguna on OBJECTIVE 1 May 14, Iloilo City on May 24, and To raise the level of consciousness of the Davao City on May 26). Academics, gov- public on the importance of watersheds ernment officials, NGOs, cooperatives, and their protection to ensure the quality media representatives, and public and pri- and supply of water. vate sector operators involved in water resource management have been invited Achievements to these fora. We have identified four case studies that Press releases have been drafted and will be analyzed to illustrate the opera- dsitributed, addressing issues such as tionalization of the watershed approach,

93 watershed management and water pricing policy. A and local cooperation, reviewing of water tariff special issue (March-April 2004) of the PIDS pub- structures and the existing institutional framework lication Development Research News (DRN), for the management and governance of water including selected papers presented at the SAN- resources, establishing tradable water rights for REM Synthesis Conference in January 2004, has competing water uses, and strengthening river been prepared and is in press. basin/watershed organizations.

OBJECTIVE 2 The team also presented the watershed approach To push for the adoption of a watershed-based before a joint session of the PIDS-Congressional water management strategy. Planning and Budget Department (CPBD) at the House of Representatives, which includied various Achievements technical committees at the House (the Committee A book containing the four papers originally pre- on Environment and Natural Resources, and techni- sented in the August 2002 Water Policy Forum, as cal staffs of the CPBD). Also present were key offi- well as five additional papers written to comple- cials of the major players in water resource management and validate the findings, is almost completed ment, such as the DENR, National Water Resources and targeted for release in mdi-2004. The book con- Board, National Irrigation Administration, National tains 9 chapters and an epilogue, and highlights rec- Power Corporation, Department of Agriculture, the ommendations that have been presented to Forest Management Bureau and Environment policy/decisionmakers in both the executive and Management Bureau of the DENR, Laguna Lake legislative branches of government. Development Authority, the Metropolitan Waterworks and Sewerage System (MWSS) and the Among the recommendations that emerged from Local Water Utilities Administration. Likewise in the book was the need for case studies that exempli- attendance were representatives from the private fy the operationalization of watershed management water distribution concessionaires for Metro approaches in different settings and identify poten- Manila, the Maynilad and Manila Waters. The pres- tial constraints to its successful implementation. A entation and discussions proved to be timely since good opportunity for outreach and advocacy was the Clean Water Act has just been signed and prepa- offered by the process of planning for the National rations for the drafting of the Implementing Rules Water Forum held in March 2004 and sponsored, and Regulations (IRR) for the Act are underway. among others, by the DENR, the National Water Resources Board, the National Economic and OBJECTIVE 3 Development Authority (NEDA) and other relevant To continue to bring to the attention of concerned water-related agencies. By virtue of its collabora- parties the existing institutional constraints that hin- tion with the Philippine Watershed Management der the effective and efficient management of water Coalition, team members were able to participate in resources. the preparatory committees tasked to draft position papers on water management. The papers served as Achievements basis to develop an agenda that was presented to the This issue was raised and explored during the pres- DENR secretary and to the President of the entation at the House of Representatives mentioned Philippines. under Objective 2. It was also discussed during the preparatory committee meetings for the National Foremost among the team's recommendations was Water Forum, pointing to the need for an assess- the need to address water resource management in ment of the existing institutional setup to improve the context of integrated watershed management management of water resources. A Policy Note on The project team also concurred with other points the link between institutional arrangement and raised during the planning meetings, including water resource management was completed. valuing water as an economic good, whose price Recommendations for reforms that local govern- must reflect its scarcity value, increasing national ment officials may consider to ensure a sustainable

94 management of local water resources were also pro- ect of the DILG will be part of a regular information duced before and during regional fora. dissemination program to all LGUs in the Philippines. OBJECTIVE 4 To endorse the formulation of an appropriate water Advances in Policy Impacts pricing policy based on an optimum allocation of Our contribution to the discussion surrounding uses for water resources. water governance and management issues and our insights concerning the operationalization of the Achievements watershed approach to water resources manage- See Objective 2. ment are our most prominent accomplishments. The presentation at the House of Representatives and OBJECTIVE 5 participation in the preparatory committees of the To advocate for reforms in certain provisions of the National Water Forum brought the recommenda- Local Government Code that would strengthen the tions that emerged from SANREM research to bear role of local government units in environmental upon the country's water policy agenda in the coun- governance, including in the management of water try and upon a legislative bill's implementing rules resources. and regulations for the Clean Water Act.

Achievements Advances in Environment and Natural See Objectives 2 and 3. Resource Management This activity's recommendations in terms of the Advances in Research national water policy agenda and the IRR for the The four case studies detail the challenges and Clean Water Act are expected to generate greater opportunities of operationalizing the watershed commitment to and more focused operationaliza- approach and identify factors that can either enable tion of the watershed approach as well as a closer or hinder its implementation in similar settings. cooperation between local and national government agencies and grassroots groups in water gover- Advances in Scaling Up nance. The four case studies were presented in various regional for a, i.e., Los Baños, Iloilo and Davao and Major Outputs were translated into popular versions (to be printed Briefs in the magazine of the nationwide PWMC and in a PIDS. 2004. Watershed Definition and forthcoming issue of the PIDS' Development Explanations. PIDS Economic Issue of the Day. Research News). A book containing a set of studies Philippine Institute for Development Studies on water resources management (both from the sup- (PIDS). ply and demand aspects), with focus on the watershed-based approach, is due for release in the mid- Rola, A. and G. Shively. 2004. Selected Papers 2004. Its key recommendations have been put for- from SANREM Southeast Asia Research Synthesis ward in various meetings and committee interac- Conference. Development Research News, March- tions and in press releases. April 2004. Philippine Institute for Development Studies (PIDS). Documentation about the experience of the Water Watch group, Tigbantay Wahig, and other SAN- Conference Presentations - Other REM activities was submitted to the Department of Contreras, A. 2004. A Win-Win Water Management Interior and Local Government (DILG) for possible Approach in the Philippines. Presentation at the inclusion in its synthesis of best practices of local Lower Legislature and Regional Fora. Philippine and community experiences in water resource gov- Institute for Development Studies (PIDS). ernance. The "best practices" documentation proj-

95 PIDS and PCARRD. 2004. The Realities of the Philippine Institute for Development Studies Watershed Management Approach in the (PIDS). Philippines. Presentation at the Lower Legislature and Regional Fora. Philippine Institute for Rola, A. and A. Sumbalan. 2004. Realities of the Development Studies (PIDS). Watershed Management Approach: The Manupali Watershed Experience. Philippine Institute for General Information Development Studies (PIDS). PIDS. 2004. Press Release: Study Proposes New Pricing Scheme for Water. Philippine Institute for Development Studies (PIDS).

PIDS. 2004. Press Release: DENR Urged to Set Clear Rules in Using Watershed Approach in Managing the Country's Water Resources. Philippine Institute for Development Studies (PIDS).

PIDS. 2004. Project Folio: Compilation of Previous Publications Related to the Water Resources Management Project. Philippine Institute for Development Studies (PIDS).

PIDS. 2004. Four Fliers on Local Watersheds. Philippine Institute for Development Studies (PIDS).

Tools PIDS. 2004. Printed Information Kit with a Watershed Photo that Shows 2 types of Watersheds: A Sustainable One and Degraded One. Philippine Institute for Development Studies (PIDS).

Working Paper Contreras, A. 2004. Community-led Watershed- based Water Resources Management: The Case of Balian, Pangil, Laguna. Philippine Institute for Development Studies (PIDS).

Contreras, A., F. Herminia and A. Rola. 2004. Framework of Analysis for Case Studies. Philippine Institute for Development Studies (PIDS).

Francisco, H. 2004. Synthesis of the Case Studies: Lessons Drawn. Philippine Institute for Development Studies (PIDS).

Francisco, H. and J. Salas. 2004. Realities of Watershed Management in the Philippines: The Case of the Iloilo-Maasin Watershed Management.

96 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_11

From Project to People: SANREM SPADEwork Principal (Synthesis, Packaging, Dissemination, Advocacy, Investigator Dissemination, Etc.) Victoria Espaldon ABSTRACT Geographic Information Systems (GIS) trainings for 61 municipal and provincial The SANREM-SEA project has made Co-Principal significant progress in ensuring that planners were conducted to enhance the Investigator research results are packaged and dissem- capacity to plan and manage natural Romala Aggangan inated to appropriate audiences. However resources of planning and development as more research outputs were delivered officers of provincial and municipal gov- N. Llemit in Year 5, the project faced the challenge ernment. Training modules for farmers of developing an innovative strategy to and agriculturists and participatory natu- Vel Suminguit reach a wider and more diverse set of ral resource management resource book Agnes Rola information users, especially at the com- for extension and academic institutions were also completed. The team also munity, municipal and provincial levels. Alexander explored collaboration with projects and We conducted activities that a) led to the Tabbada creation of an IEC strategy, b) strength- organizations such as the USAID-funded ened capacities for environmental deci- ECOGOVERNANCE. However, we Jose Arnaces sion making among communities, gov- were only able to conduct initial meetings ernments and academic institutions and c) with the management. Although ECO- L. Ledres assessed the effectiveness of our IEC GOVERNANCE showed initial interest activities Project to people: SANREM with PLLA, there was not enough time L. Razalo SPADEwork (Synthesis, Packaging for it to materialize as they are also on Dang Thanh Ha Dissemination, Advocacy, Dissemination, their last year of implementation. Etc.) Highlights of the workplan was the Pham Hung Duoc development of an IEC strategy that tar- OBJECTIVE 1 Phuoc getted various audiences. The strategies To develop and implement a coordinated implemented included the launching of IEC strategy designed to enhance the dis- Antonio Sumbalan the School on Air (SOA) and graduating semination of SANREM results; 33 farmer-participants. SOA ran from February 8-April 8, 2004. Farmers Achievements Technology Forum, calendars (exhibiting 1. The SPADE work team prepared an results of 9-year price and production pat- integrated IEC strategy directed at tern observation), and use of "warik- enhancing media linkages, technology warik", a four wheel vehicle that goes extension, development of curriculum around remote areas to sell fish and other materials and capacity building of local basic goods, as a carrier of development government professionals, teachers, agri- and environmental messages, are some of cultural extension workers and farmers. the strategies used to disseminate the out- 2. The SCO and PCARRD organized and puts of SANREM-SEA at the municipal facilitated media coverage of SANREM and community levels. A series of activities in the site, and the distribution

97 of IEC materials produced under this specific work- 2. In support to the joint SANREM-ICRAF-LGU plan and other SANREM publications. The School environmental awareness campaign, key messages on Air (SOA) was designed in a magazine program and slogans on agroforestry, soil and water conser- format and was launched last Feb 8, 2004. The one- vation and environmental protection were formulat- hour program included recorded radio spots on sus- ed and pre-tested together with the SANREM-SEA tainable agriculture and natural resource manage- Site Coordination Office. These were printed in ment. Topics included soil and water conservation, streamers and mounted on the sides of pick up agroforesty systems, and integration of livestock, trucks used by mobile fish vendors in Lantapan particularly goat raising in evolving agroforestry who are participants in the “Fish Vendors on systems. Of the initial 56 participants, 33 complet- Wheels for the Environment” project, an innovative ed the course (12 women and 11 men). The gradua- way of presenting environmental messages to tion ceremonies was conducted on May 18, 2004 at remote communities that are hardly reached by the Songco Barangay Hall in Lantapan in time with the regular extension system. culminating activities for the SANREM 10-year program. 3. The team sponsored a Farmers Technology Forum last January 27, 2004. The activity aimed to 3. Technology extension was conducted through a disseminate research results, to respond to farmers’ Farmers Technology Forum by Central Midnanao queries; and to facilitate interaction between farm- University and NOMIARRC-RACO. Training ers and researchers. With over a hundred partici- modules for farmers were also developed by pants (about half of which were farmers), the forum ICRAF. focused on meeting information needs that had been identified during the technology and informa- 4. The participatory Natural Resources tion needs assessment (TINA) conducted in July Management Resource Book for teachers and 2003. These information priorities were: Integrated extension workers was completed. In connection Pest Management (IPM), soil nutrient management, with this, a training course for teachers and exten- financing and marketing, agroforestry based farm- sion workers was conducted in Nong Lam ing system, soil erosion control system and animal University In Vietnam, May 2004. management. Participants were farmers, development faciltiators, barangay officials and agricultur- 5. A series of training of provincial and municipal al technicians. Resource institutions that participat- planners on GIS use for policy and planning was ed included ICRAF, DENR, DA, HPI, LGU, conducted by UPLB-ISPPS. MKAVI, NOMIARRC, CMU and BIDANI, Northern Mindanao Producers Association OBJECTIVE 2 (NORMINVEGGIES) and Quedancor (a govern- To disseminate SANREM community based action ment entity for credit/financial support.) research/extension activities lessons and achievements to wider communities of farmers and 4. The SPADE team with SCO produced a calendar resource users/managers; with price and production patterns for different crops in Lantapan. The calendar showcased the Achievements results of a 9 year study by Dr. Agnes Rola and her 1. An interagency IEC team was organized in collaborators. About 300 copies of calendar were October 2003. Composed of representatives from printed. The calendars were distributed to farmers, SANREM-SEA SCO, ICRAF, CMU and Lantapan technicians, and facilitators who participated in the LGU, the team reviewed available IEC materials, 2nd Lantapan Farmers’ Technology Forum on which included flip charts, training modules, January 27, 2004, and to over 50 farmer-respon- leaflets and brochures. The team identified materi- dents in the recent farm surveys conducted by the als that can be improved or reproduced and GIS team. designed appropriate and gender-sensitive resources.

98 5. The SOA was conducted in partnership with OBJECTIVE 3 ICRAF, HPI and the LGU of Lantapan. It aimed to To produce research based materials for use by uni- enhance the knowledge, attitude and practice of versity level programs locally and in Vietnam; farmers in soil and water conservation and agroforestry systems, and facilitate integration of ani- Achievements mals, particularly goat raising in evolving agro- 1. On April 18-22, 2004 in Tagaytay, Philippines, a forestry systems. Recorded radio spots on sustain- writing workshop on participatory natural resources able agriculture and natural resource management management was conducted. The primary objective are played during the SOA. of the workshop was to develop a draft of the Participatory Natural Resources Management The Agricultural Technicians (AT) from the Training Module and Resource Book. Nine SAN- Municipal Agriculture Office of Lantapan moni- REM scientists and researchers were invited to con- tored the SOA students as they collect from them tribute to the book. The Resource Book consisted of the answer sheets for the weekly evaluation/quiz. 9 chapters: Chapter 1. The state of the environment; The ATs, and 2 Landcare Volunteers from ICRAF Chapter 2. Sustainable development and participa- helped SANREM-SEA staff in the listing, selection tory natural resources management; Chapter 3. and enrolment of SOA students. Initially, 56 were Participatory natural resources management and its enrolled in the program, but eventually 33 partici- process; Chapter 4. Participatory Landscape pants graduated. Lifescape Appraisal; Chapter 5.The use of geographic information system (GIS) in participatory The SOA ran for 8 weeks and broadcast schedule natural resources management; Chapter 6. was every Saturday and Sunday at 5-6 pm. Community organizing and resource mobilization; Assistant Development Communication Specialist Chapter 7. Participatory monotoring and evaluation Lulu Valdez hosted the program with one Subject tools; Chapter 8. Legal bases for participatory natu- Matter Specialist from World Agroforestry Centre ral resources management; and Chapter 9. (ICRAF) or Heifer Project International (HPI). Communicating and upscaling experiences. The Resource Book is now complete and ready for 6. The use of "warik-warik" or the fish vendor on printing. parts of the Resource Book were translat- wheels disseminated development and environmen- ed into Vietnamese and used as lecture materials for tal messages in remote areas of Lantapan. a training on participatory natural resource manage- Pretesting of the messages for this activity among ment in Vietnam. Lantapan farmers has been done through the help of ICRAF. Appropriate revisions were made based on 2. On May 11-15, 2004, a training workshop on par- pretest results. The Market Administrator of ticipatory natural resource management was con- Lantapan facilitated our link with the mobile ven- ducted in Nong Lam University (NLU) in Vietnam. dors. An example of a message: "Salamat mag- Thirty-four participants (9 women and 25 men) uumang higala sa kinaiyahan ka nag-amuma" from the Faculty of Economics of NLU, extension (meaning: "Thanks to you our farmer friends for workers of the National Center for Extension, agri- taking care of nature"). Messages were written in cultural extensionists, and local government offi- streamers and mounted to the "warik-warik" or fish cers attended the course. Course topics included: 1) vendors' trucks. State of the Global Environment: Focus on 7. News releases were also prepared by the IEC Southeast Asia; 2) Sustainable Development: The Team to disseminate the activities under the SPADE Philippine Strategy; 3) Global Threats to project, thus, adding to public awareness on local Environemntal Sustainability ; 4) Vietnam State of initiatives. Two SANREM-SEA press releases the Environment; 5) Vietnam Legal Framework for made it through radio station DXDB and local the Environment; 6) Participatory Natural newspaper, Central Mindanao Newswatch. Resources Management with cases highlighting the Bukidnon experience; 7) Participatory Landscape- Lifescape Appraisal (PLLA) (with a presentation of

99 Vietnam PLLA results), 8) Participatory Publications Monitoring and Evaluation, and 9) Communication Books Skills in Natural Resource Management. SAN- Espaldon, V. (ed.). 2004. Participatory Natural REM-SEA researchers (Espaldon and Magsino) Resource Management Resource Book. SANREM and faculty from the Faculty of Economics of Nong CRSP SEA. PCARRD, Los Baños, Laguna, Lam University served as resource persons. Dr. Philippines. Buic Tuyen, Rector of Nong Lam University also participated and served as a lecturer. Espaldon, V., D. Ha, P. Phuoc, N. Thuy, L. Du, L. Thong, P. Hung and A. Magsino. 2004. Challenges OBJECTIVE 4 on Sustainable Agriculture and Natural Resources To strengthen GIS capacity of the Province of in Vietnam Uplands: A Case Study. SEAMEO- Bukidnon SEARCA, SANREM, PCARRD and USAID. College, Laguna, Philippines. Achievements UPLB-ISPPS conducted the training of 61 munici- Other Major Outputs pal and provincial planners in GIS use for policy Briefs and planning. Following this training, the provin- Cai, H. 2003. Participatory Agricultural and cial government has pledged an amount of P2.5 Forestry Extension Approach: An Alternative million for sustainable development activities start- Approach to Address Needs of Sustainable ing in mid 2004. Local government units of the Agriculture and Natural Resources Management in municipalities involved shared the costs in the the Uplands of Vietnam. SANREM CRSP SEA and training (see also in SEA_9 and SEA_6). The GIS Nong Lam University, Vietnam. PCARRD, Los module was developed by Dr. Steve Godilano. Baños, Laguna, Philippines.

OBJECTIVE 5 Du, L. D. Ha, P. Phuoc, L. Thong and M. Espaldon. To assess the effectiveness of the IEC using an 2003. Soil Erosion: Causes or Consequences? agreed upon set of indicators and instrument SANREM CRSP SEA and Nong Lam University, Vietnam. No.2., PCARRD, Los Baños, Laguna, Achievements Philippines. The team developed a pre-and post Knowledge, Attitude and Practice(KAP)evaluation instrument Giang, P. 2003. Can Forestland Allocation Policy to determine the effectiveness of the IEC strategy. Succeed Without the Participation of Local People? For the School on Air, the assessment was complet- SANREM CRSP SEA and Nong Lam University, ed with 33 participants completing the course. Pre- Vietnam. No.4., PCARRD, Los Baños, Laguna, KAP evaluation was completed and is being written Philippines. up. The post-KAP evaluation has not been conducted due to budgetary constraints. Ha, D. and V. Espaldon. 2003. Sustaining Rural Livelihoods and Environment: The Need to Assist Advances in Research Resource Poor Farmers in the Upland Cope with Changes in Market Prices. SANREM CRSP SEA No research was done except for archiving and and Nong Lam University, Vietnam. No.3., PCAR- examining existing documentation of NRM prac- RD, Los Baños, Laguna. tices in the Philippines and in selected areas in Vietnam. These were used as examples in the train- Nhat, T. 2003. Women and Rural Development. ing modules and the Resource Book on participato- SANREM CRSP SEA and Nong Lam University, ry natural resource management. Vietnam. No.5., PCARRD, Los Baños, Laguna, Philippines.

100 Ut, T. 2003. Speed Up or Go Slow Policy: Water General Information Intervention In Bac Lieu Province, Mekong Delta. Espaldon, V., D. Ha, P. Custodio, S. Veluz and A. SANREM CRSP SEA and Nong Lam University, Magsino. 2004. Challenges for Sustainable Vietnam. No.6., PCARRD, Los Baños, Laguna, Agriculture and Natural Resources Management in Philippines. Vietnam Uplands: A Case study. PCCARD, SAN- REM, USAID. A Video Documentation. 20 mins. Conference Paper Espaldon, V. and L. Florece. 2003. Impact of Proceedings Globalization on the Environment and Local Espaldon, V., D. Ha and L. Thong. 2003. Institutions in the Philippines. Paper presented at Globalization and Transition from Subsistence to the Open Science Meeting on Human Dimensions High Input Agriculture in Southeast Asia: Selected of Environmental Change. Montreal, Canada. Communities in the Philippines and Vietnam. October 2003. Proceedings of the International Conference on Local Land Use Strategies in a Globalizing World. Magdato, Jr., F. 2004. Capability Building for Institute of Geography, University of Copenhagen, NRM: The Participatory Landscape Lifescape Denmark. August 2003. Appraisal (PLLA) Training on the Communities in Bukidnon. Paper presented at Conference on Land Tools Use Changes in Tropical Watersheds. SANREM Godilano, E. 2004. Training Module on GIS for Use South East Asia Research Synthesis Conference. in Policy and Planning. SANREM, PCARRD and Manila, Philippines. January 13 - 14, 2004. USAID.

Rebancos, C., V. Espaldon, and A. Custodio. 2004. Non-Degree Training Impact Assessment of SANREM's Training Program On the job training on Participatory Landscape-Lifescape Appraisal School on Air was attended by 33 person(s) and (PLLA) for Community Based Resource lasted 56 day(s). Management in the Municipalities of Lantapan and Valencia, Bukidnon. Paper presented at Conference Participatory Natural Resources Management was on Land Use Changes in Tropical Watersheds. attended by 34 person(s) and lasted 5 day(s). SANREM South East Asia Research Synthesis Conference. Manila, Philippines. January 13 - 14, Workshop 2004. GIS was attended by 61 person(s) and lasted 10 day(s). Suminguit, V. and D. Tabbada. 2004. Technology Information Needs Assessment Among the Farmers Visual Graphics was attended by 1 person(s) and of Lantapan Bukidnon. Paper presented at lasted 5 day(s). Conference on Land Use Changes in Tropical Watersheds. SANREM South East Asia Research Synthesis Conference. Manila, Philippines. January 13 - 14, 2004.

Tabbada, D., V. Suminguit and L. Valdez. 2004. Information, Education and Communication Strategy for SANREM Southeast Asia. Paper presented at Conference on Land Use Changes in Tropical Watersheds. SANREM South East Asia Research Synthesis Conference. Manila, Philippines. January 13 - 14, 2004.

101 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) SEA_12

Environmental Studies 1: Economics and Principal Environmental Effects of Intensive Livestock Investigator Agnes Rola Operations in Lantapan ABSTRACT ronmental policy instruments and waste management options. Key areas relating A short-term study was conducted to Co-Principal to policy impacts include exploring address environmental issues relating to Investigator livestock intensification in the province of changes in spatial distribution of livestock Rodd Dyer Bukidnon, The Philippines. Provincial development between urban and rural and municipal policy makers and planners areas, relative responses of small-holder required information regarding livestock and commercial enterprises and ability to impacts on water quality, benefits and simulate changes in environmental water costs associated with livestock intensifi- quality resulting from changes in the live- cation and, the effectiveness of environ- stock sector. mental policy instruments and land use guidelines to achieve sustainable growth OBJECTIVE 1 in livestock production. During Year 6, Within four Manupali sub-watersheds: this workplan has achieved the following Quantify the relationship between live- results: 1) Development of a model stock type, density, system and manage- framework to evaluate the potential envi- ment and (a) stream quality and (b) farm ronmental impacts of intensive livestock nutrient balance operations on stream water quality in Lantapan. A best sub-set multiple regres- Achievements sion model incorporated land use area Livestock and human sources can both data, livestock, poultry and human popu- potentially contribute to faecal contami- lation density variables and, stream water nation and nutrient pollution of streams, quality results to identify contributing while agricultural land-use in upland causes of nutrient loss, faecal contamina- areas causes erosion and nutrient loss to tion and other water quality parameters at water bodies. A simple best sub-set multi- a sub-watershed scale; 2) Development of ple regression model has been developed the spatial application of a crop-livestock to incorporate land use area data with nutrient balance model (NuFlux) to quan- livestock, poultry and human population tify barangay level nutrient supplies and density variables to identify contributing demands, and evaluate economic and causes of nutrient loss, faecal contamina- environmental costs and benefits relating tion and other water quality parameters at to the utilisation of livestock manure the sub-watershed scale. This model has under current and future intensification required the novel integration of agricul- scenarios; 3) Development of an optimi- tural, livestock and population census sation modelling framework and a mathe- data, remotely sensed land use classifica- matical programming model that, once tion layers, and stream water quality adapted, can enable evaluation of envi- results at a sub-watershed scale, and has

102 relied heavily on spatial data utilisation and analy- variation between sites and seasons and remained sis within a GIS framework. less than 5 mg BOD/litre, well within minimum standards set by DENR. To facilitate the calibration of the watershed model, stream water sampling was undertaken from twen- A range of activities were undertaken to develop ty two sites within the Maagnao, Alanib and spatial data layers of land use and livestock and Kulasihan sub-watersheds during high (October human population densities within sub-watershed 2003), and low (April 2004) stream flow periods. boundaries. Household level Census of Agriculture Final stream sampling are being completed by May (CAG) data for 1991 and 2002 (preliminary data) 2004 (mid-stream flow), therefore only preliminary was recently received from the National Statistics observations are presented. Laboratory analysis Office (NSO) for the municipality of Lantapan. was completed for twenty-eight chemical, nutrient, Data for over 8,200 households were configured physical and bacteriological water quality parame- within a relational database and data summaries and ters. Results to date suggest Total Suspended Solid aggregation to barangay level undertaken. Data (TSS) levels were strongly correlated with Al, Cr, summaries were linked to barangay boundary map Cu, Fe, Mn, Zn and total P concentrations (p > data provided by NSO, for display and further spa- 0.75). Parameters such as biological oxygen tial analysis in ArcView GIS. demand (BOD) faecal coliform (E.coli) levels and ammonia (NH4-N), often associated with livestock, The spatial location of all twenty-two stream sam- and-or human sourced faecal contamination, pling sites was recorded in the field using a GPS. showed no correlation to suspended solids levels in Upstream watershed boundaries for all sampling streams. sites were generated from a Digital Elevation Model (DEM) for Lantapan using ArcView GIS Although a detailed temporal picture of stream tools. Location and areas of broad land use activi- chemical concentration and load changes is not pos- ties within sub-watersheds for each sampling site sible from the data, very large variations in stream were estimated by intersecting watershed bound- flow, nutrient concentrations and nutrients loads aries with land-use classification overlays generat- between high and low flow sampling periods was ed from remotely sensed LANDSAT imagery cap- observed in some watersheds. While relationships tured in 2002. A spreadsheet model was developed between livestock and human population densities to spatially re-distribute census data (livestock and and water quality across sampled watersheds are to human population densities) according to the rela- be completed, some preliminary observations con- tive classification human population densities along firmed results noted by Deutsch et al (2001) relat- road buffers in urban and rural areas. The purpose ing to significantly poorer water quality in the was to produce a more realistic spatial representa- Kulasihan watershed in the lower Manupali. In tion of human and livestock population density. 2003-04, downstream sites throughout the Kulasihan system showed significant increases in Upon completion of the model calibration process, TSS and other strongly positively correlated chem- historical water quality data collected by Tigbantay ical parameters during the high flow sampling peri- Wahig and Heifer Project International along with od compared to the Alanib and Maagnao sub-water- 1991 agricultural census data will be used to test sheds. Stream E.coli levels were also considerably and validate the model. If the model is found to be higher, and increased greatly during the high flow useful it will be used to explore the impact of vari- sampling period for downstream Kulasihan sites, ous land uses, livestock and human population den- compared to other sub-watersheds. Considerable sity scenarios on stream water quality and water- variability in seasonal and spatial faecal coliform shed nutrient loss. responses was observed. On both sampling occasions, faecal coliform levels in Kulasihan sites fre- OBJECTIVE 2 quently exceeded 5000 CFU/100ml, which greatly Undertake partial estimation of economic and envi- exceeds the DENR classification of Class C water ronmental costs and benefits of livestock systems (> 5000 Total coliforms). BOD levels showed little 103 Achievements to use organic fertilizer for a range of crop species Throughout Lantapan, livestock provide important was determined from 1991 and 2002 CAG data. socio-economic functions to smallholder households relative to animal traction for cultivation and From a total of 8,279 agricultural operators enumer- transport, income generation opportunities, provi- ated in Lantapan during the 2002 CAG, 78 percent sion of capital reserves and a desirable protein-rich raised livestock, while 98 percent undertook agri- source of food. Livestock are also important in cul- cultural cropping activities and 91 percent owned or tural and festive celebrations and have other non- used some form of farm equipment. Between 1991 cash uses such as providing organic manure for and 2002 horse, hog and cattle populations crop fertilization and enabling utilisation of low increased by 42 percent, 26 percent and 21 percent value crop residues. For the few, but increasing respectively, while goat numbers declined by 2 per- larger-scale commercial enterprises, dominated cent, however livestock production was dominated mainly by poultry and hog raising, capital intensive by smallholder operations. As a proportion of production is focused on profit maximisation, households owning each species, only 6 percent, 17 incorporation of improved breeds, concentrate percent, 19 percent and 35 percent of households feeds and advanced nutritional and veterinary sup- raised more than two head of horses, hogs, cattle, or port. Benefits of horizontal and-or vertical integra- goats respectively. Less than 2 percent of hog rais- tion such as contractual arrangements with large ers, (only 43 operators) raise more than ten hogs. corporations are often a feature. Increasing scale and intensification of poultry enterprises has been the most significant feature in The main focus of this objective remains the pro- Lantapan in recent years. Although most poultry are duction and utilisation of livestock waste at a held by smallholders, numbers have increased by regional (barangay) level. The spatial application of 213 percent from 64,081 to 200,346, with 6 opera- a crop-livestock nutrient balance model (NuFlux) tors raising more than 1,000 birds in 2002. was adopted to evaluate the economic and environmental costs and benefits relating to the utilisation Although the number of livestock raised by each of livestock manure. Census of Agriculture (CAG) household is very small, a range of land use policy data for 1991 and 2002 recently received from the and development scenarios remain to be tested. If National Statistics Office (NSO) were used to pro- manure nutrients from both small-holder and larger- vide a detailed summary of livestock and poultry scale commercial livestock operations can be eco- populations and ownership throughout Lantapan at nomically and willingly captured, collected, trans- the barangay level. Total nutrient production was ported and-or applied as organic fertilizer to meet calculated using published N and P excretion rates local crop nutrient demands at the regional or for each livestock species. Parameterisation of post- watershed scale, then significant net benefits may excretion nutrient flows was based on published arise from intensification and transfer of nutrient data combined with assumptions regarding manure between livestock and crop sectors. In contrast management and utilisation practices based on manure supply may exceed local demands for crop observations, informal interviews and household nutrients if local policies allow intensification of census and survey data. livestock in close proximity to increasingly popu- lated “urban” areas, or if livestock waste manage- Quantification of crop nutrient demand was under- ment and manure utilisation is uneconomical, unac- taken at the barangay level. Data obtained from ceptable or ignored. In these cases serious pollution 2002 CAG enabled calculation of crop area within of stream water resources may result in wider, but each barangay, while statistics from the local difficult to estimate, socio-economic and environ- Department of Agriculture and from socio-econom- mental costs. ic household surveys provided data on expected crop yields, fertilizer use and N and P application Where supplies of livestock manure are able to rates from which total crop nutrient requirements meet local demand for crop nutrients, economic and were calculated. Farmers’ willingness and tendency environmental benefits arise from substitution of

104 chemical fertilizer with organic fertilizer. Upon Analysis of environmental policy on livestock completion of barangay level nutrient balance cal- intensification and environmental pollution for culations the change-in-cost or replacement-cost Lantapan remains to be completed. A mathematical method will be used to estimate the economic ben- programming optimisation model developed for efit from organic fertilizer substitution of chemical smallholder and commercial hog enterprises has fertilizers. The quantification of economic costs been developed for Laguna province using resulting from localised nutrient surplus and water Generalised Algebraic Modeling System (GAMS) pollution is more complex, as there are few obvious and was adapted for use in Lantapan. Once com- market impacts that can be readily valued, requiring plete, the evaluation of environmental instruments, the use of an environmental risk and potential such as livestock zoning regulations, livestock head socio-economic impact index derived from nutrient taxes, incentives for adoption of approved waste balance values. management practices, pollution fees and effluent standards was undertaken. Waste management OBJECTIVE 3 options ranging from zero waste management to Evaluate management and policy options that could collection of manure for use as organic fertilizer can optimize economic, environmental and social be applied. The model framework was based on a objectives within given constraints. farm-level model aggregated to a regional level. The impact of these policies can be applied, to Achievements small-holder and-or commercial livestock opera- Experience from other municipalities shows that tions and be used to determine possible livestock unless municipal councils develop and, more development outcomes between rural and “urban” importantly, enforce a range of strategic environ- (more densely settled) areas. Current and project mental policies and guidelines controlling the livestock growth scenarios can be explored. establishment, location and operation of both smallholder and large-scale commercial livestock enter- Production constraints at the farm level include prises then environmental degradation will result. availability of household labour, land area, capital Analysis of agricultural and population census data and livestock productivity. Prices are exogenously revealed that livestock population totals were sig- determined. Although not yet functional, one possi- nificantly correlated to human population totals at bility was to adapt the model to run at the watershed the barangay level. The close link between live- scale and include empirical relationships between stock ownership and human settlement implies that, livestock and water quality developed from as human populations increase (particularly in Objective 1. urban areas), higher livestock populations also tend to occur, causing problems with livestock waste It was anticipated that only hog and poultry live- management, pollution of water bodies and conflict stock enterprises will be examined, although agri- with non-livestock owner households. At the same cultural production parameters for small-holder time, rapid and uncontrolled growth of large-scale farms will be included and obtained from an analy- commercial livestock enterprises can also produce sis of various economic policy options on cropping serious point sources of pollution, either in rural or enterprises at the watershed scale from Shively peri-urban areas within the serious adoptions of (unpublished report, 2002) adequate environmental policies. A range of environmental policy instruments exists, Advances in Research however their impact at the farm and barangay level Upon completion the project will have: 1) is unclear. Furthermore, to be most effective, envi- Developed a model framework to evaluate the ronmental policies should attempt to consider over- potential environmental impacts of intensive live- lying watershed frameworks rather than be restrict- stock operations on stream water quality in ed solely to barangay or municipal boundaries. Lantapan. A best sub-set multiple regression model incorporated land use area data, livestock, poultry and human population density variables and, stream

105 water quality results to identify contributing causes reported, the interest from provincial and municipal of nutrient loss, faecal contamination and other governments regarding the potential environmental water quality parameters at a sub-watershed scale. impacts resulting from livestock operations and the 2) Developed the spatial application of a crop-live- desire to identify effective environmental policy stock nutrient balance model (NuFlux) to quantify instruments to ensure sustainable livestock intensi- barangay level nutrient supplies and demands, and fication provides evidence that the project out- evaluate economic and environmental costs and comes, tools and-or framework will be used to benefits relating to the utilisation of livestock assist land use policy decision making. manure under current and future intensification scenarios. 3) Developed an optimisation modelling Advances in Environment and Natural framework and a mathematical programming Resource Management model that once adapted enables evaluation of envi- The project potentially will influence livestock ronmental policy instruments and waste manage- development policy and environmental policy ment options. instruments throughout Lantapan. Adoption and implementation of effective environmental policy Advances in Capacity Building ideas could effectively manipulate the spatial distri- Members of the local community based Water- bution of livestock operations and intensification Watch group, Tigbantay Wahig, staff from MKAVI and the adoption of livestock waste management commercial banana plantation and the non-govern- practices resulting in: 1) socio-economic and envi- ment organisation Heifer Project International were ronmental benefits relating to the improvement involved in project planning, training activities and and-or maintenance of stream water quality; 2) collection of stream samples. Water quality results socio-economic benefits of preserving or improving were shared and discussed with all participants. living conditions surrounding livestock enterprises This increased communication between parties and and; 3) economic and environmental benefits from contributed to awareness of livestock-environment effective utilization of manure waste from all live- issues. Interaction also enabled the further develop- stock species for use as organic fertilizer. ment of stream monitoring and in-field analytical skills by these local agencies.

Advances in Scaling Up The integration of spatial data with census data to develop livestock-stream quality models and livestock production optimisation models that operate at the watershed, barangay or municipal scales enables presentation of results at scales familiar and useful to municipal policy makers. The provision of results in map-based formats, combined with the possibility for scenario testing to be undertaken at a barangay-municipal level provide hope that scaling up will occur. The experimental approach and framework could also be applied to other municipal areas where similar agricultural and spatial data sets exist.

Advances in Policy Impacts The project outputs have been designed to meet the demands of provincial and municipal planners in relation to trends in livestock development. Although policy scenarios have yet to be tested and

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Environmental Studies 2: Industrial Crops and Land Principal Use in the Uplands of Vietnam Investigator Gerald Shively ABSTRACT Highlands. The survey data were com- This study focused on economic and piled, cleaned, and analyzed, resulting in a research paper (Shively and Ha 2003). environmental aspects of two industrial Co-Principal Data include information on land use pat- export crops being produced in upland Investigator areas of Vietnam: coffee and cacao. In the terns, the feasibility of cacao and other Dang Thanh Ha case of coffee, the main undertaking was crops, household perceptions regarding to use farm survey data to seek a better various crops, and the likely changes in understanding of how smallholder farmland use that might accompany the pro- ers responded to a collapse in coffee motion of industrial crops. prices. In the case of cacao, which has yet to be produced on a large scale in OBJECTIVE 3 Vietnam, ex ante analysis was used to To examine the impacts on household assess some of the likely economic and incomes and food security and impacts on environmental impacts of cacao produc- the environment that will likely result tion. from future cacao expansion in Vietnam.

OBJECTIVE 1 Achievements To examine the comparative advantage of Although an effort was made to examine cacao and other competing cash crops in outcomes related to cacao production, the Central Highlands. few farmer experiences have been registered, in large part due to a delayed roll- Achievements out of anticipated government cocoa pro- Production data were compiled for vari- motion efforts. Instead, experiment farm ous food and industrial crops, including data have been used to construct a coffee and cacao. Farm survey data were research case study for cocoa. also collected in January 2004. These have been used to assess the economic OBJECTIVE 4 potential of a range of crops. To examine policies and institutional setting needed to ensure sustainable cacao OBJECTIVE 2 production in Vietnam. To investigate the potential land use changes associated with cacao expansion. Achievements Policies and measures implemented by Achievements government units to support cacao pro- In January 2004 farm surveys were duction in Vietnam have been studied. administered to a sample of 209 households in four villages of the Central

107 Advances in Research Advances in Environment and Natural We examined the recent boom and bust in Resource Management Vietnam’s coffee economy. We analysed survey We have enhanced understanding among those in data collected on smallholder coffee farms in the the research and policy community regarding Central Highlands in 1999 and 2004 and used these efforts and policies necessary to balance the goals data to examine smallholders’ responses to a col- of improved livelihood (through agricultural devel- lapse in coffee prices. We estimated a multinomial opment strategies) and natural resource manage- logit model to measure the factors associated with ment. four specific patterns observed among smallholders: no response, changes in input use, changes in Major Outputs land use, and liquidity responses. We conclude that Conference Paper patterns of response were not uniform across small- Shively, G. 2004. Promoting Sustainable Upland holders and that, in particular, the actions undertak- Farming: What Does Economics Tell Us? Paper en on the smallest farms differed markedly from presented at Conference on Land Use Changes in those undertaken on the largest farms. Tropical Watersheds. SANREM South East Asia Research Synthesis Conference. Manila, Advances in Capacity Building Philippines. January 13 - 14, 2004. Working in cooperation with an ALO project we have improved skills among a 12 person multidisci- Working Paper plinary team at Nong Lam University in the area of Shively, G and D. Ha. 2003. Economic and case study design. Environmental Impacts of Cocoa Production in the Central Highland Region of Vietnam: A Research Advances in Scaling Up Note. Purdue University and Nong Lam University. In February 2004 we participated in a roundtable discussion with government and private industry in Shively, G and D. Ha. 2004. Coffee Boom, Coffee Vietnam regarding cocoa promotion efforts. This Bust, and Smallholder Response in Vietnam’s meeting focused on the "Success Alliance Project" Central Highlands. Purdue University and Nong a project designed to promote cocoa in Vietnam Lam University. among 18,000 farmers over 3 years. The project is being undertaken with funding and cooperation from USDA, USAID, Materfood, and the Vietnam Ministry of Agriculture and Rural Development. This is a high-profile industrial crop promotion effort and it is likely that we will continue to participate in research and development activities related to this effort beyond the end of SANREM Phase II.

Advances in Policy Impacts We have been able to identify some of the environmental consequences of industrial crop activity and to examine some tradeoffs between income growth and natural resource depletion or environmental damage, especially in the area of water use. The experience of coffee production in Vietnam has provided lessons that can be used in examining current efforts to promote cacao.

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Environmental Studies 3: Environmental and NR Principal Consequences of the WTO in Vietnam Investigator Ian Coxhead ABSTRACT future changes due to trade policy reform What are the implications of current and and the growth of bilateral trade. anticipated trade policy reforms, including accession to international treaties, for A comprehensive literature review enti- Co-Principal domestic environmental and economic tled "Vietnam: integrated assessment of Investigator development targets and programs? We globalization, resources and agriculture" Bui Dung The know that these types of changes have was conducted, with entries being classi- large effects on resource allocation, and fied by type. Results can be viewed at thus in environment. Understanding the http://www.aae.wisc.edu/coxhead/proj- likely effects of large future changes will ects/vietnam. Data sources were obtained help Vietnam's planners to address with during field visits to Hanoi in October NRM and environmental challenges and 2003. potential problems before their occur- rence. This research sets the stage for a Dr The (Hue University) worked with the larger, longer-term project addressing PI during a visit to Madison in March these questions 2004, and on a reciprocal visit to Hue in April 2004. We undertook field visits and OBJECTIVE 1 assembled a team of researchers from the Link data on upland forest conversion and Faculty of Economics at Hue University. land use to prices in national and world A proposal requesting funding to support markets. Use data on industrial invest- capacity building at Hue University has ment and trade to estimate non-agricultur- been presented to the Ford Foundation. al job growth related to international markets. Use models to predict the labor mar- Ian Coxhead (PI) obtained a two-year ket, land use and environmental effects of grant (2004-06) from UW-Madison to future changes. further develop this research.

Achievements Advances in Research Earlier work on the same theme in the We have acquired three 5-year rounds of Philippines (Coxhead, Rola and Kim the Vietnam Living Standards Survey 2001; Rola and Coxhead 2003) used (VLSS), which will enable analyses of econometric estimates of land use incomes, resource use, etc., at the house- responses to national prices and policies, hold and commune level. We have identi- and to macroeconomic instability arising fied a case study region (Central Vietnam, from the regional financial crisis. Our and especially Thua Thien Hue) and a approach in Vietnam builds on this analy- team of researchers at Hue University to sis, making use of aggregate land use carry on the study. The region has a high data, past price trends and predictions of poverty incidence of about 44 percent and shows a slower pace than the national

109 level in participating in the growth process. About inequality only if it raises returns to highly skilled two third of household income in rural areas of the labor faster than it does the wages of other labor North Central region is derived from agriculture categories. These results can now be linked to dis- and other resource-based activities. It is legitimate tributional issues over the access to and control to claim that the persistence of poverty is due to over natural resources, another important source of poor resource endowment, difficult physical envi- inequality. ronment and poor infrastructure, markets and service delivery in the region. These factors appear to Advances in Capacity Building prevent the region from taking advantage of the Dr. The visited UW-Madison in March 2004, and benefits of economic openness and growth. Dr. Coxhead held meetings with faculty and led a seminar (in addition to conducting field trips) at A growing concern over growth, income distribu- Hue University in April 2004. These exchanges and tion and uneven poverty alleviation are closely discussions laid a firm foundation for collaborative linked with environmental issues. These raise a work. Capacity building gains on the US side con- need for in depth research to better understand the sist of exposing UW researchers to learning about links between trade liberalization, growth and envi- Vietnam and the Vietnamese research system. On ronmental resources for more sustainable develop- the Vietnam side, collaborators are acquiring new ment of the region, that is desperately absent in the analytical tools. Dr. Coxhead's visit to Hue, includ- Vietnam context. ing presentation of a seminar, exposed VN researchers to new methodologies for economic and Another emerging concern is that the changes that environmental analysis and stimulated a search for the Ho Chi Minh Highway, which crosses the ways to acquire additional training for faculty and Truong Son range of the Central region, will bring students alike. At UW-Madison, Ms Diep Phan to the region. For most people, the Highway is (2nd year PhD student) and several others continue expected to bring about more opportunities for eco- graduate training. nomic growth in the uplands, especially the Central region. But others fear that the region will bear a Advances in Scaling Up disproportionate share of the costs, including envi- Potential scaling up mechanisms are in place at the ronmental damage and resource degradation. Since International Center for Agricultural and Rural most forests and other environmental resources Development, the information storage and policy remain largely unregulated, they are vulnerable to dissemination unit of the Ministry of Agriculture overexploitation. Our research and field trips to the and Rural Development, which has manifested a locality, have identified this mountainous region as high level of interest in the research output. a key area in which the tradeoff between economic growth and the enviroment will be played out. At this point in the project the relevant scaling activity may in fact be 'scaling down' -- from Local data collection from secondary sources such hypotheses and research methods developed for rel- as district and provincial government is now under atively large units, including national and provin- way. cial government, to the level of the district and below. In A Loei District of Thua Thien Hue In a related study, empirical research was conduct- Province, where the road-building project is far ed on the likely effects of WTO accession on the advanced, there is a need to promote local under- rural Vietnamese economy. Using commune level standing of national international trends in policies data from the VLSS we established that expansion and markets, in order to anticipate economic and of export crops (coffee, tea, rubber, etc.) can be environmental changes and, where appropriate, expected to diminish rural inequality, while expan- help plan policy responses. sion of industrial employment, especially labor- intensive manufacturing (another sector which will Advances in Policy Impacts expand after WTO acccession) will increase Although this project has started slowly, it has

110 acquired substantial momentum and the resources (human, insitutional and financial) to continue beyond completion of SANREM Phase II. Most importantly, there has been widespread acknowledg- ment within Vietnam of its relevance and timeliness for policy debates.

Advances in Environment and Natural Resource Management See Advances in Policy Impacts.

Major Outputs Working Paper Pahn, D. 2004. Rural Inequality in Vietnam. Manuscript, University of Wisconsin-Madison

Phan, D. and I. Coxhead. 2003. Literature Review: Economy and Environment in Vietnam. http://www.aae.wisc.edu/coxhead/projects/Vietnam/

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Coordination and Management of West Africa Principal Regional SANREM Project Investigator Keith Moore ABSTRACT project and stimulated a significant inter- This activity has ensured proper manage- change of approaches, models and tech- ment and coordination of SANREM nologies for sustainable agriculture and WAF project activities during this last. improved natural resource management. Co-Principal The Manager has coordinated with US Drs. Keith Moore and Salmana Cissé Investigator and local PIs and partners, the USAID (respectively SANREM WAF Program Salmana Cisse Mission, the SANREM ME, and the asso- Manager and Country Coordinator) have ciated Carbon from Communities Project kept the USAID Mission in Bamako, to achieve integrated project objectives. Mali informed of progress and achieve- Special emphasis has been placed on syn- ments. thesizing, integrating, and publishing project results. OBJECTIVE 2 Coordinate program development OBJECTIVE 1 amongst U.S. and international collabora- Provide leadership for regional project tors. development and implementation. Achievements Achievements The Bamako workshop, entitled The SANREM WAF team has imple- "Institutional Innovations and mented three workshops in Mali this year Technological Development for a and has submited a book on SANREM Decentralized and Sustainable NRM" WAF achievements. The first workshop showcased SANREM WAF findings and involved demonstration and training of demonstrated the successful completion IER scientists in the CROPSYST Model of Phase II of the SANREM WAF pro- by Dr. Oumarou Badini. This workshop gram. This collaboration continued was followed by a workshop with local through the publication of the edited vol- leaders in the Communes surrounding ume of SANREM WAF accomplishments Madiama in the Cercle of Djenné. IER entitled "Conflict, Social Capital, and and the NRMAC took the program lead- Managing Natural Resources." ership for this activity which was appreciated by all local officials and government The objective of this research workshop service providers. The Malian NGO, was to share experiences, approaches and GRAD, which has recently replaced methodologies for improved natural CARE/Mali as our NGO partner, assured resource management in the Sahel. The the logistics for this event. The Bamako main focus was on techniques and meth- conference for West African research and ods for improved decision-making in the development specialists highlighted the context of democratic, decentralized gov- achievements of the SANREM WAF ernance in West Africa. The workshop

115 provided an opportunity for SANREM WAF Advances in Capacity Building researchers to share their experiences and findings Other SANREM WAF activities undertake capacity with colleagues interested in similar problems building. affecting the region. Proceedings from the workshop will be published in French to promote wide Advances in Scaling Up readership throughout the region. The Djenné Workshop was the major scaling-up activity of the year. It brought together a range of The three organizing themes for the workshop Communes surrounding Madiama in the Cercle of were: 1) Local governance and its role in the man- Djenné to inform local officials about and discuss agement of natural resources and related conflicts; the issues involved in scaling-up these activities to 2) Participatory development of soil fertility and other Communes and to the inter-Commune level. pasture management technologies; 3) New decision-making tools for agricultural and environmen- Advances in Environment and Natural tal policy development. Resource Management This workshop drew approximately 100 partici- Other SANREM WAF activities undertake direct pants representing international and national improvements in livelihood, environment and natu- NGOs, USAID (Washington, DC, USA; Mali ral resource management. Mission), US and foreign universities, International Agricultural Research Centers, policy analysis and Publications consulting firms, and USAID-funded development Book Chapters projects. Moore, K., C. Brewster and M. Bertelsen. 2004. What We Have Learned. In Press. In Moore, K. OBJECTIVE 3 (ed.) Conflict, Social Capital and Managing Natural Coordinate financial and programmatic reporting of Resources. CABI Press, London, UK. regional activities. Moore, K., M. Bertelsen, S. Cissé and A. Kodio. Achievements 2004. Conflict and Agropastoral Development in the Sahel. In Press. In Moore, K. (ed.) Conflict, SANREM WAF regional activities have been fully Social Capital and Managing Natural Resources. documented during the course of the entire Phase II CABI Press, London, UK. program. This year's accomplishments include the workshop on crop and weather modeling tools Books being held in Mopti, Mali during December 2003, Moore, K. (ed.). 2004. Conflict, Social Capital and the workshop on the expansion of the NRMAC Managing Natural Resources. CABI Press, model for community level natural resource man- London, UK. agement in the Cercle (district-level adminsitrative unit) of Djenné, Mali in February 2004, and the Regional Conference, exchanging SANREM and Degree Training other West African experiences, tools, and achieve- Todd Crane, Ph.D., 2001 - 2006 ments in Bamako, Mali in February 2004. The proceedings of the latter conference were prepared by IER as a publication, and the manuscript for a book in English has been submitted for publication in May 2004.

Advances in Research The SANREM WAF project has successfully completed a full information dissemination campaign with three workshops and two editted volumes.

116 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) WAF_2

Replication and Sustainability of a Commune-Level Principal NRM Advisory Committee Investigator Keith Moore ABSTRACT (February 2004), and expanded on in sev- The NRMAC has played a pivotal role in eral chapters of the edited volume on Co-Principal community-led NRM in Madiama. It has "Conflict, Social Capital and Managing Investigator applied a Holistic Management method- Natural Resources" to be published later Salmana Cisse ology reinforced by training in conflict this year by CABI. The work describes management and resolution. This past how the NRMAC has come to deal with Abdoulaye Toure year we have documented the specifica- conflict issues and contributes to the Ahmed Nadif tions for a model of community-led NRM planning and development of NRM in the Commune. The NRMAC played a major planning and the type of training program Jeff Goebel required to replicate this experience role in the Djenné Workshop in February across other Communes. Integral to this 2004 which focused on how the NRMAC Michael Bertelsen model is the mechanism by which range- model can be extended to other lands and bourgoutières can be commu- Communes in the Cercle of Djenné. nally managed for improved productivity. An additional dimension crucial to the OBJECTIVE 2 model is the extent to which it can be Document and evaluate the training maintained without sustained external methods, tools and materials used to build support. Based on lessons learned over the capacities of the NRMAC and deter- the past five years, we have been dissem- mine which should be used for scaling- inating this model within North Central out to other communes. Mali and sharing our experiences with West African colleagues for application Achievements across locations. CARE/Mali withdrew as a SANREM WAF partner so we have contracted with OBJECTIVE 1 another local NGO, Groupe de Recherche Specify the steps in the NRMAC model Action pour le Développement (GRAD) for community level planning of natural to provide the facilitation for and liaison resources. with the NRMAC during its transition to independent functioning. GRAD has sub- Achievements mitted a report descibing the strengths A paper, entitled "Building Social Capital and weaknesses of the NRMAC and how in the Sahel" and documenting the estab- this model can be expanded in the region. lishment and reinforcement of the A paper was presented and a book chap- NRMAC, was presented at the 2003 ter completed on the classification of the Annual Meeting of the Rural Sociological community's land resources using Society. This work has been elaborated QuickBird GIS Imagery (2002-3) com- upon, presented at the SANREM WAF paring their use to aerial photography Regional Conference in Bamako from 1952.

117 OBJECTIVE 3 Achievements Determine the factors enhancing the adaptation of The Cercle-level Workshop in Djenné was held suc- the Holistic Management methodology to commu- cessfullyin the community building in the city of nal building of open range and bourgoutière man- Djenné on 19 and 20 February 2004. Participants agement programs. included elected local government officials from communes of the Cercle, agents from the national Achievements government technical services, village chiefs, and A chapter for the edited SANREM WAF volume NGO representatives. IER SANREM colleagues has been completed. The chapter analyzes the SAN- and NRMAC members were responsible for the REM WAF experience with the Holistic program that presented technical research findings Management Model which notes how it was adapt- as well as the institutional software of the NRMAC. ed to communal management of open range pas- Logistic and programmatic arrangements were tures and bourgoutière (wetlands), what features made by GRAD. The SANREM WAF Regional were readily adopted by the local community, and Conference in Bamako (24-26 February 2004) was how it influenced the research program established an important opportunity to share the SANREM in the Commune of Madiama. A major strength is WAF experience with researchers and development that the combination with conflict management professionals across West Africa, as well as in training greatly enhanced the value of the overall Europe and the US. The successful conference cre- approach. ated an environment of rich discussion and exchange of decision making tools and appropriate OBJECTIVE 4 technologies. The SANREM WAF researchers Determine the factors ensuring sustainable institu- clearly demonstrated their leadership in the field. tional linkages of NRMAC in the Commune of The SANREM WAF book on "Conflict, Social Madiama. Capital and Managing Natural Resources", provides a clear and integrated presentation of the Achievements results of our research program, highlighting how the SANREM approach based on community par- A paper presented at the Annual Meetings of the ticipation, interdisciplinarity, landscape scale and Rural Sociological Society (then revised for presen- multiple institutions contributes to the development tation at the SANREM WAF Regional Conference of cutting edge decision making tools and techno- in Bamako) explored the functional linkages and logical innovation. perceived legitimacy of the NRMAC with respect to government service providers, local officials, village leaders, farmers, herders and women. The Advances in Research NRMAC, being an institution founded on both cus- Getting started late in the annual cycle as a replace- tomary and modern administrative bases and ment for CARE/Mali, GRAD has held the scaling addressing issues important to the community, is up workshop in Djenné and provided a report ana- perceived as a highly legitimate and valued organi- lyzing the issues involved in scaling-up and scal- zation in the civil society of Madiama. This work ing-out the soft technology associated with estab- was further revised and the analysis advanced with lishment of NRMAC type organizations in other critical input from colleagues in West Africa and the communes and at the Cercle level. US and is now a chapter in the SANREM WAF edited volume to be published later this year. Advances in Capacity Building The withdrawal of CARE/Mali from the project at OBJECTIVE 5 the beginning of the project year disrupted progress Disseminate the NRMAC model and lessons of capacity building activities. learned to Communes in the Region and to practitioners across West Africa. Advances in Scaling Up The Cercle-level SANREM Workshop held in

118 Djenné has interested leaders in several Communes Moore, K., S. Cissé and A. Touré. 2004. In Press. to replicate the overall approach. Building Social Infrastructure for Sustainable Development. In Moore, K. (ed.) Conflict, Social Advances in Policy Impacts Capital and Managing Natural Resources. CABI At the Cercle-level workshop in Djenné, local deci- Press, London, UK. sion makers were provided with lessons learned concerning the process of communal management Other Major Outputs of natural resources, specifically open-range pas- Conference Paper tures and bourgoutière (wetlands). In addition, the Moore, K., S. Cissé, and A. Touré. 2003. Building SANREM WAF edited volume presents new Social Capital in the Sahel. Paper presented at the knowledge concerning the principles involved in Rural Sociological Society Annual Meeting. promoting the decentralized management of natural Montreal, Canada. July 30-31, 2003. resources. Proceedings Advances in Environment and Natural Moore, K. 2004. In Press. Renforcement des Liens Resource Management et Construction des Ponts. Proceedings of a Improved community relations have been the major Workshop on Institutional Innovations and immediate outcome of SANREM-led activities in Development of Technologies for a Decentralized the Commune of Madiama. By networking commu- Natural Resource Management. Bamako, Mali. nity groups across villages, new relationships are February 24-26, 2004. building and trust is being created between groups who never really worked together for a common Cissé, S., K. Moore and A. Touré. 2004. In Press. objective before. This building of social capital has Un Modèle de Décentralisation de la Gestion des reduced conflict and improved the likelihood of Ressources Naturelles au Sahel. Proceedings of a new NRM institutions being developed to increase Workshop on Institutional Innovations and agricultural productivity and improved NRM. Development of Technologies for a Decentralized Natural Resource Management. Bamako, Mali. Publications February 24-26, 2004. Book Chapters Earl, J. and A. Kodio. 2004. In Press. Participatory Landscape Lifescape Appraisal. In Moore, K. (ed.) Conflict, Social Capital and Managing Natural Resources. CABI Press, London, UK.

Moore, K. and S. Cissé. 2004. In Press. Social Capital and Improved NRM. In Moore, K. (ed.) Conflict, Social Capital and Managing Natural Resources. CABI Press, London, UK.

Cissé, S., K. Moore and C. Brewster. 2004. In press. The Lifescape - Production Systems and Social Institutions. In Moore, K. (ed.) Conflict, Social Capital and Managing Natural Resources. CABI Press, London, UK.

Goebel, J., C. Ampagoomian and A. Touré. 2004. In Press. Conflict Management Training. In Moore, K. (ed.) Conflict, Social Capital and Managing Natural Resources. CABI Press, London, UK. 119 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) WAF_3

Application and Scaling-Up of Socio-Economic Tools Principal tions of crop yields and profits that per- Investigator ABSTRACT Peter Wyeth In West Africa, declining soil fertility, mitted comparisons among practices over degradation of pasture quantity and qual- 30 years. In both the farm trials and the ity are driven in large part by social and modeling the treatments were compared economic factors. Technical solutions to against returns to growing pure stands of Co-Principal the problem offer little chance of success millet year-on-year without any kind of Investigator if stakeholders do not perceive clear fertilizer. Charlene Brewster social and economic benefits to their use. This activity cuts across other SANREM Similar evaluation of grazing practices Mohamed Toure was intended but will not have been car- WAF activities, and provides an econom- Michael Bertelsen ic evaluation of the technical solutions ried out in detail by the end of the project. proposed in West Africa. Todd Crane The following conclusions emerged: OBJECTIVE 1 Assess and document the relative net eco- 1) The practices that produced the highest nomic returns and adoption potential of yields and profits on average were: (a) (i) improved grazing practices (open- corralling animals on the fields at night range as well as controlled grazing) and prior to planting; (b) applying microdoses (ii) soil fertility management practices to of chemical fertilizer; and (c) spreading ensure that recommendations improve animal manure on fields either with or both the natural environment and farmers' without PNT (natural phosphate rock). economic and social welfare. (2) Practices involving either intercrop- Achievements ping or rotating millet with cowpeas (niébé) do well in years when there are Relative net returns were assessed for good rains, but in the farm trials the cow- farm management practices designed to peas failed in years of poor rain. The conserve soil fertility when growing mil- other tested practices held up well relative let. The evaluation used the results from to unimproved cropping even when rain- both on-farm trials and the modeling car- fall was poor. ried under WAF_4. Combining the efforts of the trials and the modeling in a coordi- (3) Fertilizing with animal manure, either nated fashion proved highly productive. at 2 tons per year or 5 tons every three The trials allowed the modeling to be years, produces the most sustainable properly calibrated against reality as well yields and profits. as providing farmers with first hand experience of both the benefits to be obtained (4) When yields were high, profits were and the costs entailed in implementing high, indicating that none of the good the practices. The modeling, combined returns were obtained only at unduly high with economic analysis, allowed simula- cost, and farmers who do not keep

120 accounts could easily perceive which practices do improvements in the welfare of one group, for best economically by observing their performance example through increased crop yields, do pass on in the field. through to the other groups.

The Natural Resource Management Advisory (3) In terms of generating income effects among Committee (NRMAC) provided a forum for the dis- occupational groups, millet is more important than cussion of the trial results with the farmers. Farmers rice and almost as important as small ruminants or were also interviewed on their perceptions regard- cattle. ing the qualitative differences between various soil conservation practices. Research results corre- The results indicating interdependence among sponded closely with their perceptions. What farm- occupational groups are particularly important in ers had wanted from the research, and what they Madiama, which was chosen as a research site were interested in during the discussions of results, because of actual and potential conflict among was the quantitative assessment of the returns and them. When researchers explained the SAM results costs of the practices. While some farmers will cer- SAM to farmers, the latter readily understood them tainly alter the techniques that they practice, they as evidence of economic interdependence. will not all converge on what the research shows to be the most profitable ones. They will continue to Advances in Research implement a variety of practices according to their Concerning knowledge of effective techniques for varying means and preferences, but they will be raising soil fertility in the Niger Delta the research better able to estimate the optimal amount of inputs provided worthwhile information that would allow (e.g. manure or microdoses of fertilizer) to apply farmers to compare the relative net benefits of alter- and what returns to expect. native practices. More research is needed on the viability of cowpeas as a crop in the area, since the OBJECTIVE 2 model output was more optimistic than the on-farm Use the socio-economic tools developed for trials. Madiama (i.e. Social Accounting Matrix) to project potential economic impacts of new management Concerning research methodology, the following practices on the community. lessons learned were obtained:

Achievements (1) The collaborative development of on-farm tri- Analyses by Kaboré and Brewster using the Social als, biosystems modeling, and economic analysis Accounting Matrixes (SAM) developed by Kaboré was very fruitful. The on-farm trials grounded the came to the following conclusions: modeling in reality and provided a basis for communicating effectively with the farmers on the other (1) The commune is very open to the larger nation- aspects of the research. The biosystems modeling al economy. Except for rice, most cereals are grown generally increased confidence in the on-farm find- largely as subsistence crops. Some cereals, howev- ings. It also allowed greater insight into the long er, are also important as “exports” (sales outside the term sustainability of the different techniques that commune). three years of on-farm trials could possibly offer. The economic analysis added confidence that the (2) Economic linkages are important among the increased yields were obtained in an efficient man- four major occupational groups within the com- ner. mune: farmers, agro-pastoralists, sedentary pastoralists and transhumants (transhumants are pas- (2) Because farmers already had a sound under- toralists who have a sedentary base but follow their standing in general terms of alternative techniques animals to pasture other regions of Mali and other for improving soil fertility, they had a realistic countries during the dry season.) Transhumants are understanding of the purpose of the trials and what the least closely integrated of these four groups, but additional knowledge they would gain from them.

121 (3) Reception by farmers of the research results was Publications facilitated by the fact that the researchers presented Book Chapters the findings and allowed the farmers to draw their Crane, T. and B. Traoré. 2004. In Press. Farmers’ own conclusions regarding the relative net benefits Knowledge and Perceptions of Soil Fertility. In of the different techniques. Moore, K. (ed). Conflict, Social Capital and Managing Natural Resources. CABI, London, UK. Advances in Capacity Building Boureima Traoré, the agronomist in charge of the Brewster, C., D. Kaboré, M. Bertelsen, and P. soil fertility trials, participated closely in the devel- Wyeth. 2004. In press. Economic Linkages Among opment of the farm budgets that evaluated their Occupational Groups in the Madiama Commune of economic viability. Mohamed Touré, the economist the Niger Delta of Mali. In Moore, K. (ed). at IER Mopti, set up the initial templates for these Conflict, Social Capital and Managing Natural budgets. Both were closely involved in the discus- Resources. CABI, London, UK. sions with farmers. The biophysical modeling of the same soil fertility improvement techniques will Wyeth, P., B. Traoré, O. Badini, M. Sidi, M. Touré complement the trial results from farmers’ fields and C. Brewster. 2004. In Press. An Evaluation of and IER personnel were trained in this modeling Alternative Soil Management Techniques on Farms under WAF_4. in Madiama Commune. In Moore, K. (ed). Conflict, Social Capital and Managing Natural Resources. Advances in Scaling Up CABI, London, UK. The results of the farm trials and the biophysical modeling are directly applicable to the areas sur- Other Major Outputs rounding Madiama. The conclusions from the SAM Conference Paper are applicable to those communities with a similar Kaboré, D., B. Traoré, D. Taylor, P. Wyeth, M. mix of livelihood practices. Researchers presented Bertelsen and D. Holland. 2004. Modeling district- at the SANREM WAF Regional Conference in level socioeconomic linkages and growth. Paper February 2004 that was attended by representatives presented at the American Agricultural Economics of the Malian government and others from neigh- Association Annual Meeting. July 30-August 2, boring countries. 2000.

Advances in Policy Impacts Proceedings All the techniques tested in the soil fertility trials, Traoré, B. and M. Touré. 2004. In Press. Utilisation with the partial exception of those involving cow- des Résidus de Récolte et du Fumier en Zone Semi- peas, proved better than unimproved farmer prac- Aride au Sahel: Cas de la Commune Rurale de tices. Furthermore, farmers in Madiama showed Madiama dans le Delta Central du Fleuve Niger au great interest in learning about the quantitative dif- Mali. Proceedings of a Workshop on Institutional ferences among the alternative techniques and were Innovations and Development of Technologies for a ready to act on what they learned from the research. Decentralized Natural Resource Management. For the full potential impact of the research to be Bamako, Mali. February 24-26, 2004. felt in Madiama and beyond, extension services and NGOs working with farmers need to be made aware Kaboré, D., C. Brewster, M. Bertelsen, O. Badini of these results, and extension materials prepared and P. Wyeth. 2004. In Press. Liens Economiques that are based on them. The US-based institutions Entre Groupements Socioprofessionels dans la involved are looking for resources to do this work Commune de Madiama. Proceedings of a Workshop as part of a broader project. on Institutional Innovations and Development of Technologies for a Decentralized Natural Resource Advances in Environment and Natural Management. Bamako, Mali. February 24-26, Resource Management 2004. See information reported under Objective 1. 122 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) WAF_4

Application of Bio-Physical Decision-Making Tools, Principal Soil Carbon Monitoring, and Soil Fertility Investigator Improvement Technologies Oumarou Badini ABSTRACT and pastures types in control and treat- ment plots to better evaluate the impact of This research activity integrates biophys- Co-Principal ical research, timed rotational grazing to the rotational grazing management. At Investigator improve biomass and carbon sequestra- the Torokoro site, comprising a total of 5 Boureima Traore tion begun in 2002 in collaboration with a soil units and 6 plots, a total of 69 sam- NASA program, and the soil fertility pling points were selected. Samples were Lassana Dioni enhancement activities begun in 2001. taken at three depths (0-5, 5-15 and 15-30 The Sahel is typified by highly variable cm) for a total of 207 samples. At Mohamed Toure rainfall and in Madiama the two years Siragourou, a total of 48 random samples Todd Crane have produced 700 mm and 350 mm were identified making a grand total of 144 samples for the 3 depths. The sam- respectively. Year 6 produced important Randy Wynne additional observations that strengthen, ples were analyzed at IER/Sotuba lab for both scientifically and in the eyes of local pH, Organic Carbon (Walkley-Black Peter Wyeth farmers and livestock raisers, the assess- method), Nitrogen and Phosphorus to ment of the NRM techniques being test- help with model calibration and extrapo- ed. lation. After just two years of pasture management experiment, additional sam- OBJECTIVE 1 pling and analyses would be needed to Monitor and evaluate the impact of com- allow refinement of modeling (Badini et munity-based timed rotational grazing al., 2003; Bostick et al., 2003) and Soil C management practices on soil fertility geopspatial analysis is underway in col- improvement, soil carbon sequestration laboration with the Universities of potential and biomass production in the Hawaii and Florida. pastoral zones of Torokoro and Siragourou. In-situ measurements and analysis of soil carbon aim to develop estimates of soil C Achievements and verify the long-term impact of timed rotational grazing on plant and soil car- Soil Sampling and Analyses for Organic bon sequestration potential in Madiama Carbon in Grazing Zones: Baseline soil commune. The soil types characterizing sampling was done at the onset of the each pastoral zone were identified and project in May 2002. Soil samples at mapped. The pastoral zone of Siragourou depths of 0-5, 5-15 and 15-30 cm were (122 ha) has only 3 soil units with about taken at 3 randomly selected points in 90% of the total area made of laterized each of the plots of the zones for a total of indurated pediment and ironstone plateau 108 samples. An additional soil C sam- (in French: Versant glacis induré – land- pling was conducted in May/June 2003. scape type Vi and Bas plateaux cuirassés The sampling scheme integrated all soils

123 – landscape type Bk on the landscape/soil map of (number of total species varying between 25 and Madiama). In addition to the lack of water avail- 41, depending on landscape and soil type). The ability and access, the low pasture productivity and zone is essentially dominated by annual grasses (83 soil C estimate (20 t/ha at 30 cm depth) makes this percent of gramineae and 17 percent of legumes). zone difficult for rotational grazing and underscore The gramineae pasture types (cereal-like grasses) the need for long-term monitoring of performance are dominated by Loudetia togoensis (31 percent) in different rainfall conditions. The zone of found mainly on the old alluvial plains and terraces Torokoro (150 ha) is made of a total of 5 soil units. and Schoenefeldia gracilis (23 percent) found on The diversity of soil and pasture types found in this the laterized indurated pediment and ironstone zone as well as the presence of water points make it plateau. The legumes are essentially composed of suitable for timed rotational grazing. A landscape of Cassia tora (13 percent), found on young alluvial old alluvial plains and terraces (in French: cuvette formation such as the levees and alluvial terraces ancienne – landscape type Ca on the landscape/soil (Landscape type t1 on the landscape/ soil map of type map) representing 60 percent of the total graz- Madiama), and Zornia glochidiata (4 percent), ing area dominates this zone. The main soils found found on poor, degraded and shallow lands such as in this landscape are classified as USDA Plinthic the laterized indurated pediment (landscape type Haplustalfs. They are deep (105 cm) with a texture vi). A specific characteristic of the pastures found in varying from sandy loam to clay with depth. The the dry landscape that makes up most of the grazing soil Organic Carbon content is about 0.84 percent in area is the total absence of perennial grasses such as the first 5 cm and decreases with depth. Soil organ- Andropogon gayanus well known in the Soudano- ic carbon estimates at 30 cm depth is about 30.24 Sahelian zone and indicator of healthy pastures and t/ha. Results from this sampling indicate that soil soils. Breman and Cisse (1969) have shown that, organic carbon levels are slightly low although under the influence of drought and overgrazing, a higher than levels found in croplands. This is a hint shift from vegetation dominated by perennial to of the higher Soil C sequestration potential that can annual and mediocre legumes, such as Zornia be expected from grazing land. glochidiata can occur. The pastures in the Torokoro site, whcih are presently dominated by annuals, Grazing Zones: Pastures Biomass and Botanical show a sign of only moderate sign of degradation, Composition Analyses: In collaboration with Dr. and improved management such as the rotational Amadou Kodio and Moussa Keita from IER/Mopti, grazing can contribute to an improvement of pro- sampling for plant biomass and botanical composi- ductivity, species richness and conservation of the tion was conducted in September and October 2003 resource base. in each of the 2 pastoral zones of Siragourou and Torokoro. Samples were taken both in the rotation- Pastures Biomass Analyses: The pattern of produc- al grazing plots and the control (existing traditional tivity was studied on the basis of weight of grass grazing zones) with similar soil and pastures types obtained at maturity by clipping two 1 m2 around to determine the impact of the alternative grazing each georeferenced soil sampling point (48 and 69 management system on pasture productivity and sampling points in Siragourou and Torokoro respec- species diversity. tively) for a total of 96 and 138 biomass samples in Siragourou and Torokoro respectively. Samples Botanical Composition Analyses: For the baseline were then oven dried to express productivity in evaluation of species diversity (richness), composi- units of dry matter per hectare. In 2003, pasture pro- tion and vegetation cover, the method of “points ductivity varied between 477 kg/ha and 1073 kg/ha quadrants” (Daget et Poissonet, 1971) was applied for a total of seven identified pasture types in for a total of 69 line-transects in Torokoro and 40 Torokoro. The highest productivity was measured transects in Siragourou. Measurements are made in for the pastures types dominated by Eragrostic each 20ths of meters along the line for a total of 100 gigantica (1073 kg/ha), Loudetia togoensis (1048 observations per transect. The grazing zone of kg/ha) and Brachiaria lata (1010 kg/ha). The Torokoro has a relatively high species richness legumes dominated pastures had the lowest dry

124 matter yields, due in part to their high water content every two and three-week respectively, seem to be before drying with Zornia glochidiata (540 kg/ha) the most adapted system for annual pasture grazing and Cassia tora (477 kg/ha) being the most common in the study zone, with a simulated output of 1495 legumes. Overall estimated soil vegetative cover and 1520 kg/ha respectively. The continuous graz- was comprised between 46 and 73 percent depending (every day) and no grazing plots exhibited the ent on soil and landscape type. The values are year- lowest total biomass output ((347 kg/ha and 1296 specific and cannot extrapolated to all years given kg/ha respectively). These findings confirm that the variability and erratic nature of rain in the Sahel, controlled grazing is a positive stimulator of pasture which stresses the need for long-term monitoring growth and dynamics, and bring in more soil nutri- and simulation modeling applications. However, ents through animal feces and residue trampling, these observed results are useful in determining the such as included in the grazing sub-model of importance of each pasture type and in helping cor- CROPSYST. As for carbon sequestration potential, roborate models for long-term simulation and in general, carbon accumulation potential decreased impact analysis. as grazing frequency levels increased. The shorter the rotation interval, the lower the total carbon Grazing Zones - Modeling of Pastures Productivity because of higher biomass taken up by animals. and Carbon Sequestration Potential: In collabora- These preliminary results from long-term simulation with the NASA Carbon from Communities tion of pastures provide strong evidence that over project partners including Dr. Jim Jones from the time, properly managed grazing lands will improve University of Florida, Dr. Claudio Stockle from their productivity, and overall ecological integrity. Washington State University and Dr. Amadou By comparing different systems that have not been Kodio from IER/Mopti, a modeling effort is under- tried on the ground, and by helping decide which way to possibly contribute to the knowledge of one best fits the environment at hand, computer long-term pastures productivity and C sequestration technology and simulation modeling such as potential in grazing zones (Badini et al., 2004; applied here (with CROPSYST and the Grazing Bostick et al., 2004). To test the hypothesis that sub-model) are useful tools that allow managers the rotational grazing will increase both soil carbon and opportunity to manipulate and analyse vast quanti- pasture biomass production, the CROPSYST model ties of information for consideration in manage- was adapted for simulating pasture in the Torokoro ment decisions. However, the simulation outputs area (Badini et al., 2004). Management consisted of are based on only a 1-year biomass and botanical continuous grazing, no grazing, and different fre- composition results from the grazing site of quencies of grazing return periods to the 150 ha Torokoro. Parameters for phenology and growth area. Simulated results compared were total area cycle were derived from previous studies that we biomass productivity per year, livestock grazing conducted in similar environments in Burkina Faso. capacity, and soil carbon changes over a 50-year The bulk of SANREM WAF biophysical modeling period of simulation. for the past few years was focused on cereal (millet and sorghum) in cropping systems. For pasture Preliminary results agree with our initial hypothesis modeling corroboration and completion of the that stated that more biomass will be allowed to development of a carbon accounting system in grow by rotating animals with no livestock grazing grazing system, at least, an additional year of field- during weeks to permit re-growth. Regarding the work would be needed to determine phenology, effect of grazing intensity on productivity, it was growth and production functions of all main pasture shown that for annual pastures such as Loudetia types found in the grazing zone. Thus, resources are togoensis, a grazing intensity of 30 percent which still needed to complete the data collection and exhibited the overall highest plant resiliency and analysis of the grazing system being conducted in biomass production, is the right norm to ensure pas- collaboration with the NASA-funded Carbon from ture survival and re-growth throughout the rainy Communities project. season. Overall for total biomass production, the 2- plot and 3-plot rotations where animals are rotated

125 OBJECTIVE 2 Rather than introducing completely new tech- Finalize soil fertility enhancement experiments niques, the experiments have served to scientifical- (integrating organic fertilization, rock phosphate ly measure and illustrate to the NRMAC and the additions, micro-dosing and legume rotations) and community the variable utility of known techniques analyze the local perception and adoption of these and their long-term impacts. The presentation of soil fertility techniques. findings has already caused several participants to revisit their soil fertility management regimes and Achievements reconsider the application of certain techniques. Todd Crane, a University of Georgia doctoral student in anthropology concluded an eight months Following the presentation of findings, all NRMAC (July 2003-March 2004) period of fieldwork in members and participating farmers recognized the Madiama. During this period, he engaged in inten- benefits of all the methods tested, but they were sive participant observation of farmers' crop and most interested in microdosing and corralling herds soil management practices and conducted over 80 in fields during the passage of transhumant herds. in-depth interviews in local language with Marka These methods are favored as they yield significant farmers, semi-sedentary Fulani herder-farmers, and soil fertility gains relative to their low financial and nomadic Fulani herders, village chiefs, extension labor costs. Both methods, however, are cited by workers, and governmental officials. Interviews informants as having limitations. Financial cost is focused on natural resource management in local still seen as a significant impediment for fertilizer fields and pastures, conflicts between farmers and microdosing. It is also recognized that microdosing herders, and local governance. Protocols for semi- is most effective in conjuction with the application structured interviews varied according to type of of organic fertilizers, which is currently insuffi- respondents. Mr. Crane was also able to observe ciently available. The low density of livestock in and analyze institutional interactions and delibera- relation to cultivated area was also recognized as a tions, by participating in NRMAC meetings as well major limitation for the corralling method. The as in commune and cercle-level meetings concern- inability of livestock to remain in the area is due to ing livestock migrations across the territory and the lack of water sources. natural resource conflict management. He also assisted in the implementation of farmers' work- OBJECTIVE 3 shops, training in conflict resolution, and research Evaluate, synthesize and publish soil fertility tests activities conducted under other workplans. findings, biophysical methods, tools, data gathered (soils, crops, weather, cropping systems and man- Research on the local knowledge of soils and soil agement practices) and modeling outputs to fertility maintenance strategies has identified sever- improve scientific knowledge and inform NRM al elements that may influence the integration of decision-making. SANREM’s scientific research into local NRM practices. These include the ways that residents of Achievements the commune of Madiama conceptualize the bio- The past year has been a year of scientific produc- physical processes that constitute soil ecology, vari- tion with emphasis on grazing systems evaluation, ability in methods of soil amendment production results synthesis, transfer, and publication through and acquisition, the role of ethnic identity in per- written technical papers and preparation of referred ception of conflicts over natural resources, and the articles. We also contributed several papers for NRMAC’s preliminary perceptions of the cumula- workshops and book chapters. In February 2004, tive findings of the soil fertility trials. we contributed to the SANREM WA international In general, farmers in Madiama were previously workshop (Dioni and Badini, 2004) and to the familiar with all of the techniques tested in SAN- NASA carbon from communities’ regional work- REM field trials. However, they have not been uni- shop (Badini et al., 2004; Bostick et al., 2004) in formly employed and when they were, their appli- Bamako, Mali. To share findings with the scientific cation to varied in degree, intensity and situation. community we are contributing 2 chapters (Chapter

126 3: Badini and Dioni, 2004 and Chapter 11: Badini et Advances in Capacity Building al., 2004) in an edited volume on SANREM WAF The capacity of IER researchers, extension service research. We are also finalizing at least 2 papers personnel and NGO members to use and apply (Badini et al., 2004; Bostick et al., 2004) for poten- SANREM modeling and biophysical analysis tools tial publications in the refereed journal Agricultural was improved through pro-active collaborative Systems. research and training workshops organized at the IER Regional Center in Mopti. A method of bio- In order to improve the capacity of IER researchers, physical assessment of the viability of technologies extension service personnel and NGO members to was proposed. Also, the new grazing and carbon apply SANREM modeling and biophysical analysis sequestration model in grazing systems proposed tools, a training workshop was organized by SAN- improves on existing carbon accounting systems for REM at the IER Regional Center in Mopti from grazing areas. December 2 to 5, 2003. A total of about 30 participants from IER Mopti, Sotuba, Bamako headquar- Advances in Scaling Up ters, regional extension services and NGO con- Ensemble Kalman Filter Simulation of Carbon tributed to the success of the workshop. The main Dynamics in Semi-Arid Rotational Grazing objective was the transfer through hands-on train- Systems will help integration of field measurements ing and exchange of decision-making tools such as and simulation outputs for extrapolation to larger the cropping systems model (CROPSYST), climate areas. Also, work under a different, NASA-funded data generator (CLIMGEN), cooperator CROP- project is ongling and relates soil C with satellite SYSY-GIS (ARCCS) and Campbell Weather imageries. Station. The workshop was comprised of lectures (Badini and Stockle, 2003; Badini, 2003) and prac- Publications tical laboratory sessions, where the software was Book Chapters distributed and used for presentations of outputs Badini O. and L. Dioni. 2004. In Press. Landscape and demonstrations of application scenarios. The and Soil Characterization of Madiama Commune. training was well received by the participants who In Moore, K. (ed.) Conflict, Social Capital and found these tools very useful for the analysis and Managing Natural Resources. CABI Press, London, understanding of the impact of cropping systems UK. technologies and natural resource management impact on production, and sustainability. Crane, T. and B. Traoré 2004. Farmers’ Knowledge and Perceptions of Soil Fertility. In Moore, K. (ed.) Advances in Research Conflict, Social Capital and Managing Natural For Cropping Systems: The project has produced Resources. CABI Press, London, UK. improvements and validation for millet and sorghum production in West Africa through bio- Badini O., B. Traoré, and S. Touré. 2004. In Press. physical monitoring and modeling. Subroutines for Biophysical Assessment of the Viability of millet and sorghum phenology have been improved Alternative Technological Improvement Through for African genotypes. The CROPSYST Model was Modeling in Madiama Commune, Mali. In Moore, used to analyze the productivity, sustainability and K. (ed.) Conflict, Social Capital and Managing biophysical viability of soil fertility management Natural Resources. CABI Press, London, UK. practices in Mali. Wynne, R., M. Sidi, M. Touré, N. Sengupta and A. For Pasture Systems: The bulk of our fieldwork at Ballo. 2004. In Press. Land Use Changes in the research site in Madiama for the year 2003- Madiama Commune. In Moore, K. (ed.) Conflict, 2004 was on pasture systems. Our work is an essen- Social Capital and Managing Natural Resources. tial contribution to the development of a soil carbon CABI Press, London, UK. account system in grazing systems.

127 Other Major Outputs Badini, O. and C. Stockle, 2003. Introduction au Conference Paper Modèle de Simulation des Systemes Agricoles Badini, O., C. Stockle, J. Jones, A. Kodio and M. (CropSyst Suite). Atelier de Formation SANREM, Keita. 2004. Analyzing Potential Increase in IER/CRRA. Mopti, Mali. Décembre 2-6, 2003. Productivity and Soil Carbon Using Rotational Grazing in Madiama Commune, Mali (West Africa). Non-Degree Training Paper presented at an International Workshop on Workshop Land Managmenent for Carbon Sequestration. Modeling was attended by 30 person(s) and lasted 5 Bamako, Mali. February 26-27, 2004. day(s).

Bostick, W., O. Badini, J. Jones, C. Yost, C. Stockle, and M. Kodio. 2004. Ensemble Kalman Filter Simulation of Carbon Dynamics in a Semi- Arid Rotational Grazing System. Paper presented at the International Workshop on Land Management and Carbon Sequestration in West Africa. Bamako, Mali. February 26-27, 2004.

Proceedings Dioni, L. and O. Badini. 2004. In Press. The Soils of Madiama. Proceedings of a Workshop on Institutional Innovations and Development of Technologies for a Decentralized Natural Resource Management. Bamako, Mali. February 24-26, 2004.

Touré, M. and R. Wynne. 2004. In Press. Études de 50 ans de changement d'occupation des sols dans le commune de Madiama. Proceedings of a Workshop on Institutional Innovations and Development of Technologies for a Decentralized Natural Resource Management. Bamako, Mali. February 24-26, 2004.

Traoré, B., P. Wyeth and C. Brewster. 2004. In Press. Modèles Pour L'analyse de la Gestion du Sol et de la Socio-Economie. Proceedings of a Workshop on Institutional Innovations and Development of Technologies for a Decentralized Natural Resource Management. Bamako, Mali. February 24-26, 2004.

Tools Badini, O. 2003. Programmation, Utilisation et Entretien de la Station Météo Campbell Scientific. Atelier de Formation SANREM, IER/CRRA. Mopti, Mali. Décembre 2-6, 2003.

128 SANREMCRSP Sustainable Agriculture and Natural Resource Management May 2004 Collaborative Research Support Program Annual Report Funded by the U.S. Agency for International Development (USAID) WAF_5

Sustainable Grazing Practices and Carbon Principal Sequestration Investigator Ozzie Abaye ABSTRACT are also aware of the intended benefits of In the Commune of Madiama, Mali, the holistic planned grazing. Some residents lack of pasture and forage resources is a of Madiama beyond these direct benefici- growing problem. This research activity aries are also aware of the presence of the Co-Principal has collected data and is in the process of planned grazing experiments. However Investigator Amadou Kodio analyzing the results in order to design, very few commune members are aware of the objectives of the experiment or meth- implement and monitor environmentally Christine Jost and economically sound grazing systems ods used. Because there is very little mon- within this area. The project has two main itoring being done by the community Adama Ballo components. The current use of holistic members themselves for the first signs of open-range grazing for large ruminants change, the planned grazing that is being has been examined and a community sur- carried out in Madiama is closer to inten- vey to determine appropriate monitoring sive grazing than holistic planned graz- indicators has been completed. Secondly, ing. This research has provided cultural the potential of tethered and rotational and institutional indicators as to why dif- grazing methods for small ruminants fusion of learning and information in (managed primarily by women and chil- Madiama concerning holistic planned dren) has provided initial results to estab- grazing has been minimal, and provides lish appropriate monitoring indicators. questions to be followed up with further research. OBJECTIVE 1 Determine the current level of use of In addition, the potential for scaling up of holistic open range grazing planning in holistic pastureland management the Madiama commune approaches was explored through interviews with stakeholders and decision Achievements makers at the local, district, and regional levels. In conjunction with the NASA- Key person and focus group interviews funded Carbon from Communities proj- and structured interviews with male ect, this activity generated two papers household heads in Siragourou, Torokoro, presented at International Conferences. Bangassi and Toumadiama have been The first, entitled "An Analysis of completed. Key person and focus group Institutional Supports for Community- interviews indicate that the direct benefi- Based Land Management Systems with ciaries of Holistic Management training Carbon Sequestration Potential in Mali" (IER staff in Madiama, members of the was presented at a Workshop on NRMAC, and environmental monitors) "Reconciling Rural Poverty Reduction are aware of the planned grazing experi- and Resource Conservation: Identifying ments and the basic elements of how to Relationships and Remedies" at Cornell plan grazing holistically. These persons University (May 2-3, 2003). The second,

129 entitled "Lessons in Social Learning, Visions of Cassia tora was the only live and visible plant in the Scaling out: Fostering Institutional Capacity for entire Commune. Cassia tora, even at its late stage Community-Based Land Management in North- of maturity, can provide a good feed source with Central Mali" was presented at a Workshop on reasonably high nutrient content. In 2003, a year "Land Management and Carbon Sequestration" when the rainy season was wetter and longer than held in Bamako, Mali in February, 2004. usual, Cassia tora was still abundant. Unfortunately, in a fresh state, this grass is unpalatable for live- Biological monitoring data could not be entered stock. However, our research has shown that in into ArcMap by IER staff. terms of the nutrient values (as indicated by acceptable crude protein, fibers and relatively high in vitro OBJECTIVE 2 dry matter digestibility and total digestible energy To determine the influence of the tethered rotation- values) ensiled Cassia tora has a great deal of poten- al grazing method on biomass, plant diversity, for- tial as a livestock feed. The addition of honey, age quality, and soil fertility. molasses or sugar improves the quality of the ensiled material. Achievements Our research indicated that grazing intensity has a OBJECTIVE 4 profound impact on species diversity. The response Implement a simple, scientifically valid method of to intensive grazing was highly dependent on the community-based rangeland biological monitoring. morphological characteristics of the plant species. Plants with a horizontal growth pattern were able to Achievements re-grow at a faster rate after being defoliated to 3 Because the structured interviews of male house- cm stable height compared with more upright types hold heads could not be completed in time by the of plants. This was mainly due to the fact that the IER technicians, a community based rangeland bio- growing point (the site of rapid cell division) on the logical monitoring system could not be put in place. horizontal plants is close to the ground, out of dan- However, the results of the interviews identify ger of being removed by the grazing animal. It is ecosystem health indicators used by community critical that these tissues be close to the soil surface members when interacting with their environment, to escape damage during defoliation and thus per- including indicators highly correlated with soil and mit re-growth. Plants with an upright growth habit biomass carbon. These indicators can be used in a are more sensitive to defoliation, and are slower to pilot monitoring program in the future. recover than plants with a horizontal growth patterns. At the end of the growing season, the less fre- Advances in Research quent plant species found were those with upright Research on establishing a community based range- growth habits, which also happened to be highly land biological monitoring system has provided desired (selectively grazed) by the animals. indicators specific to rangeland health in Madiama commune, and familiar to commune members that OBJECTIVE 3 can be integrated into a rangeland monitoring sys- To study the effect of intensive tethered grazing tem so as to encourage community members them- method on weedy, invasive and undesirable plant selves to monitor changes in their ecosystem. species and explore their potential feed values. The seasonal survival and regeneration of annual Achievements grasses is solely dependent on self-reseeding. The goal for this activity was to find a feed source Therefore, the management of these type of grass that can be tapped into during the dry season when needs to focus on the importance of rest period and livestock feed is in short supply. In a drought year defoliation heights. The rest period between defoli- such as 2002, the entire feed source for the live- ation need to be long enough to allow sufficient re- stock was gone at least two months before the end growth for grazing as well as reseeding. Our data of the “normal” production season. By early 2003, showed that close grazing of these annual plants 130 will cause a shift in botanical composition, that is, Advances in Environment and Natural redistribution and replacement of the more desir- Resource Management able grasses by a more weedy type of plants. Based All the experiments were designed to on one season's observations, the 6 cm compared improve/restore natural resorces as well as utilize with the 3 cm grazing height would promote resources that are not traditionally used, such as regrowth within the same season and possibly allow invasive weeds species. We have demonstrated the the plant to reseed for the following growing sea- potential for use of an invasive plant, known as son. Cassia tora. This plant, if managed properly, can increase soil fertility through N fixation and P If silage making of Cassia tora was to be adopted, it extraction and recycling of nutrients. The feeding could affect the ecosystem within this region. As value of this plant is also being explored. The result discussed earlier, exotic species can bring both pos- we obtained so far indicated that the quality of this itive and negative effects into an existing ecosys- plant is equal to or superior to most of the common tem. Cassia tora may have positive effects in the forages grown within the community. recycling of nutrients; however it is also aggressive in its growth and excludes grasses and other species Publications from growing. In order to control Cassia tora with- Book Chapters out eliminating the plant, a cutting regime would Bingham, S. 2004. In Press. Holistic Management need to be developed. Ensiling Cassia tora could be Applied to SANREM Research and Development in a solution to two problems. Cutting the plant at the Madiama. In Moore, K. (ed.) Conflict, Social beginning of the growing season, when still at the Capital and Managing Natural Resources. CABI vegetative and leafy stage, would ensure optimal Press, London, UK. quality for conservation and for feeding to small ruminants during the dry season. In addition, it Ballo, A. and A. Ouattara. 2004. Investigation Into would allow other species to emerge and extablish the Movement of Cattle, Sheep and Goat Herds themselves early in the season. Through the Commune of Madiama. In Moore, K. (ed.) Conflict, Social Capital and Managing Natural Advances in Capacity Building Resources. CABI Press, London, UK. Where cutting and measuring of forages for biomass evaluation is not always practical, IER techni- Abaye, O., M. El Hadj, A. Kodio and M. Keita. cians were trained in how to quantify individual 2004. Controlled Grazing: Botanical Response and forage species visually. Village women were trained Animal Performance. In Moore, K. (ed.) Conflict, in the preparation of Cassia tora for ensiling. Social Capital and Managing Natural Resources. Through the interview process, key points in holis- CABI Press, London, UK. tic planned grazing were reviewed and reinforced with NRMAC members and environmental auxil- El Hadj, M., O. Abaye, A. Kodio and M. Keita. iaries. Karim Ouattara, IER zootechnician, through 2004. In press. Dry Season Feed Supplements: The participation in this research, has received on the Potential Role of Cassia tora. In Moore, K. (ed.) ground training in conducting of open ended and Conflict, Social Capital and Managing Natural semi structured interviews. Resources. CABI Press, London, UK.

Advances in Scaling Up Other Major Outputs Although this research was designed as an evalua- Conference Paper tion, data on the scaling up potential of holistic Roncoli C., C. Jost, K. Moore, A. Ballo and S. planned grazing has been obtained. More work will Cissi. 2004. Lessons in Social Learning, Visions of need to be done on verifying the non-toxicity of Scaling out: Fostering Institutional Capacity for Cassia tora. Additional precision is needed in the Community-Based Land Management in North- specifying the best biological indicators for rota- Central Mali. Paper presented at the International tional grazing of tethered plots. Workshop on Land Management and Carbon 131 Sequestration in West Africa. Bamako, Mali. February 26-27, 2004.

Roncoli, C., K. Moore, A. Berthe, S. Cisse, C. Neely and C. Perez. 2004. An Analysis of Institutional Supports for Community-Based Land Management Systems with Carbon Sequestration Potential in Mali. Paper Presented at the Workshop on Reconciling Rural Poverty Reduction and Resource Conservation: Identifying Relationships and Remedies. Cornell University, Ithaca, New York. May 2-3, 2003.

Proceedings Ballo, A., A. Nadif and A. Kodio. 2004. In Press. Gestion Holistique des Pâturages Naturels: Cas des Deux Sites Pastoraux de la Commune Rurale de Madiama. Proceedings of a Workshop on Institutional Innovations and Development of Technologies for a Decentralized Natural Resource Management. Bamako, Mali. February 24-26, 2004.

El Hadj, M., O. Abaye and M. Keita. 2004. In Press. Qualité de L'ensilage, Caractéristiques Chimiques, et Palatabilité de la Cassia tora Ensilé Contre Frais. Proceedings of a Workshop on Institutional Innovations and Development of Technologies for a Decentralized Natural Resource Management. Bamako, Mali. February 24-26, 2004.

Kodio, A., M. El Hadj, O. Abaye and M. Keïta. 2004. In Press. L’impact du Pâturage Des Moutons Attachés sur la Performance Animale, Biodiversité, Régénération, et Production de Biomass. Proceedings of a Workshop on Institutional Innovations and Development of Technologies for a Decentralized Natural Resource Management. Bamako, Mali. February 24-26, 2004.

Degree Training Meriem El Hadj , Ph.D., 2001 - 2004

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