Irrigation Techniques for Small-Scale Farmers

Irrigation Techniques for Small-scale Farmers

KEY PRACTICES for DRR Implementers Irrigation Techniques for Small-scale Farmers: Key Practices for DRR Implementers

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Authors Martin Smith, Giovanni Muñoz and Javier Sanz Alvarez Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © FAO/Javier Sanz Alvarez, unless otherwise indicated Design and layout Handmade Communications, [email protected] Irrigation Techniques for Small-scale Farmers

KEY PRACTICES for DRR Implementers This brief is part of the series, A Field Guide for Disaster Risk Reduction in Southern Africa: Key Practices for DRR Implementers, coordinated by the FAO Subregional Office for Disaster Risk Reduction/Management for Southern Africa. This series has been produced with contributions from COOPI, FAO, OCHA and UN-Habitat, and comprises the following technical briefs:

◼ Information and Knowledge Management (COOPI) ◼ Mobile Health Technology (COOPI) ◼ Safe Hospitals (COOPI) ◼ Disaster Risk Reduction for Food and Nutrition Security (FAO) ◼ Appropriate Seed Varieties for Small-scale Farmers (FAO) ◼ Appropriate Seed and Grain Storage Systems for Small-scale Farmers (FAO) ◼ Farmer Field Schools (FAO) ◼ Irrigation Techniques for Small-scale Farmers (FAO) ◼ Management of Crop Diversity (FAO) ◼ Community-based Early Warning Systems (OCHA and FAO) ◼ Disaster Risk Reduction Architecture (UN-Habitat)

This document covers humanitarian aid activities implemented with the financial assistance of the European Union. The views expressed herein should not be taken, in any way, to reflect the official opinion of the European Union, and the European Commission is not responsible for any use that may be made of the information it contains.

The European Commission’s Humanitarian Aid department funds relief operations for victims of natural disasters and conflicts outside the European Union. Aid is channelled impartially, straight to people in need, regardless of their race, ethnic group, religion, gender, age, nationality or political affiliation. Foreword by ECHO

he southern Africa and Indian Ocean region is extremely ◼ Empowering communities through multi-sectorial and multi- vulnerable to cyclones, floods, droughts and tropical storms. level approaches with DRR mainstreamed as a central compo- TThese recurrent climate-related shocks negatively affect the nent and improved food and nutrition security as an outcome. highly sensitive livelihoods and economies in the region, and erode communities’ ability to fully recover, leading to increased fragility This is done in alignment with national and regional strategies and and vulnerability to subsequent disasters. The nature and pattern of frameworks. weather-related disasters is shifting, becoming unpredictable, and For DIPECHO, one of the main measures of success is replicability. increasing in frequency, intensity and magnitude as a result of climate To this end, technical support through guidelines established for change. Vulnerability in the region is further compounded by prevail- DRR implementers is a welcome output of the DIPECHO interven- 01 ing negative socio-economic factors, such as high HIV rates, extreme tions in the region. ECHO has supported regional partners, namely poverty, growing insecurity and demographic growth and trends COOPI, FAO, UN-Habitat and UN-OCHA, to enhance the resilience of (including intra-regional migration and increasing urbanization). vulnerable populations in southern Africa by providing the funding The European Commission’s Office for Humanitarian Affairs to field-test and establish good practices, and to develop a toolkit (ECHO) has actively engaged in the region through the Disaster for their replication in southern Africa. It is the aim of the European Preparedness ECHO (DIPECHO) programme since 2009, supporting Commission Office for Humanitarian Affairs and its partners to fulfil multi-sectorial disaster risk reduction interventions in food security the two objectives sustainably and efficiently through the practices and agriculture, infrastructure and adapted architecture, informa- contained in this toolkit to ensure the increased resilience of the most tion and knowledge management, water, sanitation and hygiene, vulnerable populations in the region. and health. This programme operates with two objectives, notably: ◼ Emergency preparedness by building local capacities for sustain- Cees Wittebrood able weather-hazard preparedness and management, including Head of Unit, East, West and Southern Africa seasonal preparedness plans, training, emergency stocks and Directorate-General for ECHO rescue equipment, as well as Early Warning Systems. European Commission 02 © FAO/Antonello Proto Foreword by FAO

he southern Africa region is vulnerable to a diverse array Together with partners, FAO is undertaking intensive work in of hazards, largely linked to environmental causes (such as southern Africa to consolidate the resilience of hazard-prone com- Tdrought, cyclones and floods); human, animal and plant dis- munities; this is leading to an improved knowledge base and to eases and pests; economic shocks; and in some areas socio-political documentation of good practices. This toolkit purports to dissemi- unrest and insecurity, among others. The region’s risk profile is nate improved methods and technologies on key aspects of agricul- evolving, with new factors becoming gradually more prominent, ture, such as appropriate seed varieties, irrigation, storage systems, including a trend towards increased urbanization, migration and land and water use and Farmer Field Schools, in the hope that they mobility, among others. Natural hazards will be progressively more may serve different stakeholders to improve their resilience-building 03 influenced by trends in climate change. Disasters in the region are efforts. A multi-sectoral approach and solid partnerships are seen often composite and recurrent, and have a dramatic impact on liveli- as key to the success of resilience-building work. For this reason, hoods and on southern African countries’ economy and environ- this toolkit also includes non-agricultural aspects of good resilience ment, often undermining growth and hard-won development gains. practices, contributed by FAO partners: the UN-OCHA, UN-HABITAT Increasing the resilience of livelihoods to threats and crises con- and COOPI, which certainly strengthen this collection. stitutes one of the Strategic Objectives of FAO’s Strategic Framework (Strategic Objective 5, or SO5). FAO specifically aims at building resilience as it relates to agriculture and food and nutrition security, which are among the sectors most severely affected by natural hazards. The David Phiri Mario Samaja impact of shocks and disasters can be mitigated and recovery can be Sub-Regional Coordinator Senior Coordinator greatly facilitated if appropriate agricultural practices are put in place; FAO Sub-regional Office for FAO Sub-regional Office for DRR improving the capacity of communities, local authorities and other Southern Africa Southern Africa stakeholders is therefore central to resilience building. Harare Johannesburg Contents

Acronyms and Abbreviations...... 05

1. Introduction ...... 06

2. Practical Examples of Common Irrigation Technologies...... 09

04 3. Key Principles and Practices for Selection and Installation...... 31 4. Farmer Training and Demonstrations...... 41

5. Bibliography and References for Further Reading...... 45

Acronyms and Abbreviations

DRR/M...... disaster risk reduction/management IPM...... integrated pest management FAO...... Food and Agriculture Organization of the United Nations FFS...... farmer field school FWM...... farm water management GO...... governmental organization 05 NGO...... non-governmental organization NRL...... FAO Land and Water Division O&M...... operation and maintenance PEP...... polyethylene pipes PT&E...... participatory training and extension PVC...... polyvinylchloride SPFS ...... Special Programme for Food Security ToT...... training of trainers US$...... United States Dollar WUA...... water users association

1. Introduction

Background and justification increasing people’s preparedness for response in order to reduce their vulnerabilities. Disaster risk reduction/management (DRR/M) he recurrent emergencies in southern Africa1 caused by natural and climate change adaptation have been assigned a high priority and biological hazards, such as floods, drought, cyclones, pests in the FAO corporate strategy in order to support governments to Tand diseases have exposed an important segment of the popula- better respond to natural disasters with adequate policies, institution to high levels of vulnerability. This is sometimes further aggravated tions and coordination mechanisms, and to strengthen capacities by civil strife, HIV/AIDS and economic set-backs. Climate change, and at national and local levels to assess, reduce and adapt to climate 06 the expected increase in the frequency and severity of extreme weather and disaster risks. events, will affect the agriculture sector, thereby increasing the risks To build the resilience of hazard-exposed small-scale farmers to faced by the rural populations, the majority of which are dependent recurrent natural disasters, the FAO’s interventions promote the spread on agriculture for their livelihoods and food security. International emergency programmes have done much to overcome the immediate shocks of extreme events and emergencies by providing immediate food and shelter needs and to redress the negative impacts on people’s lives and their livelihoods. There is a need to not only focus on response, but to also in - crease the resilience2 of vulnerable communities through prevention and reduction of the impact associated with disruptive events and

1 Angola, Botswana, Comoros, DR of Congo, Lesotho, Madagascar, Malawi, Mozambique, Namibia, South Africa, Swaziland, Zambia, Zimbabwe. 2 The ability of a household to keep within a certain level of well-being (i.e. being food secure) by withstanding shocks and stresses. of improved DRR methods and technologies on key aspects of agri- technologies that can assist hazard prone communities to overcome culture and food security sectors, including conservation agriculture, recurrent threats. crop production, appropriate seed varieties, land and water use and The introduction of appropriate agricultural water management management, agricultural inputs supply, insurances, environmental techniques, including irrigation, would provide an attractive way rehabilitation, protective afforestation and irrigation, among others. to rapidly re-establish production and income, and to increase significantly the resilience of the local population to overcome subsequent emergencies. Objective and justification Although responses in each type of emergency will be different, introduction of irrigation techniques will be, in most cases, a viable To re-establish food production and create a farming system that option: provides for better food security and assurances for sustained production and income, the FAO aims to build upon its experiences ◼ After floods and cyclones that occur in the rainy season, the 07 over the past years in their DRR/M programmes and to provide introduction of irrigation in the subsequent dry season will allow practical guidance in the introduction of effective techniques and farmers to grow an additional crop and facilitate an early recovery. ◼ In drought conditions, when irrigation will help to overcome operational costs is also provided for each irrigation technique. shortages in precipitation and crop production can be substan- Principles and key steps required in the field to ensure the successful tially increased as a result of stable access to water. introduction of irrigation techniques are provided with steps and procedures for field based implementation. A range of irrigation technologies have proved their effectiveness These guidelines are based on extensive review of the successes for different conditions related to climate, soil and available water and failures of irrigation techniques introduced under the Special resources. Selection of the appropriate technology according to the Programme for Food Security (SPFS)3 over a period of more than given agro-ecological context is a key to success or failure. 15 years, mainly in Africa. These experiences demonstrate that the The introduction of new technologies to small-scale farmers process of introducing and familiarizing farmers to the irrigation has often failed, as both farmers and aid organizations have limited techniques from the planning phases is central to their success or experience and technical knowledge to ensure the proper selection, failure. In this regard, due attention must to be given to the socio- 08 installation and management of irrigation equipment and facilities economic context, as well as the tools and practices, such as the in a given social and agro-ecological environment. This leads to farmer field school (FFS), to assist farmers in adopting and adjusting inefficiencies, wastage of resources and/or technical failures of the to new technologies. Access to credit and markets must also be provided equipment. carefully considered for the long-term viability of the technology (see bibliography for further reading on these topics). Intended application

This brief provides key practices for implementers and field staff engaged in various DRR and aid programmes as an initial introduction to the various irrigation techniques that have proved successful 3 The FAO Special Programme for Food Security (SPFS) was launched in 1996 in for small-scale farmers in southern Africa. the wake of the World Food Summit of 1996 with the specific aim of increasing Practical examples of common irrigation technologies are food security and reducing hunger. Over a period of more than 15 years, the programme introduced new and improved technologies that would lead to a provided with relevant illustrations, design concepts, technical rapid increase in agricultural production and farm income in more than 100 requirements, as well as common constraints experienced in the countries. Water control technologies formed a key element in the set of introduction of the technologies. An indication of investment and technologies introduced. The review can be downloaded from the FAO website: http://www.fao.org/docrep/014/i2176e/i2176e00.pdf 2. Practical Examples of Common Irrigation Technologies

his section outlines a range of common irrigation technolo - Watering can gies. Each technology is accompanied by: T◼ relevant illustrations The watering can provides a simple and accessible irrigation tech- ◼ design concepts nique that is understandable and widely practiced by small-scale ◼ technical requirements farmers for vegetable production. The technology requires low ◼ common constraints investments, but is labour intensive and allows irrigation of only a 09 ◼ indication of investment and operational costs. small garden/area (50 to 100 m2.)

Table 1: Watering can conditions, requirements and constraints

Technical conditions Requirements Constraints • Water source (rivers, • Watering cans • High labour input streams, canals, drains, commercially available • Access to a nearby open shallow wells) in • Access to local market for water source immediate vicinity (< 50m) horticultural products

Irrigation by watering can or bucket (Figures 1 and 2) provides many small-scale farmers with a simple way of growing irrigated crops. In some cases, locally sourced natural materials (e.g. bottle gourds) are used, but in most cases the watering can is locally produced Figure 1: Vegetable irrigation by from galvanized iron or plastic. Carrying the cans from the water watering can source to the crop is labour-intensive and daily watering is required. women’s groups. To help generate additional income, nearby In general, the water source should: not be more than 50 m away markets are important for the sale of the vegetables; therefore, from the area to be irrigated; not be too deep; and allow easy access most irrigated vegetable gardens are usually found around urban for filling the watering can. centres and settlements. A reservoir filled by small pump is sometimes constructed to facilitate access (Figure 3). Normally, irrigated gardens are found Costs along rivers and streams or where surface and groundwater can It costs US$5 or less for a watering can that irrigates around easily be reached. The amount of labour required to carry water 100 m2, i.e. US$500 per hectare (ha). Sometimes additional costs from source to field limits the area that can effectively be irrigated are incurred when a water source has to be made accessible, for by a household, which is typically between 50 and 100 m 2. instance via a pump, reservoir or open well. Watering cans have been supplied in many emergency interven- Labour costs are more substantial, however, and depending 10 tions, usually for small-scale vegetable production in groups – often on the distance of the water source to the field, can vary between

Figure 2 (left): Watering with a bucket

Figure 3 (right): Using a watering can to

© FAO/Olivier Asselin © FAO/A. Casset access water from a concrete reservoir US$1 200 and 1 500/ha per season (assuming US$1/workday and of 7 m, the use of the treadle pump permits a typical area of 2 000 a crop with a water requirement of 3 000 m 3/ha). to 3 000 m2 to be irrigated with at least four hours' daily pumping for an output of around 1L per second. Treadle pumps Treadle pump technology has been evaluated substantially since its first introduction in the 1970s, and a range of models has Originally developed in Asia, the treadle pump has been extensively been developed by various organizations, including the FAO, using introduced in many African countries, and is promoted by several different materials and improving design and manufacturing. Two international agencies and specialized NGOs to show its potential. main types can be distinguished by the way the outlet operates: This micro-irrigation technique, which requires a relatively modest the pressure treadle pump and the gravity treadle pump (Figure investment of around US$100, allows the small-scale farmer to 4). The pressure pump has proved more successful, as it can be irrigate a more substantial area than is possible with the traditional connected to a flexible hose that allows direct watering of the watering can method. Lifting water from up to a maximum depth crop (Figure 5). 11

Figure 4 (left): Concrete gravity treadle pump

Figure 5 (right): Watering with pressure

© W3W, Suisse © M Smith treadle pump The spread of the technology was facilitated by promoting local Table 2: Treadle pump conditions, requirements and constraints manufacturers, often through separately financed projects and with the assistance of specialized international NGOs. Technical conditions Requirements Constraints Yet the initial enthusiasm for the treadle pump has been • Appropriate water • Farmers familiar with • Labour intensive and source (surface or garden irrigation and restricted to 3–4 hours/ tempered, as the technology showed a number of setbacks and groundwater) should be access to market day limitations in several programmes, and proved less sustainable for close to irrigated area • Capacity for local • Area limited to 2 a number of reasons. These constraints included: • Water lift not more than manufacturing and after 200–3,000 m 7 m service • Poor quality of local ◼ Poor quality of local manufacturing and frequent breakdowns; • Extension of existing • Demonstration and manufacturing ◼ Inadequate technical advice for installation and operation of irrigated garden area advisory services for • Inadequate field improved field irrigation irrigation system the equipment; system ◼ Considerable daily labour required to pump water; 12 ◼ Limitations, in particular of the gravity model, as the small volume of water cannot be transported over any distance to the crop; Costs ◼ The high position needed for operating the treadle pump, in The investment for the pressure treadle pump, including a set of particular in the early models, causing discomfort to women; and flexible hoses for intake and output, is around US$120 per treadle ◼ Sharing of the treadle pump among a group of users proved set irrigating 2 500 m2, which means around US$500/ha; and labour less successful. costs to operate the treadle per season are estimated at US$150 per set or US$600/ha. The treadle pump has been more successful in wetland develop - ment projects where groundwater can be found at a shallow depth (<3 m). When combined with well development, the pressure treadle pump can be connected via a set of low-pressure pipe distribution system and flexible hoses to distribute the water by sprinkling. Motorized pumps fuel costs and access to fuel constitute a constraint for small-scale farmers. Larger pumps often pose management problems, as the Motorized pumping has revolutionized irrigated agriculture and larger irrigated areas require good conveyance and distribution sys- made an important contribution to securing food production and tems, preferably with lined canals or low-pressure Polyvinylchloride income for small-scale farmers in many countries. (PVC) pipe and flexible hose outlets for smaller pump systems. These small low-cost motorized pumps (Figure 6), make attractive and successful technology suitable for an individual farmer or Table 3: Motorized pump conditions, requirements and constraints a group of small-scale farmers. Individual farmers may extend their Technical conditions Requirements Constraints garden plots to irrigate a larger area as a result of the motorized • Adequate surface or • Motor pump • High investment costs pump, while groups of farmers can irrigate a common or collec- groundwater sources commercially available • Availability fuel tive area. Equipment has proved reliable provided that adequate available in the vicinity with maintenance • Operational costs maintenance is undertaken and spare parts are available. However, of irrigated areas services and spare parts • Management problems 13 • Water level not to available in larger pump schemes exceed 7 m at pump site • Access to regular supply • Low irrigation • Opportunity for of fuel at affordable efficiencies due to extension of irrigated price unfamiliarity with water area for single farmers • Access to markets for conveyance and field • Assurances for good produce irrigation practices management and • Advisory services on cooperation of farmers selection, installation, in pump users group field irrigation practices and maintenance • Adequate attention to conveyance system (canal lining or low- pressure pipe system)

Many small-scale and village irrigation schemes have been equipped Figure 6: Small 1.5 with motorized pumps for areas of 5 to 200 ha, but organizing hp petrol motor farmers into water users associations (WUA) to ensure adequate

© Stephan Abric/Practica Foundation pump operation and maintenance (O&M) has been difficult: many pump Solar pumps schemes have failed due to poor cooperation among farmers. Solar pumps allow users to avoid the constraint of the high fuel costs for Costs motorized pumps. The electric pumps linked to the solar energy units The small low-lift motorized pumps driven by small petrol or diesel have proved reliable and have low maintenance costs. Energy outputs engines (Figure 7) with a capacity of 2 to 5 horsepower (hp) and a of solar panels are limited, however, and in most cases a solar-driven typical discharge of 2–15 L/second have proved cost-effective. The electric pump may irrigate only a small garden area of 0.3 to 1 ha. price of this centrifugal pump has substantially decreased as the The solar pump unit (Figure 8) includes solar panels, a battery result of imports from China and India, and is typically between pack with current regulator unit for energy storage, and an electric US$200 and US$500, which more established small-scale farmers motor linked to the water pump. To irrigate effectively, water needs can afford, and allows them to irrigate a substantial area of 1 to 5 to be stored in a water reservoir or tank and connected to a low- 14 ha. The operational costs are mainly fuel costs, which are estimated pressure pipe system or drip system. at US$500/ha per season.

Figure 8: Solar Figure 7: Small panels, pump motopump suitable and reservoir for for 2.5 ha of drinking water and

Technical conditions Requirements Constraints Groundwater has proved a reliable and accessible water source • Water source (river, • Panels and suitable pumps • High investment costs for irrigation. Several low-cost technologies have been developed wells) with limited commercially available • Low discharge including open well lining and shallow tube wells to improve access depth (<10 m) • Construction of reservoir • Only small garden • Tube well development for 2 to 3 days storage to areas (of 0.3–1 ha) to groundwater for irrigation or drinking water. Water depth and in case of groundwater increase discharge and can be irrigated variability in depth and quantity can be constraints as the common • Adequate sunshine (8 periods of low sunshine to 12 KWh/m2/day) • Low-pressure pipe system or pump systems do not allow water to be pumped from a depth of drip irrigation more than seven metres. • Competent technical advisory services for design and Capacity building to train local drilling teams and provision installation of technical advice on suitable sites and procedures need to be ensured. Some international NGOs in southern Africa are now suc- 15 cessfully engaged in the promotion of shallow well technologies Costs and capacity-building of local craftsmen. Initial investment is very high and often difficult to justify eco - nomically. Estimates for the cost of batteries and electric regulators, electric motor pumps and a water reservoir are between US$10 000 and 15 000/ha. There are also extra costs to be taken into account if connected to either a low-pressure pipe system or drip irrigation system, which are most suitable for efficiently conveying the low pump discharges to the crop. However, operational and maintenance costs for a solar system are relatively low at 50–100 US$/ha; therefore it may be worthwhile for farmers to consider the long-term investment benefits of using solar energy to pump irrigation. Figure 9: Open well

© FAO-TCOF development Open wells collapse easily, well construction techniques have been improved: Traditionally, farmers have developed open wells, up to 15–20 m the pits are lined with concrete rings (Figure 10), bricks or stone in depth (Figure 9), for drinking water and for garden irrigation masonry, allowing groundwater to be sourced from greater depths. using buckets (Figure 2). Open well development is most com - mon, particularly in the bottoms of valleys and wetlands where Table 5: Well conditions, requirements and constraints groundwater is at a shallow depth and farmers dig open pits for bucket irrigation. Because in unstable and sandy soils shallow pits Technical conditions Requirements Constraints • Groundwater depth up to • Local artisans with • Low discharge 15–20 m traditional experience in • Small area to irrigate • Stable soil structure for well digging • Technical knowledge wells without lining • Well stabilization by for lining and • Sandy soils require lining lining required for manufacturing of of the well for depth unstable soils (sand) concrete rings 16 > 2 m • Technical advice • Protection and visibility manufacturing concrete to avoid accidents rings and installation procedures

Costs The costs for open wells can vary considerably depending on the well’s depth and the equipment required for drilling; costs may vary between US$500 and 1 500 per open well fitted with concrete lining. Traditionally, open well digging carried out by local craftsmen (with or without brick lining) is a cost-effective option.

Shallow tube wells Shallow tube well drilling is a relatively new and promising tech - Figure 10: Open well nique for southern Africa that has proved particularly effective

© FAO/Olivier Asselin lining with PVC tubing, which is now widely available, even in rural Canal and pipe conveyance systems areas. Several new and cost-effective techniques for tube well drilling have been developed for different hydro-geological condi- Water conveyance from intake to crops is an essential element tions, which allow drilling in various soil conditions, such as sand of the irrigation system, in most cases done via a simple earthen and hard stone layers. gravity canal. Water losses in such a system can be quite consider- Shallow well development techniques include: able due to evaporation and seepage through the canal bottom, ◼ Augering of tube wells particularly in sandy soils. Moreover, if water regulating structures ◼ Rota sludge drilling for tube wells are absent or inadequate, water distribution will be uncontrolled, ◼ Percussion drilling leading to possible canal breakages and water losses. Open gravity ◼ Jet wash boring systems are usually about 40 percent effective, pump energy is ◼ Stone hammer drilling wasted, and less area than planned is irrigated. ◼ Rotary rigs. Providing farmers with an irrigation pump but no further techni- 17 cal advice on how to distribute water to the fields and crops, has Specialized international NGOs have played an important role in the frequently led to high water losses, disappointing performance, introduction of shallow tube wells and in training local entrepre - salinity and frequent failures overall. neurs in new well development techniques, such as the rota sludge It is therefore important in any irrigation system to pay adequate technology. Through the training of local drillers the technologies attention to the layout and design of the canal system In order can be made available for farmers at affordable costs. to determine which system should be used, where improvements should or can be made, and which regulating structures should Costs be included. Shallow tube well drilling implemented by locally trained drilling Pipe distribution systems are very efficient, but require signifi- teams fitted with 150 mm PVC pipes, may be as low as US$300–400 cant investment and energy. Some basic principles of lay-out and per unit, typically irrigating 1 ha of vegetables with a motorized main technical characteristics are elaborated below, but design and pump (±US$250). Deep tube wells beyond 30 m require specialized installation of both systems require adequate technical advice and drilling equipment and multiple stage pumps, thus the price of such support to be tailored to the specific situation. a deep well pump can exceed US$10 000 per unit. Open gravity canal system structures (Figure 12) include flow and water level regulators, drop In an open canal system, water is taken in through a diversion structures, inlets and outlets, as well as bridges and siphons for structure or from pumps. For larger areas where water is to be road and drain crossings. carried over several kilometres, a network of secondary and tertiary Given these technical requirements, adequate technical support canals is required. These canals require proper layout and design, is required to ensure the proper design and installation of an irriga- taking into account regulating structures to control water flow and tion canal system, even for small irrigated areas of less than one levels in the canals and the distribution of the appropriate quantity hectare. Besides the layout and construction of the canal system, of water to each canal segment, field channel and field outlet. To farmers need to receive O&M training of the system, as well as reduce water losses in the canal and to prevent erosion, particu - advice regarding when and how much water needs to be applied larly in sandy and unstable soils, canal lining (Figure 11) should be to the various crops. considered for at least part of the canal system. Canal regulating 18

Figure 11 (left): Brick masonry lining of irrigation canal

Figure 12 (right): Canal regulation with drop ©FAO/Antonello Proto ©FAO/Antonello ©FAO/Alberto Conti ©FAO/Alberto structure and field inlets Table 6: Canal system conditions, requirements and constraints contractors undertake the design and construction, costs are likely Technical conditions Requirements Constraints to be substantially higher and investment costs can range from US$3 000 to 8 000/ha. • Reliable intake • Adequate funds available for • High investment costs structure available construction • Poor motivation of (pump, dam, source, • Adequate technical WUA members to pay Low–pressure pipe system diversion) assistance for design and fees for O&M • Adequate water supply technical advisory services • Conflicts in water use The low-pressure pipe distribution system (système Californien) for irrigated area for farmers between upstream and has proved to be an effective and efficient irrigation technology for • Good potential for • Local masons to be trained downstream users expansion of irrigated in small regulating structures • Complexity of water small-scale farmers and small farmers’ groups for conveying water area • Motivated water users group distribution efficiently to fields and crops (Figure 14). In general, most materials • Low water efficiency of prepared to substantially • Lack of competent (PVC or Polyethylene (PEP) pipes, flexible hoses) are locally available the actual conveyance contribute to excavation and technical support system construction works services for O&M and farmers can install the system with minimal technical assistance, or with help from locally trained private irrigation technicians. 19

Construction of a canal system involves excavation work for the secondary and tertiary irrigation and drainage canals as well as the flow-regulating structures. In addition, part of the earthen canal system may need to be lined in order to reduce losses and convey water over difficult canal stretches (Figure 13).

Costs With basic assumptions of excavation costs of US$4 per m3, concrete work at US$150 per m3 for lining and cost of regulating structures, canal construction costs may amount to US$600–800/ ha including partial lining (10 percent) and small regulation structures. To reduce the costs, local contractors should do as much Figure 13: Canal of the work as possible. When large national or international erosion at motorized

Connecting hose Suction hose

River, lake or canal

Figure 14: Layout of low-pressure pipe system Modified from original drawing by M Smith 20

Figure 15 (left): Buried PVC pipe system and outlets connected to flexible hose

© M Smith © M Smith Figure 16 (right): Watering by flexible hose Table 7: Low pressure pipe system conditions, requirements and constraints water application, resulting in higher yields, water savings and larger irrigated areas. Technical conditions Requirements Constraints • Water supply available from water • Treadle pump or motor • High Initial Sprinkler irrigation systems lifting device (treadle pump, small pump available investment motor pump) or small reservoir • PVC pipes and fittings costs • Irrigated area some distance from locally available • Breakage of Sprinkler irrigation has been widely introduced into communities and water source • Technical advice on riser pipes in individual schemes for both small and large areas. The technique • Extent of irrigated area >5,000 m2 design, installation and with possible extension operation of system includes a complete irrigation system with pump, distribution pipes • Suitable to be combined with dry- and mobile laterals on which the sprinklers are placed. The system has season irrigation in rice fields high water efficiency, is easy to install, and the equipment is readily available on the market. However, high investment costs, as well as Used in combination with a small motorized pump, a pressure treadle high fuel costs for the operation of the pressure pumps, have been 21 pump, or gravity from an elevated small reservoir, the system ef- a major constraint and are often a reason why the implementation ficiently is able to convey and distribute water directly to the irrigated of the technology failed or has been abandoned. areas (> 0.5 ha) and fields, rotating irrigation between the different pipe outlets. Pipe outlets or hydrants are placed at a regular distance Table 8: Sprinkler system conditions, requirements and constraints (±20 m) on a fixed underground PVC system. The outlets can be Technical conditions Requirements Constraints opened directly to the field or connected to a flexible hose that can be • Adequate water supply • Equipment commercially • High energy costs dragged around to irrigate individual fields and crops (Figure 15). Low- from river, lake, reservoir available • High investment cost pressure pipe systems have been successfully introduced in several or groundwater source • Pressurized pump system • Labour costs in moving African countries, mostly with assistance from technical agencies. • Mobility of irrigation (2–3 bar) laterals system required • Cheap energy available • Supplemental irrigation • Technical advice on Costs • Low wind conditions design, installation and operation of the system The investment required for low-pressure pipe systems is still high at around US$1 000 to 1 500/ha, but can easily be recovered as water allocation and easy operation ensure more accurate and efficient In sprinkler irrigation, a pump takes up water from a water source mobility of the equipment, sprinklers systems have been applied (river, lake, canal or well) and conveys the water under considerable successfully as supplemental irrigation in locations where rainfall is pressure (2–3 bar) through a lateral pipe system (partially under- irregular or inadequate, which may save or boost crop production ground, partially above ground), of quick-coupling light-weight during dry spells. tubes, which can be moved over the field to the crops (Figure 17). Major constraints of the irrigation system are the considerable The sprinklers are fitted to the pipe system, and (Figure 18) water investment and operational costs. In particular the high fuel costs is sprinkled down through spray heads onto the crops in circular and energy requirements of the pressurized system make it one of patterns. Water losses are low (<30 percent) and the system can the more expensive options and it has often proved to be uneco - be moved easily. No field levelling is required and limited labour is nomical for most of the food crops cultivated by small-scale farmers. required to move the mobile pipelines along the field and connect the hydrants to the underground main-lines. Costs 22 The system is used in a range of different sizes and designs Investment costs for the sprinkler system include a motorized and has also been used by small-scale farmers. Because of the pump with the capacity to provide sufficient pressure, as well as

Figure 17 (left): Moveable lateral aluminium sprinkler line

Figure 18 (right): Rotating sprinkler

©FAO/Alberto Conti ©FAO/Alberto © M Smith head the quick-coupling laterals, with sprinkler risers and the pressurized successfully in most high-level commercial fruit and vegetable farms pipe system. Estimated investment costs of the sprinkler systems are and greenhouses. around US$3 000–5 000/ha. Due to the amount of fuel required for Family drip irrigation and bucket drip irrigation systems have this high-pressure system, operational costs are high, amounting been commercially developed and introduced in southern Africa to US$800–1 000/ha per season. specifically for small-scale farmers. A 10–15 L bucket reservoir or 200–300 L fuel drum is placed at an elevated height (1–2 m) above Drip irrigation systems the field and is connected to the small tubes and drippers (Figure 19) to irrigate a small vegetable garden area of 50 m2 in the case In drip irrigation, water is applied directly along the crop rows of a bucket reservoir or 250–500 m2 in the case of a drip irrigation through small drippers fitted on flexible polyethylene tubes. The with a larger reservoir. system can be very efficient in terms of water usage, reaching Although an effective technology, drip irrigation systems for up to 90 percent, and it applies the water very accurately to the small-scale farmers have failed in several cases, as farmers have 23 crop, which results in optimal crop yields. Drip irrigation is applied not been adequately familiarized with the operational aspects of

Figure 19 (left): Installation of drip irrigation lines

Figure 20 (right):

© FAO-TCOF © Stephan Abric/Practica Foundation Filter in drip system the technology. Difficulties including the frequent filling of the Costs bucket or reservoir; access to the water source; unfamiliarity with Commercial drip systems are around US$8 000–10 000/ha with the frequency of water application; water not clean enough or with energy costs estimated at US$500–700/ha. sediments; and failure to clean the filter system regularly (Figure The investment for a bucket or family drip irrigation system is 20), have been the cause of disappointing performance and failure considerable. Even though the costs of a bucket drip unit (US$50) of small-scale drip systems. and family drip unit (US$300) are relatively modest, the investment costs per hectare are still substantial (US$10 000–12 000/ha), as the Table 9: Irrigation technology conditions, requirements and area covered is quite small (50–250 m2). Also the labour costs to constraints refill the bucket and water tank regularly are quite significant and Irrigation Technical estimated at US$500–700/ha. technology conditions Requirements Constraints 24 Family drip • Optimizing the • Dripper equipment • Small area to Small-scale and community irrigation systems kits available scarce commercially available irrigate (< 500 m2) water resources • Water reservoir of • Labour to fill water (dry season or sufficient size available reservoir Small-scale and community irrigation systems have been widely intro- arid region) • Adequate provisions • Clogging of duced in southern Africa to promote irrigated agriculture for small-scale • Water supply for lifting water in drippers farmers. Systems may vary in size from 5 to 200 hectares and may available from reservoir (treadle • Cleaning of filters open well, hand pump) • High investment include river diversion, small dams or pump schemes. Results have pump or other • Technical advice on cost not always been positive due to lack of ownership and inadequate water source operation of drip • Unfamiliarity with • Good water system and frequency dripper system (soil involvement of the community in planning. Operation and maintenance quality (clean) of irrigations remains dry) have proved a major challenge, and operational costs were often too Bucket drip • Small vegetable • Equipment fabricated • Very small irrigated high for the cultivation of food crops by small-scale farmers. irrigation garden from local materials area (50 m2) (50–100 m2) • Technical advice • Frequent filling of Three basic types of small-scale or community irrigation • Water from well on operation of the the bucket schemes can be distinguished, depending on how water resources or drinking water system • Unfamiliarity with are mobilized for irrigation, namely river and spring diversion source dripper system schemes; pump schemes and small dam schemes. Each system has specific design and operational characteristics, which will be outlined in the following sections.

Table 10: Irrigation schemes conditions, requirements and constraints

Irrigation system Technical conditions Requirements Constraints River or spring diversion • Adequate water supply for two • Motivated WUA, prepared to substantially contribute in • Rehabilitation costs seasons rehabilitation works and carry out O&M • Motivation of WUA members to pay fee for • Reasonable distance (<2 km) • Adequate funds available for diversion O&M from intake • Adequate technical assistance for design and technical • Tendering construction works • Existing WUA advisory services • Support services to be provided for at least • Intensive participatory training and extension (PT&E) two years Small earth dams • Small streams • Motivated water users group, prepared to substantially • High investment costs • Favourable land formation contribute in construction works • Limited duration of water availability (rolling) suitable for dam site • Adequate funds available for dam construction • Siltation • Suitable area (2–5 ha) to be • Adequate technical assistance for design and technical • Flood damage risks 25 irrigated near the dam site advisory services to farmers • High maintenance • Suitable soils for dam • Specialised contractors for proper design and • Motivation and capacity of WUA members to construction in vicinity contractors with earth moving equipment experience pay fee O&M • Support services to be provided for at least several years Pump scheme • Adequate water supply • Motivated WUA, prepared to substantially contribute in • Rehabilitation costs • Functioning main structural construction works and carry out O&M • Motivation of WUA members to pay fuel costs works • Adequate available funds for rehabilitation works and O&M • Existing WUA • Adequate technical assistance from technical advisory • Support services to be provided for at least services two years • Intensive farmers training (PT&E) River and spring diversion irrigation programmes have improved the construction by using Farmers have traditionally erected small stone or pole and brush concrete or masonry weirs and inlet structures. Stone-filled wire weirs in the riverbed to make simple diversions in rivers and streams. baskets (gabions) are examples of low-cost and durable weirs that Groups of farmers sharing an inlet excavate the gravity canals and can be constructed by farmer communities (Figure 21). construct the simple structures. The inlet canal often runs over A typical diversion structure (Figure 22) includes a weir body several kilometres before reaching the valley where the irrigated with one or two inlet gates and a stilling basin to dissipate hydraulic lands are situated. energy. In most small-scale irrigation projects the main and second- These traditional structures require significant maintenance, ary canals with regulating structures are included in the design of and they are easily destroyed by floods, needing partial or full the project. Most gravity channels are unlined, except for fragile reconstruction almost annually. In addition, water control is dif- stretches (sand, unstable waterlogged soils). ficult, resulting in large fluctuations in water supply at the inlet Replacement of traditional weirs with a proper intake structure 26 and canals. Many government and donor sponsored small-scale constructed of durable materials is a first step towards enhancing

Figure 21 (left): Improved diversion weir structure with stone-filled wire baskets (gabions)

Figure 22 (right): Diversion weir with stilling basin, sluicing gate and

© M Smith © M Smith inlet canal water control, reducing annual reconstruction and water losses, Costs and allowing larger areas to be irrigated. The investment in gravity diversion schemes can vary from country Rainfall determines the level of discharge in the river and stream to country, and will depend on the complexity of the weir, the diversions. The design of the diversion structures must consider materials used and on the length and complexity of the inlet canal. the (often substantial) fluctuations in discharge over the dry and wet seasons. Special precautions in dam design are required to Table 11: Water diversion schemes, stakeholders and costs manage extreme floods, heavy siltation and reduced water supply Type of in the dry season. Moreover, several irrigation schemes may be diversion weir Design Construction Cost US$/ha Remarks constructed along the same river and conflict situations can develop Spring diversion (N)GO agency Small 500–1 000 Simple inlet when upstream users divert water at the cost of downstream use. contractors structure, small To support governments and implementing partners with the New Consultants Contractors 6 000–15 000 Including canal more technical aspects of the small-scale irrigation schemes, spe- construction of excavation, 27 diversion weir regulating cialized consultancy firms are often engaged to carry out the studies structures, and establish the design of the structures, while contractors carry fields out construction. Farmers’ involvement in the design and concept Reconstruction Consultants Contractor 4 000–6 000 Standardized of traditional quality of the works is often minimal. Although it is generally accepted that weirs structures farmers contribute to part of the costs of the works (15–20 percent) Reconstruction Consultants Small contractors 1 500–2 500 Local materials, by providing labour (earth works) or building materials (e.g. sand, of traditional (N)GO agency WUA lower quality gravel), their limited consultation from the beginning of the project weirs structures can result in a lack of ownership and a weak WUA. Rehabilitation Consultants Contractors 2 000–3 000 Standardized of existing weirs quality Operation and maintenance by the WUA is a major factor for structures success of the scheme. To succeed, WUA require assistance in areas Rehabilitation Consultants Small contractor 600–1 500 Simple local such as building capacity, in setting rules and regulations on water of existing weirs (N)GO agency WUA materials distribution, in water use, maintenance of structures, and collection of water fees for maintenance works. Giving farmers greater responsibility and involving them in the In the case of groundwater, the pumps are placed on tube wells design and construction of the irrigation system can result in that can go to great depths, using multiple stage pumps driven by much lower costs and significantly increase farmers’ involvement diesel engines or submergible electrical pumps. in O&M of the system. This approach has proved successful Over the past 30 years, pump irrigation has significantly devel- when adequate and regular technical assistance is provided to oped in several African countries, particularly along the main rivers farmers throughout the design and implementation phases. It is in West Africa (Niger, Senegal River), as well as the rivers, lakes or also important to follow a flexible timeframe that is adapted to reservoirs in East Africa and southern Africa. include farmers, and takes into account their pace in adopting The depth of the water source is a main factor when selecting new technologies. this method and the type of pump to be used. Linked to this selec- The life span of a diversion structure executed in concrete tion are the investment and operational costs of the pump and the or solid masonry should be at least 10 years, while many motor connected to the pump, which is driven in most cases by 28 structures may last as long as 30 years. Good maintenance and diesel engine. If an electric grid can be reached, electrically driven timely repairs are key factors in the durability and lifespan of engines are a more viable option. the structure. Costs Pump schemes The installation costs of a pump scheme are generally considerably Pumps for irrigation can simplify design and construction, eliminate lower than those of a diversion intake with a long head canal, but the long intake canals of diversion schemes, and provide greater the fuel and repair costs are often constraints in many small-scale flexibility in scheme size and in selection of a suitable location near irrigation schemes and need to be carefully considered in close the area to be irrigated. The energy costs of running the pumps, consultation with the farmers. however, off-set the reduced investment costs and prove a major Operational costs will vary according to the elevation to which constraint in many small-scale pump schemes. the water is to be pumped, and will determine the capacity of the With the installation of the pump, water can be pumped from a pump as well as the fuel costs per hectare. nearby source, such as surface water or groundwater. Surface water Estimated investment costs of pump schemes are around includes rivers, canals, streams and lakes. An advantage of pumps US$1 500–4 000/ha. Larger schemes are more expensive as the is their mobility and ability to easily adapt to varying water depths. regulation structures in the canal system become more complex and require higher quality work and more skilled technicians for the the construction of small dams in the valleys where small natural installation of the system. streams provide water to fill the reservoir formed behind the dam. Depreciation of investment costs is not a major constraint, but The length and height of the dams as well as the particular fuel costs are a heavy burden and will demand US$300–500/ha shape of the landscape determine the volume of water that can per season. be stored. In general, the amount of water that can be stored and carried over into the dry season is limited, due to evaporation from Small earth dams the reservoir as well as underground seepage, which will result in The construction of small dams may be an attractive solution to considerable water losses. retain water from the rainy season into the dry season for drink - A small dam with a length of 20 m long by 2 m high will gener- ing water, in particular for cattle, but also for irrigation. The small ally irrigate 0.5 ha, while a dam 100 m long and 5 m high will dams (Figure 23) are common in semi-arid and arid regions, which irrigate 20–25 ha. receive annual rainfall between 600 and 1 200 mm and have a The dam body is constructed from earth that is excavated at 29 landscape featuring rolling or hilly land. These areas are suitable for a nearby location with the proper texture and structure and that

Figure 23 (left): Small earth dam

Figure 24 (right): Spillway in masonry badly

©FAO/Rodger Bosch ©FAO/Rodger © FAO-TCOF eroded by floods will compact well in order to assure dam stability and to minimize The life span of the dam is determined by the risks of dam water seepage. failure and siltation, as eroded soil from the catchment area will Special attention is to be given to the size and construction be deposited and slowly fill the dam reservoir, thus reducing the of the concrete or masonry spillway in order to provide an outlet volume and effective life of the reservoir. Erosion control of the for excessive floods. This is the weak spot in the structure of the catchment could be a remedy to reduce siltation, but this is not an dam, and is often subject to severe damage that can result in the economical solution. collapse of the dam. The risk of dam failure and the serious threat of a destructive Costs flood wave should be taken into account particularly when the height The construction costs of a dam can be substantial and are deter- of the dam exceeds 5 m. Therefore, the design of the dam requires mined by many factors. A small farm reservoir may be constructed specialized knowledge and skills to determine its proper siting, design using simple excavation materials, with costs around US$2 500, 30 and construction in order to minimize the risk of collapse. while a larger construction could cost around US$50 000–100 000. 3. Key Principles and Practices for Selection and Installation

Key principles and key steps required in the development, with information to be collected on the following field to ensure successful implementation of aspects: irrigation techniques ◼ Description of climate and rainfall during the year ◼ Available surface and groundwater resources ◼ Distance of water source to fields to be irrigated he following questions can help guide the selection of the ◼ Variability of water resources (fluctuations in depth and quantity). 31 irrigation technologies for field implementation: T Which areas can be irrigated with the available water Is water available for irrigation? Diagnosis of the environ- resources? Delineation of the area that can be irrigated, taking ment and assessment of available water resources for irrigation into account: ◼ Suitable soils and land to be irrigated in terms of levelness and What is the social and economic context? Participatory diagnosis fertility of the interest, motivation and capacity of hazard-prone farmers ◼ Distance and level of water resources to the land to be irrigated to adopt irrigation techniques, based on which an action plan can ◼ Landscape, field lay-out and slope of the fields be prepared jointly with the farmers for the introduction of most ◼ Quantity and availability of water that can be used for irrigation. suitable irrigation techniques. The following aspects should be taken into account: Which irrigation techniques are relevant? Assessment of the kind ◼ Are farmers already familiar with irrigation? of irrigation techniques, as described in Section 2, which can be suc- ◼ Which irrigation techniques (and drainage and flood control cessfully introduced in the given environmental conditions (climate, practices) are currently being used? soils, landscape) and agricultural context, taking into account: ◼ Which irrigation techniques are farmers most interested in and ◼ Water resources (quantity, quality, fluctuations) give priority to? 32 ◼ Access, distance and height from water resources to the field ◼ What is the capacity of local farmers to successfully adopt the ◼ Costs and complexity of installation new techniques? ◼ Operating costs (labour, fuel costs) ◼ Which materials and inputs do farmers require to install and ◼ Technical equipment and support services locally available. operate the new technologies? ◼ Which training programmes need to be developed to overcome What kind of crops can we irrigate? Assessment of potential, farmers' lack in knowledge and experience? traditional knowledge and markets for irrigated crops ◼ What crops are traditionally grown by the farmers? Based on the answers to these contextual questions, actions and ◼ Is irrigation practiced in the area, for which crops, in which programmes can be formulated with farmers, including: season? ◼ Action plan for installation and operation of the irrigation tech - ◼ Can irrigation readily be introduced in the dry season, in the niques, setting priorities, calendar and defining responsibilities wet season? of the community and aid organizations ◼ Are irrigated crops used for self-sufficiency, and what percent- ◼ Programme for training and capacity-building and the possibili- age is sold? ties of implementation of a farmer field school. ◼ Is there a market for irrigated crops? What support services are available? Assessment of public and ◼ Is credit available for farmers to install, operate and maintain private agencies that can assist farmers in the introduction of the the irrigation equipment? new techniques: ◼ Which government agencies can assist farmers in the introduc- Technical considerations and specifications tion of the new technologies (agricultural services, extension, irrigation departments)? Introduction of irrigation is a complex process with a range of fac- ◼ Can NGOs and/or agencies specialized in rural development tors that determine the initiative’s success or failure. These factors and irrigation technologies be mobilized to assist in the capac- can be technical, agricultural, social or economic; they can also ity building programme? relate to the typical conditions of climate and environment that ◼ Is irrigation equipment (e.g. pipes, irrigation equipment, need further consideration. pumps, well development) available on the local market? To ensure the viability of irrigation technologies a feasibility ◼ What capacity building and training is required for the govern- study needs to be undertaken that includes a cost-benefit analysis 33 ment and NGO agencies to carry out the farmer training and of crops to be produced under irrigation, taking into account the to establish the necessary support services for farmers with investment and operational costs of the irrigation technologies, local aid organizations and the private sector? as well as the costs of agricultural inputs and market values of the crops to be produced.

Water Conveyance Field Crop water Intake Drainage resource distribution irrigation supply

Water supply schedule

Figure 25: Schematic analysis of water supply system Table 12: Main elements and techniques to be considered in typical irrigation systems

Conveyance & Drainage Irrigation system Water resource Intake distribution Field Irrigation Crop water supply flood control Vegetable garden irrigation River Treadle pump Low-pressure pipe system Flexible hose Irrigation calendar Natural drains Smallholder irrigation River Diversion weir Partial lining Basin and furrow Rotational supply Secondary drains scheme Offtakes and inlets irrigation Dam scheme Small Earth Dam Motor pump Lined canal Furrow irrigation Rotation and Calendar Natural drain Sprinkler irrigation system River Motor pump high Buried PVC pipes, hydrants, mobile Sprinklers 3–6 day rotation Natural drains pressure lightweight laterals

34 In order to ensure that the irrigation techniques are successfully Providing the crop with irrigation at the appropriate time and introduced it is essential to evaluate the full cycle of the water supply in the appropriate quantity requires experience and will depend on system from the water source to the irrigated field (Figure 25). climate, rainfall, soil and crops stage, as well as the field irrigation Providing farmers, for instance, with an irrigation pump without system and irrigation technology used. Special computerized irriga- adequate provisions for the effective conveyance and distribution of tion programmes such as the FAO CROPWAT4 programme may be the water through an appropriately designed canal or pipe distribu- used to advise farmers about efficient water supply and schedule for tion system has often led to high water losses, poor performance, the given climatic conditions, crop, soil and field irrigation method. and much smaller areas than planned being irrigated. Drip irrigation systems, despite their potential for high ir - Similarly, consideration should be given to introduce more ef- rigation efficiency and high production capacity, may perform ficient field irrigation methods. These would include, for instance,

the introduction of furrow irrigation, the levelling of farm plots 4 FAO CROPWAT is a computerized irrigation management program for the calcula- for a more regular and efficient water distribution in the field, as tion of crop water consumption and irrigation requirements based on soil, climate and crop data. The program allows the development of irrigation schedules for well as introduction of flexible hoses for field sprinkling and drip different management and water stress conditions and the calculation of water irrigation systems. supply for varying crop patterns. The programme can be downloaded from the website of the FAO Water Service: http://www.fao.org/nr/water/infores_data- bases_cropwat.html poorly if farmers are unfamiliar with the importance of respect- examples of the various techniques used from water source ing the correct timing, frequency of irrigations and cleaning to drain. of filters. An overview of the main technical conditions, requirements To illustrate the main elements to be considered in an and constraints of the main irrigation techniques are given in irrigation water supply system, the following tables provide Table 13.

Table 13: Overview of technical conditions, requirements and constraints to be considered for the various irrigation techniques

Irrigation techniques Technical conditions Requirements Constraints Watering can Which water source (river, open shallow wells) is in Minimal investments High labour input walking distance Watering cans commercially available Treadle pump Water source not deeper than 7 metres Capacity building for local manufacturing Labour costs Development market 35 Motor pump Available surface and groundwater sources Motor pump commercially available Investment costs Financing of fuel costs Access to markets for produce Operational costs Low-cost well development Favourable hydro-geological conditions Training of local drilling teams Well development costs Development market Solar pumps Water source not too deep Commercially available and local services Low discharge, small areas Construction of water reservoir High investment Low-pressure pipe Motor pump or treadle pump available Assistance for installation by local technicians Installation costs distribution system Small reservoir Drip irrigation Limited water resources available Trained staff for installation and management advice Installation costs Reservoir and pressure height Availability of spare parts in the local market Efficient operation Sprinkler irrigation Pumping from nearby water source (surface or Commercially operated farm High installation and groundwater) Supplemental irrigation operational costs Agricultural considerations ◼ Cropping calendar of present common crops grown in the area To ensure that the introduction of new irrigation techniques will cre- during the wet and dry seasons, indication of seasonal hazards ate the potential to successfully produce a good crop and optimal (drought, floods, pests and diseases) crop yield, adequate attention needs to be given to: the selection ◼ New crops with good potential to be introduced under irrigation of the crops and their appropriate varieties; the cropping calendar; ◼ Crops for self-consumption and food security agricultural practices; and the conditions under which the crops are ◼ Crops destined for the market grown. Moreover farmers need to have access to agricultural inputs, ◼ Experience, motivation and priorities given by farmers in selec- such as quality seeds, fertilizers, pesticides and tools, as well as the tion of the crops. credit to buy the necessary inputs. Specific agricultural aspects to be considered and elaborated are shown below. Suitable agricultural practices and inputs, taking into consideration: Selection of suitable crops for irrigation, taking into ◼ Present agricultural practices of common crops grown in terms 36 consideration: of inputs, labour and tools ◼ New or improved agricultural practices to be introduced for the Table 14: Indicative investment costs of equipment irrigated crops in order to ensure optimum production levels ◼ Assessment of inputs required for optimal production in terms Indicative investment costs Life span in of quality seed, organic and inorganic fertilizers, tools, avail - Irrigation technology in US$/ha years ability of inputs, and access to credit. 1 Watering can 500 2 2 Treadle pump 600–750 4–5 Economic considerations 3 Motorized pump 200–400 5–8 To ensure sustainability of the irrigation technologies, there 4 Solar pump 10 000–15 000 8–12 should be a sound economic basis for the introduction of the 5 Gravity canal system 600–800 10–15 new technologies and equipment in relation to investment 6 Pipe distribution system 1 000–1 500 8–12 as well as O&M costs. Although purchase of the equipment 7 Open well lining 500–1 500 10–15 could be facilitated and partly or fully covered by a grant or 8 Shallow tube well 300–500 8–12 37 gift, expenditures for the operation of the irrigation equipment 9 Sprinkler irrigation 3 000–5 000 5–8 should be covered by the small-scale farmers from the sales of 10 Family drip irrigation 10 000–12 000 4–6 the agricultural produce. It makes little sense, for instance, to 11 Small-scale irrigation schemes 3 000–8 000 10–12 provide subsistence farmers with a motor pump if they have no access to a market to sell their produce and are unable to pay Depreciation costs relate to the annual savings put aside for the for the fuel costs of the pump. replacement of equipment; these are estimated as investment costs In the introduction of irrigation technologies, due consideration calculated according to the potential lifespan of the equipment, as should be given to the following economic aspects. indicated in Table 14.

Investment costs Operation and maintenance costs In the description of the irrigation techniques in Section 2, indicative Energy costs are operational costs related to fuel or electricity figures are given for the investment costs of the various technolo- for the operation of pump systems and requiring cash payments. gies; these are summarized in the following table and, for reasons Labour costs are operational costs related to the handling of of comparison, expressed as investment costs per hectare. equipment, such as the watering can or treadle pump, but also the costs of filling a reservoir (bucket drip irrigation) or moving sprinkler markets and be able to sell their produce at adequate prices to lines. For many small-scale farmers they concern opportunity costs cover those costs. For that reason most irrigation schemes can and involve availability of own or family labour. In the case of hired only be economically viable for high-value crops, such as fruit and labour cash or produce is to be provided as compensation. vegetables or cash crops such as sugarcane, cotton, tobacco, etc. Maintenance costs relate to regular maintenance and repair Other than in traditional farmer gravity scheme production, full costs of the irrigation equipment, e.g. seasonal cleaning and repair irrigation of food crops such as maize, rice and beans have seldom of the canal system; lubricants, filters and spare parts for motor proved economically viable for small-scale farmers. pumps. In general, annual maintenance costs are around 15 percent of the investment costs. Access to credit In order to cover the purchase costs of agricultural inputs and to Table 15: Indicative operational costs finance operational costs of the irrigation equipment, farmers need 38 to have access to credit. Although consideration can be given to Irrigation technology Indicative operational costs in US$/ha initial subsidies in post-emergency situations, micro-credit institu- 1 Watering can 1 200–1 500 (labour) tions should be involved in establishing a sound rural credit system 2 Treadle pump 600–800 (labour) to make irrigated agriculture economically viable. 3 Motorized pump 500–700 (energy) 4 Solar pump 50–100 (labour) Social and cultural considerations 5 Open canal system 120–160 (maintenance) Experience has demonstrated that the introduction and adaptation 6 Pipe distribution system 20–40 (maintenance) to new technologies with small-scale farmers is a complex process 8 Sprinkler irrigation 800–1 000 (energy) in which adequate attention needs to be given to familiarize farm- 9 Family drip irrigation 500–600 (labour) ers with the installation, the operation of the equipment, and the 10 Small-scale irrigation schemes 400–1 000 production and marketing of their crops. Social considerations play an important role in this and require that, through a participatory Access to markets approach, farmers are fully involved and cooperate in the selection, In order to be able to pay for the (often considerable) O&M costs design and installation of the equipment. A follow-up programme of the irrigation equipment, farmers should be able to access must also be set up to ensure that O&M of the equipment is properly done, that crop cultural practices are aimed at optimal production and women farmers will have specific responsibilities in agriculture (economically optimal rather than just maximum production) and and irrigation. When selecting technologies and suitable crops, that farmers have access to markets for their produce. planning and operations and maintenance personnel should take Participatory appraisals of the social and cultural aspects and traditional knowledge of water management and crop production consultative planning have proved to be the best approach to get fully into account. farmers fully engaged in the selection, design and installation of the equipment. A proper training and capacity building programme is Climate and environmental considerations to be set up as elaborated in Section 4, to ensure that O&M of the Agricultural production and food security in southern Africa is equipment is carried out correctly. to a large degree determined by climatic conditions and extreme Social norms and local customs in crop production and land use weather events and is significantly impacted by natural and bio - must also be considered. Due attention needs to be given to gender logical hazards, such as floods, drought, cyclones, pests and dis- issues in the introduction of irrigation technologies, as both men eases. In particular, rain-fed production may vary considerably from 39 year-to-year and depends on fluctuations in precipitation, where Introduction of irrigation implies increased water use from dry years may follow years of heavy rainfall. Climate change, and surface or groundwater resources. The reduced flow of rivers or the increase in frequency and severity of extreme weather events, lowering of the groundwater is likely to affect downstream users has affected the agriculture sector which is particularly sensitive to and may cause valuable natural resources in wetlands and valley extreme weather events and will increase the risks faced by the rural bottoms to decline. Drinking water provision for humans and ani - populations, the majority of which are dependent on agriculture mals may also be affected and may cause conflicts among different for their livelihoods and food security. users of the natural resource base. Analysis must be made of the climate in terms of variability in Intensified agricultural production under irrigation may increase rainfall and temperatures, and its impact on crop production of the use and abuse of agricultural chemicals, which may have severe both rain-fed and irrigated crops must be evaluated. The impact of environmental and health impacts. drought on crop production and irrigation requirements of crops 40 can be estimated with the help of special computerized crop models such as the FAO CROPWAT programme. Historical climate data can be obtained through local meteorological records or from available climate databanks such as the FAO Climwat5 programme. Aspects of food security and local preparedness for natural hazards and disasters in both drought and floods are therefore to be seriously considered in the action plan to be prepared with farmers for the introduction of irrigation technologies and irrigated crop production. Environmental aspects in relation to the consequences of increased water use by irrigation and more intensive agriculture should be given due consideration and should be closely monitored.

5 The FAO Climwat database can be downloaded from the website of the FAO Water Service: http://www.fao.org/nr/water/infores_databases_climwat.html 4. Farmer Training and Demonstrations

emonstrations and training need to be included in the DRR/M The farmer field school approach6 programme and are most effective if implemented over an Dextended period, spanning a full agricultural calendar, for Developed originally under the integrated pest management (IPM) example, and in groups where farmers have ample opportunity programme in Asia, the concept of the FFS approach is a successful to assess the benefits of the new technologies jointly. Training in farmer training and extension methodology because of its focus groups builds on existing knowledge and experience, and strength- on consultation and participation when introducing new practices ens cooperation among farmers in the use of the equipment and or technologies to farming communities. in the sustainable management of water resources. A participatory An FFS (Figure 26) typically consists of a group of 25 carefully planning from problem analysis to solution identification is a suc- selected farmers, who will follow an intensive training programme 41 cessful approach. that lasts an entire cropping season, wherein improved agricul - tural practices and technologies are demonstrated. During weekly sessions, progress in crop development is observed and closely followed from planting until harvest, with results and constraints extensively discussed and reported. The FFS methodology builds on farmers’ existing knowledge, observation, experience, and learning-by-doing. The FFS training sessions are facilitated by technical extension staff (Figure 27), who have undergone an intensive season-long training of trainers (ToT) course and are fully familiar with the technical and communication aspects of the programme. Although the methodology was originally developed to teach Figure 26: A farmer farmers how to sustainably manage pests and diseases, the IPM/ participates in farmer field school training 6 See also the brief on Farmer Field Schools within this toolkit FFS concept has evolved to address improved crop production, soil from the involved technical agencies. Through a series of training fertility and soil conservation practices, as well as to improve farm sessions lasting at least two seasons, the installation and opera - water management and irrigation technologies. tion of the irrigation technologies are demonstrated. Besides the implementation of the new technologies, attention is also given to Participatory training and extension programme the agricultural practices and inputs required for irrigated crops in in farm water management order to ensure optimal production and yield. Training of the technical staff is crucial to the whole process. Based on the FFS approach, the Participatory Training and Exten- Prior to the farmer training, support staff – both technical irrigation sion programme in Farm Water Management (PT&E/FWM 7) was staff as well as field extension workers – receive intensive technical developed by FAO under the Special Programme for Food Security training as well as detailed instructions on the procedures for the in order to introduce in a holistic manner irrigation technologies, farmer training. Training of technical staff is carried out for each 42 water control and improved cultural practices under irrigation. The season with in-service training and an intensive reporting system programme specifically focuses on capacity building of technical during the implementation of the farmer training allows for close staff and field extension workers and aims to promote farmer monitoring and evaluation of the results. cooperation in water management through the establishment and training of water users associations (WUAs). Through consultation and diagnostic analysis with farmers, an assessment of the agricultural system and available water resources is made. Based on this assessment, the opportunities for new irrigation technologies are agreed upon. Once the technologies are identified, an action plan is established and implemented with full participation from the farmers and with technical support

7 The PT&E/FWM approach is described in detail in the manual and guidelines prepared and published by the FAO Water Service (NRLW) in the Land and Water Figure 27: Extension CD-Rom series No 14: Participatory training and extension in farmers’ water staff in farmer field management. school Technical support services Depending on a country’s institutional structure, several national agencies and organizations (NGOs, private sector) can be engaged in an Success and failures of new irrigation technologies can be attributed irrigation programme. The governmental organizations may include: largely to the capacity of the national institutes and agencies en- ◼ The irrigation agency, responsible for irrigation and water trusted with the implementation of the DRR/M programme. Good resource policies, selection, conception and implementation results can be directly ascribed to a good institutional system with of the water control technologies and the technical designs, effective support services. construction, operation and maintenance of the irrigation Technical support services are indispensable in: infrastructure; ◼ The selection, conception, design and implementation of the ◼ The agricultural agency, responsible for technical advice and irrigation technologies; services related to appropriate agricultural practices and inputs ◼ The introduction of appropriate agricultural practices to opti- for irrigated crops, which is linked to agricultural research and mize irrigated crop production; extension; and 43 ◼ The demonstrations and farmer training and extension pro - ◼ The extension departments or units directly responsible for grammes; and maintaining direct contacts with the farmers for the transfer ◼ The formation and strengthening of farmers groups. of knowledge. To address potential gaps in technical assistance provided to farm- of innovative water control technologies adapted to conditions in ers, collaboration among government, technical agencies and NGOs developing countries and have provided valuable assistance in the can be beneficial, and build on complementary expertise. Training introduction of new irrigation technologies. supporting government staff is essential in order to establish the The private sector can play an important role in ensuring sus- necessary capacity to successfully carry out the farmers training tainable support services, and in the sales and after-sales service and demonstration programmes. of irrigation equipment – particularly for irrigation pumps, sprinkler In several countries, NGOs have played an important role in and drip irrigation systems and solar systems. There is a need, the introduction and development of innovative technologies as however, to provide training and guidance to companies in the well as in the training and capacity building of farmers' groups. design, installation and operation of equipment. Most southern Several international NGOs have specialized in the development African countries have an active private sector for the sales of agricultural inputs and equipment. They may further profit from 44 providing technical advisory services, selling/hiring irrigation or agricultural equipment, and/or selling the inputs required for ir - rigated agriculture, making this an attractive market and activity for the private sector. Rural credit organisations may be further familiarized with the potential of irrigated agriculture and be advised on providing credit to farmers for the purchase and operation of irrigation equipment. Finally, international aid programmes (e.g. FAO SPFS), often in close cooperation with specialized NGOs, have been successful in establishing and promoting the capacity of small private companies to manufacture irrigation equipment (treadle pumps, Figure 28); to design and install irrigation equipment; as well to train local teams for well development. They also link the government stakeholders Figure 28: and private sector to such initiatives to ensure sustainability and Manufacturing a long-term gain for the participating farmers. metal treadle pump 5. Bibliography and References for Further Reading

FAO. 1985–1996. Water Service (NRLW). Irrigation Manuals for FAO. 2004. Water Service (NRLW). Irrigation Manuals for Agricultural Extension Workers, Nos 1 to 10. (available at ftp://ftp. Agricultural Engineers, 1 to 14. Rome. Land and Water Media fao.org/agl/aglw/fwm/Manual1.pdf: Manual 2–10) CD-Rom No 37. (available at http://www.fao.org/nr/water/docs/ FAO_LandandWater_37.zip). FAO. 1986. Water Service (AGLW). Water Lifting, FAO Irrigation And Drainage Paper 43. (available at http://www.fao.org/docrep/010/ FAO. 2006 (July). Emergency Operations and Rehabilitation Division ah810e/ah810e00.htm). (TCE). Final Report, Evaluation of Emergency Small Scale Irrigation Projects in Southern Africa, by Felix Dzvurumi, (Consultant). 45 FAO. 1992 & updated 2008. Water Service (AGLW). CROPWAT – a computer program for irrigation planning and management. FAO FAO. 2008. Water Service (NRLW). Manual on small earth dams, Irrigation and Drainage Paper No 46. (updated version 8.0), Rome. FAO Irrigation and Drainage Paper No 64: Rome. (available at http:// (available at http://www.fao.org/nr/water/infores_databases_ www.fao.org/docrep/012/i1531e/i1531e.pdf). cropwat.html). FAO. 2011. Food Security Support Programme (TCSF). Review FAO. 1993 & updated 2008. Water Service (AGLW). CLIMWAT for of water control technologies in the FAO programmes for food CROPWAT (English), Irrigation and Drainage Paper No 49. (available security. Rome. (available at www.fao.org/docrep/014/i2176e/ at http://www.fao.org/nr/water/infores_databases_climwat.html). i2176e00.pdf).

FAO. 2003. Water Service (NRLW). Manual and Guidelines on FAO. 2014. Guidelines for Planning Irrigation and Drainage Participatory Training and Extension in Farmers’ Water Management. Investments available at http://www.fao.org/docrep/007/w1037e/ Land and Water CD-Rom No 14. Rome. (available at http://www. w1037e00.HTM). fao.org./landandwater/lwdms.stm#cd14 ftp://ftp.fao.org/agl/aglw/ fwm/Manual_Module1.pdf;/Module2-5). FAO/IFAD. 2008. Water and the Rural Poor, Interventions for NETAFIM. CD-Rom. Installation Manual of the Family Drip Irrigation improving livelihoods in sub-Saharan Africa. Rome. (available at Kit. South Africa. www.fao.org/nr/water/docs/FAO_IFAD_rural-poor.pdf) Practica Foundation. Manuals on well drilling and development. FAO/IPTRID. 2001. Appropriate water-lifting technologies in West Netherlands. (available at http://www.practica.org/wp-content/ Africa – Annex G, by F. Gadelle, Nouveaux Équipements pour la uploads/services/publications/) Petite Irrigation en Afrique de l’Ouest et du Centre Bilan. Rome. World Bank. 2006. Investing in Smallholder Irrigation, Agricultural International Water Management Institute (IWMI). 2006 (April). and Rural Development Notes. Washington. (available at https:// Southern Africa Regional Office. Final Report on the Agricultural openknowledge.worldbank.org/handle/10986/9607). Water Management Technologies for Small Scale Farmers in Southern Africa: An Inventory and Assessment of Experiences, Good World Bank. 2011. Lessons learned in the development of 46 Practices and Costs. Pretoria, South Africa. smallholder private irrigation for high-values crops in West Africa. Washington. Kickstart International. 2009. Money Maker Irrigation Pumps, Helping Small Farmers out of Poverty. B2Brochure. Kenya.

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ISBN 978-92-5-108326-0

9 789251 083260 I3765E/1/04.14 Farmer Field Schools

KEY PRACTICES for DRR Implementers Farmer Field Schools: Key Practices for DRR Implementers

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO. ISBN 978-92-5-108328-4 (print) E-ISBN 978-92-5-108329-1 (PDF)

Authors Godrick Simiyu Khisa, James Okoth and Erin O´Brien Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © FAO/Javier Sanz Alvarez except cover, which is © FAO/Raul Tomas Granizo and page 6 (left), which is © Mario Samaja Design and layout Handmade Communications, [email protected] Farmer Field Schools

The European Commission‘s Humanitarian Aid department funds relief operations for victims of natural disasters and conflicts outside the European Union. Aid is channelled impartially, straight to people in need, regardless of their race, ethnic group, religion, gender, age, nationality or political affiliation. Foreword by ECHO

he southern Africa and Indian Ocean region is extremely ◼ Empowering communities through multi-sectorial and multi- vulnerable to cyclones, floods, droughts and tropical storms. level approaches with DRR mainstreamed as a central compo- TThese recurrent climate-related shocks negatively affect the nent and improved food and nutrition security as an outcome. highly sensitive livelihoods and economies in the region, and erode communities‘ ability to fully recover, leading to increased fragility This is done in alignment with national and regional strategies and and vulnerability to subsequent disasters. The nature and pattern of frameworks. weather-related disasters is shifting, becoming unpredictable, and For DIPECHO, one of the main measures of success is replicability. increasing in frequency, intensity and magnitude as a result of climate To this end, technical support through guidelines established for change. Vulnerability in the region is further compounded by prevail- DRR implementers is a welcome output of the DIPECHO interven- 01 ing negative socio-economic factors, such as high HIV rates, extreme tions in the region. ECHO has supported regional partners, namely poverty, growing insecurity and demographic growth and trends COOPI, FAO, UN-Habitat and UN-OCHA, to enhance the resilience of (including intra-regional migration and increasing urbanization). vulnerable populations in southern Africa by providing the funding The European Commission‘s Office for Humanitarian Affairs to field-test and establish good practices, and to develop a toolkit (ECHO) has actively engaged in the region through the Disaster for their replication in southern Africa. It is the aim of the European Preparedness ECHO (DIPECHO) programme since 2009, supporting Commission Office for Humanitarian Affairs and its partners to fulfil multi-sectorial disaster risk reduction interventions in food security the two objectives sustainably and efficiently through the practices and agriculture, infrastructure and adapted architecture, informa- contained in this toolkit to ensure the increased resilience of the most tion and knowledge management, water, sanitation and hygiene, vulnerable populations in the region. and health. This programme operates with two objectives, notably: ◼ Emergency preparedness by building local capacities for sustain- Cees Wittebrood able weather-hazard preparedness and management, including Head of Unit, East, West and Southern Africa seasonal preparedness plans, training, emergency stocks and Directorate-General for ECHO rescue equipment, as well as Early Warning Systems. European Commission 02 Foreword by FAO

he southern Africa region is vulnerable to a diverse array Together with partners, FAO is undertaking intensive work in of hazards, largely linked to environmental causes (such as southern Africa to consolidate the resilience of hazard-prone com- Tdrought, cyclones and floods); human, animal and plant dis- munities; this is leading to an improved knowledge base and to eases and pests; economic shocks; and in some areas socio-political documentation of good practices. This toolkit purports to dissemi- unrest and insecurity, among others. The region‘s risk profile is nate improved methods and technologies on key aspects of agricul- evolving, with new factors becoming gradually more prominent, ture, such as appropriate seed varieties, irrigation, storage systems, including a trend towards increased urbanization, migration and land and water use and Farmer Field Schools, in the hope that they mobility, among others. Natural hazards will be progressively more may serve different stakeholders to improve their resilience-building 03 influenced by trends in climate change. Disasters in the region are efforts. A multi-sectoral approach and solid partnerships are seen often composite and recurrent, and have a dramatic impact on liveli- as key to the success of resilience-building work. For this reason, hoods and on southern African countries‘ economy and environ- this toolkit also includes non-agricultural aspects of good resilience ment, often undermining growth and hard-won development gains. practices, contributed by FAO partners: the UN-OCHA, UN-HABITAT Increasing the resilience of livelihoods to threats and crises con- and COOPI, which certainly strengthen this collection. stitutes one of the Strategic Objectives of FAO‘s Strategic Framework (Strategic Objective 5, or SO5). FAO specifically aims at building resilience as it relates to agriculture and food and nutrition security, which are among the sectors most severely affected by natural hazards. The David Phiri Mario Samaja impact of shocks and disasters can be mitigated and recovery can be Sub-Regional Coordinator Senior Coordinator greatly facilitated if appropriate agricultural practices are put in place; FAO Sub-regional Office for FAO Sub-regional Office for DRR improving the capacity of communities, local authorities and other Southern Africa Southern Africa stakeholders is therefore central to resilience building. Harare Johannesburg Contents

Acronyms and Abbreviations...... 05

Preface...... 06

1. Introduction: Building Resilience Through the FFS Approach...... 07

04 2. Overview of the FFS Approach...... 09 3. Considerations for FFS Implementation...... 18

4. FFS Experiences...... 28

5. Conclusion...... 32

6. Bibliography and References for Further Reading...... 33

Annex...... 34 Acronyms and Abbreviations

AESA ...... agro-ecosystem analysis CA...... conservation agriculture CAP...... community action/adaptation plan CMDRR...... community-managed disaster risk reduction DRC...... the Democratic Republic of the Congo DRR/M...... disaster risk reduction/management FAO...... Food and Agriculture Organization of the United Nations FFFS...... farm forestry field schools FFLS...... farmer field and life schools 05 FFS...... farmer field schools ICIPE...... International Centre of Insect Physiology and Ecology IPM...... integrated pest management IPPM...... integrated production and pest management JFFLS...... junior farmer field and life school LRRD...... linking relief, rehabilitation and development M&E...... monitoring and evaluation PDRA...... participatory disaster risk assessment PM&E...... participatory monitoring and evaluation SFS...... seed farmer schools SPFS...... Special Programme for Food Security ToF...... training of facilitator VICOBA...... village community banking

Preface

atural hazards have become more frequent and intense in Farmer field schools (FFS) represent a significant step for - the last few decades, increasing the often significant nega- ward in agricultural education and extension by increasing the Ntive impacts on the gross domestic product of countries in resilience of small-scale farmers. Traditional top-down technol - southern Africa and undermining development efforts. Forecasts ogy transfer systems have a role in some aspects of agriculture are negative as a result of climate change, which is increasingly development, but the human capacity building required for the linked to more frequent and severe weather patterns that are ex- creation of independent commercial farmers and farmer or - pected to have a dramatic impact on these countries‘ economies ganizations needs new approaches. Farmer field schools provide and environments. specific technical skills. They also provide organizational skills 06 Southern African countries face many risks associated with and practice, analytical skills and practice, and basic group as- natural hazards – mainly cyclones, droughts and floods – due sets, such as the trust and confidence required for joint activities. to the high levels of exposure and vulnerability of an important This booklet provides an overview of the FFS approach and segment of the population, namely small-scale farmers who are considerations for FFS implementation, and relates FFS experi - dependent on agriculture and livestock for their livelihoods. ences in Africa and the southern Africa region. 1. Introduction: Building Resilience Through the FFS Approach

uilding vulnerable communities‘ resilience to threats and In Africa to a large extent, this includes adaptation for increased hazards in a rapidly changing world calls for transformative climate variability, such as more frequent occurrence of drought, Bapproaches that can organically evolve to suit the dynamic and other natural hazards. The approach has been applied in Africa and unique needs of different livelihood systems. However, most among farmers, agro-pastoralists and pastoralists as well as among of the existing service-delivery mechanisms in agriculture are built internally displaced and refugee communities. around conventional extension models of one-way communication FFS programmes adopt a holistic livelihoods model ensuring based on broad recommendations. The farmer field school (FFS) that – beyond agricultural production – entrepreneurial, marketing 07 approach provides a flexible and responsive platform for meeting and savings skills are core components of the learning process. In the needs of farmers in varying contexts. the framework of disaster risk reduction (DRR), the FFS programme Over the years, the FFS approach has been adapted in many has had a two-tiered level of activities: group and community. The countries to suit complex and diverse smallholder farming systems. group level activities mainly comprise cycle-long learning (e.g. seed ommon objectives of FFS interventions include: i) improving productivity for food security and reducing rural poverty; ii) building resilience among communities faced with recurrent hazards, such as drought, floods and Ctransboundary plant and animal pests and diseases; and iii) enhancing individual and collective agency and action for livelihood improvement.

to seed, in crops; or egg to egg, in poultry), guided by a curriculum, as rangeland rehabilitation, revitalization of the local seed system, validation and comparative studies. Alongside these activities are watershed management, community animal health, early warning livelihood diversification activities directed at empowering house - systems, community-based market information systems, resources holds to build resilience. management and sharing agreements and mechanisms for conflict 08 The community-wide activities are complementary and extend management. The implementation of both levels has to be done in beyond the scope of FFS. These activities contribute towards a sup- consultation and collaboration with local governments, the national port system for community resilience and may include activities such agricultural research system, the private sector and civil society. 2. Overview of the FFS Approach

History and evolution of the approach IPM to cover other types of agricultural production and incorporate socio-ecological aspects, such as livestock, community forestry, HIV/ he FFS approach was developed by the Food and Agriculture Or- AIDS, water conservation, soil fertility management, irrigation, food ganization of the United Nations (FAO) in South East Asia in 1989. security and nutrition. Over the years, thousands of FFS groups have TIt emerged as a way for small-scale rice farmers to investigate and been implemented and the approach taken up by a large number of learn the required skills for adopting integrated pest management (IPM) development actors and governments. practices for themselves in their own rice paddy fields. Applications in post-disaster or high vulnerability contexts have The approach proved to be very successful in helping to control increasingly interlinked agricultural and human development, i.e. 09 rice pests and was quickly expanded to other countries in Asia and farmer field and life schools (FFLS), to address underlying threats later also to Africa, the Middle East and Latin America. In Africa, affecting livelihood productivity, such as HIV/AIDS, conflict, gender the FFS approach was introduced in 1995 in Kenya (east Africa) and inequity and gender-based violence, for example. The junior farmer Ghana (west Africa) under the Special Programme for Food Security field and life schools (JFFLS) – widely applied in Mozambique, for (SPFS) and thereafter quickly spread throughout the continent. During instance – are a further adaptation targeting orphans and vulner- its expansion, the FFS programme began to broaden its scope beyond able children and youths.

FS are essentially schools without walls that introduce new technological innovations while building on indigenous knowledge. Through experiential learning techniques applied in a group setting and with regular meetings over a Flong time period, farmers learn how to analyse their situation and make informed decisions about their livelihood practices and resource-use strategies. What are FFS? individual capacity building (e.g. developing human and social assets). Farmer field schools are built upon an adult non-formal education FFS usually comprise a group of between 20 and 30 farmers approach – the field is the classroom and learning occurs through (including elders, men, women and youths) who regularly meet learning by doing, experimentation, observation and reflection. (ranging between weekly to biweekly depending on the specific Operationally, the FFS are organized around a season-long series needs of the group) over a defined period of time to study the ‘how of weekly or biweekly meetings, focusing on biology as well as and why‘ of a situation in a given context under the guidance of agronomic and management issues, wherein farmers conduct agro- a trained facilitator. ecosystem analyses, identify problems and then design, carry out Apart from technical issues, group dynamic exercises and ses- and interpret field experiments using farmer‘s practice to improved sions addressing the ‘topic of the day‘ (relating to non-agricultural practices comparisons. issues) are integrated in the learning process. Folk media, including 10 This reduces the risks involved in self-experimentation and songs and storytelling, are often used to internalize learning and empowers people who have not had access to formal education. disseminate information on technical and social issues. Tools, such In addition, the FFS also include a significant focus on group and as illustrations, practical demonstrations and real-life exhibits are further used as learning aids adapted for illiterate group members. The FFS approach, in contrast to most conventional extension Unlike some other extension approaches, FFS are more about approaches, strengthens the capacity of local communities to developing people than developing technology. analyse their livelihood systems, identify their main constraints and test possible solutions. Why FFS? By merging their own traditional knowledge with external information, farmers can eventually identify and adopt the prac - Capacity building of rural communities has traditionally been seen tices and technologies most suitable to their livelihood system and by research and extension institutions as a mechanism to transfer needs to become more productive, profitable and responsive to technologies to land and resource users. This approach, however, changing conditions. has proved inadequate in complex situations where community The FFS approach empowers farmers through the use of members must frequently adjust their practices to changing condi- experiential and participatory learning techniques rather than tions. Technology packages, delivered in a ‘top-down‘ manner, have prescribing what to do. The purpose of the FFS is to improve the 11 often been too complex, expensive or poorly adapted to peoples‘ decision-making capacity of participants and their wider com - needs. munities and to stimulate local innovation.

he specific objectives of FFS include to: • empower farmers with knowledge and skills to make them experts in their own context; T• provide platforms where farmer groupings and extension and research workers jointly test and adapt options within the specific local conditions; • facilitate farmering communities to learn new ways to solve problems and adapt to change; • sharpen the ability of farmers to make critical and informed decisions that strengthen their coping mechanisms; • help farmers learn how best to organize themselves and their communities; and • enable farmers‘ livelihoods to become more resilient and less vulnerable to disasters, such as drought. Key features and principles of the FFS approach needs. The facilitator simply guides the learning process by creating opportunities for participants to engage with new experiences. A set of key features and principles to guide FFS practice are listed This ensures that the information is relevant and tailored to the below: participants‘ actual needs.

1. Learning by doing. FFS recognize that farmers do not change 4. Training follows the natural cycle of the study subject. In their behaviour or practices merely based on advice of what and FFS, training is based on the natural cycle of the study topic, for how to change; rather the FFS approach allows farmers to learn example, from ‘seed selection to harvesting‘. This allows farmers through testing the proposed changes in a controlled, group-based to discuss and observe aspects in the field in parallel with what is environment. Discovery-based learning is an essential part of the going on in their own fields, such as learning about weeding takes FFS as it helps participants to develop a feeling of ownership and place when it is weeding time, etc. 12 to gain the confidence that they are able to reproduce the activities and results on their own. 5. Learning from mistakes. Behavioural change requires time and patience. Learning is an evolutionary process characterized by free 2. The field is the learning ground. The field, herd or the land - and open communication, confrontation, acceptance, respect and scape is the main learning ground, around which all FFS activities the right to make mistakes. This is crucial as often more is learned are organized. Farmers learn directly from what they observe, from mistakes than from successes. Each person‘s experience of collect and experience in their surroundings. Participants also pro- reality is unique. duce their own learning materials (drawings, etc.) based on their observations and experiences. The advantages of these home-made 6. Competence, not information, is the goal. In FFS the focus learning materials are that they are consistent with local conditions, is on developing skills and competences rather than assimilating inexpensive to develop, and owned by the learners. information regarding new technology options. The focus is on understanding the basic science behind various aspects of the agro- 3. Learner-led study. Farmers decide what is relevant to them and ecosystem to enable farmers to carry out their own innovation what they want the FFS to address in their curriculum. This ensures process, i.e. understand the ‘why‘ behind the ‘how‘. that the information is relevant and tailored to participants‘ actual 7. Discovery-based learning. As much as possible, technical information is brought out through discovery-based exercises. For example, digging soil pits to analyse soil types and layers, breeding ticks to understand lifecycles, etc. Discovery-based learning is an essential part of the FFS, as it helps participants to develop a feeling of ownership and to gain the confidence that they are able to reproduce the activities and results on their own. Problems are presented as challenges, not constraints. Groups learn different analytical methods to help them gain the ability to identify and solve any problem they may encounter in their daily life.

8. Experiential learning. The basic assumption is that learning is 13 always rooted in prior experience, which is unique to each person, and that any attempt to promote new learning must take into ac - count experience in some way. Therefore, sharing and discussion among its members is a core element of the FFS.

9. Group trials and experimentation. Innovation and experimentation are vital components of the FFS process and offer opportunities for learning and for building capacity among farmers to adapt continually and improve the way they manage their resources. The experimentation in FFS has less emphasis on the generation of research outcomes related to technologies and more emphasis on the process of experimentation and analysis. Group-managed trials, whether crop- or livestock-based, form the nucleus of the FFS learning because the site of the trials usually becomes the meeting 11. All FFS are unique. Learning topics within the FFS should be point and learning space for the group. Typical experiments in FFS chosen by the community and group members. Training activities may be the testing and comparison of new crop varieties, options must be based on existing gaps in the community‘s knowledge for improved soil management, poultry feed and housing, etc. In and skills and should also take into consideration its level of un - experimentation, a control treatment is usually included in the de- derstanding. Every group is different and has its own needs and sign, the purpose of which is to provide a standard against which realities. As participants develop their own content, each farmer various alternative (new) options can be compared. More often, the field school is thus unique. control treatment is the farmers‘ practice. This allows farmers to compare the new options directly with their own practice. 12. Systematic training process. All FFS follow the same systematic training process where the cornerstone is to observe and analyse 10. Facilitation, not teaching. Trained facilitators (usually govern- the field experimental activities. Every FFS session includes at least 14 ment, non-governmental organization extension workers or com- three activities: agro-ecosystem analysis (AESA), which is explained munity members) guide the learning process by mentoring and sup- further in the text below, a ‘group dynamic activity‘ and a ‘topic of porting the participants to take responsibility for their own learning the day‘. A group dynamic activity leads towards team building and through the use of participatory appraisal tools, among others. In organizing skills for the group itself. A ‘topic of the day‘ usually in- the discussions, the facilitator contributes and facilitates the group cludes technical information to complement the ‘learning by doing‘ to reach consensus on what actions need to be taken. One or two and ‘field experimentation‘ in FFS. The topic of the day is normally a facilitators are assigned to a FFS group for the full duration of the farming-related topic, but could also be any other subject of concern FFS learning cycle and will be present at the scheduled FFS meetings. to group members, such as nutrition, gender, microfinance, etc. If Facilitators are trained in a formal training of facilitators (ToF) course the facilitator lacks the specific expertise, external specialists or developed and run by experienced FFS master trainers before the other community members can be invited to lead discussions. The start of a FFS. Researchers, subject matter specialists and external entire FFS learning session is usually held for a half-day duration (i.e. experts are occasionally invited to provide technical support to FFS four to five hours long). groups as needed. Table 1: Timetable of a typical FFS learning session Farmers meet weekly (most annual crops and livestock), biweekly Time Activity Description (some long-term crops) or monthly (most perennials) on regular schedules defined and agreed on by the group members. The length 8.00 Opening Often with prayer, song/story etc. and attendance register of the FFS cycle depends on the focal activity. With livestock, a 8.10 Recap and briefing Reviewing previous activities and briefing on the full-year cycle or more is usually needed to allow for all seasonal proposed activities of the day variations to be studied. 8.20 AESA field trial Field observation and data collection on experimental observations plots in subgroup Agro-ecosystem analysis 9.00 AESA analysis and Group processing and analysis of field observations recording findings 9.40 AESA presentations Each subgroup presents results and discusses action The cornerstone of the FFS methodology is the agro-ecosystem and discussions to take analysis (AESA), which is a field-based analysis of the interactions 10.10 Group dynamic observed between crop/livestock and other biotic and abiotic fac- 15 activity tors coexisting in the crop/livestock field (e.g. between plant/animal 10.20 Topic of the day Guided discussion or discovery-based exercise on a farming or cross-cutting topic of relevance, chosen by growth and pests, diseases, weeds, water, soil and weather condi- the farmers, sometimes facilitated by a guest specialist tions). The purpose of AESA is for farmers to learn to make regular 11.20 Review of the day‘s Reviewing the activities and main lessons learned field observations, analyse problems and opportunities encountered activities during the day in the field and to improve decision-making skills regarding farm 11.30 Planning of next Planning follow-up activities that will take place management. The process is holistic and farmers work in subgroups week‘s activities outside the FFS session and activities for the next session of four to five persons under the guidance of a trained facilitator 11.40 Evaluation of day‘s Evaluating day‘s activities using any evaluation tool to enhance the participatory learning process. Usually, this exercise activities takes about two to three hours and is done throughout the season 12.00 Closing Announcements and closure (often with prayer) or learning cycle so that the problems and decisions being studied overlap with similar issues in the participants‘ own fields, thereby increasing the motivation for learning. ESA is a four-stage process, as described below. Stage 1. Making field observations: In subgroups, farmers make observations in the field based on a A range of monitoring indicators. Emphasis is on observing the interactions between various factors in the agro-ecosystem. Stage 2. Analysing and recording findings: Each subgroup structures, reflects on, records and analyses their findings from the field, including making drawings of the field situation and elaborating on decisions and recommendations. Stage 3. Presenting the feedback: In a plenary, each subgroup presents their results and conclusions. Feed- back and questions from the other groups require the group to defend their decisions with logical arguments. 16 Stage 4. Discussing actions to take: In a plenary, the participants synthesize the presentations and collec- tively agree and decide what actions to implement based on the decisions they have taken.

Source: Modified from FAO & FFS-PS. 2013. Pastoralist field schools training of facilitator‘s manual.

organization, problem identification, selection of learning activity/ Key steps in FFS implementation enterprise and setting up the farm experiments, a process that takes between one to three months. The implementation phase entails FFS implementation is undertaken in three phases: the preparatory the regular learning cycles/sessions, including conducting field days, phase, the implementation phase and the post-graduation phase. exchange visits and graduation. This period takes between 3 and Each phase has a set of associated steps and activities. The imple- 18 months depending on learning activity/enterprise. The post- mentation steps could be described as the foundation of the FFS. graduation activities entail follow-up activities, networking, income The preparatory phase activities include a precondition survey, generation and setting up of second-generation FFS. the selection and training facilitators, the ground working and Key steps in FFS implementation are summarized in the figure FFS group formation. This period entails group formation and on page 17. Steps in FFS implementation

PHASE FFS preparation PHASE FFS implementation PHASE FFS post-graduation 1 STEPS 2 STEPS 3 STEPS

1. Pre-condition survey 5. Regular FFS sessions with core activities 9. Follow up of FFS activities

2. Identification and training of facilitators Comparative experimentation 10. Establishing FFS networks AESA

3. General ground work 11. Income-generation activities

Topic of the day Establish contact with the community 12. Setting up of second-generation FFS Group dynamics

Awareness-raising meeting to PM&E introduce the FFS concept Identification and selection of the 6. Field days participants 7. Exchange visits 17

Identification of the focal activity 8. Graduation (FFS learning enterprise) Identification of the learning site 4. Establishing the FFS Participatory introduction of the participants Levelling of expectations Identifying the host team Participatory planning of FFS activities (a) Establishing the FFS group (b) Problem analysis and ranking (c) Identifying potential solutions (d) Developing the learning programme (e) Developing a detailed budget (f) Submitting a grant proposal (g) Developing a participatory monitoring and evaluation (PM&E) plan 3. Considerations for FFS Implementation

Laying the foundation for FFS interventions that FFS interventions frequently produce a number of spin-offs or unpredicted effects when participants are allowed to lead and Internalizing participation and local ownership in steer their own development process. This is largely positive, but service delivery it also makes high demands on the internalization of a flexible and open approach to programme management. This allows for FS is a participatory approach wherein learners establish their frequent and continuous adjustment to planned activities to accom- agenda and curriculum for learning, often with strong cross- modate emerging needs and demands by project and programme 18 Fsectoral elements. Experience in southern Africa has shown beneficiaries. A spirit of participation and a culture of accountability to field- as continuum, rather than occurring in phases requires a paradigm level participants should be internalized throughout all manage - shift that reflects the reality: the transition between pre-, during ment levels of organizations that support FFS. This is to ensure and post-disaster situations is fluid, in particular in areas that are that generic and organic local-level development progress does regularly exposed to hazards. The value of this framework is its not clash with rigid programme structures, inflexible log frames ability to promote a holistic approach to DRR/M and demonstrate and hierarchical management structures. For this reason, it is the relationships between hazard risks/disasters and development. recommended that field-level training on FFS and formulation be For instance, the activities in mitigation and prevention comprise combined with capacity-building and awareness-raising activities the development portion, while relief and recovery comprise the of higher level staff and management in addition to the support humanitarian assistance portion, with preparedness linking both given to FFS participants. types of efforts. The link between FFS and strengthening people‘s and communi- Linking relief, rehabilitation and development (LRRD) ties‘ resilience is that, through FFS, farmers acquire knowledge and 19 experience of good agricultural practices that help to reduce the In disaster risk reduction/management (DRR/M), emergencies are impact of hazards – such as floods, drought, plant and animal pests commonly described as being on a continuum, i.e. as an ongoing and diseases – which increases their yield or reduces production process of interrelated actions that are initiated before, during damage and losses. This contributes to people‘s food and nutrition or after disaster situations. DRR/M actions aim to strengthen the security and possibly also generates additional income through the capacities and resilience of households and communities to protect sale of their produce. This helps to strengthen people‘s and com- their lives and livelihoods, through measures to avoid (prevention) or munities‘ resilience to crises and threats. Good practices for DRR limit (mitigation) adverse effects of hazards, and to provide timely in agriculture are, for example, the use of elevated, flood-resistant and reliable hazard forecasts. animal shelters, early-maturing seed varieties and so on. During emergency response, communities and relief agencies The FFS approach is very well placed to strengthen the difficult focus on saving lives and property. In post-disaster situations, the link between emergency, rehabilitation and development (linking focus is on recovery and rehabilitation, including the concept of relief, rehabilitation and development – LRRD). It adds value to ‘building back better‘. This implies that DRR activities are also initi - emergency interventions at the rehabilitation, mitigation (normal ated during recovery and rehabilitation. Conceptualizing DRR/M life) and preparedness stages. For example, during rehabilitation, the FFS adds value to the distribution of agricultural inputs, making rural areas, articulated around complementary and synergetic sure that farmers make good use of seeds and tools or take best interventions. care of animals distributed by relief agencies. Encouraging results from areas of high vulnerability in the It has become evident that such rehabilitation efforts have to eastern African region have demonstrated highly synergetic links be looked at in a broader context of food and livelihood security, between FFS, community-managed disaster risk reduction (CMDRR) assisting people in restoring and securing their livelihoods and and village community banking (VICOBA). returning to normal life. CMDRR typically forms the entry point in the community al - The FFS approach can also be an entry point for ‘building lowing for a broader community process to reflect on threats and back better‘, improving livelihoods compared with what existed hazards and for the development of a community action plan. FFS before the emergency, i.e. the introduction of drought resistant groups then play a proactive role towards contributing towards varieties will increase the rural communities‘ resilience and will the achievements and progress of these plans, ensuring that group 20 reduce future losses. activities are well linked to community priorities. FFS is also considered useful in the mitigation and preparedness Further linkages with local savings systems, such as VICOBA, stages, particularly so where disasters are recurrent phenomena, enhance the economic empowerment of members and groups for example in hazard prone and/or extremely poor areas. Here, while the trust and cohesion fostered by FFS enhance the success FFS can provide a greater degree of resilience and faster recovery of the savings system. for the next emergency. Enhanced community sharing and better management of natural resources, reduced conflicts, enhanced Building capacity social capital and strengthened local safety nets can make a big difference in increasing the resilience of hazard prone rural com- For quality implementation of the FFS approach, there is a need munities in order to cope better with recurrent threats. to build a sufficient pool of master trainers and FFS facilitators to sustain the FFS process in the field. Creating linkages for holistic service delivery A FFS master trainer is a person with thorough experience and training in the FFS methodology, and who has undergone a FFS should be used, if possible, as one element in a broader mul- season-long master training course on the FFS methodology. An FFS tisectoral approach towards enhanced resilience in hazard-prone facilitator is charged with the day-to-day responsibility of facilitating he main roles of master trainers include, among other things: • mentoring of FFS activities in the field, especially supporting facilitators on-site; T• running ToF, including preparation and follow up in the field; • monitoring, evaluating and documenting experiences; • advocating for the approach; • managing, designing and budgeting FFS programmes; • assisting in the development of training materials, such as the innovation of new FFS facilitation exercises; • exploring FFS opportunities; • being an active member of the FFS network; and • being a general resource person on the FFS approach. 21 a FFS group and must have undergone a Training of Facilitator Selection and training of facilitators (ToF) course. If there is not a sufficient pool of master trainers, or when a FFS facilitators need to be identified and trained before commencing FFS is started in a new country, it is recommended that master FFS activities. FFS facilitators are trained through a formal FFS train- trainers be trained through a comprehensive season-long master ing of facilitators (ToF) course developed and run by experienced trainer training course to build national or organizational capacity to FFS master trainers. The FFS ToF aims to build capacity among backstop and mentor FFS interventions before the commencement facilitators on the FFS approach as well as on facilitation skills in of FFS activities. general. These courses vary in length, depending on the target In the FFS project design, there should be a deliberate effort to group and the need for inclusion of technical topics. There are have competent project managers, master trainers, supervisors and various models for the ToF: either season-long training, covering facilitators. Organizations implementing FFS should have designated the entire duration of the focal activity, or short training courses. FFS master trainers affiliated to the organization. However, when conducting short ToF courses, from experience in eastern Africa, it is recommended that there be a minimum of and experience in agriculture/livestock, are able to share experi - 22 actual training days on FFS methodology (see the Annex for a ences and connect with the other community members and have sample ToF programme). A minimum of two master trainers on FFS dynamic and confident personalities. Ideally, the ToF should also be methodology are recommended to conduct the ToF on a daily basis attended by a few extension supervisors/coordinators/managers of for the duration of the training course. Technical specialists should the project that will oversee the field implementation and support be invited where necessary. the trained facilitators. It is recommended that there be a minimum of 15 and a maxi- Often, two (or more) facilitators are identified to run one FFS as mum of 30 participants for each ToF course to ensure maximum a team. The ToF should also be complemented by regular refresher participation in practical activities. The majority of the participants training and on-the-job mentoring of the facilitators during FFS in the ToF should be able to serve as the FFS facilitators charged with implementation. It is important to note that a ToF will not qualify the day-to-day responsibility of facilitating group-learning sessions. a person to run subsequent ToF for other staff. This is because a 22 Suitable facilitators are those that live in the local community, speak season-long master training course is required to be allowed to the local language, have some level of advanced skills, knowledge run a ToF course. Community entry i) Conduct an awareness-raising meeting. Holding a meeting with the community to introduce the FFS concept is necessary in areas FFS tailored towards DRR and Climate Change Adaptation (CCA) are where awareness about this approach is low. The facilitator needs established following a catchment pattern recognizing the fact that, to ensure that community members have a clear understanding of in hazard prone areas, the entire community will be affected in the what they can expect from the FFS. Participants and the facilitator can case of certain hazards (floods, cyclones, drought, etc.). then discuss how to move forward to plan the FFS implementation. Community immersion therefore starts with a diagnosis of the problem through participatory disaster risk assessments (PDRAs) ii) Identify and select the participants. Through consultations conducted with communities in each catchment area where the FFS with the community and the help of local leaders, 30 to 40 FFS groups will be established. The PDRA process involves a systematic participants should be identified (groups tend to shrink to 25 to 30 analysis of hazard trends over time; profiling and characterization of after the first few sessions due to farmers‘ busy schedules, wrong recurrent hazards; identifying vulnerability in terms of human beings, expectations, etc.). In the identification process, the facilitator needs 23 productive assets and critical services as well as existing capacities. to be aware of gender relations and cultural practices within the Based on the outcomes of the exercise, community action/ community; however, ideally the group should include a mix of men, adaptation plans (CAPs) are developed defining possible measures women, youth and elders from a cluster of villages. to increase the resilience of rural communities and minimize the effects of the hazards when they happen. The respective individual FFS groups in a given catchment area Establishing a learning curriculum then tease out the relevant CAP-specific aspects around which the learning curriculum and field activities are anchored. These be - Once the FFS group is established, the facilitator develops a pro - come the FFS group action plans, which also act as a local baseline gramme, i.e. the curriculum for the FFS, based on the focal activity against which the FFS and the community can progressively carry (FFS learning enterprise) and gaps identified. out self-assessments. Sufficient time should be spent on identifying the focus of the Activities should begin at least two months ahead of the FFS to avoid involving farmers in activities that are not of interest planned start of the FFS. Other steps recommended for this to them. The selection of the FFS activity depends entirely on local activity include: peoples‘ needs and interests, for example planting a drought-resistant variety, introducing an early-maturing seed variety for maize, millet and sorghum, etc. In collaboration with the group, the facilitator decides what activities need to be undertaken to further explore the problems, test the solutions and identify what kind of outside assistance is needed. Key activities to facilitate learning in the FFS are the AESA, field-comparative experiments and topics of the day, where group discussion and short- and medium-term learning exercises are conducted. A curriculum defining the FFS season and outlining dates of meetings and the topics of discussion needs to be drafted and made accessible to all. 24 Supporting implementation

FFS project budgeting and learning grants Any FFS programme should allocate sufficient resources for FFS field implementation, staffing, master trainer support, ToFs, conducting reviews, conducting community exchange visits, graduation events, monitoring and evaluation (M&E), development of materials and adapting existing training materials to local context. Direct funding to FFS groups for learning activities is preferable, as opposed to in-kind support, in order to enhance ownership and develop financial management skills in the group. Any form of group funding should include an element of cost sharing by the group. Experience has shown that, through the grant process, groups have a very high level of ownership of the field school process and many field schools enjoy a high level of matching funds, material inputs provided by the community and participants and an increasing ability to manage funds and activities on their own. The process of grants application and management (making work plans, budgets, organizing fields, paying facilitators and managing funds) also allows groups to organize themselves to continue on their own. Currently, learning grants to FFS groups range from US$400 to US$800, depending on focal activity/enterprise and duration. The costs of FFS will be highest at the beginning of a pro - gramme, i.e. in year one. The years after the initial foundation has been laid will be much less expensive. FFS costing is highly 25 context specific, but a typical costing, based on an example from the southern African region for a crop intervention, including the running of one ToF for 30 participants and the season-long running of 20 FFS groups is presented below.

Table 2: Indicative costs of establish a FFS in southern Africa

Item Indicative cost US$ Training of facilitators course 25 000 Community entry and start-up 10 000 Group learning grants @ 800/group 16 000 Facilitator regular meetings 10 000 Supervision/technical support/M&E 15 000 Total 56 000

Indicative cost per group US$2 800 Monitoring and evaluation piling, a pictorial self-assessment matrix, matrix scoring/ranking and an evaluation wheel or spider web. The FFS programme team FFS projects and programmes should include comprehensive base- has to undertake continuous documentation and dissemination of line studies in their design to help to evaluate the impact of a FFS good practices and success stories. through comparisons between existing knowledge and practices Participatory impact assessments should be done at the end before the start of a FFS and after its implementation. The FFS proof the project and results disseminated to show the knowledge, ject/programme should also have an inbuilt M&E system, including understanding and skills the FFS participants and communities participatory M&E tools and exercises, such as maps and sketches, have gained, so that any remaining needs can be identified and drama and role plays, photographs, transect walks, proportional addressed during follow-up sessions.

26 Technical support government and other organizations in the area, creating support and new demand for FFS. To ensure the high quality of field activities, the ToF should be ac- Exchange visits/tours should also be encouraged. Exchange companied by follow-up and technical support on particular aspects visits are educational tours to another FFS, agricultural institution or linked to the implemented activities and on-the-job mentoring of innovative communities. They encourage FFS members to compare the trained facilitators by the master trainers and/or FFS experts, in the activities of other groups with their own and to exchange tested particular at the start, during and towards the end of a FFS and/or technologies and unique innovations. when the need arises. Ensuring exit mechanisms Learning networks Every FFS should ensure that they have a continuity plan. After When there are several FFS in a region, FFS networks should be graduation, the FFS groups should be encouraged to continue with 27 encouraged. Networking can help to raise awareness within the activities of their choice. They may decide to continue the field private sector, which can result in increased and continued col - school for another season or study another topic, and should prefer- laboration and coordination of market actors and activities, to the ably be assisted with regular follow-up and technical backstopping. potential benefit of the participant farmers and other farmers in Encouraging networking among FFS groups through regular meet- the community. ings and creation of mechanisms for exchanging ideas is an effective One or two FFS field days should be conducted during the dura- way of ensuring sustainability. tion of FFS implementation. Field days provide an opportunity for Within the context of DRR, income generation and liveli - non-participants and the larger community to be exposed to the hood diversification activities by individuals and groups should lessons, skills and knowledge gained by the FFS group in the process. be encouraged, as should public–private partnerships to help to In addition, they provide FFS members with an opportunity to display strengthen the resilience of vulnerable communities. FFS should and share their experiences, e.g. the experimentation results and also be encouraged to link with other systems, such as microgrants learning activities, including group dynamics. Field days also reinforce or access to credit. the FFS cohesion and raise awareness within the community, the 4. FFS Experiences

The Africa experience required a range of adaptations and modifications to the initial approach to make it applicable to the specific farming systems in he FFS approach was introduced in Africa in 1995 in Kenya the region with its wide diversity of crops grown and where pests (east Africa) and Ghana (west Africa) under the Special Pro - are not necessarily the major production problems. The African Tgramme for Food Security (SPFS) and thereafter quickly spread context also provided specific challenges, different from those throughout the continent. in Asia, such as long distances between farming communities, The focus of these FFS was on integrated production and pest limited national funding for public extension services, mixed small 28 management (IPPM) because of the relatively low levels of produc- farm holdings and highly unpredictable weather patterns with tion and pesticide usage. Bringing the FFS approach to Africa frequent droughts. Table 3: Overview of FFS implementation in Africa (1995–2011)

Country Start year Ghana 1995 Kenya 1995 Mali 1997 Tanzania 1997 Zimbabwe 1997 Ethiopia 1999 Uganda 1999 Zambia 1999 Senegal 2000 Benin 2001 Burkina Faso 2001 Malawi 2001 29 Mozambique 2001 Niger 2001 Nigeria 2001 the Democratic Republic of the Congo (DRC) 2002 Cameroon 2003 Sierra Leone 2003 Swaziland 2003 Gambia 2004 Namibia 2004 South Sudan 2004 Togo 2004 Angola 2005 Rwanda 2005 Somalia 2006 Burundi 2009 Central African Republic 2011 Following the success of the IPPM programme, several new ◼ self-reliance of refugee communities in Uganda and post- FFS initiatives were initiated in the continent and the approach was emergency recovery; and expanded to new enterprises and study topics. Adaptations made ◼ rehabilitation of former internally displaced communities in to the approach include, among others: Uganda. ◼ livestock FFS in Kenya that adapted the approach to animal health and production issues of smallholder dairy production; Also in Africa, FFSs have become the foundation of the field-based ◼ farm forestry field schools (FFFS) in Kenya, Ethiopia and Niger food security programmes and are taking on a new role. that focus on farm forestry; FFS have been conducted by a wide range of institutions in Af- ◼ farmer field and life schools (FFLS) in Kenya, Uganda, Mozam- rica, including FAO; the Danish International Development Agency; bique, Namibia, Zambia, Zimbabwe, Rwanda, Burundi, DRC and national agricultural research systems; Consultative Group on In- Central African Republic, focusing on a range of life skills and ternational Agricultural Research centres, such as the International 30 confidence-building aspects alongside the agricultural training Potato Center and International Centre of Insect Physiology and (when this is done with vulnerable youths, the approach is Ecology; universities; many national governments and numerous termed junior FFLS (JFFLS)); non-governmental organizations. ◼ agropastoral field schools in Kenya, Uganda, Ethiopia and Niger, focusing on herd and landscape issues; Experiences in southern Africa ◼ conservation agriculture FFS (CA-FFS) in Kenya, Uganda, Zim- babwe, Zambia, etc.; Within the southern Africa region, the greatest FFS experiences are ◼ soil and water management FFS in Zimbabwe, Zambia, Madagas- found in Zimbabwe and Mozambique. FFS were first introduced in Zim- car, Uganda, Kenya, Tanzania, Rwanda, DRC, Bukina Faso, Mali, babwe in 1997 by FAO under a technical cooperation programme, the Senegal, Togo, Niger, Lesotho, etc., focusing on soil husbandry, main focus of which was integrated production and pest management minimum tillage conservation agriculture, soil conservation, by smallholder cotton farmers in communal and resettlement areas of water harvesting and water moisture management in rain-fed Zimbabwe. Following this, initial project adaptations emerged, includ- systems; ing FFS on organic cotton, land and water management, integrated ◼ seed farmer schools (SFS) in Ethiopia, focusing on promoting soil, water and nutrient management, dry season feeding of livestock, quality seed for smallholder farmers; poultry and agribusiness as well as JFFLS pilot activities. In Mozambique, FFS were introduced by FAO in 2001 through Other countries with some FFS experience include: Zambia, a south-south cooperation project in the Zambezia province. Fol- Malawi, Angola, Lesotho and Swaziland. In Zambia and Malawi, lowing its success, FFS activities were expanded through PAN II, FFS and FFLS have been implemented on IPPM and land and water the National Programme for Food Security, which facilitated the management. In Malawi, FFS have also been conducted on various establishment of FFS in 12 districts of three provinces between the topics related to sustainable agriculture and food security. years of 2004 and 2008. In Angola, the approach was introduced by the Danish Refugee The programme aimed at institutionalizing the FFS approach Council in 2005 in the Uige and Malanje provinces, northern Angola within the government extension system in order to i) increase the to support sustainable development among the resettled farmers. impact of extension on food security and agricultural productivity After that, FAO integrated FFS in the SPFS in Bie and Huambo, among poor households and especially women and ii) expand the between 2006 and 2012. FFS programme in eastern and southern Africa between the years Now FAO is implementing the FFS component of a World Bank 2005 and 2008. Mozambique has also been spearheading the JFFLS funded project (MOSAP) that works in Bie, Huambo and Malanje. 31 approach in Africa since 2003, with a number of manuals developed Currently some Global Environment Facility projects, which will also based to a large extent on the Mozambique experiences. have FFS components, are in the process of being developed. 5. Conclusion

AO and other stakeholders in the agriculture, food security early warning systems that can raise awareness of impending or and DRR sectors have been working with governments in imminent threats and hazards and to increasing safety nets to Fsouthern Africa and in other regions to promote the use of better cope with the negative impacts of hazards. These considera- the FFS approach to promote improved agricultural technologies tions can help affected communities and households return to for increased resilience. The importance this approach places on their normal – or even an improved – status as they recover from cohesion and effective communication is central to establishing a hazard.

32 6. Bibliography and References for Further Reading

FAO. 2007. Getting started: Running a junior famer field and life school Groeneweg, K., Buyu, G., Romney, D. & Minjauw, B. 2006. Livestock (available at http://w w w.fao.org/docrep/010/a1111e/a1111e00.htm). farmer field schools: Guidelines for facilitation and technical manual. FAO. 2010a. Child labour prevention in agriculture: Junior Farmer Nairobi, International Livestock Research Centre. Field and Life Schools – Facilitator‘s Guide (available at http://www. Hughes, O. & Venema, J.H. (eds). 2005. Integrated soil, water and fao.org/docrep/013/i1897e/i1897e.pdf). nutrient management in semi-arid Zimbabwe. Vol. 1. Farmer Field FAO. 2010b. Land and property rights: Junior Farmer Field and Schools Facilitators‘ Manual. Harare. Life Schools – Facilitator‘s Guide (available at http://www.fao.org/ ICIPE. 2007. Push-pull curriculum for farmer field schools. Nairobi, docrep/013/i1896e/i1896e.pdf). International Centre of Insect Physiology and Ecology. 33 FAO. 2013. Cassava farmer field schools: Resource material for Khisa, G.S. 2004. Farmers field school methodology: Training of facilitators in sub-Saharan Africa. Rome. trainers manual. Nairobi. FAO & FFS-PS.(forthcoming). Pastoralist field schools training of Khisa, G.S. 2008. A reference manual for training farmers in farmer facilitator‘s manual. ECHO-, EC- and SDC-funded interventions in field school. FAO Kenya. the Horn of Africa. Okoth, J.R., Nalyongo, W. & Bonte, A.2010. Facilitators‘ guide for FAO/IIRR. 2006. Discovery-based learning on land and water running a farmer field school: An adaptation for a post emergency management: A practical guide for farmer field schools. Rome. recovery programme. Uganda. FAO, JICA & KFS. 2011. Farmer field school implementation guide: Stathers, T., Namanda, S., Mwanga, R.O.M., Khisa, G. & Kapinga, Farm forestry and livelihood development (available at http://www. R. 2005. Manual for sweetpotato integrated production and pest fao.org/docrep/016/i2561e/i2561e00.pdf). management: Farmer field schools in sub-Saharan Africa. Kampala, FAO & VSF Belgium. 2009. Pastoralist field schools: Guidelines for International Potato Center. facilitation. ECHO-funded Regional Drought Preparedness Project. Rome, FAO and Nairobi, Vétérinaires Sans Frontières Belgium. Annex

Twenty-two day training plan for a farmer field school Notes: ToF training to take 22 actual training days The training programme can be conducted continuously or be divided into two phases (Phase 1: 12 days and Phase 2: 10 days) Daily sessions have been programmed at 7 hours per day Daily starting time and ending time to depend on local situation

Phase 1: 12 days 34 Week 1 Day Session Duration Topic Topic outline Day 1 1 2 hrs Official opening of the Welcome address course and climate-setting Guests‘ speeches and official opening Getting to know each other Levelling of expectations Course objectives and programme and content overview Host team formation and sharing responsibilities Training norms 2 2 hrs Crop production overview Overview of crop production in the region/country 3 1 hr FFS overview Origin of FFS What is and why FFS? Role of FFS in extension 4 1 hr FFS principles FFS principles and their application 5 2 hrs (1 hr Adult learning Characteristics of adult learning day 1 and Adult learning and teaching 1 hr day 2) Adult learning principles Application of adult learning principles in the context of FFS Day 2 5 Continuation adult learning 6 2 hrs Communication skills What is and why communication in FFS? Elements/process of communication Barriers of communication Using appropriate non-verbal behaviour for communication 7 3 hrs Experiential learning and Concepts of experiential learning discovery-based learning Phases of experiential learning Application of experiential learning in FFS Concept of what is this? What is that? 8 2 hrs (1 hr Participative training Common participatory techniques of training day 2 and techniques Application of some of the participatory training techniques 1 hr day 3 Day 3 8 Continuation participative training techniques 35 9 2 hrs Facilitation skills for FFS What is and why facilitation? facilitators Good qualities of facilitator Role of facilitator Verbal and non-verbal facilitation skills 10 2 hrs Facilitating open Facilitation techniques discussion How to conduct open discussions 11 2 hrs Visual aids What are visual aids and why use them? Use of visual aids Guidelines for developing visual aids Day 4 12 2 hrs Evaluating learning Need for evaluating learning sessions Methods of evaluation of learning sessions 13 5 hrs PRA tools and techniques What and why participatory tools and techniques of PRA? Participatory tools and techniques of PRA tools Day 5 14 7 hrs FFS group visit/practice Overview of the FFS learning session Feedback of field visit Day 6 15 7 hrs Steps in FFS Preparatory phase implementation Implementation phase Post-graduation phase Week 2 Day 7 16 30 min Introduction to FFS core FFS core activities activities 17 7 hrs FFS core activity 1: What is and why experimentation in FFS? Experimentation in FFS Principles of experimentation in FFS Types of experiments in FFS Steps in experimentation in FFS Development of sample experiments at FFS level Day 8 18 7 hrs FFS core activity 2: AESA Concept of ecosystem What is and why AESA? Steps in conducting AESA Development of sample AESA formats Day 9 19 1.5 hrs FFS core activity 3: Topic What is and why topic of the day of the day How to identify topic of the day How to present topic of the day 36 Sample examples 20 1.5 hrs FFS core activity 4: Group What is and why group dynamics dynamics Purpose of group dynamics Categories of group dynamics Points to watch in use of group dynamics 21 7 hrs (4 FFS core activity 5: PM&E Why monitor and evaluate? hrs day 9 Defining the goal and 3 hrs Selecting what to monitor day 10) Developing a monitoring plan Choosing a method to collect the information Sample tools: evaluation wheel and village mapping Day 10 21 Continuation PM&E 22 7 hrs (4 Development of FFS What is and why learning schedule hrs day 10 learning schedule Steps and process in development of the learning schedule and 3 hrs day 12) Day 11 23 7 hrs FFS group visit/practice Situation analysis using PRA tools Feedback of field visit Day 12 22 Continuation development of FFS learning schedule 24 2 hrs Team building The difference between a team and group Stages of team growth Role of a facilitator in team building How to build a successful team Common problems in teams Team building exercises 25 2 hrs Closing Phase I of training Phase 1 evaluation Take-home assignments Closing remarks Phase 2: 10 days Week 3 Day 13 26 1 hr Climate setting Welcome address Recap of Phase 1 37 27 4 hrs FFS group management Developing an FFS constitution and leadership FFS leadership FFS records FFS resource mobilization 28 2 hrs Conflict management and What is conflict? peace-building Causes of conflict Types of conflict Results of conflict Stages and dynamics of conflict Conflict transformation and peace-building Functions and positives of conflict Day 14 29 7 hrs Business skill Introduction to farming as a business Selection of the FFS commercial enterprise Profitability analysis of FFS enterprises Budgeting and planning the FFS commercial enterprise Day 15 30 7 hrs Natural resource What are natural resources? management (NRM) Classification of natural resources What is natural resource management? Ownership regimes in NRM Stakeholder analysis in NRM Importance of NRM Day 16 31 7 hrs Crop production Integrated production and pest management Suitable agricultural practices Good agricultural practices for selected crops Day 17 32 7 hrs FFS group visit/practice Practice on facilitating sessions Feedback of field visit Day 18 33 3 hrs Crop production continuation 34 4 hrs HIV/AIDS What are HIV and AIDS? Ways of HIV transmission, ways in which HIV is not 38 transmitted, and protection against AIDS HIV/AIDS pathway Understanding the dynamics of the disease in rural communities Week 4 Day 19 35 4 hrs Gender in FFS What is gender? Gender roles Sociocultural aspects Gender analysis FFS gender indicators Types of gender-based violence (GBV) 36 3 hrs Human nutrition Basic facts on nutrition Definitions and food groups, diet diversification, food handling and preservation Nutrition and HIV/AIDS Day 20 37 14 hrs CMDRR Constructing a seasonal calendar Identifying the hazards within a community How does a disaster affect my life? Understanding community vulnerability Capacity assessment Hazard mitigation Day 21 37 Continuation of CMDRR Day 22 38 2 hrs Action planning 39 1 hr Course evaluation 40 2 hrs Graduation and official Closing speeches closing Award of certificates

39 Funded by:

Coordinator:

ISBN 978-92-5-108328-4

9 7 892 5 1 0 8 328 4 I3766E/1/04.14 Management of Crop Diversity

KEY PRACTICES for DRR Implementers Management of Crop Diversity: Key Practices for DRR Implementers

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ISBN 978-92-5-108330-7 (print) E-ISBN 978-92-5-108331-4 (PDF)

Author Johannes Engels, Stefano Diulgheroff and Javier Sanz Alvarez Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © FAO/Javier Sanz Alvarez Design and layout Handmade Communications, [email protected] Management of Crop Diversity

Acronyms and Abbreviations...... 05

1. Introduction ...... 06

2. Key Activities for the Conservation of Crop Diversity at Community Level...... 19

04 3. Integrating Crop Diversity Considerations into Seed Relief Operations...... 29 4. Support Required for Seed Policies...... 34

5. Conclusion...... 36

6. Bibliography and Resources for Further Reading ...... 39 Acronyms and Abbreviations

CSB...... integrated community seed/gene bank

DRR/M...... disaster risk reduction/management

FAO...... Food and Agriculture Organization of the United Nations

NGO...... non-governmental organization level) 05 NUS...... neglected and underutilized species or crops

PGRFA...... plant genetic resources for food and agriculture

SADC...... the Southern African Development Community

SSSA...... Seed System Security Assessment

1. Introduction

rop diversity, also referred to as plant genetic resources for threatened by a number of factors, including land-use intensifica- food and agriculture (PGRFA), embraces the diversity within tion, demographic pressure, structural changes in the agricultural Cand among crops, their wild relatives and wild edible plant sector, invasive species, climate change, replacement of traditional species. This diversity has evolved over thousands of years in a crops and varieties. Also, natural and human-made disasters can dynamic interaction between nature and humans, as part of their have a significant impact on crop diversity, particularly on local agricultural activities. It provides the biological foundation for food and traditional crops that depend on farmers and communities for production and food security and contributes to economic develop- their management. ment (Second Global Plan of Action, FAO, 2011). The conservation In recognition of these threats to crop diversity, and of its re- 06 and management of agricultural crop diversity is a key issue in the lated economic, food security and cultural implications, the need to struggle to achieve food security both locally and globally. However, conserve these genetic resources and encourage their sustainable despite the importance of PGRFA, these resources are seriously use are issues that have come to the fore over the past 50 years.1 A number of international conventions and agreements have been established to this effect, through which countries have recognized the need to establish conservation strategies to develop inventories and to provide for policies that regulate the exchange of these resources. Yet, this crop diversity remains under severe threat. An example is the continuous and widespread loss of landraces, defined

1 To counterbalance the drastic replacement of landraces by so-called high-yielding varieties, the collecting of these threatened resources was coordinated worldwide in the 1970s and 1980s by the International Board for Plant Genetic Resources (IBPGR). The International Treaty for Plant Genetic Resources for Food and Agriculture (established in 2006) provides the legal framework, and the Second Global Plan of Action for PGRFA (adopted in 2011) a set of priorities to conserve, exchange and sustainably use these PGRFA. as traditional, locally adapted crop varieties with historical origin well. Consequently, it is very important to pay due respect to the and cultural significance and containing high genetic diversity. existing social and cultural systems and structures, especially at Within traditional agricultural production systems, farmers the family and community level, when intervening at the produc- use a wide crop diversity, which act as ‘sustainability insurance’ tion level. to meet their food and income needs and preferences in a vari - Although modern production systems are more specialized able – and sometimes unpredictable – socio-economic context. using typically more uniform commercial varieties, and are gener- Through on-farm management of crop diversity, there is a contin - ally more productive, they often require the use of external inputs ued adaptive evolution of this diversity to changing conditions that (seeds, fertilisers, pesticides, etc.), which may not be available or can be extremely useful in present and future crop improvement accessible to small-scale farmers. Traditional varieties, often used in programmes. The results of this evolution can serve as building mixtures, on the other hand, may have a lower yield potential, but blocks for farmers and breeders to develop new plant varieties. they are usually more stable in constrained conditions (e.g. water In addition to the diversity of crops and varieties themselves, the stresses), and generally require limited or no inputs. This keeps 07 related traditional knowledge on how to grow, use and maintain farmers independent to a large extent from the local or national them is of extreme importance and needs to be conserved as agricultural supply chains. Objective of this technical brief

This technical brief explores the management of crop diversity by small-scale farmers in southern Africa. Its objective is to guide DRR practitioners through some basic principles to plan and implement agriculture and food security interventions that make farmers more resilient to natural hazards by including aspects of management of crop diversity. Special attention is given to activities that help farmers strengthen the sustainable use of this crop diversity. For example, the production and management of seed and planting material is a good example of how farmers manage the genetic 08 diversity of the crops and varieties they use as part of their agricultural production system. In recognition of the fact that a combination of traditional and modern varieties often occurs on the same farm, both the formal and informal seed systems and their potential role in facilitating the management and conservation or crop diversity are addressed in the document. Finally, it also integrates the potential for economic development that can result from the improved management of crop diversity. This technical brief can be of particular use to the following users: ◼ DRR/M practitioners who support farmers and farmers’ or - ganizations with traditional (often subsistence) farming systems to cope with shortages or lack of adequate seed or planting material, and to enable and facilitate the farmers to continue to rely on crop and varietal diversity for their food security. ◼ Extension services to gain information on how farmers and farming communities can maintain diversity and benefit from its sustainable use; and to create awareness about the importance of crop diversity in (traditional) agriculture to cope with disasters. ◼ Policy decision-makers to provide them with explanations to support the maintenance and management of crop diversity in the production systems as well as in gene banks, and to justify these practices as a sustainable and wise investment in order to improve food security and livelihoods of hazard-prone rural people. ◼ Plant genetic conservation programmes with an interest in 09 strengthening their on-farm and in-situ conservation approaches, especially those that have yet to collaborate directly with farmers and farming communities in this regard.

What is crop diversity?

Crop diversity (PGRFA) refers to crops and varieties that farmers cultivate and use as part of their subsistence. They consist of local farmers’ varieties (landraces), modern varieties of traditional crops bred by commercial seed companies, introduced crops (like maize and cassava), as well as the crop wild relatives, weedy forms of crops and wild species used by communities for food and agriculture.

Figure 1: Harvest of Moringa leaves (Moringa oleifera) for household consumption Appropriate conservation (both ex situ and in situ) implemented have established gene banks at the national level to cater for the in a complementary manner, is fundamental to safeguard this rich entire country; however, more recently, gene and seed banks biodiversity and to avoid the extinction of these crops and varieties. have also been created at the community level. ◼ Ex-situ conservation consists of collecting representative ◼ In-situ conservation is the process of ensuring that original popu- samples of seed and planting material from different sources lations of targeted species are maintained in the farmers’ fields including farmers’ fields, adequately preparing these samples, where they are being cultivated (also known as on-farm conserva- and conserving them in collections under conditions that en - tion) or, in the case of wild species, in the natural habitats where sure their viability after long periods and their prompt access they obtained their characteristics. Arrangements can be made by users. Thus, ex-situ conservation is done in facilities away with farmers to maintain the traditional resources in their fields from where these crops and varieties are being cultivated or, or with curators to manage them actively in natural habitats. in the case of their wild relatives, grow naturally. Gene banks Besides the continuous use of traditional crops and varieties, 10 are facilities where the collected genetic resources are stored involving farmers in crop improvement and plant breeding is a as dried seeds, maintained in fields, or preserved as tissues in ‘natural way’ of actively contributing to the management and laboratories with the objective of conservation. Most countries maintenance of crop diversity within the production system. Why is crop diversity important? on agricultural systems and, as a result, the most diverse cropping systems, (i.e. those with the widest genetic diversity) are likely to In most southern African countries, farmers rely on different combi- be the most adaptable. nations of a few major (staple) crops grown on relatively large areas An adequate range of crop and varietal diversity allows farmers by most households (e.g. white and yellow maize, white sorghum, to undertake practices that protect them against different hazards millet, cassava and groundnuts) and a large number of crops grown and risks, and provide them with a kind of insurance against the on small areas (e.g. pumpkin, peas, beans, vegetables, tobacco, unknown, as such farmers and farming systems become more potatoes). Within this system, increasing the diversity of varieties of resilient to natural hazards. For instance, with crop and varietal a given crop in a farmer’s field improves the chances that the crop diversity, farmers can: will cope better with insects, diseases or environmental stresses ◼ stagger their planting and harvest to avoid peak hazard periods such as drought, heat or floods. The different characteristics of the or to recover from a hazard; diverse varieties can potentially reduce the losses as a result of these ◼ ensure consistent availability and a wider variety of food; 11 hazards, whereas when only one plant variety is grown, the vulner- ◼ spread labour requirements in the field; and ability of the crop to the hazards becomes higher. The expected ◼ adapt to new environmental situations, the market system and/ climatic and environmental changes will place unprecedented stress or evolving local needs. eglected and underutilized species (NUS) share important characteristics. NUS are: • represented by wild species, ecotypes and landraces; N • highly adapted to agro-ecological niches and marginal areas; • cultivated and utilized based on indigenous knowledge; • important in local consumption and production systems; • under-represented in ex-situ gene banks; • characterized by fragile or non-existent seed supply systems; and • overlooked by policy-makers and research and development agendas, and scientific information and knowledge about NUS are scant.

Figure 2: Some examples of underutilized species in Southern Africa. Left, Sesame seedlings (Sesamum indicum); centre, Paracress (Acmella oleracea); and right, Bambara nut (Vigna subterranea) The conservation and management of plant genetic resources in the form of traditional as well as modern varieties and their availability to and use in agricultural production systems is the axis of food production. In traditional production systems, an important group of species, is made up by the so-called neglected and underutilized species or crops, i.e. neglected by research and governmental support and underutilized in terms of their economic, nutritional or agronomic potential in sustainable agriculture. These crops often play an important role in the agricultural, socio-economic and cultural practices of many communities. Wild but edible species such as indigenous plants or fruit trees, whether cultivated or harvested in 13 the wild, represent yet another group of species that contribute to food and nutrition security in areas practising subsistence farming. These species can also be relevant sources of income in times of crisis, and efforts should be made, where possible, to domesticate, cultivate, improve and commercialize these neglected but valuable resources.

Ensuring farmers’ access to agricultural crop diversity: formal and informal seed systems

Ensuring farmers’ access to appropriate seed and planting material is one of the key issues in the management of crop diversity in the production system. Farmers have formal (commercial) and informal (community-based) avenues to access seed and planting material,

Figure 3: Farmer with cassava cuttings used for planting that frequently exist parallel to each other. Better collaboration and (international) commercial seed for vegetables; national commer- links between these two sourcing channels, leading to an integrated cial seed (from international or public research) for maize; local seed sector, can be very helpful for farmers to benefit from the semi-commercial sources for groundnut seed; and farm-saved many complementary aspects of both formal and informal sectors. seed for mainly home-consumed crops like sorghum, millet, beans, Interaction among these sectors offers different opportunities to cowpeas and many more traditional crops. Therefore, seed sector farmers, increases the flow of diversity as well as the access to development needs to take into consideration the crop-specific modern varieties, and promotes the use and preservation of these and socio-economic reality and be approached accordingly, with genetic resources. public, private, community-based or NGO stakeholders assuming Indeed, in most southern African countries a composite seed specific responsibilities in the different seed value chains (Louwaars sector reflects the reality at field level, as farmers normally source & de Boef, 2012). their seed through different systems depending on the crop: The formal seed system is characterized by the commercial 14 production of seeds of modern crop varieties that are highly homoge- neous and, under conducive and stable conditions, can give farmers yield increases when compared to landraces. This system often is the result of collaborative efforts between the public and private sector, and supported by governments through research, variety protection, testing and certification schemes. Small-scale farmers in southern Africa have often little access to commercial seeds. Most frequently this is because they cannot afford to buy commercial seeds or other inputs (e.g. fertilizers) that these improved varieties require to reach their full yield potential. In some cases, farmers’ physical isolation (living in remote areas) and poor agrodealer networks further limit farmers' access to commercial seed. The informal seed system refers to a system at household and community level. It is typically operated by farmers themselves and/ or supporting partners and is geared towards ensuring access to seed and planting materials. The informal seed system – often the only Linking the formal and the informal systems: source of seed for small-scale farmers – is embedded in the local crop the integrated seed system production; a farmer usually reserves a part of the harvest to be used as seed for the next season, and often exchanges or sells a proportion The integrated seed system would significantly help small-scale farm- of it with/to other farmers. This way, farmers produce grain and seed ers access more varied crops and varieties, improve the quality of the while at the same time they maintain crop genetic diversity in the seed, inject more genetic diversity or new varieties into the agricultural production system. Thus, they are key players in the management of sector at community level, and increase productivity sustainably. agricultural crop diversity, as they possess the knowledge to cultivate The informal seed sector permits the conservation of varieties and use traditional crops in the form of landraces or local varieties, that often have varied and unique characteristics adapted to the which are usually well-adapted to the local conditions. local agro-ecology, require fewer inputs than commercial varieties Notwithstanding the important role that local farmers’ seed sys- and can prove more durable in times of climate stresses (floods, tems play in seed security as well as in sustainable access, availability drought, pests, etc.). Further, it preserves the knowledge honed 15 and preservation of crop diversity, they seldom receive support for over time to use these varieties. At the same time, the formal system this from the government or public institutions. Increasing the farm- has much to offer to local systems in terms of improvements in ers’ role in the management of crop diversity through strengthening technology and genetic diversity. Good quality seed is essential, and traditional informal seed systems can be a central mechanism for the the transfer of technology in improved commercial seeds is key for sustainable production, marketing and acquisition of seed and plant- increasing productivity and production. This is regarded as being ing material, which can contribute to development of more adapted of fundamental importance to disaster risk reduction, with newly and sustainable agriculture, as well as the reduction in the impact of released improved varieties such as short-cycle, drought-resistant natural disasters, allowing an early recovery after the shock. or disease-resistant varieties playing an important role. Although informal seed systems have very tangible benefits, Establishing effective links between the formal and informal they also have considerable limitations: seed may be available for systems appears challenging, but there are opportunities, such only a few crops and varieties; they are often of substandard quality as the promotion of smallholder seed enterprises, the establish - (i.e. poor or irregular viability and reduced physical and varietal ment of community seed banks or local gene banks, the promo - purity) leading to weaker yields over time; and, overall, informal tion of seed fairs or an increased role of small farmers in crop seed systems tend to limit innovation. improvement. Figure 4: Main crops cultivated in southern Africa, from top to bottom and left to right; Sorghum (Sorghum bicolor), Pearl millet (Pennisetum glaucum), Sweet potato (Ipomoea batatas), Rice (Oryza sativa), Cassava (Manihot esculenta), Maize (Zea Mays), Cabbage (Brassica oleracea) and Amaranth (Amaranthus sp.)

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Figure 5: From top to bottom and left to right; Pigeon pea (Cajanus cajan), Yam (Dioscorea sp.), Taro (Colocasia esculenta), Groundnut (Arachis hypogaea), Soya bean (Glycine max), Cowpea (Vigna unguiculata) and Okra (Abelmoschus esculentus) Key principles FOR the management of CROP DIVERSITY

• Respect farmers’ culture and traditions, their traditional crops and common varieties, cultivation practices, food traditions and capacities when implementing measures to strengthen their capacities to cope with threats to their resource base. • Involve farmers from the planning phase onwards in activities related to increasing the resilience and robustness related to the management of crop diversity. • Understand the local seed system, including traditional uses, identifying the points that need attention, i.e. testing seed quality, lengths of storage and 18 main storage pests. • For sustainability of the activities, processes and procedures make sure that the farmers and the farming communities are in full agreement and accept the specified responsibilities. It also should be made clear that these activities are of a long-term nature and will not produce ‘instant’ benefits. They are like an insurance against food insecurity. • Governments’ inputs and participation are required for setting up comprehensive and sustainable arrangements and to ensure an adequate flow of material and information between the various stakeholders involved. • A national approach/programme to reinforce the crop genetic resources base is necessary. This includes raising public awareness on the importance of crop diversity for sustainable production; inventories and assessments of the existing resources; traditional knowledge; identification of the most suitable approaches and solutions for the conservation of traditional plant genetic resources; and a close collaboration between the national and community conservation levels. 2. Key Activities for the Conservation of Crop Diversity at Community Level

It is neither efficient nor cost effective to store all relevant crop-genetic management and rural development. In southern Africa, where local diversity in ex-situ conservation facilities (gene banks); therefore man- genetic resources are highly threatened, it is very important to link agement of genetic diversity needs to be also enhanced in natural and these concepts of management and development, particularly in protected ecosystems (in situ) and on-farm. The concept of a more areas that harbour valuable crop diversity in the form of minor crops, dynamic maintenance of traditional and well-adapted crop diversity NUS, crops grown in association with their wild relatives, as well as in local production systems has fostered a link between resource areas where agriculture is changing rapidly. 19 On-farm management of plant-genetic resources aims to main- ◼ Promotion of traditional cuisine to increase knowledge about tain sufficient and relevant crop diversity in the local production the nutritional value of traditional crops and varieties (baby systems as a basis for sustainable development. A range of activities food, health food, snacks, etc). such as crop development, seed supply, seed marketing, farmer ◼ Promotion of the importance of NUS as well as minor, semi- training and awareness-raising contribute to this twofold objec- cultivated and wild species as nutritional sources with valuable tive of management of agro-biodiversity, through the continued genetic diversity and potential for development. cultivation of existing and possibly newly introduced plants, as well ◼ Recognition of farmers’ efforts to maintain traditional crop and as community development. variety diversity at various levels. Close collaboration with extension services and the national PGRFA programme is imperative Raising awareness on the importance of crop and for the success of these activities. variety diversity ◼ Organization of ‘open village/local community days’ as platforms 20 for discussion, knowledge sharing and awareness-raising on Traditional production systems have evolved over centuries to form crop diversity, its management, the establishment and manage- a unique culture based on the close connection between traditional ment of community gene banks, food security, etc. Gathering crops and the related knowledge for their cultivation and use. Farm- farmers from neighbouring villages to visit the facilities or to ers and farmers´ communities play a key role in the maintenance observe demonstration plots as part of community-initiated of traditional crops and crop varieties, through their continued activities can also be very helpful. cultivation, contributing to the conservation of this crop diversity ◼ Establishment of home gardens which are especially convenient that is fundamental to a sustainable and balanced agriculture. for growing vegetables and spices, and are a potential reposi- It is important to raise awareness about the importance of crop tory of valuable local agricultural biodiversity. diversity as an essential part of small-scale farmers’ production ◼ Development of school gardens as an important means to teach systems, using media such as the press, radio or TV to communicate children how to cultivate (traditional) food crops, as well as to the broader public, but also through activities, such as field days raising awareness of their nutritional and cultural importance. among farming communities. Relevant topics and means to increase School gardens will thus contribute to the conservation of tra- public awareness include: ditional knowledge and can also serve as demonstration sites for those interested in home gardens. Conducting crop diversity inventories Improving access to quality seed and planting material of traditional crops and varieties One of the essential steps in the conservation of crop diversity is to conduct inventories of existing crops and varieties, and knowledge Improving access to seed and planting material at the farming com- appraisals at the community level. Agrobiodiversity inventories munity level is central to the development and maintenance of a are fundamental reference points to monitor the loss of genetic more sustainable and productive agricultural sector. The predomi- resources, also called genetic erosion. These inventories identify the nant channel for small-scale farmers to access seed and planting species and varieties that occur in a given area, describe them, and materials of traditional crops and varieties is through informal, note their distribution and uses; traditional and scientific knowledge intra-village seed exchange amongst themselves. These traditional held in the community about these resources can be documented in community seed-exchange mechanisms are vital for healthy agri- a complementary Community Biodiversity Register. These registers cultural production and for the conservation of crop diversity, and are created with the community’s help to document and conserve can be strengthened by the activities elaborated below. 21 both the biodiversity that is being used within the area of the community and the relevant knowledge about it. Registers have Training small-scale farmers on the production of seed and sometimes been established with the intention of protecting a com- planting material: technical advice and assistance to farmers to munity’s ‘ownership and property rights’ over the genetic material. improve their local practices for the on-farm production of quality Like the registers, inventories can be established collaboratively, seed and planting material is a very important step to ensure their using participatory approaches such as group discussions, resource seed security for the next growing season. It also reduces their mapping, transect-walking tours, etc. These approaches can help dependence on external, commercial seed. build a community's awareness about the richness and significance Traditional crops consist of well-adapted local farmers’ varie- of the crop diversity at their disposal; this understanding can in turn ties that sometimes involve many different plant types – it is this encourage community members to support the inventories and help diversity that enables such varieties to cope with change. Farmers keep them up-to-date. can be trained to maintain this diversity, by teaching them how to identify plants that best represent the original variety, and how to select healthy and vigorous individual plants that will be used for seed production, in order to get the best quality seed. Increasing farmers’ capacities for on-farm seed production of traditional present interesting possibilities for collaboration between the crops and crop varieties will therefore have a positive impact in formal and informal seed systems. the preservation of crop diversity. Introduction of quality seed: the introduction of quality seed The promotion of smallholder seed enterprises: farmers that of traditional varieties can help to maintain genetic diversity and specialize in producing high quality seed, which is either sold or reduce risks of genetic erosion of underutilised crops and crop exchanged for grain within the community, will be able to develop varieties, and refresh the genetic base. The introduction of com- a profitable economic activity, while strengthening the local seed mercial or improved varieties can also help to increase the yield system. The quality of the seed can be improved through quality at community level or to introduce varieties that are less affected control by the communities, undertaking trials to compare local by pests or disruptive situations, such as floods or droughts. The versus new varieties, field days and capacity building for enterprise brief Appropriate Seed Varieties for Small-scale Farmers in this 22 management. Trials, field days and well-managed enterprises can same series gives detailed information on the considerations to be

Figure 6: Different varieties of Cassava (Manihot esculenta) Use of edible plants collected from the wild

Another dimension of crop diversity in traditional agricultural production systems is the use for food of plants or plant parts harvested ‘from the wild’, in natural habitats. In southern Africa, edible plant products from the wild are an important coping strategy, providing food supply during times of severe food shortage. Establishing inventories of these wild species, their characteristics, distribution and uses will be important steps to facilitate their sustainable use and make sure that the local knowledge about their uses is not lost. A useful step towards the recognition of the role that these nutritious wild plants can play in rural communities would be the establishment of local field collections that could function at the same time as demonstration plots to create awareness of these important resources amongst farmers and the need to protect them from overexploitation in the wild. 23

Figure 7: Some edible plants collected from the wild in Southern Africa. Left, wild grass (Gramineae) named ‘Lole’ in South Malawi and eaten in the lean period; centre, edible fruits of Cattley guava (Psidium cattleianum), an invasive bush in Madagascar and Comoros; and right, unidentified leafy wild plant. taken when introducing a new variety. A thorough understanding price, the farmers to work with and possible follow-up procedures of the local seed system is very important when aiming at effectively to assess the impact. introducing quality seeds and seed of new varieties in a community. The distribution of small packages of seed with one or more A strategy needs to be developed defining factors such as the type varieties can be an efficient way to stimulate farmers’ interest and of seed/variety to diffuse, the volumes of seed to introduce, the variety diffusion. Demonstration plots with a range of planted varieties can be used to showcase forgotten traditional varieties or to introduce new adapted materials into local seed systems. Allowing farmers to take home seeds or planting material from these demonstration plots for further experimentation has proven to be particularly effective.

24 Seed fairs: a seed fair is an event where local seed producers and commercial seed sellers and traders come together to sell or exchange their seeds, preferably along with the associated knowledge. Seed fairs can be useful for the preparation of local inventories of crop diversity and provide an excellent opportunity to distribute new or old varieties or genetic diversity in general. Seed diversity competitions can help to raise local awareness of the richness and significance of local crop genetic diversity. Seed fairs are most suitable for subsistence grain crops and in situations where access to seed is a major problem. For example, in emergency situations, seed fairs are frequently combined with the distribution of seed vouchers to affected farmers who cannot afford to pay for seeds. However, seed quality, considering biological, physical and genetic properties, is a main concern and needs to be carefully monitored in seed fairs. The establishment of community seed banks (CSB) or local gene ◼ Create opportunities to exchange knowledge and diversity banks: small-scale farmers usually do not have access to national among farmers, and serve as a potential platform for crop or provincial gene banks. To overcome this gap, the establishment improvement and variety selection. CSBs can also create of community seed or gene banks (CSB) and communal seed-store awareness and build community capacities in management and facilities used for the conservation of local germplasm collections preservation in a local ex-situ situation. The cooperation and at local level, can contribute in the following ways: ◼ Improve the local access to quality seed and planting material of traditional crops and varieties. This can lead to improved access, availability and use of local varieties in particular, a revival and re-invigoration of local cultivation practices, diversification of production and consumption, and the generation of income (Vernooy, 2013). 25 ◼ Safely conserve local crop diversity in the production system. CSBs contribute to safeguarding, maintaining, restoring, sharing, improving and increasing crop diversity close to the fields where these plants are grown. ◼ Safely store seed reserves that can be used in cases of crop failure or for the distribution/introduction of new varieties of seed. CSBs can be used as a better option to individual household storage, and can also serve as a timely source of seed in emergencies. This is particularly important in hazard-prone areas, where farmers may lose their seed reserves as a result of floods or cyclones. ◼ Facilitate the reintroduction of lost or threatened crops and varieties. effective flow of genetic materials between the national gene within an agreed time period by those making the withdrawal), the banks and the CSBs is of key importance, especially in flood- or introduction of new genetic material (including through participatory cyclone-prone areas where local gene banks and germplasm plant breeding activities), or the production of quality declared seed. collections can be lost and national institutions can provide Key aspects in the management of a CSB include maintaining safety duplicates of material for its re-introduction. an inventory, monitoring, development of a regeneration strategy, and development and implementation of multiplication protocols or Strong outside support to farming communities is needed to establish coordination of the seed distributions to farmers. Farmers involved and manage CSBs. Local CSB management committees must receive in a CSB should be trained on the importance of germplasm and its capacity building in order for them to run the facility properly and take management, the value of indigenous knowledge and practices, the important decisions, such as the management of a replenishment or community’s rights, the seed multiplication procedures (including revolving fund (i.e. a fund established with external assistance and, as seed selection, drying and storage techniques), the gender dynam- 26 financial resources or seed are withdrawn, needs to be replenished ics in agricultural biodiversity conservation, etc. In Ethiopia, for example, a CSB is responsible for the manage - plant breeding, including crossing of plant types or even varie - ment of strategic seed reserves. Such reserves were established ties, can be used to ensure farmer engagement. Although these by collecting indigenous landraces and subsequent storage at a participatory initiatives should be supported by researchers and community seed bank. In this way, a sustained supply of adapted plant breeding institutions, farmers hold vast traditional knowledge seeds was ensured and channelled through the informal market of great significance to the improvement of traditional varieties, system, thus averting the potential loss of genetic diversity. as well as in the production of modern varieties. Farmers can also contribute to establishing research priorities. Participatory variety selection and breeding efforts Crop improvement approaches at the farming community level may allow farmers to accelerate the selection of varieties that are Aside from managing and exchanging seed and planting mate - adapted to their local conditions, and to be better adapted to rial, farmers can also participate in improving traditional varieties. marginal and heterogeneous conditions, such as those perpetuated Participatory approaches to variety selection of preferred types and by natural hazards. Furthermore, through the characterization and 27 even evaluation of local crop genetic resources, whenever possible they can monitor and support the application of core principles in in farmers’ fields and by involving plant breeders, a more effective the long term. use of local diversity in breeding can be achieved. The insertion of Linking local and national gene banks to facilitate germplasm breeding materials into the local system is a common strategy for flow is critically important to promote community level crop diver- participatory crop improvement; it can also build farmers’ ability to sity conservation initiatives. It also improves the protection of these select quality seed by increasing the range of diversity from which resources through establishing a back-up at national level, which is they can select (De Boef & Ogliari, 2008). Because participatory very important in flood- or cyclone-prone areas. In general, national crop improvement approaches will help farmers to improve their gene banks are in a better position to: crops, to produce quality seed and to better manage their seed ◼ coordinate conservation activities; and planting material from one season to the next, it may eventu- ◼ assist local conservation efforts among others through the ally lead to commercial production of seed from local crops and longer-term conservation of local germplasm; 28 varieties, therefore helping to maintain the diversity in the local ◼ provide training, advice and assistance to local conservation production systems. initiatives; The interaction and collaboration between farmers and re - ◼ provide a conduit for germplasm from other countries; and searchers can be strengthened through a number of interactive ◼ promote the diversification of crop production and broadening agricultural extension approaches to train farmers on crop diversity crop diversity as well as the genetic base of crops for a more issues related to crop improvement. The inclusion of farmers in on- sustainable agriculture. farm and local breeding efforts can be done through Farmer Field Schools and farmer-to-farmer programmes (for more information, These capacities make the link between local and national conserva- see the Farmer Field Schools brief in the present series). To ensure tion initiatives all the more important and attractive. the sustainability of these efforts, government, extension and NGO staff working together with farming communities should also be sensitized and trained through specialized courses on topics such as community conservation and management of traditional and modern crop genetic resources. Further, they should also participate in training on the management of any facilities established, so that 3. Integrating Crop Diversity Considerations into Seed Relief Operations

hile seed system interventions in response to emergencies supply, usage, handling, trade and exchange in response to a crisis, can include direct seed distribution, seed vouchers, seed playing a central role in supplying seed required for distribution. Wfairs, etc., the most common approach to seed relief is However, because of the limited recognition afforded to informal the direct distribution of seed from locally grown crops which have seed supply systems and locally adapted varieties, farmers may be been purchased from the formal sector in the same or similar agro- discouraged from strengthening their local seed supply. ecological regions of the country. However, the informal seed sector When rural communities have lost their harvest due to a natural 29 can also provide a dynamic, flexible and accessible system of seed disaster, it is very important to re-establish their productive capacity as soon as possible, taking into consideration that a second lost Seed relief interventions can be unsuccessful or even harmful harvest may have a severe impact on food security, creating the if they distribute varieties that are not well adapted to the local need for a longer-term humanitarian response. In addition, during conditions of the distribution area, including specific cultivation natural hazards such as floods and cyclones, important quantities conditions, as well as the local preferences. Before taking any of quality seeds from community reserves, private seed suppliers relief action, it is important to be fully aware that wrong decisions or public breeders, can be lost. Thus, seed distribution will play a can damage local seed systems and even contribute to the loss critical role to facilitate an early recovery. In this context, seed relief of local valuable crop diversity. This can be particularly important interventions by definition imply a stringent response timeframe in protracted emergencies with sustained humanitarian support. to rapidly assist people in need; as a result, these responses are Consequently, when formulating DRR programmes, or when pre- often done with little knowledge of the local seed systems and paring humanitarian responses, it is of critical importance to involve the genetic resources therein. As seed relief can have a significant the farmers and farming communities, to make them part of the 30 impact on the informal seed systems and local agricultural diversity, decision-making process, to assign clear responsibilities to individual it is important that such relief actions are aligned with the national or collective farmers and groups of farmers, to respect and build PGRFA strategy and follow national policies. on their traditions and to create awareness of the important role that crop diversity, as well as their own knowledge play in creating better agricultural systems for the future. Seed relief should gradually evolve towards seed development orientated programmes, where the relief will act as a catalyst to stimulate agricultural recovery and local enterprise development. At the same time, governments and research organizations may use seed relief programmes to introduce new technologies and varieties into disaster affected areas. There are several guidelines available to help donor agencies, government ministries, NGOs and individuals charged with agricultural relief and recovery assess farmers’ seed system security (for example see FAO, 2010; Sperling, 2008). 31 Seed System Security Assessment (SSSA)

Seed System Security Assessment (SSSA) developed by Sperling et al. (2008), is a specialized assessment methodology for seed systems at the local level. This tool can be useful to plan seed- related assistance in emergency situations, promote strategic approaches to seed relief, recovery and develop planning. SSSA aims to strengthen and integrate the different seed systems (formal and informal) on which farmers rely, by assessing quality seed availability and access, the impact of crisis on seed systems and specific features that foster or undermine resilience. Some of the elements of SSSA that can help to enhance seed system resilience (McGuire & Sperling, 2013) are: ◼ Identifying germplasm suitable to different scenarios, which can be revitalized quickly and which are available through ‘crop/seed systems in reserve’. ◼ Enhancing availability of this germplasm by broadening initial formal and informal seed supplies and multiplication possibilities. ◼ Securing access to diverse seed through multiple channels, including local markets, and planning to encourage access by more vulnerable groups in particular. ◼ Fostering information systems that strengthen capacity for tailored responses at different levels, including at the farmers’ level. 32 ◼ Enabling systems to evolve to capture new repertoires and capitalize on opportunities. Link seed systems to dynamic elements, particularly those that open up commercial opportunities such as new markets, or those which might cross geographic boundaries.

SSSA cases developed in Zimbabwe, South Sudan and eastern Kenya, have shown that informal seed systems prove to be relatively resilient to crises, at least in terms of meeting farmers’ planting needs for the upcoming season. While informal seed systems are fairly resilient to crisis, formal seed systems should play a more catalytic and supportive role through local markets and their traders with a clear focus on resilience response. Some general considerations on effective and sustainable seed relief activities are: • Seed relief interventions must be based on an understanding of seed systems and the dimensions of seed availability, seed access and seed quality. • The seed fair and vouchers approach should build on local systems, facilitate farmers’ choices and benefit farmers and traders, including women. It can also stimulate the local economy in the longer term. Some issues that merit further examination involve scaling-up, institutionalization, seed quality and cost effectiveness. • Where seed-related needs are apparent, they may reflect poverty rather than a shortage of seed per se. It is therefore necessary to look at seed relief within the broader context of food and livelihood security. • Local markets have a crucial importance as a source of seed for farmers, especially in difficult times. Analysis of market functioning should be a key component of needs assessments. Interventions should seek to strengthen such markets and not undermine them. • Appropriate seed-based interventions can have impacts beyond seed delivery, including strengthening of the local seed 33 system; stimulating entrepreneurial activity; empowering farmers, traders and rural communities, including women; and making use of and maintaining agricultural biodiversity. Effective seed relief activities should build on the coping capacities of communities and avoid creating dependency on repeated input-based relief. • A specific needs assessment should be undertaken in relation to seeds; seed needs cannot be simply extrapolated from food aid needs, as is current practice. Instead, there needs to be a diagnosis of the problem and an analysis of the causes. • The choice of intervention should be based on the assessed needs and local context. There are a number of possible seed-related interventions, including food aid to protect seed, direct seed distribution, provision of vouchers or cash to farmers, seed fairs, local seed production, support to local grain traders and markets, access to or development of better varieties, and improving farmers’ seed quality. • Seed relief interventions should take into consideration that capacity to implement these options is limited, and these restricted capacities and other implementation constraints need to be addressed in the interventions. More attention needs to be given to the institutionalization of approaches and to capacity building at local and national levels. • Beneficiary targeting of seed relief interventions need to be improved. Activities should be designed to address explicitly the needs of women.

Source: FAO, 2004 4. Support Required for Seed Policies

t present, most policies and regulations devised by govern- Seed and variety regulation varies among countries, with ments in southern Africa primarily target the functioning different systems of seed quality control, variety registration and Aof the formal seed system, with a focus on plant breeding, protection in place. Some countries have minimal or no regulations, quality testing and phytosanitary control programmes limited to whereas other countries have formulated very strict controls under commercially marketable crops (e.g. maize, wheat and soy beans). which, officially, all varieties need to be approved and all seed has to Little attention is given to informal seed systems, and to traditional be certified. Where they exist, most seed regulations currently allow crops and varieties. This can easily lead to a general discouragement farmers to freely use their own on-farm produced and saved seed, among farmer groups to become involved in commercial seed sup- including that of varieties which are granted plant variety protection. 34 ply and use of local crops and varieties. This ‘farmers’ privilege’ is, however, currently under pressure with

Figure 8: Common cash crops in southern Africa. Left to right: Tobacco (Nicotiana tabacum), Cocoa (Theobroma cacao) and cotton (Gossypium sp.) the implementation of stricter variety protection systems, like the in the process of implementing the Harmonized Seed Regulatory 1991 UPOV (Union for the Protection of New Varieties of Plants) System that should ease the flow of seed between countries in the regulation, or even further constraint when a patent protection of region through the use of a common seed variety catalogue as varieties is allowed.2 well as a harmonized seed certification scheme and phytosanitary Through the Convention on Biological Diversity, countries are standards. SADC-wide legal frameworks on seed should also include expected to pay due attention to the protection of traditional acts or legally binding clauses to defend seed security and farmers’ knowledge and implement intellectual property regulations. How- rights to continue customary practices to save, use, exchange or ever, the policy framework for the conservation of local landraces, sell farmers’ varieties of seeds that contribute significantly to food farmer varieties and crop diversity in general, is often insufficiently security (Mulvany & Mpande, 2013). developed. Commercialization of farmer-produced seed may be Another aspect that also impacts on crop diversity conservation restrained by requirements of seed quality control, as well as the is the presence or absence of policies for the conservation of plant commercialization of local varieties that are usually not registered. genetic resources at the community level. Whenever possible, local 35 The African Union, through the African Seed and Biotechnology farmers should be invited to participate in consultation processes Programme established in 2008, promotes the development of an on such policies, among others, to avoid unforeseen and unwanted integrated seed system to support both, the formal and informal negative effects on crop diversity at the production level and on systems. The Southern African Development Community (SADC) is farmers’ activities to manage their local genetic resources.

2 Under the UPOV 1991 Act, the ‘farmers’ privilege’ has been put at the discretion of Contracting Parties and its scope has been narrowed down: farmers may re-use only seed and other propagating material planted on their own holdings for planting them on their own holdings. The non-commercial exchange of seeds ‘over the fence’ that is quite common among farmers in many regions is no longer permissible. In addition, governments granting a ‘farmers’ privilege’ have to ensure that it applies ‘within reasonable limits’ (e.g. to limited size of holding/crop area/crop value) and that the legitimate interests of the breeder are safeguarded (e.g. through measures, such as reseeding fees). Moreover, the ‘farmers’ privilege’ does usually not apply, if seeds or other propagating material are subject to patent protection. 5. Conclusion

he conservation and use of crop diversity are issues of ut - diversity. Linking farmers with agrodealers, research institutions and most importance for the improvement and sustainability of government, is a ‘win-win’ situation, increasing farmers’ access to Tsmall-scale agriculture in southern Africa – particularly in a wider variety of seeds and planting materials that can help make hazard-prone areas, where genetic resources are threatened by them more resilient to shocks and hazards. Likewise, this link is human-made as well as natural hazards. In all aspects of manage - beneficial to agrodealers and researchers who can learn from the ment of crop diversity, there is a need to integrate both the formal natural adaptations of the local traditional varieties to the prevailing and the informal seed production systems, as the complementarities conditions to help them develop locally relevant, improved varieties. in these systems allow for improved practices and increased access Similarly, establishing community seed and gene banks with 36 to a wider range of species and varieties overall. inventories and registries that document varieties, characteristics, Facilitating effective links between the informal and formal seed uses and knowledge related to these resources is extremely useful systems is central to the conservation and sustainable use of crop for the conservation of crop diversity, and can increase farmers’ access to improved varieties or adaptations of local varieties. Furthermore, in a context of disaster risk reduction, resilience and possible emergency response, having these materials and the related knowledge documented and on hand can facilitate a timely response, avoid local seed market saturation and the introduction of inappropriate seeds or planting materials as a result of hurried planning and implementation. Linking these community-based seed banks or gene banks to national conservation systems and facilities can help raise awareness at national level of the crop diversity that exist, where it is found, how it is used, and to what extent it is important to small-scale farmers’ livelihoods. These linkages can also raise the profile of those 37 crops, species and varieties that have been neglected, underused or side-lined in the formal system, generating more awareness and possible interest for research or extension programmes towards these critical resources. Raising the profile of these resources can also help them to be integrated positively in legal frameworks, policies and regulations under development, in so far as including intel - lectual property rights for communities that have developed these resources over time, while also protecting the informal sector from over-regulation, which would drastically impact the main sources of crop diversity that is available and accessible to the majority of small-scale farmers in southern Africa. By providing practical planning and implementation considerations to DRR/M practitioners, this brief aims to shed light on technically sound and socially responsible options for seed and planting material interventions. Central to the conservation of crop diversity in southern Africa, is limiting the losses experienced as a result of recurrent natural hazards by establishing the relevant integrated systems within farming communities in the long term. Training farmers to improve their traditional practices in seed multiplication/ production, selection and improving the facilities in which they store their PGRFA and the related systems is critical. Obtaining buy-in and support, as well as providing the relevant technical skills to supporting partners (NGOs, governments, private sector) can help the sustainability of crop diversity efforts in the long term. Finally, in any aspect of a PGRFA intervention, local farmers must 38 be involved, not only as beneficiaries, but as central stakeholders, throughout. Starting with the consultation phases in planning interventions, contingency plans, development programmes or policies to regulate crop diversity, farmers have a critical understanding and knowledge base, particularly on traditional local varieties and their manifold uses, honed through generations of farming. The importance of this knowledge and know-how cannot be overlooked when trying to preserve the integrity of ‘informal’ seed systems, PFRGA conservation practices, or when attempting to rejuvenate the genetic base of seed and planting material by integrating complementary ‘formal’ practices. Integration, in all levels of the management and conservation of crop diversity, will prolong the sustainability of the intervention, as well as that of the genetic resources overall. 6. Bibliography and Resources for Further Reading

De Boef, W.S. and J.B. Ogliari. 2008. Participatory crop FAO. 2004. Towards Effective and Sustainable Seed Relief Activities. improvement and informal seed supply: general introduction. In: Report of a Workshop on Effective and Sustainable Seed Relief Thijssen, M.H., Z. Bishaw, A. Beshir and W.S. de Boef, 2008 (Eds.). Activities. Sperling, L., T. Osborn and D. Cooper (eds.). FAO Plant Farmers, seeds and varieties: supporting informal seed supply in Production and Protection Paper 181. FAO, Rome, Italy. 94p. Ethiopia. Wageningen, Wageningen International. Pp. 177 – 185.

39 FAO. 2011. Second Global Plan of Action for Plant Genetic Resources McGuire S. and L. Sperling. 2013. Making seed systems more for Food and Agriculture. Commission on Genetic Resources for resilient to stress. Global Environmental Change 23(3): 644–653. Food and Agriculture, FAO. Rome, Italy. Mulvany, P. and R. Mpande. 2013. Final Report of the SSSN2 End of Louwaars N.P. and W.S. de Boef. 2012. Integrated seed sector Phase Review. SADC Seed Security Network 2 regional programme. development in Africa: A conceptual framework for creating Review commissioned by the Swiss Cooperation Office Southern coherence between practices, programs, and policies. Journal of Africa. Swiss Agency for Development and Cooperation. Kamayoq Crop Improvement 26: 39–59. Ltd, UK.

Sperling, L. 2008. When disaster strikes: a guide for assessing seed security. CIAT, Cali, Colombia.

40 Sperling, L., H.D. Cooper and T. Remington. 2008. Moving towards more effective seed aid. Journal of Development Studies 44(4): 573–600.

Vernooy R. 2013. In the Hands of Many: A Review of Community Gene/Seed Banks Around the World. In: P. Shrestha, R. Vernooy, P. Chaudhary, (Eds.). Community seed banks in Nepal: past, present, future. Proceedings of a national workshop, 14–15 June 2012, Pokhara, Nepal. Pokhara: LI-BIRD, Rome: Bioversity International, 3–15p. Further reading and learning resources Jarvis, D.I., R. Sevilla-Panizo, J.-L. Chavez-Servia and T. Hodgkin (eds.). 2004. Seed Systems and Crop Genetic Diversity On-Farm. Almekinders C. 2001. Management of Crop Genetic Diversity at Proceedings of a Workshop, 16–20 September 2003, Pucallpa, Peru. Community Level. GTZ, Eschborn, Germany. 44p. International Plant Genetic Resources Institute, Rome, Italy.

De Boef, W.S., A. Subedi, N. Peroni, M. Thijssen and E.O’Keeffe. Mujaju C., F. Zinhanga and E. Rusike. 2003. Community Seed 2013. Community biodiversity management: promoting resilience Banks for Semi-arid Agriculture in Zimbabwe. Sourcebook produced and the conservation of plant genetic resources. Routledge, Milton by CIP-UPWARD, in partnership with GTZ GmbH, IDRC of Canada, Park, Abingdon, Oxon, UK. IPGRI and SEARICE. CIP, Lima, Peru.

FAO. 2010. Seeds in Emergencies: a technical handbook. FAO Plant Production and protection Paper 202. 73p. 41 Fox F.W. and M.E. Norwood Young. 1982. Food from the Veld – Edible Wild Plants of Southern Africa. Delta Books. 400 p.

Goeldner Byrne, Karri, Julie March, Shawn McGuire, Laura Meissner, and Louise Sperling. 2013. The role of evidence in humanitarian assessment: the Seed System Security Assessment and the Emergency Market Mapping and Analysis. doi:10.1111/ disa.12014.

Jansen van Rensburg W.S., W. van Averbeke, R. Slabbert, M. Faber, P. van Jaarsveld, I. van Heerden, F. Wenhold and A. Oelofse. 2007. African leafy vegetables in South Africa. Water SA (Special Edition) 33(3): 317–326. Smith F.I. and P. Eyzaguirre. 2007. African leafy vegetables: their role in the World Health Organization’s Global Fruit and Vegetables Initiative. African Journal of Food Agriculture Nutrition and Development 7(3).

Sperling L. (ed.). 2001. Targeted Seed Aid and Seed-System Interventions: Strengthening Small-Farmer Seed Systems in East and Central Africa. Proceeding of a workshop, Kampala, Uganda, 21–24 June 2000. 451 p.

Thijssen, M.H., Z. Bishaw, A. Beshir and W.S. de Boef, (eds.). 2008 . Farmers, seeds and varieties: supporting informal seed supply 42 in Ethiopia. Wageningen, Wageningen International. 348p.

Wil, M. 2008. Promoting Value Chains of Neglected and Underutilized Species for Pro-Poor Growth and Biodiversity Conservation. Guidelines and Good Practices. Global Facilitation Unit for Underutilized Species, Rome, Italy.

Wynberg, R., J. van Niekerk, R. Williams and L. Mkhaliphi. 2012. Securing Farmers’ Rights and Seed Sovereignty in South Africa. Policy Brief. Biowatch South Africa, Durban, South Africa. 16 p.

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ISBN 978-92-5-108330-7

9 7 8 9 2 5 1 0 8 330 7 I3767E/1/04.14 Appropriate Seed Varieties for Small-scale Farmers

KEY PRACTICES for DRR Implementers Appropriate Seed Varieties for Small-scale Farmers: Key Practices for DRR Implementers

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

ISBN 978-92-5-108332-1 (print) E-ISBN 978-92-5-108333-8 (PDF)

Authors Juan Fajardo Vizcayno, Wilson Hugo and Javier Sanz Alvarez Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © FAO/Javier Sanz Alvarez, with exception of photo on page 13, which is © FAO/Raphy Favre Design and layout Handmade Communications, [email protected] Appropriate Seed Varieties for Small-scale Farmers

Acronyms and Abbreviations...... 05

1. Introduction...... 06

2. Key Concepts and Principles Related to Crop Varieties and Quality Seed...... 08

3. Key Steps Required in the Field...... 18 04 4. Technical Considerations and Specifications...... 31

5. Bibliography and References for Further Reading...... 34

Annexes...... 35

Acronyms and Abbreviations

COOPI...... Cooperazione Internationale

DRR/M...... disaster risk reduction/management

FAO...... Food and Agriculture Organization of the United Nations

ISTA...... International Seed Testing Association 05 NGO...... non-governmental organization

OCHA...... United Nations Office for the Coordination of Humanitarian Affairs

OPV...... open-pollinated variety

QDPM...... quality declared planting material

QDS...... quality declared seed

SADC...... Southern Africa Development Community

UN-Habitat...... United Nations Human Settlements Programme

1. Introduction

Objective Natural disasters such as droughts, floods and hurricanes, and man-made disasters, such as wars and civil conflicts, have he objective of this technical brief is to provide concise and a devastating impact on rural livelihoods and crop production clear descriptions of the key aspects for the promotion of systems by halting crop production, destroying agricultural assets, Tquality seed of appropriate varieties for use by small-scale hindering farmers’ access to agricultural inputs and decreasing farmers, in the context of the disaster risk reduction/management food security. To attain food security, farmers need to have ac- (DRR/M) activities in the southern African region. cess to seed of appropriate varieties in adequate quantities, of 06 acceptable quality, in time for planting. Seed security is therefore crucial for the resilience of farmers in areas affected by disasters and therefore for their food security. Addressing the seed security of households affected by disasters or in areas prone to hazards requires technical knowledge and expertise to ensure the effectiveness of the DRR/M interventions. While global seed markets can offer a great diversity of crops and crop varieties with a wide range of characteristics in terms of adaptation to environmental conditions, production systems and properties of the end-products, small-scale farmers in many developing countries have very limited access to those varieties and to the knowledge associated with them. The situation is more critical in hazard-prone areas, where poor and vulnerable farmers may not even have access to the traditional sources of seed of their preferred varieties. To increase the resilience of farming systems to recurrent disasters, benefits like sufficient yield, the possibility of re-using the seed during farmers need access to seed of crop varieties that can perform well more than one season, and adaptation to the local natural and cultural under these challenging conditions, in addition to being adapted to environments during the decision-making process. their local environmental conditions and meeting their consumption The Food and Agriculture Organization of the United Nations and market requirements. The choice of an appropriate crop and an ap- (FAO) has a long history of work in supporting southern African propriate variety to be adopted by hazard-prone farmers in the context small-scale farmers to enhance their food and seed security. of DRR/M interventions is complex and must take into consideration Through its DRR/M activities, FAO seeks to protect livelihoods a number of factors. Tolerance to drought, short cycles to reduce from shocks, to make food production systems more resilient and the risk of coinciding with hazards, and resistance to the pests and capable of absorbing the impact of and recovering from disruptive diseases prevalent in the target area are desirable characteristics for events. To this end, this technical brief will assist DRR/M practition- hazard-prone farming systems. These should be combined with other ers in identifying problems related to seeds and varieties, and in taking appropriate actions. Availability of practical information can 07 increase the effectiveness of interventions.

Intended application

This brief is appropriate for field staff of FAO and its implementing partners involved in DRR/M programmes. It provides basic technical knowledge required for operations related to seed, including introduction of new crop varieties, seed acquisition and seed production/multiplication by farmers. Government officers, extension workers and non-governmental organizations (NGOs) will also find this document useful as a reference for training activities, and when planning and implementing initiatives related to appropriate seed aimed at improving the livelihoods of rural communities. 2. Key Concepts and Principles Related to Crop Varieties and Quality Seed

Crop varieties yield or resistance to diseases. A plant variety represents a more precisely defined group of plants, selected from within a species, species is a basic unit of biological classification. Maize, with a common set of characteristics. beans, cassava and banana are examples of plant species A used in agriculture for their edible parts. However, it is evi- Traditional and improved varieties 08 dent that within a species there can be a wide range of different types of plants. Within each cultivated plant species, it is possible Crop varieties can be classified into two broad categories by the way to find differences in the shape, colour and size of the various parts in which their characteristic properties were developed: traditional of the plant, and also in other less perceptible characteristics like varieties and improved varieties. Traditional varieties (also known as landraces, local varieties or farmers’ varieties) were selected by (hybridization) plant varieties, and the manipulation of the plant farmers over many generations for their special characteristics, and genes to insert desired traits into plants (molecular breeding), normally are well adapted to the natural and cultural environment among others. in which they are grown. Although sometimes they may not be The process of developing new varieties which have the desired uniform, farmers recognize their specific morphological charac- characteristics and which meet the requirements of distinctness, teristics (shapes, sizes and colours of the plant parts), production uniformity and stability takes a great deal of time and resources; at properties and specific uses. the same time, the resultant new varieties generally can be easily Improved or modern varieties are those obtained after a system- and quickly reproduced by consecutive seed-saving and replanting. atic and scientific process of selection and breeding. Plant breeders For this reason, plant breeding companies usually protect their new change the traits of plants in order to produce desired character- varieties with intellectual property rights. istics and increase their value. Increased crop yield is the primary Despite the clear advantages of improved varieties, especially aim of most plant breeding programmes, but other advantages of with regard to yield, their use in subsistence agricultural systems 09 the new varieties that have been developed include adaptation to must be appraised carefully. Because they are generally commercial new agricultural areas, greater resistance to disease and insects, products, they usually depend on market availability, are protected an altered agricultural calendar to enable production outside of by intellectual property rights and often require more costly inputs traditional production periods, higher efficiency in the use of the like fertilizers and pesticides. In addition, some of them (like hybrids) available water and better nutritional content, among others. require the purchase of seed every season. These important issues In the context of DRR/M interventions, some of these charac- should be taken into account when planning the introduction of teristics may be of great interest. For example, the use of varieties improved varieties in DRR/M interventions. with short growth periods (short-cycle varieties) can help to avoid Research has shown that small-scale farmers usually prefer the coincidence of the plant development period with peak natural traditional varieties because they are better adapted to withstand hazard seasons. The manipulation of plants to create new varieties environmental stresses such as lack of water or nutrients. They can be done in several ways, including the selection of a single are also cheap and easily accessible by saving part of the crop best plant progeny (pure line) among a heterogeneous population, production on the farm (in situ) to be used as seed in the following the systematic crossing of related (classical breeding) or dissimilar season, or by local purchase or exchange. Plant pollination: self-pollinated and cross- more as a result of wind, and even greater distances as a result of pollinated crops insect-based pollination. Consequently, these crops have the potential to be heterogeneous. Through large isolation distances from A significant technical aspect related to the management of seed other crops of the same species and selection of plants for seed at and varieties is the way a particular crop species is pollinated and harvest, farmers can maintain a degree of control of varietal purity whether it is self-pollinated or cross-pollinated. Basically, in self-pol- over the next generation of seed. Examples of cross-pollinated crops linated crops, within a single flower the male (stamen) and female are maize and cucumbers. (stigma) parts are very close together, and through physiological Some crop species can have both types of pollination simulta- processes such as the timing of the release of the pollen and the neously. Millet and sorghum, for example, which are mainly self- receptiveness of the stigma, the plant will self-pollinate. The result pollinated, have an out-crossing rate of between 5 and 20 percent. is that varieties of these crops are often more homogenous because 10 they are not likely to be pollinated by pollen from other plants of Hybrids and open-pollinated varieties the same variety, or even from other varieties of the same crop in the next field or hundreds of metres away. This also implies that All traditional varieties of cross-pollinated crops are open-pollinated, seed production of these crops is easier and requires less isolation meaning that their pollination is not necessarily controlled. Some from other cultivars of the same species to ensure that the seed will improved varieties of cross-pollinated crops are also open-polli - be homogenous. Examples of self-pollinated crops are rice, wheat, nated, but others are hybrids, produced by the controlled cross- beans and carrots. pollination of unlike parents of the same plant species. Because Cross-pollinated crops are characterized by plants in which self- the parents are genetically different, hybrids have ‘hybrid vigour’ pollination is prevented by either mechanical, biological or other (the opposite of consanguinity) resulting in increased growth, size, obstructions. For example, sometimes there are separate male and yield or other characteristics over those of the parents. However, female flowers. In other crops, the pollen is released before or after when a hybrid is pollinated with another hybrid, the offspring will the stigma becomes receptive on that plant. In such cases, wind not have hybrid vigour and, in fact, it may grow poorly and have and insects are often important for pollination. inferior performance. Herein lies the problem with the use of hybrids There can be considerable cross-pollination among different in small-scale agriculture: traditional farming practices often rely on fields of the same crop, up to a distance of half a kilometre or farmers producing and saving seed for planting in the following season which will be ineffective when the seed has been produced from a hybrid variety. Unlike hybrids, in open-pollinated varieties (OPVs) the pollination is carried out by natural mechanisms (insects, birds, wind or others) X Parentals and they produce seed that will grow into plants more or less like their parent plants, remaining fairly consistent for several generations, although less uniform than hybrids. This means that seed of OPVs can be saved by farmers for use over the following seasons and the characteristics of the varieties will remain relatively stable. Seed production of OPVs mainly requires that isolation distances are respected, but it does not require the use of sophisticated pol- F1 Hybrid lination control methodologies. For this reason, it is advisable to use 11 OPV in seed saving or seed production operations in the context of subsistence agriculture. When working with OPVs and when varietal purity is to be maintained, special precautions may have to be taken to avoid gradual changes in the variety characteristics (including yield and quality) after several multiplication cycles (‘degeneration of the F2 Hybrid seed’). This can be reduced if after harvest farmers systematically select large grain from healthy plants of the required variety to be used as seed for the following season. There is a general recom - Figure 1: F1 hybrids are uniform and have hybrid vigour. However, mendation to obtain new seed every three or four seasons to avoid the subsequent generation (F2) is heterogeneous and does not have seed degeneration, but this period can be extended depending hybrid vigour on the crop, the variety, the health status and the field practices implemented. The distinction between hybrids and OPVs is very important varieties that can be planted late in the season or harvested in cross-pollinated crop species: maize, rice, sorghum, millet and before the end of the season, to reduce the risk of damage by many vegetables like tomato, squash, melon, onion and cucumber. drought. It is usually possible to obtain both types of varieties of these crops ◼ Climate requirements. Temperature and rain regimes, the from commercial seed companies. Although plant breeders have amount of rainfall, risk of drought, solar radiation and day also developed hybrids for self-pollinated crops like rice and wheat, length should be taken into consideration. their adoption rates in most parts of the world (including southern ◼ Soil requirements. Tolerance to acidity or salinity and the avail- Africa) are low. ability of water and nutrients must be considered. ◼ Resistance to damage by diseases, insects and other pests. Adaptation of varieties to local conditions The ability of plants to live with these organisms without sig - nificant loss of yield and quality must be considered. Obviously, 12 Plants will grow well in the proper environmental conditions of tolerance to major diseases and pests is extremely important climate and soil. Varieties of the same crop can have different and a major objective of plant breeders. Tolerance and resist- morphological or genetic characteristics that make them specifi - ance can break down with time owing to mutations in parasites cally adapted to an agro-ecological zone. Yield and quality of the or hosts. New sources of resistance and tolerance are always harvested product depend, to a large extent, on the adaptation of being sought by plant breeders. the variety to the area where it is cultivated. The most relevant characteristics of adaptation to the local As a general rule, traditional varieties are well adapted to the local conditions are: conditions of the area where they have been grown and developed. ◼ Length of the growth cycle. This is critical for rain-fed crops However, they may not be necessarily adapted to other areas. in particular to enable them to mature while there is sufficient Indigenous farmers recognize the differences among the tradi - water in the soil for grain filling. When conditions are good, a tional varieties they grow, and know which of them are suitable for late maturing (long-cycle) variety typically gives a higher yield planting at particular locations and times. With regard to improved than other varieties. However, especially in drought condi - varieties, some were developed to do well in particular zones, but tions, farmers may be interested in early-maturing (short-cycle) in many cases breeding programmes aim at producing varieties with adaptation characteristics to a wide range of agro-ecological conditions.It is difficult to anticipate how a variety (either traditional or improved) will respond to a specific agro-ecological zone until it is actually grown there. Therefore, before recommending the use of a variety in a zone, it is important to obtain precise and comprehensive information on its adaptation characteristics, and if possible, the successful results of variety trials of several years either in the target zone or in another with very similar environmental characteristics.

Seed and planting material 13 In a broad sense, seed is a material that is used for planting or regeneration. Botanically, a true seed is a fertilized matured ovule, consisting of an embryonic plant, a store of food (cotyledons and endosperm) and a protective seed coat. However, from the seed technology point of view, seed also refers to propagating materials of healthy seedlings, tubers, bulbs, rhizomes, roots, cuttings, setts, slips, and all types of grafts and vegetatively propagating materials temperature in the environment around the seed, and a favourable used for production purposes. oxygen supply. Some seeds may also require specific light condi- Seed is the most vital and crucial input for crop production; one tions; others need to have their dormancy1 broken when the seed is of the best ways to increase productivity without adding appreciably exposed to specific conditions like the passage of time, the removal to the extent of land under cultivation is by planting quality seed. Seeds have specific requirements for initiation of germination: a suitable substrate, a favourable moisture level, a favourable 1 Dormancy is the state of non-germination in viable seed. During this period, germination is blocked by conditions within the seed. or breaking of the seed covering, low temperatures for long periods, If a seed loses or reduces its capacity to generate a new plant, or the effects of light or hormones supplied to the seed. Seed it can be used as grain, but only if it has not been treated with dormancy is uncommon in cultivated plants. By controlling these chemicals that could have an impact on human or animal health. conditions it is possible to control seed germination, which should be prevented during seed storage and other handling operations, Seed quality and occur when seed is sowed in the field. Quality seed is critical to agricultural production: poor seed limits The difference between grain and seed the potential yield and reduces the productivity of the farmer’s labour and other production inputs. Sometimes, especially with regard to cereals and legumes, there is There are four basic parameters for seed quality: physical quality, confusion between the terms ‘seeds’ and ‘grains’ but each has a physiological quality, genetic quality and health status. 14 separate meaning and characteristic features. Besides their botanical differences, the main difference between grains and seeds is in a) Physical quality their uses: while grain is normally used for food and feed, seed is used for the reproduction of the plant. Seeds must keep their Good physical quality of the seed in a seed lot is characterized by viability until the time of sowing, with the purpose of ensuring the the following: development of a new plant and the production of a good harvest. ◼ Minimal damage to seed. Damaged (broken, cracked or shriv- To ensure that the seed maintains its viability at least between the elled) seed may not germinate and is more likely to be attacked harvest and the next sowing, it should undergo a careful process by insects or micro-organisms. It is possible to eliminate most of drying, cleaning and sometimes chemical treatment to prevent of the damaged seed during seed processing/conditioning. damage from pests and diseases. When storing seeds, it is necessary ◼ A minimal amount of weed seed or inert matter. Good quality to maintain low levels of temperature and air humidity to avoid seed should be free of weed seeds (particularly noxious types), unintended germination (for more information on storage of seed chaff, stones, dirt and seed of other crops. Almost all these and grain, see the Appropriate Seed and Grain Storage Systems impurities can be discarded during processing/conditioning. for Small-scale Farmers brief in the present series). ◼ Minimal diseased seed. Discolouration and staining are symp - toms of seed that may carry micro-organisms that have already attacked the seed or will attack it when it starts to grow. The b) Physiological qualities: viability plant may live and spread the disease to other plants. ◼ Near-uniform seed size. Mature medium and large seed will A basic requirement of seed is that it must germinate at the generally have higher germination rates and vigour than small right time. and immature seed. After harvest, undersized and light seeds The germination rate (percentage of seed germinating within are normally eliminated. a seed lot) is an indicator of the seed’s ability to emerge from the soil to produce a plant in the field under normal conditions. Seed Physical quality parameters such as seed uniformity, extent of inert vigour is its capacity to emerge from the soil and survive under material content and discoloured seed can be detected by visually potentially stressful field conditions, and to grow rapidly under examining seed samples. Closely examining handfuls of seed is the favourable conditions. first step to a better understanding of the quality of seed; it gives In hot and humid conditions, the seed may quickly lose its ability the opportunity to decide on seed-cleaning needs. to germinate; the rate of deterioration varies among crop types. 15 Starchy seeds, for instance those of cereals like maize, generally c) Genetic quality have a slower rate of deterioration compared with those of legumes like groundnut and soybean, which are oily and have high protein Varietal uniformity is very important, both when crops are produced content. The moisture content of the seed and the temperature of for the market and for agronomic reasons. A mixture of varieties the building where it is stored are the most critical factors affecting may mature at different times, which can lead to problems in the rate of deterioration. The lower the temperature and relative harvesting and post-harvest handling, and results in lower yields. humidity, the longer the seeds can be safely stored. Seed of different varieties of the same crop is often difficult or The importance of physiological quality cannot be undervalued. even impossible to distinguish once harvested and therefore varietal Seed can only fulfil its biological role if it is viable. Therefore, physi - purity has to be determined in specialized seed laboratories. cally uniform seed of an adapted variety will be useless if it is low in However, traditional varieties or landraces, particularly of germination rate and vigour, or if it fails to germinate when planted. cross-pollinated varieties used by subsistence farmers, are often 16 not very uniform. This heterogeneity can be an advantage in some circumstances such as those of low rainfall, low fertility and pest and disease pressure.

d) Seed health

Seed health refers to the presence or absence of disease-causing organisms such as fungi, bacteria and viruses, as well as animal pests, including nematodes and insects. Seed health testing can be carried out in seed laboratories to assess the quality of seed sanitation. Ensuring seed health is important because diseases initially present in the seed may give rise to progressive disease develop - ment in the field and reduce the commercial value of the crop. In addition, imported seed lots may introduce diseases or pests into regions where they were not present before. For this reason, countries have legislation on plant and seed health, specifying sweet potato either from vine cuttings or storage roots, and banana cases where seed must be held in quarantine at the point of arrival and plantain from corms (stems similar to bulbs) or suckers (shoots into the country. that arise from an underground root or stem), to mention only the The best way to avoid seed contamination by pests and diseases most important in southern Africa. is to use proper seed production practices, i.e. to control pests By nature, vegetative planting materials are relatively large and diseases during the seed production process. However, if a and heavy, delicate and perishable, and difficult to store for long seed becomes infested with insects it can be fumigated. Special periods. Farmers usually produce their own materials or obtain them precautions need to be taken when treated seed is distributed to in their communities. The most important exception may be potato farmers, who should receive instructions on the appropriate way tubers used for planting which, because of production difficulties in to handle it and be warned about the danger of its use for human tropical areas, are often sourced from temperate climes. A primary consumption. concern when working with vegetative planting material is the transmission of pests and diseases which, if present on or in the 17 Vegetative planting material living tissue of the planting material, can spread pests and diseases when transported to different areas; this could result in infection Vegetatively propagated planting materials comprise plant parts not only of the crop, but also of other species. For this reason, that can grow into mature plants under the right conditions. particular care should be taken in the production and handling Vegetative propagation is clonal, i.e. progeny are genetic copies of vegetative planting material, which needs to be inspected by of the parent plant. Although all members of the same clone have qualified staff and any infected material removed. Basic recom - the same genetic makeup and can be exactly alike, environmental mendations include: factors can modify the expression of the genetic character so that ◼ Periodic inspection of the materials to ensure that they are free the appearance and behaviour of individual plants can be clearly from diseases and pests during the growing period. different. ◼ Ascertaining that materials have been freshly harvested and Seedlings, rhizomes, corms, sets, cuttings, suckers and tubers, are in good form to sprout and develop (for instance, that live among others, are examples of plant parts that enable reproduction sprouts, shoots and buds, etc. are present). that is not sexual reproduction and does not require true seeds. Po- ◼ Ensuring that materials are free from serious diseases and pests, tato is traditionally grown from tubers, cassava from stem cuttings, in accordance with national recommendations. 3. Key Steps Required in the Field

Choosing the appropriate crop ◼ Household food security is vital to farmers as it ensures their livelihood. The combination of crops chosen must ensure food evelopment institutions in southern Africa and other regions security throughout the seasons. often encounter difficulties in promoting the adoption of new ◼ Income generation, because agricultural products are farmers’ Dcrops and improved varieties by small-scale farmers. One of main source of income. the main reasons for this has been the lack of understanding of ◼ Land quality and quantity, because when land is scarce farmers what farmers want or how they assess crops and varieties. There may choose to plant the crop that is most important for their 18 are several considerations that influence farmers’ choice of crops: food security (often maize), or high value crops (like vegetables). Fertile land may be used to maximize yields and profits, while ◼ Farming experience and education have also proved to be poorer land is usually allocated to less demanding crops. important because trained farmers are usually more receptive ◼ The need for inputs because farmers must allocate limited to changes in production systems. resources among agricultural inputs (fertilizers, seed, tools) and other expenses. The choice of a wrong or unsuitable crop or variety can impact ◼ Consumer preferences and intended use will affect how farmers highly on household food security, on profits and also on the future select their crops; they will select those that meet their house- adoption of new technologies. holds’ (for self-consumption) and community’s (for sales) needs and preferences in terms of taste, colour, size, or cooking char- Choosing an appropriate variety for introduction acteristics. In addition, if the crop is intended for other uses, such as animal feed, there are specific varieties that are best suited for It is important for farmers to select the varieties most suited to their this purpose which differ from those for human consumption. conditions from the different varieties of crops available. Recom- 19 mendations should take into account the wide range of factors that influence the decisions made by farmers, in order to contribute to the successful adoption of new crop varieties by smallholder farmers. Most of the above-mentioned factors on the choice of crops are also relevant when choosing a variety. Basically, what farmers expect in a new variety is: ◼ A variety that can improve their livelihoods, providing both food and income. ◼ A variety that performs well each season under the local soil and climate conditions, providing yield stability. Drought, pests or any other environmental conditions should not endanger food/ income security. ◼ A variety that is not too expensive to grow. This cost perception will depend on farmer preferences. For instance, if farmers can recycle seed by using open-pollinated maize varieties instead An early-maturing (short-cycle) variety can either be planted of hybrid maize varieties, they could save money for acquiring early and harvested before the end of the season, or be planted other inputs, particularly fertilizers. late and harvested by season-end. It is also recommended in areas ◼ Seed that is easily accessible on the market, affordable to where the rainy season is short, rain patterns are irregular or in purchase and from a trusted source. situations of chronic drought. A usual constraint in working with short-cycle varieties is that they tend to produce lower yields than Choosing the wrong or inappropriate variety can result in loss of other varieties. However, yields of short-cycle improved varieties yield, which may lead to food and nutrition insecurity and impov - can, in most cases, be higher than those of traditional varieties. erishment. For example, some imported varieties may never mature Other important elements related to the general characteristics or may yield much less than expected because they are not adapted of the target area are: to environmental conditions in a particular area. ◼ Yield potential of the area. This is related to rainfall and 20 As mentioned above, traditional varieties have important advan- temperature patterns, soil characteristics, elevation and other tages that should be considered when selecting a crop variety. One of the most important is their adaptation to the local conditions, and especially their resistance to the pests and diseases present in the area. In contrast, improved varieties (both hybrid and OPV) usually produce considerably higher yields and products that can be marketed better, which are major factors in food security and income generation. As a general rule, the use of hybrids in small-scale agriculture is not recommended because seed has to be bought each season and requires costly inputs like fertilizers and pesticides. This can be a serious handicap after a shock, and undermine farmers’ resilience. A major factor in the selection of the right variety, especially in the context of DRR/M activities, is the length of the growing season. This determines the ideal maturity group of the variety to be introduced. environmental factors. Some varieties are more suitable for seasons before being widely introduced in an area. When possible, low- and some for high-yield-potential areas. demonstration days in fields planted with new varieties are useful to ◼ Prevalent diseases and pests in the area. Look for varieties with allow farmers to compare and appreciate their advantages. resistance or tolerance to prevalent diseases and pests. Another important element when working with improved ◼ Crop choice of neighbouring farms. Learn from successes and varieties is their release and protection status. In most countries, failures of neighbouring farmers. new varieties must be registered in an official list or catalogue before they can be marketed. The registration process requires that Availability of such information helps to determine what charac- a number of tests be conducted before registration. teristics a variety needs to perform well. These may include, for Lists of protected varieties include those for which the individu- example, the degree of disease resistance or whether drought- or als or organization obtaining them have been granted protection soil-acidity tolerance is required. under intellectual property law. In such cases, the variety generally It is also crucial to keep in mind the criteria of consumers, cannot be multiplied without the authorization of the intellectual 21 considering: property rights holder. ◼ Targeted use of the final product. Different varieties are often Before recommending the use of a variety for introduction, it is preferred when the grain is for processing and storage at home, essential to find out its release and protection status in the country: compared with when it is intended for sale, processing, feed/ it is important that the variety to be bought (in case of improved silage or for other special purposes. varieties) is listed in the national register of released varieties, and ◼ Prevailing market conditions. that seed of a protected variety is not multiplied for the purposes ◼ Quality attributes in terms of the end-product. Local consumers of selling the seed. may have preferences on taste, colour, size or cooking characteristics of the product. Seed acquisition

In general, farmers see new varieties as risky because their survival The promotion of new varieties for adoption by farmers in the con - depends on the success of their crops. This is why they tend to be text of DRR/M interventions normally requires obtaining seed from reluctant to change and it takes time to introduce new varieties. sources which are not locally available in the area of intervention. New varieties should always be tested in small areas for several An important element for DRR/M practitioners when buying seed is to understand the characteristics of the different seed sources, information about the type and quality of the seed. In some situ- as well as the standards and requirements that should be followed ations seed of the appropriate variety for introduction may not be to maximize the efficiency of interventions. This section provides available in the country in the quantity and quality required, and guidelines for the acquisition of seed in DRR/M interventions. the only option is importing it from abroad. There are several approaches towards obtaining seed including: local procurement within or outside the region; importing seed a) Seed acquisition in local and national markets from other countries; or contracting seed production in advance. When some quantity of seed is available, seed multiplication at the For traditional varieties or local landraces of field crops, local pro - community level can help to build more sustainable seed security. curement is the preferred option to ensure that the right crops and Purchasing seed from available stocks in the country is usually varieties are purchased and provided to farmers. Usually, the quality the most cost-effective option, and it also allows direct access to of the seed sourced in local markets is acceptable to farmers, as it is 22 generally grown nearby and so meets their needs. Also, in normal situations seed is more available and accessible to farmers through this channel in terms of proximity, appropriate time and price. The commercially oriented seed supply (or ‘formal’ seed system) provides farmers with improved varieties in the form of high quality seed. Plant breeders in the private sector, public research institutes or international institutions develop new crop varieties with desired characteristics such as high yield, tolerance to pests and diseases, appropriate taste and cooking characteristics for consumption and sale in the market. After rigorous testing, the best new varieties are released through a national variety release system ready to be used by farmers. The early generations of these released varieties are then multiplied by seed companies with appropriate quality control. Seed is then marketed through officially recognized outlets. The formal seed system is especially important when seed is used to grow crops for commercial purposes or when a new crop variety farmers to advise on local landraces and source of seed. Support- is to be introduced into the farmer-seed system. ing local seed production with farmer groups or seed companies In some countries, there is a seed industry with adapted local under supervision of the national seed service is another strategy crop varieties, but in other countries the local seed industry may for ensuring seed quality of local landraces. be very weak or non-existent and the crop varieties needed are The following principles can guide the local procurement of seed: not available from commercial seed companies. Unfortunately, it ◼ Work with officials from ministries of agriculture, local farmers is often the case that seed must be purchased in a challenging and leaders to determine the crops and varieties most appropri- environment where there is no commercial source of the required ate for the situation. This should include developing a simple crop seeds. Local seed procurement of landraces not available from varietal description2 of the specific crop varieties. national seed companies should involve national research officers, ◼ In the tender process, the varietal description will help to ensure extension staff, lead farmers or some kind of village committee of that the supplier will provide the crop variety specified. This varietal description can help to avoid any confusion that may 23 arise when only a crop variety name is provided and can result in the wrong crop variety being provided by the supplier. ◼ Identify the agro-ecological zones and the local varieties that will be suitable for procuring appropriate seed for those areas in which seed will be distributed. ◼ In some regions, there are farmers and farmer groups that are known as traditional seed producers. Discuss with local experts, NGOs and other trusted local informants to try to determine if there are such groups in your area of operation.

2 Including crop name, crop species (scientific name), variety name, variety type (self-pollinated, hybrid, OPV), geographical areas of varietal adaptation, plant height, growth habit, growth duration (days from seeding to maturity), grain or fruit colour, and any other distinguishing characteristics. ◼ Verify that a minimum quality of the seed is ensured. When purity of the seed can be verified by inspection of the seed possible, buy seed certified by a national seed laboratory and production fields. obtain the results of the quality analysis. If this is not possible, ◼ Ensure that seed is sufficiently dry before purchasing. Do not seed should be tested to determine physical purity, germina - be in too much of a hurry to buy seed at harvest time when tion and moisture content. This should be carried out before you could risk purchasing seed that is not completely dry. High the seed is purchased. In cases where it is possible to order moisture seed can rapidly deteriorate and become infested with from a seed company, the production of the seed and varietal insect pests or fungus. Seed must be dry to be safely stored. 3 ◼ Label seed with name, main varietal characteristics and seed quality parameters.

b) International seed procurement 24 When varieties to be procured are available on the international market, international procurement might be preferred in order to purchase seed at a better price. A key issue is to select the appropriate crop species and variety for beneficiary farmers. For this reason, it is requested that the field staff select crop varieties that are officially approved by the government of the host country. Failure to do so can lead to problems later when the seed is delivered to the farmers. Detailed specifications for seed and packaging materials, as well as shipment and delivery instructions, must be fulfilled by bidders.

3 FAO Quality Declared Seed Standards (see Annex B) establish the maximum levels of moisture content in the seed for purchase. For cereals the standard is 13 percent, and for food legumes and oil crops (like groundnut or soybean) it is 10 percent. The successful bidder is the one who satisfies the technical specifica- requirements can include a phytosanitary certificate, an import tions of the tender with the most competitive price and proposes permit and post-entry quarantine at the point of arrival in the an acceptable delivery time. country if deemed necessary by the plant quarantine officials. FAO After the selection of the bidder, the seed will be sampled generally establishes minimum technical specifications that are by a superintendence company and tested at a laboratory that mostly in line with quality declared seed (QDS) standards, but it is has been accredited by the International Seed Testing Association obligatory to respect the national standards if they are higher than (ISTA) before shipping to its destination. The seed inspector will also QDS. A standard format summarizing the technical information check other requirements such as packaging, weights, markings that needs to be integrated in technical specifications for seed is and labelling. Seed tenders need to include a varietal description included in Annex A. of the specific crop varieties in order to ensure that the supplier Some countries request that only certified seed be distributed. will provide the crop variety specified in the tender. As in local This requirement provides a guarantee on the quality of the seed procurement, this varietal description helps to avoid any confusion purchased. However, the system of seed certification varies greatly, 25 that arises when only a crop variety name is provided, which can depending on the country. It is nonetheless advisable to carry out result in the wrong crop variety being provided by the supplier. an independent evaluation of seed quality before seed distribution Of particular concern at the technical level is the preparation and payment to suppliers. of the technical specifications (both the varietal description and International procurement is often used for vegetable seed. quality attributes), the evaluation of the bidder’s response to these technical specifications, and the evaluation of seed laboratory tests Seed storage to ensure that the seed meets the required quality standards. Seed specifications are expected to meet the minimum national seed The viability of seed declines during storage, but this can be mini - standards of the recipient country and should cover the desired crop mized with appropriate temperature and moisture control. High species and variety, germination, varietal purity, analytical purity, temperatures and moisture favour the proliferation of insects, inert matter and moisture, and also include a declaration that the bacteria and fungi. seeds are free of genetically modified organisms. Seed purchased for distribution should be received and dis- There should also be a requirement to meet the national plant tributed without delay. Storing seed for prolonged periods of time health legislation. This legislation is different in each country, but (more than a few months) should be avoided. If seed must be stored for long periods, there will be a need to ensure proper relative Principles of seed production by farmers humidity and temperature of the storage facility, and to monitor the condition of the seed through regular storage inspections. In general, the conditions and cultivation practices that lead to Usually, it is not practical to control the temperature and relative good crop yields also lead to good seed and a good seed yield. humidity of the space where seed is stored. Therefore, a building Each crop, with the related ecological conditions, is different and should be selected where the temperatures are moderately low most requires particular management decisions for seed production and of the time, and where the seed is not exposed to humid conditions. handling. In this section the main principles for seed production are For example, maize seed with a moisture content below 13 percent described, but crop-specific technical guidelines should be followed and a high (over 80 percent) germination rate is still viable after over a year of storage at 25° C and 50 percent relative humidity. Bags containing seed should be kept off the floor and walls 26 because moisture can seep into the bags and affect seed moisture content, seed deterioration rates and seed germination. This can be done by laying them on pallets or on tree branches placed in a lattice formation on the floor. Vegetable seeds stored for prolonged periods of time should be kept in hermetically sealed containers or sealed plastic containers to avoid rapid deterioration. Some seed-borne diseases can be controlled or suppressed by treatment during seed processing or just prior to planting. The use of seed treatment products is highly regulated at national and international levels and must be managed carefully. Storage structures and practices should also protect the seed against damage by rats and other rodents. Storage structures for food grains are often designed with this in mind. for each case (for more information on storage, see the Appropriate not cultivated for their propagation material, and the cultivation Seed and Grain Storage Systems for Small-Scale Farmers brief in practices are specific to each case. the present series.) Although the processes and good practices of seed produc- Many crops (cereals, legumes, oil crops and others) are grown tion and crop production are similar in terms of planning and for their seed; therefore, the farming practices for seed production maintenance (plot selection, crop rotation, seed rate, timing of generally follow the standard production methods for the crop. In planting, sowing, tillage and fertilization) particular attention and contrast, other crops (most vegetables, fruits, forages and many more strenuous measure to ensure the integrity of the seed produc- vegetatively propagated crops like cassava or sweet potato) are ing plants and fields must be taken, and these practices must be followed most vigorously. This is particularly important in the final stages of plant development when seeds are usually formed. With regard to the above, some practices are particularly critical: 27 ◼ Isolation distances between fields planted with the same crop should be maintained to prevent pollination from neighbouring fields, which could negatively impact in varietal purity.4 ◼ Choose high-quality ‘mother seed’. The higher the quality (varietal purity, health status) of the seed planted, the more likely that the seeds produced will also be of high quality. ◼ Pest, disease and weed control is especially important because it can have an impact on plant development and on seed (or planting material) development. Seed damaged by pests or diseases may have low viability rates. The control of seed-borne diseases is particularly important to avoid propagation of diseases.

4 FAO Quality Declared Seed Standards include minimum isolation distances between the seed production field and other fields of the same crop. A summary of these standards is included in Annex B. ◼ Harvest and threshing operations have to be done with great care to avoid damaging the seed.

Seed production fields should be examined regularly to confirm that plants develop properly, conform to the characteristics of the variety and are free from weeds, pests and diseases. To ensure seed quality, seed should be dried quickly after harvest. This will make the seed viable for a longer period and will also prevent micro-organism and insect growth. However, high temperatures can cause damage. Sun-drying can normally be completed in a few days. When seed is dried on the floor, regular 28 turning will improve the balanced drying of the seed lot and avoid the growth of mould at the bottom of the layer. When harvesting is done during a humid period, small-scale dryers fuelled by wood can be an option, but only if the financial means is available and if farmers have experience in their use, as it is critical to avoid over-heating the seed. After drying, seed has to be cleaned to remove non-crop seed materials from the harvested material such as straw, stones and weed seed. Cleaning also allows the selection of seeds according to physical characteristics such as size, shape, density and colour. As a general rule, grain of good size should be selected for seed. For example, in the case of maize, it is important to look for large cobs and select the grains from the middle part of the cob, rejecting the smallest and those that have symptoms of disease. For most crops, cleaning of seed is done in the same way as cleaning of food grain, and local methods for cleaning food grains are well suited to seed cleaning. They include: winnowing to remove light particles like straw and dust; sieving to select the seed by shape; and size and hand-picking to remove diseased and discoloured seeds. All seed infested by insects must be destroyed. This will effectively remove sources of future infestation or contamination. When possible, seed should be treated, either with organic substances like ash and natural compounds or by chemicals, after harvest to reduce losses during storage. When seed treatment with chemicals is possible, the choice of the chemical and the application method should be made with extreme care because they can be 29 very toxic. It is important to avoid storing seed in direct sunlight or in hot places. Traditional structures like those with mud walls or underground spaces often provide sufficient insulation to keep temperatures moderately low. Vegetable seed is usually small and not much of it is required at community level. Therefore, airtight containers like glass jars or bottles are adequate for its storage, if they can be well sealed; they also solve possible insect problems. Storage containers like bags or barrels, as well as the storage structure, should be cleaned and disinfected prior to storage of newly harvested seed. Stored seed should be inspected regularly to detect and correct problems. Ensuring seed quality: certified seed and quality Whenever possible, seed purchased in DRR/M interventions for declared seed distribution to farmers should be certified. In the international procurement of seed, FAO requests an ISTA Orange certificate verifying Various quality assurance procedures have been established for deter- that an ISTA-accredited laboratory collected a representative seed mining quality standards for seed, based on the seed quality attributes sample on which the seed tests were performed. For seed purchased mentioned previously. As part of their seed legislation, countries in-country, certified seed complies with the requirements of the establish regulations that include a quality assurance scheme for national legislation. certified seed. Seed certification adds value and marketability to the FAO has developed guidelines and protocols for the production seed by documenting its quality. of quality seed, called the quality declared seed (QDS) system. The A buyer of certified seed can be confident that the seed in the bag system provides an alternative for seed quality assurance, particularly is of the variety indicated on the container, and has a high germina- designed for countries with limited resources, which is less demand- 30 tion rate and minimal content of other crop and weed seeds. ing than full-seed quality control systems (like seed certification), yet The process of certification usually requires the formal inspection guarantees a satisfactory level of seed quality. of the field seed production and seed processing, as well as confirma- For each crop, QDS provides guidelines for facilities and equipment, tion from independent laboratories that the seed meets the quality land requirements, field standards, field inspections and seed quality standards established. standards. For each crop, QDS provides guidelines for facilities and Most countries stipulate quality standards for the importation of equipment, land requirements, field standards, field inspections and seed. At an international level, SADC (the Southern Africa Develop- seed quality standards. A summary of the QDS for seed of some crops ment Community) has established a seed certification and quality is included in Annex B. Similarly, the quality declared planting material assurance system to ensure that seed traded among its 15 member (QDPM) system of FAO provides standards for the production of quality countries is of consistently high and known quality. planting material of a number of vegetatively propagated crops. 4. Technical Considerations and Specifications

Choosing the appropriate crop and variety • Systems by which farmers have access to seed: on-farm saving, exchange with neighbours, commercial seed markets. ◼ As much information as possible should be collected on: • Crops and crop varieties available in the seed market at com- • Local farming systems: the crops and varieties traditionally munity and national levels, and their characteristic features. grown (cash crops and food security crops), land availability ◼ Obtain advice from the government (ministries of agriculture, per household, access and use of inputs like fertilizers, among extension services), local experts, lead farmers and farm - other considerations. ers’ associations on the most appropriate crop varieties for • Local environmental conditions: climate and soil conditions, introduction. 31 pests and diseases prevalent in the area, occurrence of natural ◼ Appropriate crop varieties should meet the requirements of: hazards (droughts, floods). • food and nutrition security and income generation; • adaptation to local environmental conditions; ◼ As a general rule, in cross-pollinated crops like maize or veg - • increasing the resilience of farming systems to natural hazards; etables, OPVs are more suitable for small-scale farming systems • easy access to seed (because seed is accessible in the local than hybrids because they maintain the properties of the variety market at an affordable price or because farmers can produce for several seasons. their own seed); ◼ A short cycle, drought-resistance and resistance to pests and • good reception by farmers; and diseases are desirable features in the context of DRR/M interven- • inclusion in the national variety register (in the case of improved tions and should be considered in particular. varieties). ◼ Consider in-country seed sources as an alternative to commer- ◼ The choice between traditional and improved varieties must cial seed companies or dealers. National research and extension take into consideration the advantages and inconveniences of services can also provide interesting varieties for subsistence the varieties considered, particularly regarding yield potential farming. Supporting seed production by farmer groups or small- 32 and farmers’ preferences. scale seed companies is another strategy for making varieties adapted to the local conditions available, and for supporting local seed markets. ◼ If possible, obtain results of performance trials of the selected variety over several years, either in the target area or in others with similar environmental conditions. Demonstration events help farmers to realize the benefits of new varieties.

Seed acquisition and storage

◼ Local seed sources should be preferred, if seed of the desired variety is available in sufficient quantity and of acceptable quality. This ensures that farmers have continuous access to seed after the intervention. Try to avoid disruption of local seed markets. ◼ Seed should be sufficiently dry before purchasing. Quality seed production by small-scale farmers ◼ International procurement is an option when the desired variety is not available in the country, or the seed is cheaper in other ◼ Follow detailed crop-specific technical guidelines for seed countries. It is important that the imported variety is officially production in each case. approved by government staff of the host country. ◼ Key elements of small-scale seed production to be considered ◼ Seed tenders need to include a description of the specific crop during the field stage are: varieties in order to ensure that the supplier will provide the crop • establishment of isolation distances between the field dedicated variety specified, as well as minimum seed quality standards to seed production and fields planted with the same crop in (QDS or the national standards). Plant health legislation should order to maintain varietal purity; be observed in all cases. • choosing ‘mother seed’ of good quality; ◼ Seed to be purchased should comply with the highest qual - • control of pests, diseases and weeds; and ity standards possible. When possible, buy seed certified by a • avoiding seed damage during harvest and threshing. 33 national seed laboratory and obtain the results of the quality ◼ After harvest, seed should be dried quickly. Sun-drying can analysis. If this is not possible, seed should be tested to deter - normally be completed in a few days. mine its quality. ◼ Grain of good size should be selected for seed, and damaged ◼ When storing seeds, it is necessary to avoid high temperatures and diseased seeds and non-crop seed materials should be and limit air humidity in order to avoid unintended germination. removed. ◼ Some seed-borne diseases can be controlled or suppressed by ◼ To reduce the incidence of pests and diseases, seed can be seed treatment during seed processing or just prior to planting. treated with organic or chemical products. The use of seed treatment products must be managed carefully. ◼ Countries have legislation in place for the quality standards of ◼ Planting materials of vegetatively propagated crops have special certified seed. Certification ensures farmers that the seed they considerations that are specific to each crop species. In general, are buying is of sufficient quality. they are more vulnerable than seeds to damage by pests and ◼ The FAO Quality Declared Seed System provides a seed quality diseases and become non-viable soon after they are obtained. assurance system that may be appropriate for small-scale seed Avoid storing planting materials for long periods before planting. producers that cannot meet other quality standards. 5. Bibliography and References for Further Reading

Almekinders C. & Louwaars N. 1999. Farmers’ seed production. International Rice Research Institute (IRRI) & International New approaches and practices. London. IT Publications. (p. 292). Maize and Wheat Improvement Centre (CIMMYT). 2008. Cereal Knowledge Bank (available at http://www.knowledgebank.irri.org). Consultative Group for International Agricultural Research (CGIAR). 2013. Diffusion and Impact of Improved Varieties Project: Morris M. L. & Heisey P. W. 1998. Achieving Desirable Levels of A consolidated database of crop varietal releases, adoption and Crop Diversity in Farmers’ Fields: Factors Affecting the Production research capacity in Africa south of the Sahara. http://www.asti. and Use of Commercial Seed. In Smale (Ed.) Farmers, Gene Banks cgiar.org/diiva/ and Crop Breeding: Economic Analyses of Diversity in Wheat, Maize, 34 and Rice. CIMMYT. FAO. 2006. Quality Declared Seed: Technical Guidelines for Stand- ards and Procedures. FAO PPP Paper 185. Setimela, P.S., E. Monyo & M. Bänzinger (Eds.). 2004. Successful Community-Based Seed Production Strategies. CIMMYT. FAO. 2010. Seeds in Emergencies: A Technical Handbook. Southern Africa Development Community (SADC) Secretariat. FAO. 2010. Quality Declared Planting Material: Protocols and stand- 2008. Technical Agreements on Harmonization of Seed Regulations ards for vegetatively propagated crops. FAO PPP Paper 195. in the SADC Region.

International Center for Tropical Agriculture (CIAT). 2006. Seed Aid for Seed Security: Advice for Practitioners. Annexes

Annex A. FAO Technical specifications for seed b. Offer by the bidder procurement ◼ Producer company 1. General information ◼ Country of production ◼ Crop common name a. Requirements by FAO ◼ Crop scientific name ◼ Crop common name ◼ Variety name5 ◼ Crop scientific name ◼ Quantity offered (kg) ◼ Variety name ◼ Price (US$) 35 ◼ Total quantity requested (kg) ◼ Delivery date ◼ Varietal characteristics: • variety type (OPV, hybrid, self-pollinated); • days to maturity; • grain/fruit colour; • plant height; • growth habit; • specific resistance/tolerance to biotic factors (e.g. fungi, bacteria, viruses); • specific resistance/tolerance to abiotic factors (e.g. low/high temperature, frost, water-logging, low/high soil pH, etc.); and • list of countries/areas where the variety is successfully cultivated. 5 If the variety offered is not the one required in the specifications, please provide the key varietal characteristics of the variety offered 2. Technical information

Actual characteristics of Technical specifications the seed offered (to be Crop common name required by FAO filled by the bidder) Comments Varietal purity1 % minimum % Analytical purity2 % minimum % Germination3 % minimum % Moisture content % maximum % Seed treatment (when Product name Product name needed) 36 Exotic diseases and pests Absent 1 Varietal purity: the percentage of the pure seed that will produce plants that exhibit the characteristics of that specific crop variety. 2 Analytical purity: the percentage of the seed that is of the same crop species but not necessarily the same crop variety. The impurities can include inert matter, weed seed, damaged seed and other crop seed. 3 Germination: the percentage of the pure seed with the ability to germinate and that can develop into normal seedlings under appropriate conditions of optimum moisture, temperature and light.

3. Packaging

Technical specifications required Actual characteristics of the seed by FAO offered (to be filled by the bidder) Weight of containers kg Containers are marked with project number, variety name, germination rate, moisture content, weight, seed treatment used, date of harvest Packaging type Tags and logos Annex B. Summary of Quality Declared Seed Standards for selected crops

The full FAO Quality Declared Seed Standards (revision 2006) can be found through the following link: http://www.fao.org/agriculture/ crops/core-themes/theme/seeds-pgr/seed_sys/quality/en/

Seed quality standards

Varietal purity Analytical purity Germination Moisture content Crop (minimum %) (minimum %) (minimum %) (maximum %)* Beans 98 98 60 10 Groundnut 98 98 60 10 Maize 98 98 80 13 37 Millet 98 98 70 13 Pigeon pea 98 98 70 10 Rice 98 98 75 13 Sorghum 98 98 70 13

* Maximum moisture content recommended for safe storage. These values may vary according to local conditions, in particular with environmental relative humidity and temperature. Local standards should be applied. Varietal purity: percentage of pure seed of the specified crop variety in the seed of the crop species under consideration. Analytical purity: percentage of pure seed of the crop species in the working sample, not necessarily of the same variety. Isolation distances

Crop Isolation distance* (metres) Comments Millet (OP) 100 Millet (H) 200 Sorghum (OP) 100 Sorghum (H) 100 Maize (OP) 200 Isolation can be also achieved by 30 days difference in flowering time. Maize (H) 200 Isolation can be also achieved by 30 days difference in flowering time. Beans 20 38 Groundnut 5 Pigeon pea 100

* Minimum distance with fields planted with the same crop, even when it is the same variety. OP – open pollinated H – hybrid

Funded by:

Coordinator:

ISBN 978-92-5-108332-1

9 7 892 5 1 0 8 332 1 I3768E/1/04.14 Appropriate Seed and Grain Storage Systems for Small-scale Farmers

KEY PRACTICES for DRR Implementers Appropriate Seed and Grain Storage Systems for Small-scale Farmers: Key Practices for DRR Implementers

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

ISBN 978-92-5-108334-5 (print) E-ISBN 978-92-5-108335-2 (PDF)

Authors Cephas Taruvinga, Danilo Mejia and Javier Sanz Alvarez Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © FAO/Javier Sanz Alvarez, unless otherwise indicated. Back cover picture © FAO/Erin O´Brien Design and layout Handmade Communications, [email protected] Appropriate Seed and Grain Storage Systems for Small-scale Farmers

Acronyms and Abbreviations...... 05

1. Introduction...... 06

2. Instructions for the Implementation of Small-Scale Storage Practices...... 08

3. Conclusion...... 43 04 4. Bibliography and References for Further Reading...... 44

Annexes...... 46 Acronyms and Abbreviations

DRR/M ...... disaster risk reduction/management FAO ...... Food and Agriculture Organization of the United Nations GHS...... Globally Harmonized System INPHO...... Information Network on Post-harvest Operations IPM...... integrated pest management kg ...... kilogram 05 mc...... moisture content MT ...... metric tonne NGO...... non-governmental organization WHO...... World Health Organization

1. Introduction

his brief provides practical guidelines on storage practices and reduction (DRR) projects and programmes in hazard prone rural methodologies to assist southern African farmers prone to areas in southern Africa. Tnatural hazards, mainly cyclones, droughts and floods. Indeed, Basic knowledge on the key aspects of a good storage suboptimal storage of agricultural products can lead to important environment, including a proper storage facility, and the execu- losses resulting in increased vulnerability of these farmers in normal tion of prestorage activities such as harvesting, drying, threshing conditions, but the combined effect of natural disasters and poor or cleaning, will help farmers to meet appropriate conditions storage practices may lead to tremendous losses for small farmers, to maintain the quality and quantity of stored grain and seed. with devastating effects both from economic and food security Post-harvest losses, which may be as high as 30 percent of 06 points of view. the agricultural production, can be reduced by using simple, The target audience for this brief includes NGO staff, good post-harvest and storage practices, and this may lead to a extension workers, community development leaders and govern- significant improvement in small-scale farmers’ food and nutrition ment officials who work in development, relief or disaster risk security and can have a positive economic impact. This brief includes a review of the main factors that cause grain and seed deterioration in storage, a description of the main storage pests in southern Africa, and some good practices to reduce the impact of storage pests that follow the principles of integrated pest management (IPM), as well as some examples of traditional and modern storage methods and facilities. Bad storage practices or facilities may create a conducive environment for mould and pest proliferation that are responsible for significant losses at household level. However, these losses can be mitigated and reduced by appropriate post-harvest handling practices. Appropriate storage facilities also play an important role in reducing seed and grain losses when hazard 07 events, like floods or cyclones, occur. When small-scale farmers implement these practices, they will be able to ensure safer grain and seed storage and reduce losses, therefore increasing their resilience to natural hazards and their ability to rapidly recover after a shock. A significant economic benefit of safe grain storage is that hazard-affected farmers will not be put under pressure to sell their produce in order to meet their immediate needs; this increases farmers’ bargaining power, as they have the option to delay selling while negotiating a better price. This will help farmers get a fair price for their produce and limit the role of middlemen and intermediaries. Further, safe storage can also help farmers to access credit: farmers can pool their produce, store it and then sell as a group enabling them to market good quality and large volumes. 2. Instructions for the Implementation of Small- Scale Storage Practices

o be effective, storage management requires a supply chain Physical factors that affect grain in storage approach since the crop is still in the field (preharvest) Tuntil the stored seed or grain is removed from storage for The principal physical factors which interact to create a storage utilization. The key principles and activities to be considered in micro environment are the moisture content of stored grain, and small-scale storage practices are the following: the temperature, relative humidity, oxygen and carbon dioxide 08 ◼ Physical factors that affect grain or seed in storage; in the storage facility. For our purpose, the focus will be on ◼ Common storage pests (insects, rodents and termites) and mould; temperature, moisture content and relative humidity, the fac- ◼ Prestorage handling; tors that can be easily manipulated to create a suitable storage ◼ Integrated pest management; and environment by small farmers. ◼ Small-scale storage facilities. Moisture ◼ Temperature: Storage insects and mould thrive within an optimal content temperature range: between 25 ºC and 34 ºC for most storage insects, and between 15 ºC and 30 ºC for the development of mould. Beyond this range (colder or hotter), the development Temperature Relative humidity of these threats to the stored products is limited, and therefore the losses as a result are negligible. ◼ Moisture content is described as the quantity of water bound Quality of in the grain kernels expressed as a percentage by weight of the grain grain or seed sample. The moisture content of dry grain ranges from 6 to 15 percent depending on the type of grain. Moisture content is a determining factor in the proliferation of mould and storage pests. 09 Figure 1: The three key physical factors of storage

Determining moisture content

oisture meters may be available for small-scale farmers at extension services or public grain storage facilities, but most often farmers will use indicative methods to find out if grain or seed are sufficiently dry, such as biting the Mgrain with the teeth, pinching it between the fingers or shaking it. If the grain cracks and the kernels feel hard or make sharp sounds, the grain is dry enough for harvest (if still on the plant) or storage. If the grain is soft, it could mean it is still wet and needs further drying. Another simple method is to shake a sample of grain with dry salt in a clean dry glass jar for several minutes. If the salt sticks to the sides of the glass jar, it means the grain moisture content is above the safe moisture content level. If the jar surface is clear of salt, it means the grain is dry enough to be put in storage. ◼ Relative humidity is the percentage of water vapour in the air between the grains, and represents the equilibrium between the humidity of the air and the moisture content of the grain. If the relative humidity exceeds 65 percent, mould and storage insects can develop and stored grain and seed are susceptible to deterioration.

In a fully stocked store unit, the stored grain itself largely determines and stabilizes the temperature and humidity conditions in the store. Moisture and relative humidity are also interrelated: if grain loses moisture due to increased temperature or insufficient drying before 10 storage, this moisture is released and goes into the air increasing the relative humidity in the storage facility. This is why it is so important that products are properly dried before been stored, especially in hot and wet/damp conditions which frequently occur in southern Africa. Each type of grain has its own equilibrium of moisture content level, above which the grain may release moisture into the surrounding air increasing the relative humidity. In southern Africa, at temperatures above 25° C and relative humidity above 65 percent or moisture content above the safe levels listed above, storage pests and mould can thrive and damage the stored grain and seed. As a general rule, the lower the temperature, relative humidity and moisture content, the lower the risk of grain damage and seed losing its germination capacity.

Figure 2: Suboptimal practices for drying and storage © Erin O'Brien Conditions for seed storage

n hot and humid conditions, the seed may quickly Common storage pests lose its ability to germinate; the rate of deterioration Ivaries among crop types. Starchy seeds, for instance Storage insects are categorized as either primary or secondary those of cereals like maize, generally have a slower pests. Primary insect pests are those which are capable of invading rate of deterioration compared to those of legumes like an undamaged grain and establishing an infestation, although they groundnuts and soybeans, which are oily and have high are also able to feed on damaged grain. Most primary pests are also protein content. The moisture content of the seed and the able to commence their attack in the field before harvest. Secondary temperature of the building where they are stored are the insect pests attack or establish themselves on grains which have most critical factors that affect the rate of deterioration. already been damaged or attacked by primary storage pests. The lower the temperature and relative humidity, the longer the seeds can be safely stored. As a general rule, high temperatures and relative humidity significantly increase the changes of insect infestation of both primary The following table shows the minimum germination and secondary storage pests. Conditions combining temperatures percentage and the safe storage moisture content levels 11 between 25 ºC and 34 ºC and around 70 percent of relative humid- for storage of seeds of the main crops produced in ity are considered at risk. southern Africa, as per the FAO Quality Declared Seed The moisture content (mc) of the stored grain is also fundamen- Standards (revision 2006). tal to prevent insect infestation. Grain dried to below 12 percent Germination Moisture content moisture content inhibits the development of most species of insect Crop (minimum percent) (maximum percent)* pests, although a few species such as grain borers remain of consid- Beans 60 10 erable importance even on exceptionally dry grain (<8 percent mc). Groundnut 60 10 Many other insects may occur quite commonly and sometimes Maize 80 13 abundantly on stored cereal grains, especially when they are insuf- Millet 70 13 ficiently dried or have been heavily infested by the major pests. In Pigeon pea 70 10 this brief we will focus on the insects that create most devastating Rice 75 13 losses in southern Africa. Sorghum 70 13

* Maximum moisture content recommended for safe storage. These values may vary according to local conditions, in particular with environmental relative humidity and temperature. Local standards should be applied Primary insect pests The larger grain borer (Prostephanus truncatus) Characteristics: It is a wood-boring beetle indigenous to Central The grain weevil (Sitophilus spp.) America that spread in Africa during the early 1980s after accidental Characteristics: It is one of the most dangerous pests for whole introductions; it has become one of the most important storage grains. It is characterised by a narrow snout (rostrum) as an exten- pests in tropical and subtropical regions. It is dark brown or black sion of the head and has a tan brown to dark brown body. in colour. It breeds in dry food commodities, maize stalks, cob Crops attacked: It attacks cereals, mainly maize, sorghum, rice and remnants and timber. wheat. It does not attack small grains like millet as the larva cannot Crops attacked: It is a highly destructive primary pest for maize, develop fully in small grains. It can also feed on dried cassava and especially maize stored on the cob. The impact has been so high processed food. in farming systems in Africa, that in several countries the storage Damage: Infestation usually starts in the field, when eggs are laid of cobs has been discouraged and substituted by the storage of 12 in undamaged grain. After the harvest, the grain is taken to the shelled maize, which is often treated. The larger grain borer may storage facility, where the larvae chew their way out of the grain also feed on dried cassava and cereal flour. leaving a characteristic hole. Both adults and larvae cause damage, Damage: Infestation often starts in the field before harvest and but most of it is due to the larvae. continues through storage, especially in unshelled maize. Both larvae and adults bore into the grains through neat round holes and feed on the grain producing large quantities of dust. Average losses go up to 30 percent for stored maize.

Figure 3 (left to right): Female maize weevil (Sitophilus zeamais), male maize weevil, larger grain borer (Prostephanus truncatus)

© G. Goergen, IITA The lesser grain borer (Rhyzopertha dominica) harvest. Adults have strongly curved labial palps and are pale grey- Characteristics: Originating from South America, it is now found ish brown with a wingspan of 12 to 14 mm. The caterpillars feed in all warmer parts of the world. These small dark brown to black and pupate inside the grains. beetles are very voracious. Crops attacked: Like the lesser grain borer, it is a considerable pest Crops attacked: It is a destructive pest to most stored cereal grains for millet as well as all the larger cereal grains, including wheat, including millet, although not generally common in maize. It can barley, maize and sorghum; it inflicts severe damage on unhusked also be found feeding on cassava and other flour products. rice paddy as well. It is able to cause substantial primary damage Damage: Infestation starts in the field and larvae are introduced in to the grain kernel. storage systems inside the grains, where larvae develop. Adults and Damage: Attacks ripening grain standing in the field, and is usually larvae bore into grains and eat the endosperm. This process creates transported inside the grain to the storage facilities. The larvae, upon a lot of dust which, if present, can be used as an indicator of high hatching, bore into a grain and complete their development entirely infestation. They have a long life span and can destroy grain equal within a single grain. Infestations produce abundant heat and mois- 13 to their body weight daily. ture that may encourage mould growth as well as secondary pests.

The grain moth (Sitotroga cerealella) The cowpea weevil (Callosobruchus maculatus) Characteristics: A dangerous post-harvest insect, commonly found Characteristics: A reddish-brown beetle of the family of the dried in grain stores of cobs in southern Africa, especially soon after bean beetles (Bruchids) that occurs in tropical and subtropical

Figure 4 (left to right): The lesser grain borer (Rhyzopertha dominica), the grain moth (Sitotroga cerealella)

© G. Goergen, IITA Africa. Although mainly a field pest, eggs and larvae are taken to Secondary insect pests storage after harvest inside the grains, after the eggs are laid on Secondary insect pests are associated with commodities that have drying pulses, and the young larvae burrow into the grain or seeds. suffered previous physical damage caused by a primary infesta - Crops attacked: All pulses produced in southern Africa, such as tion or during the milling or handling process. The most common common beans, chickpeas and cowpeas, are susceptible to Bruchids secondary pest insects are Tribolium spp and Esphestia spp. in general and by the cowpea weevil in particular. Bruchids also a considerable pest of cereal-based animal feeds, flours and high- The red rust flour beetle Tribolium( spp.) protein milling offal. Characteristics: It is found in most tropical and subtropical regions, Damage: The bean beetle commonly attacks dried pulses. The including southern Africa. It is a reddish-brown beetle, and larvae infestation may begin in the field where eggs are laid loosely on are yellowish-white. the ripening pods. The larvae stage is the primary cause of damage Crops attacked: It attacks maize, groundnuts, rice, beans, peas, 14 which can affect up to 90 percent of stored pulses. The infestation sorghum and wheat. It prefers damaged grain but will also attack cycle must be broken in the field by crop rotation, i.e. avoiding the intact wheat kernels. same crop being cultivated in the same field during consecutive Damage: Both the adult and larvae feed first on the germ and seasons. later on the endosperm. This pest is typically found in poor storage

Figure 5 (left and centre): The cowpea weevil (Callosobruchus maculatus)

Figure 6 (right): The red rust flour beetle (Tribolium castaneum)

© G. Goergen, IITA conditions, which allow insects to thrive and lead to an increase amounts of silk spun by the moth, which also accumulates faecal in the temperature in the storage facility that further permits pest pellets, cast skins and egg shells. development. Food may acquire a pinkish tinge when a large number of insects are present. Mould Several thousand species of mould (microfungi) are known and The tropical warehouse moth (Ephestia spp.) are present mostly everywhere due to very effective propagation Characteristics: This moth is commonly found in stored products through spores. The spores are disseminated widely by the wind, and food storage facilities in a wide range of climates. The colour and when they fall on substrates with the right warm and humid of the outer half of their forewings is bronze, copper or dark grey, conditions, they develop extremely quickly. Mould is extremely while the upper half is yellowish-grey, with a dark band at the ubiquitous, and can grow in aerobic environments, as well as in junction between the two. conditions with very little oxygen, and some mould is anaerobic. Crops attacked: It infests all types of dried food such as maize, Mould growth occurs on staple agricultural products both 15 rice and wheat. in the field and during storage, causing enormous damage. The Damage: The larvae feed externally on grains but most of the dam- main effects of a mould infestation are loss of nutrients, altera - age to stored products is through contamination with the massive tions in colour and smell, caking of grains, and deterioration of the © FAO/Swithun Goodbody © FAO/Alberto Conti germination capacity in the case of seeds. Many types of mould are known to naturally produce mycotoxins, which are a potential hazard if consumed by humans or animals. The most dangerous mycotoxins are aflatoxins, which can be lethal. Aflatoxins can be found in all grains that have been attacked by mould, and cannot be destroyed or removed by cooking or heating the grain. There are simple field kits to test the presence of aflatoxins in stored grains. The optimum conditions for mould growth are temperatures of between 21 and 32 ºC and relative humidity of between 65 and 90 percent. The easiest method to prevent the development of mould for small farmers is to dry the products to be stored to safe 16 moisture content levels. However, reduced temperature in combination with low moisture is more effective in preventing mould bio-deterioration than just drying. This can be achieved by correct ventilation and aeration, which will help to cool the storage facility and reduce the possibility of moisture transfer between grains. This should be taken into account when choosing a storage facility.

Termites (Macrotermes spp.) ‘Termite’ is a common name for numerous species of social insects that can damage stored grain and wooden structures such as

© Cephas Taruvinga Figure 7: Mould on maize grain furniture or wooden parts of buildings. Termites have thick waists reproductive rate and ubiquity, very often inside houses or storage and soft bodies and undergo incomplete metamorphosis. facilities; rodents are very difficult to control or eradicate. Rodents Termite damage is very costly because it does not affect the can also cause severe damage to the storage facility or packaging storage product alone, but also the storage infrastructure. While materials, and can be vectors for the spread of diseases such as termites do not specifically seek grain (they will only eat the grain toxoplasmosis, leptospirosis, rickettsia and Hantaan fever. that they find in their path); they can seriously damage storage structures constructed from grass, twigs, wood, timber or mud, Birds which may collapse leading to significant losses. The main damage caused by birds is when they feed on standing crops, mainly small cereals such as pearl millet. While birds are not Rodents a major problem in closed storage structures, they can also cause Rodents are responsible for a considerable percentage of the losses losses in open storage structures in field like drying racks, and they experienced throughout the post-harvest chain. Indeed, rats or mice can contaminate grains through their droppings and urine and be 17 are considered to be formidable crop pests because of their high vectors in the spread of diseases such as salmonella.

Figure 8 (left): Termite damage to maize stalks

Figure 9 (right): Termite (Macrotermes

© G. Goergen, IITA spp.) Integrated pest management in the control of stated that it is very difficult and expensive to completely eradicate storage insects storage pests. In rural communities in southern Africa where grain is stored for domestic use or sale in local markets, it is advisable Integrated pest management (IPM) means the careful consideration to promote good storage practices, in order to limit the damage of all available pest control techniques and subsequent integration caused by pests so that they are not economically significant. of appropriate measures that discourage the development of pest In many cases, the use of pesticides is still unacceptably high, populations and keep pesticides and other interventions at levels uneconomic and unsustainable. The wide availability of inexpen- that are economically justified, and reduce or minimize risks to sive insecticides has often led to an overuse and dependence human health and the environment. IPM emphasizes the growth of on chemicals, neglecting the importance of the non-chemical, a healthy crop with the least possible disruption to agro-ecosystems often traditional, pest-management techniques that are available and encourages natural pest control mechanisms. for safe and non-hazardous storage at household level. Where 18 First of all, it is important to stress that the presence of pests possible, reliance on pesticides should be reduced through promo - does not automatically require control measures. Second, it must be tion of an IPM approach, which considers traditional practices of good husbandry as the fundamental basis of pest control. These storage of maize on the cob and other grains on the head or in practices include: the pod can help to finalize the drying process inside the storage facility. 1. Prestorage pest management: Starting storage pest control ◼ Storing bulk grain may also reduce infestations or facilitate pest while the crop is still in the field minimizes the transfer of primary control. storage insect pests from the field to storage. This involves: ◼ Pest population levels and grain damage should be regularly ◼ Cleaning and drying to be done as thoroughly as possible, monitored to implement the most cost-effective timing of pest especially when grain is to be stored for a long period. control actions. ◼ Control of grain quality before storage, not taking evidently infested, unclean or damaged grain inside the storage. 3. Other possibilities for integrated pest management: ◼ Biological control1 measures, including the use of predators, 2. Storage management: Greatly influences pest development and parasites, insect diseases and sterile males, the use of phero- 19 control through the location of stores, the storage periods and the mones for pest monitoring, mating disruption or enhanced mass expected quality for stored commodities. Considerations include: trapping, can support pest management. ◼ Control of the storage environment: As noted above, in a fully ◼ The use of crop varieties which are resistant to storage insect loaded store it is the stored grain itself which largely determines pests as well as preharvest pests. Resistant/tolerant varieties and stabilizes the temperature and humidity conditions. How- will generally delay the increase of infestation and grain dam- ever, the appropriate moisture content of the grain prior to the age, thereby prolonging the period in which damage remains introduction in the storage or the right aeration or ventilation relatively low. This is the case of some maize varieties, which of the facility will delay insect infestation. produce sheathing leaves completely enclosing the entire cob ◼ The storage of maize cobs, sorghum and paddy rice panicles, providing considerable protection against grain weevils. The millet heads and cowpea pods (before the grain is shelled or use of a particular variety needs to be properly analyzed, as threshed) can delay the infestation by some pests, but does not prevent it entirely; further, this may open the opportunity for other pests, such as the grain moth which prefers to attack 1 Biological control definition: Pest control strategy making use of living natural unthreshed grains to threshed grains. Ventilated cribs for the enemies, antagonists or competitors and other self-replicating biotic entities (IPPC: ISPM Pub. No. 3, 2005). Required Conditions for Seed Treatment in an FAO-supported intervention At the seed treatment facility: • The pesticide products applied must be cleared by FAO’s Plant Production and Protection Division and must be registered with the relevant national authority in the country/countries concerned. • The company providing the pesticides has to declare that they are observing the FAO Code of Conduct on Pesticide Management, especially its provisions on labelling, as well as packaging and transport of pesticides. • Users of pesticides applied as seed treatment must adhere to the necessary precautionary measures described on the product labels (e.g. wearing a protective mask, goggles and gloves). 20 • The treatment of seeds must be done in an appropriately equipped facility that ensures full containment of the pesticides. • Users of seed treatment equipment should be provided with suitable application equipment and instructed on calibration, use and cleaning of the equipment. • Treated seeds must be dyed an unusual and unpalatable colour to discourage consumption. • All packages containing treated seeds must be clearly marked “Not for human or animal consumption” and with the skull and crossbones symbol for poison. At the point of use of the treated seeds: • Those handling treated seeds should be informed that the seeds are treated with pesticides, which can have toxic effects on their health, the health of others and on the environment. • Handlers should be advised to wear clothes that fully cover their body (long sleeves, long trousers/skirt and closed shoes), and the distribution kits should include gloves and dust masks with instructions on their use; handlers must wash themselves and their clothes after handling the seed. • Packaging from treated seeds should not be reused for any purpose. high-yielding varieties are often more susceptible to damage farmers, local communities and schools, and by vulnerable seg - by storage insects. ments of the population that are likely to be poorly trained and ◼ Most storage insect pests will die in hermetic storage when the unequipped to use pesticides. oxygen is reduced, although suitable hermetic containers are Natural insecticides include traditional materials, such as expensive. abrasive mineral dusts, natural desiccants like wood ash, plant materials with repellent or insecticidal properties (such as parts Although these practices may not prevent insect infestation, they of the Neem tree, Azadirachta indica), or vegetable cooking oils can delay it and reduce the losses experienced to acceptable (palm, groundnut or coconut oil). thresholds. However, in areas where storage pests are prevalent and result in important losses – often as a result of common preharvest Use of pesticides2 infestation or poor storage facilities – preventive disinfestation of Insecticides and fungicides used to treat grain are either synthetic the grain before storage may be required. 21 or organic. Synthetic insecticides/fungicides are chemical pesticides that have been artificially formulated to control pests, while organic or natural pesticides contain chemicals produced by a plant (i.e. naturally) to ward off insects, fungi and other predators. Natural pesticides are generally a safer, more ecofriendly al - ternative for home and garden pest control, as they use natural components to control pests. Because of the often negative effects of synthetic pesticides on the environment and people, it is strongly recommended to use natural insecticides, particularly for small-scale

2 The overall framework for sound pest and pesticide management is provided by the International Code of Conduct on Pesticide Management and its accompanying technical guidelines, on regulatory practices, packaging and storage of pesticides, labelling of pesticide products/containers, disposal of waste pesticide materials, etc. (http://www.fao.org/agriculture/crops/thematic-sitemap/ theme/pests/code/list-guide-new/en/) Table 1: Weights of common grains per cubic metre In this case, it is important to mention that treated grain or seed cannot be consumed, neither by humans nor animals, because of Grain Kg per cubic metre its high toxicity. Treated seeds must be dyed with an unusual and Maize cobs 500 kg unpalatable colour for identification purposes and to discourage Maize grain 800 kg consumption, and all packages containing treated seeds must be Paddy 500 kg clearly marked ‘Not for human or animal consumption’ and with Unshelled groundnuts 352 kg the skull and crossbones symbol for poison. Rice 864 kg While using pesticides as seed treatment, users must adhere Millet 624 kg to the necessary precautionary measures described on the product labels (e.g. wearing a protective mask, goggles and gloves). After establishing the amount of chemical to be used, there are two ◼ Treatments must be done in an appropriately equipped facility main methods for treatment: the admixture method (for shelled or 22 that ensures that the pesticides are fully contained. loose grain) or the sandwich method (for maize cobs): ◼ When insecticide treatment kits are distributed, the kits should ◼ The admixture method intends to obtain a homogenous mixture include the suitable application equipment for users, who of loose grain and a suitable contact insecticide, which will be should receive instruction on calibration, use and cleaning of later stored or packaged in bags or containers. This method the equipment. is suitable for small-scale farmers because dusting powders are available in suitable packs locally and ready to use. The The weight of the grain to be treated should be determined to advantages of insecticide admixture treatments are that they calculate the amount of chemical to be used (based on the dosage are generally inexpensive and a single correct application of an rate indicated on the container/package label, where the concentra- effective insecticide, at the right dosage, will control an existing tion of the insecticide’s active ingredient must be also shown). insect infestation all stages of development and will protect the Where the farmer is in doubt, assistance should be sought from grain against re-infestation for several months. the local extension officer. ◼ The sandwich method is used for maize on cobs or loose grain The following table shows weight of common grain per cubic and the treatment is done in layers of insecticide sprinkled after metre. This weight helps in determining the amount of insecticide every layer of 20 cm for unshelled grain (cob) or 10 cm for shelled to be applied. or loose grain. Once the quantity of grain to be stored is known, the total amount of insecticide to be used is determined based on recommended practices regarding personal protection, use and the dosage rate on the label. The amount of insecticide to be put cleaning of application equipment, storage of pesticides, and at every layer is established by dividing the total amount of chemi- disposal of obsolete pesticides and empty containers. cal by the number of 20-cm or 10-cm layers of the container. The number of layers is obtained by dividing the height of the storage structure by 10 cm or 20 cm depending on whether the grain to be stored is shelled or on the cob (20 cm for cobs and 10 cm for grain). The inside walls and the floor of the storage will also be sprinkled with a layer of insecticide, as well as the top layer that closes the storage facility.

When seed protection measures are deemed necessary, the non- 23 chemical pest management techniques that are available should be the first option irrespective of their cost and technical complexity.

Safety precautions Pesticides require special attention because they are toxic; therefore, their distribution and use should always involve managing the risks to human health and the environment. Furthermore, inappropriate use of pesticides may reduce agricultural productivity and result in pesticide residue levels that become a constraint to a crop’s marketability both on domestic and export markets. Although most countries have pesticide legislation, many may still lack the capacity to ensure that pesticides are appropriately selected, managed, used and disposed of. Circumstances in de - veloping countries often make it difficult for farmers to follow Selection and procurement of pesticides

f pesticides are deemed to be the best – or only – option, then the selection process for these products should be careful and informed. Factors to consider include: efficacy, and whether the target organism is likely to be or become resistant to Ithe product. The most important consideration is reducing negative effects on human health and the environment. The main criteria when considering a pesticide are: 1. The product should not be subject to the Stockholm Convention on Persistent Organic Pollutants. The list of pesticides concerned can be found at: www.pops.int/ 2. The product should be registered in the country of use. If specified in the registration decision, the product should be permitted for the crop-pest combination concerned. 24 3. Users should be able to manage the product within margins of acceptable risk. Pesticides that fall in WHO Hazard Class Ia or Ib or Globally Harmonized System (GHS) Class 1 and 2 should not be used. Pesticides that fall in WHO Hazard Class II or GHS Class 3 can only be provided if less hazardous alternatives are not available and it can be demonstrated that users adhere to the necessary precautionary measures.* 4. Less hazardous, more selective and less persistent products are preferred, as are application methods that are less hazardous, better targeted and requiring less pesticides. Avoid products listed in Annex 3 of the Rotterdam Convention.

* The hazard classification concerns the formulated product. Formulations with a low concentration of active ingredient are less hazardous than formulations with a high concentration of the same active ingredient. The WHO Recommended Classification of Pesticides by Hazard and Guidelines to Classification (http:// www.inchem.org/documents/pds/pdsother/class.pdf) classifies technical products based on acute oral and dermal toxicity. It includes a conversion table that allows determination of the hazard class for the pesticide formulation under consideration. This list was replaced in 2008 by the Globally Harmonized System of Classification and Labelling of Chemicals, which in addition to acute toxicity also takes into consideration chronic health risks and environmental risks (http:// www.unece.org/trans/danger/publi/ghs/ghs_welcome_e.html). The term ‘pesticide formulation‘ means the combination of various ingredients designed to render the product useful and effective for the purpose claimed; the form of pesticide as purchased by users. The term ‘active ingredient’ means the biologically active part of the pesticide. Pesticide management

he following requirements apply to all pesticides that are being supplied directly by FAO and to pesticides supplied Tby others within the framework of FAO projects. 1. A thorough risk assessment should precede pesticide procurement; this should lead to adequate measures to reduce health and environmental risks to acceptable levels. 2. Procurement quantities should be based on an accurate assessment of actual needs in order to avoid overuse or accumulation of stockpiles that may become obsolete. 25 Pesticides should not be provided as fixed components of input packages of projects, credit schemes or emergency assistance. 3. Appropriate application equipment and protective gear should be provided in adequate quantities along with the pesticides, unless it is explicitly confirmed that the recommended equipment and gear is already sufficiently available. 4. Users may need to be trained to ensure they are capable of handling the supplied pesticides in a proper and responsible manner. 5. Proper storage of pesticides in accordance with FAO guidelines should be ensured for all supplies. Everyone who may be directly or indirectly affected by the accompanying information on application rates and safety precau- chemical treatments should be familiar with the recommended tions. Safety should be the highest priority when toxic chemicals procedures and should observe all appropriate precautions. It is are used in pest control. particularly important that the persons involved in pest control have the right equipment necessary for application and protection. Termite control It is very important to avoid the re-use of empty containers of Termite infestations are difficult to control; although termite nests chemicals. can be destroyed, often they are deep in the ground or difficult In addition, the specific precautions recommended by pesti - to locate. Termite control chemicals are very toxic and should not cide manufacturers for the use of their products, should be clearly come into contact with storage grain; therefore, efforts should drawn to the attention of the user on all product labels. Local sales be directed towards preventive measures to avoid the infestation, agents should be required to ensure that hazardous materials are mainly when the storage facility is being constructed. The precau- 26 not retailed to users who may be unable to read or understand the tions to consider include:

Figure 10: Storage with poles and metal

© FAO/Franco Mattioli © FAO/Roberto Faidutti baffles to prevent rodent infestation ◼ The site for the construction of the storage should be on high ◼ Damage in the form of fragments of grain, doors, cables or ground where the water table is low, as termites need soil other material that has been nibbled shows rodent activity. moisture to develop. ◼ Burrows and nests inside the store in corners as well as in the ◼ Storage should be near the houses to rapidly detect any termite roof area are indicative of rodents. activity. ◼ Non-wood materials (blocks, stones) should be used for founda- Active methods of rodent control involve non-chemical and tions in areas where termites are common. chemical control strategies. Non-chemical control involves ◼ The wood for the storage can be protected or treated through the use of preventive measures and chemical control involves chemicals, and in rural areas engine oil can be used for this the use of poisons, normally mixed with palatable bait. This purpose. brief will focus on methods of non-chemical control to prevent ◼ Hygiene is very important; the area surrounding the storage rodent infestations, as the use of rodenticides (rodent poison) system should be clean, free of plants and debris, and at least is very toxic and can be dangerous for humans or other animals 27 one metre from the nearest tree or building. if inadvertently ingested. ◼ Stores with support legs made of compacted mud should rest on a concrete block or large stones to help deter termite access. Non-chemical rodent control Sealing the storage facility to impede rodents’ access is often dif- Rodent control ficult, but placing barriers or rodent guards on access points can be Farmers or store keepers should be able to identify the presence sufficient. Most rodent entry points can be revealed after a careful and extent of a rodent infestation using the following guidelines: survey of the exterior and interior of the store. Some practical ◼ Live rodent seen during the day shows a heavy infestation, as recommendations to prevent rodents´ access are: they are nocturnal creatures. ◼ Place metal plates at the base of the doors to prevent rodent ◼ Appearance of droppings can provide information of the species entry through badly fitting or rotting hinged doors. Metal plates of rodent and the degree of infestation. will also prevent rodents from gnawing to enlarge the openings. ◼ Runs, tracks or dark greasy stains along the foot of walls show ◼ Fit metal baffles onto pole stands of storage structures and to high infestation. pipes and cables that lead to the roof or window level. This will ◼ Rats and mice leave footprints and tail marks in the dust. prevent rodents from accessing the upper part of a store. ◼ Place mesh wire on windows and in eaves – common rodent the ground around the store will make it easier to spot termite trails entry points. as well. Livestock should be kept away from the store and not be ◼ Paint the walls with a band of gloss paint on a smooth mortar allowed to browse or sleep under it; their droppings should be from the ground until at least one metre high, to create a cleared as they may attract rodents. smooth barrier that rodents cannot climb. This is useful in brick Whenever the grain store or containers are empty they should or other rough walled buildings. be cleaned immediately. Any grain residues should be removed ◼ Plaster the outer surface with mud. This helps to prevent rodent from sacks or bags, and these should be dipped into boiling water entry to grass or straw storage facilities. to kill any insects and then dried in the sun. Grass should be burnt ◼ Place mousetraps inside the storage facility, especially needed inside solid-walled bins and mud-plastered baskets to kill off any when seed or grain is stored in bags, as rodents can also damage insects and mould spores. these. 28 ◼ Use cats as a low cost and non-chemical rodent control measure.

Bird control Birds can be controlled in the field to protect standing crops and those stacked for drying by using scare crows placed at strategic positions, or by literally guarding the field and chasing the birds away. For crops in a store, the best way to control birds is to have wire mesh in the eaves and on openings so to limit access in and out of the store. Sweep areas surrounding the storage facility daily to eliminate the grains that may have fallen.

Hygiene Hygiene means keeping the storing facility and the surrounding area as clean as possible, eliminating any vegetation or rubbish that may provide breeding grounds for storage insects and rodents. Clearing Prestorage handling Prestorage handling practices are not similar for all grains produced in southern Africa although the principles behind the activi- Prestorage handling activities include preharvesting (pest control ties are the same; in this brief we will focus on rice, groundnuts, in the field, decision on correct harvest time, etc.) and post-harvest maize, sorghum, millet and beans. activities (like harvesting, shelling, drying, cleaning and winnow - ing grain). If small-scale farmers implement good practices during Prestorage handling of rice prestorage handling, the risks of insects being taken to the storage Paddy is the name of the rice just harvested, enclosed in husks; facility will be reduced, and grain and seed can be stored under once this paddy is milled and the husks are removed, the grain is good conditions of low moisture content, cool temperatures and the proper rice. The key issues in handling rice before storage are: the absence of pests. These simple activities are a prerequisite for Harvesting: The timing of paddy rice harvest is a very important proper storage of food and seed grain. factor to determine grain quality and yield. The harvesting period 29

Figure 11 (left): Rice growing in the fields

Figure 12 (right):

© FAO/Erin O´Brien Harvesting rice should begin when 90 percent of the grains in the main panicles winnowing should be done immediately after threshing to avoid of plants are clear, firm and straw coloured. Grain moisture at time contamination and improve the quality of the milling output. of harvest should be less than 20 percent. If harvesting is done too Drying: The drying of paddy rice should start just after threshing. early, there will be many immature grains that will reduce yield and Paddy should be spread in thin layers on tarpaulin or on the floor quality; if harvesting is done too late, many grains are lost before (not on concrete floors), and be stirred regularly for uniform drying. harvesting or cracked and broken during threshing and milling. Drying should be done in four consecutive days; longer exposure will Threshing: Paddy rice should be threshed immediately after harvest, cause fast drying inside the grain that can cause cracks or breaking by hitting the panicles against a drum or a wooden surface, or on the grain during the milling process. Properly dried grain (around 15 tarpaulin or canvas, but not directly on the ground. percent of moisture content) breaks into two when bitten. Winnowing: All kinds of impurities from threshed grain such as Shelling and husking: This step consists of removing the husks that insects, straws, chaff, soil, stones, leaves, etc. should be removed protect the paddy rice to get to the grain. It can be done at rice 30 before storage. The removal of light and chaffy material through mills, or using traditional methods such as pounding in wooden

Figure 13 (left to right): Threshing and drying rice mortars, although this method breaks many grains. The husk will are not small or immature. Groundnut seeds are protected by a not be removed if seed is being produced, as the rice paddy is shell, which acts as an excellent natural barrier against pests and directly planted in the field. diseases, if intact. Once mature, the whole plant will be lifted Cleaning: Any impurities are removed, including broken or im - and put to dry. mature grains. Drying: Pods need to be dried rapidly to avoid the development of mould. The drying process can start in the field where the whole Prestorage handling of groundnuts plant will be put to dry for several days, before stripping the pods Harvesting: If groundnuts are harvested too early, the kernels will and taking care to cover them if it rains. Overexposure to the sun shrink when drying, resulting in a lower shelling percentage, poor can affect kernel quality. seed quality and lower oil content. Groundnuts are mature when Threshing: Should be done two to six weeks after harvesting, when between 70 and 80 percent of the inside of the shell is spotted the pod moisture content stabilizes at around 10 percent. The pods pale brown; it is enough to open some pods and verify that kernels will be separated from the plant manually or by hitting the heap 31

Figure 14 (left to right): Groundnuts growing in the field and being shelled of groundnut plants with sticks, which leads to many pods being recommended to store the groundnuts unshelled and shell them broken, that are then separated by winnowing. only when they will be consumed. Groundnut seed should also Sieving: Most sieves are made of wire or metal bars and allow for be stored unshelled. Shelled nuts should be graded for storage, separating impurities from the whole groundnuts. Sieving cannot separating clean nuts from broken, shrivelled or rotten ones. Other eliminate empty or immature pods, which are cleaned manually. impurities should also be eliminated. Shelling: Shelling can either be done by hand or by a mechanical sheller, which is often manual. Some farmers in southern Africa soak Prestorage handling of maize the groundnuts or their hands in water to make the shelling easier, Harvesting: Maize should be harvested, when most of the maize but this should be avoided as the moisture increases promotion of husk cover turns to yellow and leaves turn slightly yellowish. Once the mould. This is particularly important, as groundnuts can develop maize stalks are cut and stacked in heaps, they can be left in the field mould that can lead to aflatoxin contamination. to dry for a couple of days before removing the husks of the cobs. 32 Grading: Groundnuts can be stored shelled (without the shell) or Shelling: Shelling (threshing) can be done with a simple hand-held unshelled (with the shell). For household food consumption, it is sheller which is locally fabricated using metal or hard wood.

Figure 15 (left to right): Dried maize cobs, a healthy cob and a diseased cob Drying: Maize is usually harvested with moisture content in the Prestorage handling of beans range of 18 and 26 percent and the full cobs or the shelled grains Harvesting: Bean plants are ready for harvest when all leaves and are further dried in the sun; if possible the maize should not be put pods are yellow. Bean pods will be harvested over a period of time directly on the ground to avoid contaminating the grain or cobs from a single plant, as the individual pods mature. with soil or dirt. Polythene sheeting or sheets made out of nylon Drying in pods: Beans can be easily infected with insects or patho- sacks are useful for drying. Grain must be turned often to ensure gens found in the soil, and the drying process cannot be done in homogenous drying. the field. Pods should be taken home and dried in the sun, on a The principles of prestorage handling for sorghum and pearl mat, plastic sheet or tarpaulin for a couple of sunny days before millet are similar to the process followed for maize. While pearl threshing. If the drying is too long or too short, the beans will millet can be stored in a cob or as grain, sorghum will be threshed become either too dry or remain wet, which in both cases is not before storage. good for threshing. Threshing: The beans should not break or be damaged during 33 threshing. Threshing should not be done on the ground or in a

Figure 16 (left to right): Beans growing in the field and sorting dried

© FAO/Giuseppe Bizzarri beans gunny bag, as grains will easily be damaged and be susceptible Small-scale storage facilities to insect and mould infestation during storage. A threshing rack is recommended, and can be made locally using wood and mesh A safe storage environment can be maintained if the grain or seed wire to form a screening tray. is stored in proper facilities and good practices are applied, in order Drying threshed beans: Threshed beans must be dried again, spread to reduce the losses resulting from pests or mould, and to ensure thinly on the drying surface to allow air circulation, and turned that the seed’s germination power is maintained throughout the regularly to avoid overheating. In southern Africa, beans should storage period. be dry enough after three sunny days. When discussing storage, it is important to distinguish between Grading/sorting: Winnowing will remove chaff, dust and other the storage of seed and the storage of food grain. The quantity of debris from the beans, and sorting will remove shrivelled, diseased, seed stored by small-scale farmers in southern Africa is determined broken beans and beans of other varieties. Sorting is preferably by the size of the land they cultivate, which is relatively small in 34 done on a locally made platform sorter to make the work easier. general. If we assume that small-scale farmers cultivate less than Sorting is very important in southern Africa, as beans are cooked one hectare, we can estimate that the quantity of seed to be stored and eaten whole without processing and physical appearance will will be less than 20 kg. be very important for cooking or marketing; a few damaged kernels In the majority of cases, farmers keep small quantities of seed at may greatly reduce the value of the overall harvest. home, in suitable bags or small containers such as jars or traditional earthen pots, protected with traditional or chemical pesticides and safe from rodents and pilferage. Farmers usually manage to keep small quantities of seed in good conditions of low temperature and low moisture content, without incurring major losses in quality, quantity or germination potential. Where larger quantities of seed have to be stored, especially after seed multiplication or seed pass-on programmes, then a larger

© FAO/Giuseppe Bizzarri Figure 17: Grading beans storage structure has to be built. In such a case, although normal categorized as either traditional or modern storage facilities. Where grain storage practices have to be implemented, it is critical to these facilities have been modified or used for seed storage, keeping be aware of the extra care required in maintaining a specific safe low levels of temperature, moisture content and relative humidity storage environment for seed. should be a primary concern in order to preserve the germination Unlike food grain, seed is very sensitive to changes in tem - power of the seed and being aware that the seed might need to perature, relative humidity and moisture content during storage. be kept in storage for a longer period than food grain. The result is that an adverse increase in these factors can cause a deterioration in the germination capacity of the stored seed. It is Traditional storage facilities worth noting that, even without external physical grain damage In traditional on-farm storage systems in southern Africa, bag- from pests or mould, these three factors can still negatively affect storage systems tend to predominate, although bulk storage occurs the seed’s germination power. Therefore it is important that seed quite often at farm level. On-farm traditional storage facilities can storage facilities be protected from direct sunlight and humidity; in be differentiated as open, semi-open and closed storage. 35 particular, storage facilities with metallic roofs must be covered to avoid overheating and sufficient ventilation should also be permit- Open storage ted to keep the air in and around the contents cool and dry. Open-ended storage facilities are usually wooden structures that The storage facilities discussed in the following paragraphs are are suitable as temporary drying facilities for cobs or panicles, and mainly oriented towards food grain storage, and they have been sometimes the grain can stay there for longer periods in which case

Figure 18: Open

© FAO/Paballo Thekiso © FAO/Mario Zappacosta storage they become storage structures. Open storage systems are used There are other forms of open storage that better protect the in hot and humid climatic conditions or when grain has just been seed grain. This is when the seed is hanged as cobs or panicles harvested at a higher moisture content. When grain is placed on under the house roof, eaves, frames or tree branches and also over these structures it dries quickly, as it is directly exposed to sunlight fire places to dry and repel insects. and natural ventilation. The rapid drying helps in preventing the development of moulds. Semi–open storage Open storage structures enable grain to be dried on the cob, Semi-open storage structures (cribs) are structures which are usually stem or panicle, and the grain may continue to mature and fully made from timber, reeds or bamboo and are elevated using stone ripen after harvesting. Also the elevation from the ground limits foundations or wooden frames (with baffles) to prevent damage termite invasion. from rodents, termites or soil moisture and have a straw roof to These structures can be easily built at a very low cost. The main protect against the rain or excessive sunlight and allow sufficient 36 disadvantages are that they are open to insects, rodents and birds, ventilation. and over exposure to sun or rain can damage the grain.

Figure 19: Semi-

© FAO open storage These structures are normally used to store cobs or panicles paddy rice and peanuts. Wet grain cobs or panicles should not be that require further drying before threshing, as the openings or stored in closed storage, as they will increase the humidity and porous walls will allow continuous aeration during storage. Semi- condensation inside the container, leading to quality changes. open storage systems provide better protection against weather There are also other small containers made from clay, straw, conditions than open ones but reduce aeration and do not prevent wood or leather, which are sometimes buried or hung from trees pests from entering. or eaves. In some regions seed stores are constructed underground to protect against rodents and high temperatures. Closed storage Closed storage structures are suitable for storing seed because Bancos are traditional closed storage containers made from mud of the mud’s excellent insulation capacity, which allows the main- (often mixed with chopped straw or twigs) or woven with grass, tenance of a stable temperature and humidity inside the container, branches, bamboo, etc. and then insulated against pests with mud. preventing seed deterioration. Seed should be placed in the contain- Bancos have been used successfully in Malawi, Mozambique and ers after it has been properly dried to the right moisture level. 37 Tanzania for storing grain and seed for sorghum, millet, pulses,

© FAO/Ado Youssouf Figure 20: Bancos Modern storage facilities the easiest to find in the local markets. The best storage bags are jute bags or UV-stabilized polypropylene bags with a special The storage grain bag weave, which is anti-slip and allows for aeration. Seed should be The ordinary grain bag is the most common form of storage for treated before being put in storage bags to protect it from insect shelled grain and seed in southern Africa among small-scale farm- infestation, although proper storage will reduce these risks. ers. Grain bags are an excellent and affordable storage system that meets the main requirements of safe storage: they enable aeration, Modern or adapted granaries avoid spillage and prevent infestation. The construction of modern granaries is often not a cost-effective Not all bags are suitable for storage; plastic bags (with the option for small-scale farmers who will prepare traditional and exception of specialized hermetic storage bags) are not suitable inexpensive storage facilities made with local means. Taking into for storing grain or seed because plastic impedes the circulation account the limited production that can be expected from individual 38 of air. Tightly woven polypropylene bags are also not suitable farmers in southern Africa, and therefore the little quantity to store because they do not allow sufficient ventilation, but they are often at a household level, there is probably little use in promoting durably

Figure 21: Grain stored

© FAO/Olivier Asselin © FAO/Olivier Asselin in bags constructed infrastructures. In hazard-prone areas, efforts should While the construction of community storage facilities may be be dedicated to adapting traditional storage systems to reduce easily accomplished respecting basic technical specifications, the losses if a crisis occurs, such as elevated or hazard-resistant facilities. bottleneck is usually the management of these infrastructures by However, in cases where farmers come together to pool their the community, assuring a fair representation of all the members of production in a single storage facility, either community ware - the community (including women and most vulnerable), and setting houses, seed pass-on programmes or community gene banks or up management procedures and regulations that clearly define the seed banks, the construction of specific facilities for storage may be roles and responsibilities of the individuals. justified. In the construction of community storages in hazard-prone areas, there is a need to have specific technical considerations, Modern cribs mainly regarding the site and orientation of the construction (e.g. The modern crib is an improved adaptation of the traditional crib: avoiding lowland areas that may get flooded) as well as the con- it stands on brick supports, it is more durable when built from hard struction methods (elevated platforms, reinforced walls and pillars wood and it is more protected with a solid roof, while maintaining 39 in cyclone-prone areas, etc.) good ventilation through a mesh wire surrounding the structure. Like

Figure 22 (left): Modern storage

Figure 23 (right): A

© Cephas Taruvinga modern crib the traditional storage crib, it is semi-open and suitable for drying and power. Before placing the grain or seed inside the silos, it must be storing cobs, and it has been successfully used in southern Africa. dried to a safe moisture level. Apart from being effective in storing grain, the metal silo has Metal silo bins also the advantage that it is portable, requires little space, and can Small metal silo bins (including recycled oil drums) which can hold be cheaply made from local material and expertise. The silo can 100 to 3 000 kg of grains or pulses, are developing as an efficient last long if well maintained. and low-cost storage system suitable for small-scale farmers. These silos are loaded from the top, and once closed they are inaccessible Hermetic bags by rodents or insects, and can be properly sealed against water The hermetic bags are a relatively new development. These are leaks. They are normally covered, raised from the ground and placed hermetically sealed bags or cocoons of various sizes (50 kg–300 in a well-ventilated place to control both temperature and humidity. MT); they offer an interesting alternative to traditional storage. 40 Small metallic silos can also be used for seed storage, but they The hermetic bags work on the principal that grains release carbon must be situated in a cool place, under a roof or in a shed to prevent dioxide which rapidly replaces the oxygen in the sealed container. overheating of the seed that can result in reduced germination Once oxygen is exhausted, the pests die and fungi cannot spread.

Figure 24: © FAO/Christena Dowsett © FAO/Seyllou Diallo Metal silo bins Basic steps for appropriate silo use

1 Dry the grain to 14% 2 3 moisture or less Place the silo under Clean and dry the cover and on a pallet (according to type of inside of the silo grain) before placing it in the silo.

6 For every 225 litres of 5 4 volume, place one Seal the silo with 41 Introduce the grains or seeds to be stored aluminium phosphide adhesive tape or rubber tablet on the grain in bands an open paper bag

Check for three hours 7 8 9 that there is no gas Inspect the condition of Remove the grain as leakage and leave for at the grain every 30 days needed and replace least ﬁve days and replace the seal the seal For these sealed units to work effectively, they need to be com - the bag. Although these bags have not been tried in the field in pletely filled quickly and only opened when the entire contents southern Africa, they are a promising storage solution for small- have to be used. scale hazard-prone farmers, mainly for storing low volume, high The hermetic bag is very suitable for seed storage, since it value products like seed. can be sealed airtight ensuring that a stable condition suitable for seed storage is maintained. To ensure that the seed does not Small containers absorb moisture during the long storage period, silica gel is added Jars or tins that can be made airtight can be used to store well-dried to absorb excess moisture. An indicator colourant is added to the seed. Such containers are feasible for storing vegetable seeds or silica gel so that it changes colour when it needs to be replaced. other crops that require small amounts of seed. The bottles or tins of ordinary household products bought from local shops can Insecticide-treated bags be used for this purpose and candle wax can be used on the lid 42 Insecticide-treated bags are woven polypropylene bags developed to make a good seal, creating a suitable micro-environment for to store cereal grains, pulses, oilseeds and seeds. An insecticide is the storage of small quantities of seed. Since the containers are incorporated into the individual fibres, providing a powerful killing small, they can easily be placed in a cool place where they are not action against insects before they can infest the grain or seed in accessible to rodents.

Figure 25 (left to right): A hermetic bag and small

osses associated with inadequate post-harvest and storage stable and appropriate conditions of low temperature and relative practices have an important impact in the economy and the humidity inside the storage facility, as well as keeping the moisture Lfood and nutrition security of small-scale farmers in southern content of the stored grain and seed under safe thresholds. Africa. These losses can be aggravated in times of natural disasters As a complement to this, the implementation of preventive such as floods, cyclones or pests, leading to devastating effects at principles of IPM and appropriate conception and construction of household level, undermining the capacity of rural communities to storage facilities will help to reduce the risk of a pest infestation overcome these crises and impeding an early recovery after the shock. and the associated losses, leading to a significant improvement The implementation of appropriate storage systems, both meth- of small-scale farmers’ economy and food and nutrition security. 43 ods and facilities, have therefore an important role in an increased resilience for rural communities, and interventions in this regard need to be considered when implementing a disaster risk reduction programme in hazard-prone areas. The storage of grain and seed needs to be addressed from a value-chain perspective, as some of the main factors that impact storage start in the field (preharvest) and in the handling of the produce before the storage (postharvest handling). To ensure the right execution of prestorage activities such as harvesting, drying, threshing or cleaning, among other operations, will help farmers to meet appropriate storage conditions, as well as reduce the risk of insects being taken inside the storage facility. An important part of the efforts to reduce insect infestation and mould development in the stored grain are centred on ensuring 4. Bibliography and References for Further Reading

CTA. 1997. Larger grain borer, Technical leaflet; GASGA. FAO. 2009. Compendium on Post-Harvest Operations, Food and Agricultural Organization of the United Nations. David D. 1978. Manual to improve farm and village-level grain storage methods GTZ. FAO. 2009. On-Farm Post-Harvest Management of Food Grains: A Manual for Extension Workers with Special Reference to Africa, Dobie, P., C.P. Haines, R.J. Hodges & P.F. Prevett. 1991. Insects Food and Agricultural Organization of the United Nations. and Arachnids of Tropical Stored Products. Their Biology and 44 Identification. TDRI, Slough, 273 pp. FAO. 2013. Information on Post-harvest operations INPHO. Available at: http://www.cd3wd.com/cd3wd_40/INPHO/DB_LOCAL/ D.W. Hall. 1969. “Food Storage in Developing Countries,” J.R. Soc. PHOTOBAN/EN/P251_300.HTM. Arts, 142: 562–579. FAO. 2013. World Bank workshop on reducing post-harvest losses EcoPort. 2014. www.ecoport.org in grain supply chains in Africa. Lessons Learned and Practical Guidelines. Available at: http://www.fao.org/ag/ags/ags-division/ FAO. 1979. Food Storage Handbook on Good Storage Practice. publications/publication/en/c/47978/ FAO, Rome, 58 pp. Fellow P. 2011. Measuring the moisture content of foods. Practical FAO. 2008. Household metal silos key allies in FAO’s fight against Action Publishing, Vol 1 No 2. hunger; Agricultural and Food Engineering Technologies Service. G.G.M. Schulten. 1975. ”Losses in Stored Maize in Malawi (C. Africa) and Work Undertaken to Prevent Them,” EPPO Bull. 5, no. 2: 113–120.

Golob, P. 1977. Mixing insecticide powders with grain for storage, Rural Technil. Guide, Trop. Inst., no 3.

Gwinner J Harnisch R. Mück. 1996. Manual of the prevention of post-harvest grain losses GTZ.

Hayma J. 2003. The storage of tropical agricultural products Agromisa Foundation, Wageningen. 45 Taruvinga C. Walker S. Guantai S. 2011. Staple Crops Storage Manual ACTESA/COMESA.

World Bank. 2011. Missing food: The case of post harvest grain losses in Sub-Saharan Africa, Economic Sector Work, Report No. 60371-AFR. © FAO/Olivier Asselin Annexes

Annex 1: Storage checklist Warehouse – internal Are walls structurally sound, clean and as smooth as possible? Storage site Is the roof inside in good repair? Is the site generally clean and tidy? Are windows and ventilators in good condition and screened to Are the areas adjacent to the store clear of vegetation and refuse? prevent access by birds and rodents? Is there evidence of rodent and termite activity? Are doors sound, well-fitting and secure? Is drainage and flood water disposal satisfactory? 46 Are rodent barriers in good condition and in place?

Warehouse – external Are floors smooth and crack-free? Are walls structurally sound? Is there any evidence of insect infestation?

Is the roof in good condition? Storage practices Are windows and ventilators in good condition and screened to Are insecticides, fertilizers and other products stored separately prevent access by birds and rodents? from the grain? Are doors sound, well-fitting and secure? Are rodent barriers in good condition and in place? Are the ventilation openings protected against the penetration of insects, rodents and birds? Are eaves and guttering free of birds’ nesting materials? Annex 2: Determining dosage rates for dusting powders Example: Grain to be treated: 500 kg Small granaries, store or silos are best treated using dusting powders and this can be done layer by layer as the grain is put into the The recommended application rate is: 50 g/100 kg store or an admixture is done where the whole shelled grain is Calculation: (500 kg/100 kg) X 50 = 250 treated before putting the grain in storage. The amount of insecticide used is based on the quantity of the 250 g of the dust formulation is required to treat 500 kg of maize grain to be treated. The following weights of common grains per cubic metre help in estimating the quantity of grains

Grain Kg per cubic metre Maize cobs 500 kg 47 Maize grain 800 kg Paddy 500 kg Unshelled groundnuts 352 kg Rice 864 kg Millet 624 kg

After establishing the quantity of grain to be treated, the amount of insecticide is determined as shown below: ◼ Note the application rate as shown on the label and calculate grams of dusting powder per 100 kg of grain. ◼ Divide the amount of grain to be treated (in kg) by 100. ◼ Multiply by the application rate for 100 kg. © FAO/Sarah Elliott Funded by:

Coordinator:

ISBN 978-92-5-108334-5

9 78925 1 0 8 3345 I3769E/1/04.14 Mobile Health Technology

KEY PRACTICES for DRR Implementers Mobile Health Technology: Key Practices for DRR Implementers

Cooperazione Internazionale, Milano – Via De Lemene, 50 20151 – Italia – [email protected], Tel. +39.02.3085057 – Fax. +39.02.33403570

This document was prepared by Cooperazione Internazionale (COOPI).

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

ISBN 978-92-5-108338-3 (print) E-ISBN 978-92-5-108339-0 (PDF)

Author Paola Fava, Engineer, Innovation Technology Consultant, Cooperazione Internazionale Photos Margherita Dametti and Davide Montenovi; ilmaestroemargherita.it Series coordinators Javier Sanz Alvarez and Erin O´Brien Design and layout Handmade Communications, [email protected] Mobile Health Technology

n 2013, Cooperazione Internazionale (COOPI) adopted a specific these areas of intervention, promoting the use and development policy a specific environment and disaster risk reduction policy.1 of research. IThe main goal of the organization is to increase communities’ ◼ Natural resources conservation and DRR-oriented land and institutions’ resilience by promoting environmental sustainabil- management: orienting land management interventions’ focus ity, fostering participation, and integrating prevention, mitigation towards protection and appropriate resource management 02 and preparedness actions. COOPI aligns itself with international through interventions on protection, value, efficient use and legal frameworks such as the Kyoto Protocol (1997), the United optimization of land. Nations Millennium Declaration (2000) and the Hyogo Framework ◼ Capacity building and knowledge transfer enhancing com- for Action 2005–2015. COOPI enacts these frameworks using munities’ and institutions’’ capacities is essential. COOPI stresses experience and knowledge in three key concepts: environmental the importance of empowering emergency management struc- sustainability, participation, and the integration of prevention, tures both at the institutional and at community level through mitigation and preparedness. COOPI uses six well established ap- decentralization strategies. proaches to implementation: ◼ Education, communication and information combining edu- ◼ Land analysis and information system: an essential tool for cation, communication and information to create a culture of crisis and risk management, which allows the optimization of risk management. resources. COOPI has developed a series of good practices in ◼ Risk mitigation and supporting infrastructures: strengthening responses, mitigation and early recovery by identifying vulnerable and useful resources. ◼ Scientific research and know-how transfer: establishing rela- 1 Policy available on: http://www.coopi.org/repository/pagine/coopi_ambi- tionships with DRR academics, scientific institutions and bodies ente_2013.pdf for: alternative energies innovations, monitoring methodologies and vulnerability analysis, natural hazard sassessment, sharing good practices etc.

The Mobile Health Technology: Key Practices for DRR Imple - menters resource toolkit presented here provides support to DRR practitioners in the development and management of mobile-health projects in the context of DRR. Particularly, the tool is based on the lesson-learnt from COOPI’s five years of experience in the use of mobile technology applied to the health sector in rural context in the southern Africa region. The toolkit also includes references to practical experiences in Malawi and Madagascar. The toolkit and 03 additional resources and linkages to mobile-health web-applications developed by COOPI are also available at www.seadrr.org

Tiziana Vicario DRR & Environment Focal Point International Programs Planning & Innovation Office Contents

Acronyms and Abbreviations...... 05

Preface...... 06

1. Introduction...... 07

04 2. Field-Based Implementation of mHealth Projects...... 12 3. Practical Examples to Guide Implementation...... 19

4. Bibliography and References for Further Reading ...... 27 Acronyms and Abbreviations

COOPI...... Cooperazione Internazionale CSB...... centres de santé de base DRR...... disaster risk reduction FAO...... Food and Agriculture Organization of the United Nations GSM...... global system for mobile communications GPRS...... general packet radio service HSA...... health surveillance assistant 05 IMCI...... integrated management of childhood illnesses MdM...... Médecins du Monde mHealth...... mobile health NGO...... non-governmental organization OCHA...... United Nations Office for the Coordination of Humanitarian Affairs ODK...... open data kit SMS...... short message service UN...... United Nations UN-Habitat...... United Nations Human Settlements Programme UNICEF...... United Nations Children's Fund

Preface

obile phones are used in international development Although the potential for mobile health (commonly known and disaster risk reduction (DRR) programmes by non- as mHealth) projects is huge, it is also easy for such projects to Mgovernmental organizations (NGOs), the United Nations fail and the risk of creating elaborate but unsustainable tools or (UN) and international agencies to collect data about many different systems is very high. To prevent this from happening, it is neces- subjects, such as agriculture, micro-credit and finance. Likewise in sary to implement an accurate risk analysis; to have a clear vision the health sector, the potential for mobile technology to make an of the context of intervention; to know the stakeholders involved, impact is immense. In the health sector, mobile phones, tablets and including government bodies and, when information starts to other devices are not only data-collection tools; they can support flow, to ensure that the capacities for an organized response are 06 health staff in the diagnosis of patients’ illnesses, by using specific in place, if needed. In addition, some ‘technical’ issues need to algorithms that can be embedded into the devices, and they can be taken into account, such as network coverage, familiarity with spread awareness messages or health alerts to health practitioners technology and staff turnover. If all of these considerations are and to patients. In recent years, sophisticated software has been clear to the implementing organization then, in the long term, developed to allow mobile phones to operate almost like medical the value of the benefits will exceed that of initial efforts and devices, changing the way health care is delivered to patients. investments. In the context of disaster risk reduction, it is extremely im - Italian NGO Cooperazione Internazionale (COOPI) is at the fore- portant to have access to real-time health-related information to front of testing and implementing these technologies, particularly monitor disease outbreaks (such as cholera) or when health centres in flood-affected communities in Malawi and cyclone-affected run out of medicines. In this regard, the use of mobile phone com- communities in Madagascar. This technical brief presents the steps munication helps to collect and transfer information from rural followed in using mHealth in these two examples and presents health facilities to central hospitals much faster and more efficiently. some of the lessons learned in the field. 1. Introduction

obile phones are no longer devices limited to voice calls and SMSs. MThey have evolved into affordable, sophisticated, ‘smart’ tools that are now also used to connect users to the Internet, to send e-mails and to engage in social networking – i.e. to transfer data. Accord- ing to the Cisco Visual Networking Index, global mobile data traffic has doubled for 07 the fourth year in a row since 2009. The report estimates an 18-fold increase in global mobile data traffic between 2011 and 2018 (Cisco, n.d.). This has been achieved thanks to improvements in the telecommunication sector: the global system for mobile communications (GSM) network was surpassed by the more advanced general packet radio service (GPRS) (2G) connectivity, followed by 3G and we have now entered the 4G era. National telecommunication companies all

Figure 1: Drugs being distributed at village clinics in Malawi around the world have been constantly working to provide faster, ◼ help health operators to minimize computational errors, copying more affordable solutions with extended network coverage in errors and missing data; both urban and remote areas, including low-income and under- ◼ provide health care staff with additional tools that can assist in developed areas. diagnosing patients’ illnesses; The devices themselves are also becoming progressively more ◼ act as a supporting tool for emergency situations; affordable, which makes mobile phones and smartphones, as well ◼ facilitate data analysis and elaboration, including for research as tablets, more accessible to different segments of the popula - purposes; and tion. Increased affordability has also led NGOs and other partners, ◼ save lives, above all. worldwide, to invest in mobile technology and systems as field tools that provide them with real-time, cost-efficient data on which to base actions within a project or programme. 08 Although the objectives, content and user bases vary depending on the needs assessed at the beginning of a project by its various stakeholders, certain common characteristics and processes can be noted, as illustrated in the sections that follow.

Objectives of mobile health technology

The objectives of mHealth are to: ◼ expedite the transmission of information between stakeholders in the health sector;

Figure 2: mHealth projects around the world (source: GSMA) These objectives become clearer if we realize that mHealth Intended applications systems deal solely with digital information and aim to replace paper forms normally used at health facilities in developing In this section, a list of possible applications for mHealth projects countries. Therefore in mHhealth projects, computations are is presented. While not exhaustive, it provides some ideas and also automatically calculated, reducing the chances of calcula - suggestions to organizations interested in engaging in mHealth tion errors. Copying errors are minimized, as data is sent to technology. central hospitals in a digital format, facilitating its integration ◼ Stock management: Patients rely on the availability of drugs into existing databases without any further data entry processes. at health facilities for common but potentially life-threatening Data analysis or elaboration of results is made easier, and col - diseases, such as malaria, diarrhoea and respiratory tract infec- laboration between various partners who use data differently tions. When a health centre runs out of drugs, information and at different times can be encouraged. For example, col - should be transmitted quickly to central hospitals or pharmacies laboration between NGOs and other field-based organizations, 09 which collect data to monitor real-time situations in order to respond efficiently, and universities or other research institu - tions, which analyse and interpret the same information for policy recommendations or other future-based activities, can generate interesting results to plan future actions. In addition, in mHealth poor archiving, due to inadequate space and shelves, damaged registers and archives, is no longer an issue. However, the importance of frequent data backups and of storing data in different locations (e.g. servers, cloud technology, web-based storage services) to prevent data loss cannot be understated.

Figure 3: Paper reports are the most common way to collect and transmit health information where drug stock managers are in charge of organizing the outbreak information to geographic software that would al - response. To do so, they need to have access to stock level low the data to be mapped and geographical statistics to be information at all times. In many parts of the world, drug elaborated. quantity information is still collected using paper forms, which ◼ Identify and track patients: Once patients are diagnosed with increases the risk of delayed transmission of information to a specific health problem or disease, it is important to monitor central hospitals, of lost information (forms are often physically them and to record the evolution of their status. The mHealth transported from one health centre to another, sometimes ar- projects can help with this monitoring, because they make it riving at the incorrect facility) and of typing and computational easier to track returning patients and view their health history. errors. It is not unheard of that lives have been lost because A message system may be developed to remind both health information was not transmitted timeously. staff and patients automatically about follow-up visits. ◼ Disease surveillance: Diseases can be tracked more effectively 10 and efficiently with new technology. In developing countries or in remote areas, information is most often collected on paper forms, which may or may not be entered into a centralized system (at clinic level or at ‘headquarters’ level) that would raise the alarm if a certain disease was becoming prevalent in the catchment area. With mHealth technology, the same information is recorded in digital format and immediately transmitted. Ad hoc mHealth applications may be developed to trigger alert messages to personnel in charge of response, as well as to disseminate prevention messages to targeted populations. This can contribute to containing disease outbreaks and ultimately to saving lives. Furthermore, it could be interesting to link disease

Figure 4: Drug distribution at Chankhwa Village Clinic in Salima, Malawi ◼ Awareness campaigns or reminders: Mobile phones are often used by organizations or health institutions in developing countries to spread health-related messages (e.g. HIV and maternal health care messages) within a community. In fact, despite the precarious living conditions of the majority of the population, at least one person (often more) in the village has a mobile phone. Bulk SMS systems may be used for health campaigns and alerts or personalized SMSs may be used to remind patients about specific issues. If patients do not own a mobile phone themselves, messages can be sent to health promoters in the village who are then in charge of delivering the message to the specific person or to the community. This happens often in 11 relation to maternal health or nutritional issues. ◼ Diagnostic tool: Evolution in computer and mobile technology has increased the potential of mobile phones, transforming them from simple data collection tools into proper medical devices. Smartphone applications can include algorithms that assist health operators during patient visits by providing guide - lines for diagnosis and treatment. At the top of the technology wave, a team of eye specialists in Kenya uses specially designed mobile phone applications to conduct diagnoses and treatment of people living with eye problems (Okutoyi, 2013).

Figure 5: Health awareness campaign in Kasache Village, Malawi 2. Field-Based Implementation of mHealth Projects

hile well worth the investment, it should be noted that it is not 1. ‘Simplicity is the highest sophistication’. Do not look for easy to implement mHealth systems. This section provides complex solutions; most often simple options produce the best Wsome input for the identification of an appropriate mHealth results. Simple SMS may suit the purpose of your mHealth system. If option and how to approach mHealth project implementation. the amount of information to be collected and sent is a determining factor, then a smartphone may be the most appropriate solution. In Key principles for mHealth any case, whether the mHealth project is based on SMS or smartphone applications, make sure that the device is easy to use, data These are the key principles that ensure the development of a good collection forms are easily understood by compilers and data entry 12 mHealth project: is made as easy as possible. 2. Do not re-invent the wheel. Many mHealth software options exist; check these before investing in developing something new and specific for a single intervention. For example, open source software solutions (open data kit (ODK), OpenMRS, Kobo and CommCare, etc.) are freely available and are already being used by many organizations. Instead of trying to develop something from scratch, investing time in researching various options can help to find the best solution for a project, perhaps needing only minimal customization.

3. Use step-by-step implementation. Many mHealth projects start off as pilot projects and then, after a short period of time, 13 they are rapidly scaled up to a much bigger region or even nation- ally. It is very important to proceed on a small-scale and expand incrementally, step by step, instead of beginning with something unmanageable. Start with a few villages and, little by little, expand to a larger scale. This will give the project manager time to address critical matters that may arise during pilot implementations before facing bigger issues related to the increasing number of users.

4. Involve all stakeholders in the system from the beginning. Objectives and results to be achieved through an mHealth system

Figure 6 (opposite and current pages): Community health workers record medical information using mobile phones need to be clear for all the parties involved from the onset phones to collect data for the sake of having information stored at of such a project. On the one hand, data collectors need to a central level; rather, it is about improving the overall health care understand the reasons behind the introduction of the new information management system. In particular, the main objec- system; on the other hand, health staff who are monitoring tive of mHealth should be to ensure the delivery of a relevant and the information need to understand their roles and to be put in efficient response to the issues being monitored. Therefore, if a position to organize a response, if needed. With proper consulta - situation arises that requires an alert, the appropriate stakeholders tion, stakeholders are much more likely to ‘buy-into’ the system, should be on board to facilitate its approval and delivery or, if which prevents it from being a once-off or a trial project, and someone asks for information gathered in your mHealth system, encourages its inclusion as part of a clear strategy planned by you need to be able to respond accurately and quickly. all the involved stakeholders. 7. Motivate users by involving them in the bigger picture. 14 5. Include a feedback component. When implementing an mHealth Try to organize meetings between the different players in the system, users will often wonder about the effective transmission of system and to keep them updated on its progress. Health staff information and whether it is well received. From the design phase of members involved in such a project usually feel very motivated, the mHealth system, remember to include a feedback component that especially in the initial phase. It is important to maintain their confirms receipt of information sent by data collectors. It is common motivation throughout the project to achieve the best results for new users to make mistakes relating to touch screen functions from the system. when using smartphones, because they may not yet be used to the new technology, so ensuring that they know if their inputs have been Activities and key steps required in the field received is important. An additional function that allows users to check data before sending is also a useful tool to be integrated in the mHealth Nine steps can be identified when implementing a mobile health system to help encourage data accuracy. project:

6. Ensure you have capacity. Do not launch an mHealth service Step 1. Identify the objective unless you have the ability/capacity and resources to act on incom- First, identify what the mHealth system is meant to achieve and ing information. An mHealth system is not just about using mobile what its longer-term impact should be. This helps to define the elements (mobile device, web interface, etc.) needed for the imple - sea of mHealth applications and that can guide you in the selection mentation of the project. This phase will also include a cost of the best application according to some common criteria. After analysis of the system to be able to have a clear picture of the having identified the right solution for your system, you will also system as a whole both in objective and economic terms. have a clear picture of the type of telecommunication service you will need (e.g. SMS, data transfer, etc.). Then it is time to look for Step 2. Look for the best solution: it may be out there already the best network service provider for the context. It may be quite Search on the Internet, do a literature review, ask colleagues or difficult for a single NGO to approach national telecommunication other organizations that may have already implemented similar companies directly, but if an mHealth national group exists (as in projects. There are also websites that can help you to navigate the Malawi), especially if it is coordinated by the Ministry of Health, then

15 STEP Identify STEP Testing the STEP Implementing 1 the objective 4 system 7 step by step

STEP Look for the STEP Set up the STEP 2 best solution 5 devices 8 Monitoring

STEP System STEP STEP 3 development 6 Training 9 Hand-off

Figure 7: Village Clinic Monitoring System workflow the chance of success is high. However, to make telecommunication Step 5. Set up the devices companies interested in the project, a strategy that ensures the Once the testing has been completed, you can start to set up the visibility of their brand (e.g. on devices or at the end of SMSs) should devices by installing the software, if required. Do some additional be central to the use of the system and should be promoted during data collection and transmission test before distributing the phones project implementation. to users.

Step 3. System development Step 6. Training At this stage you need to customize the solution that you have At this point, health staff can be trained to use the devices and chosen in Step 2. This may require some programming work that software. The duration of the training depends on the type of can be done internally within the organization, if it has the capacity mHealth system you are implementing; however, usually a few days to do so, or by outsourcing the service from specialized companies. of hands on training should suffice. Little time should be spent on 16 The development phase may include two components: develop - the theoretical parts of the system, and most of it should be dedi- ment of the web-application (webpage for data visualization and cated to practical exercises. Make sure that every student has fully analysis) and development of the mobile application (data collection understood how to collect, review and send data. Collaboration through mobile technology). Sometimes it is possible to find solu- between students is also a great way to learn and discuss common tions where mobile and web application components are already issues or challenges, both during the training and afterwards during integrated (e.g. Kobo). field implementation.

Step 4. Testing the system Step 7. Implementation step by step Once the development of both the mobile and the web application Now it is time to start the implementation. Remember to start small, is completed, it is time to test if the system works properly. Test both in terms of the number of users and the area to be covered the system at the office first and on the field afterwards in order to by the system. During the initial phases, field monitoring is critical verify if there are no network issues that may need to be addressed to be able to assist the data collectors as much as possible. In this before moving on into the implementation phase. phase, some critical issues may arise: try to address them before moving forward or scaling up the project. Step 8. Monitoring Although information collected through the mHealth system may be available online and therefore can be monitored from a distance, it is always good practice to frequently visit to the intervention sites for continuous monitoring and get feedback about issues that may arise. Poor network connectivity; mismanagement of the smartphone, such as deleting saved forms or applications, etc. are challenges that have been identified in past project monitoring, and identify the need for refresher trainings to make sure that the methodology for filling the forms has been fully understood.

Step 9. Hand-off 17 You are now ready to hand over the system to local institutions or partners. When doing so, ensure that they have sufficient training and capacity to take on this responsibility. At this stage it is necessary to discuss data management issues: consider how and where this information is stored, protected and whether and how it might be used in the future.

Figure 8: Basic smartphone used at village clinics Technical considerations and specifications known responses numerically, or by using drop-down menus or multiple-choice questions, so that users do not have to type Apart from the key principles previously discussed, there are also full words. some technical issues to be taken into account when implementing ◼ Network availability. In remote areas, network coverage may an mHealth project: be an issue; however, this need not be an inhibiting factor as ◼ Choose the right device. For example, when the quantity of solutions exist to overcome this problem. Embedded systems information to be collected is limited (not exceeding 160 charac- can collect data in forms, store it and send it when connection ters), SMS systems, requiring simple basic GSM phones, can be is available, or it is possible to use small antennas in order to used. Many mobile health systems (i.e. Rapid SMS, (UNICEF)) are amplify a communication signal where this is present but it is based on the use of coded SMS, with each character or group not strong enough. It is also possible to involve telecommunica- of characters representing a specific piece of information (the tions companies directly to work towards the improvement of 18 name of a drug, its quantity, etc.) that is then transferred to a network connectivity in remote areas. server and stored in a database. If more significant or detailed ◼ Smartphones’ battery life. mHealth projects are usually im - data is required, it is advisable to use other types of devices plemented in remote areas where access to electricity may also such as smartphones or tablets. Java enabled phones are also be a challenge. This issue is particularly critical for smartphones used as they have an user interface similar to the traditional that have a very short battery life although advancements are phones but enable forms to be filled and sent through GSM being made to improve battery life. Solar chargers may be an network (FrontlineSMS). However, considering that the price of alternative but the cost-benefit ratio of devices currently avail- smartphones is continuously reducing and it is now comparable able on the market should still be improved. to Java enabled phones, it is advisable to choose smartphones. ◼ Costs. Money can be an issue as phones must be topped up in ◼ Limit chances for mistakes. One of the key challenges of order to send messages or data. Although one may think that digital information is that typing errors can make information SMS would be a cheaper solution compared to using packet invalid, as the database or software cannot recognise it. It is data from smartphones, in the long run the former is more therefore extremely important to limit the room for mistakes expensive. Phone service providers provide many cost effective as much as possible. This can be done by coding anticipated/ solutions for data transfer. 3. Practical Examples to Guide Implementation

Specific context in southern Africa efforts in order not to replicate initiatives and to encourage col - laboration more impact and more efficient results. A good example lthough mHealth is still quite a new practice, there are of this coordination is happening in Malawi, where an mHealth several experiences in the southeast Africa and the Indian group exists at national level, supported by the Ministry of Health AOcean Region. In most cases, we are talking about isolated with the objective of sharing experiences between organizations initiatives, developed independently by different organizations, and coordinating efforts between partners. sometimes even in the same areas or villages; this can, at times, Many of the available mHealth projects in the region focus on create confusion for health staff. There is a need to coordinate collecting information from remote health centres and sending it 19 to district hospitals. For example, many mHealth projects in Malawi are related to Integrated Management of Childhood Illnesses (IMCI) programmes, where under-five health conditions are monitored in remote health facilities (village clinics). Stock monitoring is also another important area of implementation, particularly interesting in the context of DRR.

Experiences in southeast Africa and Indian Ocean Region

COOPI has been implementing two mobile health pilot projects 20 in two countries in the Southern Africa and Indian Ocean Region: Malawi and Madagascar.

mHealth system in Malawi

Since 2009, COOPI has been testing the use of mobile technology in Malawi, particularly in Salima District. Since the programme’s inception, technology has improved quickly and to keep up the tools used for this programme have been changed and improved accordingly, moving from Windows to Android mobile phones, from Excel and emails to electronic forms (Open Data Kit (ODK))).

Figure 9: Data collection at a village clinic The system currently used in Malawi aims to improve monitoring Village clinics are run by government staff, Health Surveillance disease outbreaks and stock management at village clinic level. Assistants (HSA), whose task is to carry out basic visits, especially Village clinics are small health posts located in remote villages and for under five year olds and to supply basic medicines (i.e. co- referring to health centers, which then report to District Hospitals. trimoxazole, zinc, paracetamol, eye ointment, etc. ). Once a month, In Salima COOPI implemented the mHealth project in three sites HSAs have to send reports about the stock levels and the number (Chankhwa, Mbulu and Pemba) which refer their data to Maganga of cases to the responsible health center. The current mHealth Health Center, which reports then to Salima District Hospital. These project replaces the previously paper-based information forms with locations were selected as they are affected by floods every year. electronic ones. The information flow is described in the graphic.

Health staff collects information 21 #1 about drug stock and disease #2 Data is transmitted to outbreaks malawi.coopi.org platform

Village Clinic Sms ODK App Server IMCI malawi.coopi.org

Alarms and reminder SMSs are sent Information is visualised #4 to HSA, IMCI and COOPI #3 on the webpage

Figure 10: Village clinic monitoring system workflow The system2 includes the following steps: 4. Finally, an SMS system for alarms and reminders is included. Particularly, there are two types of SMS that are automatically sent 1. Health Surveillance Assistant (HSA) is provided with an Android from the server to the HSA: smartphone including an ODK application. This allows HSAs to fill in a. SMS for out of stock alarms: SMS and email are sent to the specific forms and send the information to a server through mobile responsible of the health centre and to COOPI, in the event of data connectivity. HSAs fill two types of form: drug depletion; a. Drug stock form, with the same structure as the paper form i.e. TEXT: 08/2012, Biwi is out of stock of: LA1,LA2,COTRI…. used by the Ministry of Health. b. SMS for reminding HSAs about patient follow up: SMS is sent b. Child visit form, this is an algorithm that guides HSA in diag - to the HSA, IMCI coordinator and COOPI staff with the names nosing child’s disease and providing warnings in case of danger of the children to be followed up on that specific day; signs or suggestions about child treatment. As with the drug i.e. TEXT: REMEMBER TO follow up on Andrew, Tom…. 22 stock form, the form has the same structure as the paper one provided by the Ministry of Health. Some of the key strengths of the system are: ◼ improving timeliness of reports, both in terms of sending and 2. Once collected, information is sent by GPRS local network receiving; (or GSM for SMS component), to a dedicated server where it is ◼ allowing real time monitoring of village clinics’ information; stored in a database; if network is poor at the village clinic site, ◼ identifying and monitoring important indicators defined in information is saved and automatically sent once GPRS network is agreement with the Ministry of Health (referral due to out of available. stocks, follow up percentage, etc.); and ◼ sending alarms and reminders via SMS to inform directly health 3. A website is linked to the online database. The web page is operators. accessible at the link: malawi.coopi.org (login required) and includes three main sections: a drug stock page, a disease page and a child visit The system has been running in Malawi for the past year. It was page; all of them include maps, statistics, warning messages, etc. designed initially according to the guidelines promoted by UNICEF and the Ministry of Health. Before developing the mobile application 2 Developed in collaboration with gnucoop, www.gnucoop.com and the web interface, several meetings were organized to define the details of the applications properly. Village clinic staff was trained mHealth stock monitoring system in Madagascar over one day on the use of smartphones to fill in the forms; the staff assimilated the information, practices and tools quickly and they have In Madagascar, Centres de Santé de Base (CSB) are at the base of been able to send reports monthly. However one of the issues that the health system. They are mostly located in remote and rural ar- emerged during the project implementation was the high number of eas. The transmission of information through paper forms between children HSAs are expected to visit each day – sometimes up to 50. CSB and central health structures can be difficult, particularly in the HSAs have to fill in both paper forms, as per government guidelines, event of an emergency or during the cyclone season, when roads and electronic forms. This takes time and it may discourage the HSA may not be passable. from filling the electronic forms as mothers with sick children need The COOPI mHealth project, run in collaboration with Medicines to be assisted quickly. Therefore, until the electronic tool replaces the du Monde (MdM), involves 37 CSBs in the region of Sambava in paper one, duplication caused by the use of both elements could be north east Madagascar, a zone frequently affected by cyclones. a burden rather than a benefit to the process, especially if operators It is very difficult to monitor quantities of drugs available at any 23 are not used to the new technology. given time in the CSBs in the region; sometimes, when drugs are Furthermore, one of the main challenges has been the involve- depleted at one clinic, they are ordered from Antananarivo (more ment of the District Hospital to constantly monitor the information sent by mobile phones and to take actions if needed. This is not happening regularly and therefore the potential of the system is not yet fully realized. In future actions, the involvement of hospital staff in the use of this technology is required, and it would be interesting to integrate the system into other health monitoring programs.

Figure 11: Distributing medicine for under-five year olds at village clinics Health staff collects information Data is transmitted to the Ushahidi #1 about drug stock and disease #2 platform. SMS are transformed in outbreaks emails and reports

Village Clinic Sms Server

24 MdM and MoH RESPONSE

Ushahidi platform

Drug reports are visualized #3 and validation on the Ushahidi platform by the health supervisor Figure 12: mHealth Sambava stock management system workflow than 1,200 kilometres away) even though they may be available at ◼ Ushahidi web interface (Ushaihidi): this is an open source ap - a neighboring clinic. This causes delays that could be easily avoided plication that can be customized for personalized dissemination if information was made available through alternative systems. of information. It allows reports to be sent through email, SMS As such, an mHealth system has been put in place with the or social network and to be visualized on a map after been objective to monitor the stock of five main medicines (Paracetamol, approved by authorized staff; in this case only the SMS option Amoxiciline, Ibruprofene, Cotrimoxazole, Metreonidazole), as indicated has been used and reports have been monitored and approved by the Ministry of Health. The information flow is indicated in Figure 3. by medical personnel in charge of drug stock for the 37 CSBs. The mHealth system is based on three main components: ◼ Alarms for out of stock events: automatic emails and SMS are sent ◼ SMS: each character represents either the name of the drug, by the system to concerned staff in case of out of stock events. the date of the report or the drug quantity. The structure of the SMS used for Sambava project is shown in Figure 4. 25

Email Paracetamol Co-trimoxazole Amoxicillin Ibuprofen Metronidazole

[email protected],HMA01,5,par,100,cot,200,amo,300,ibu,400,met,300

Month of Quantity of Quantity of Quantity of Quantity of Quantity of CSB code report Paracetamol Co-trimoxazole Amoxicillin Ibuprofen Metronidazole

Figure 13: SMS structure - Sambava mHealth project The system was implemented between July and December 2013. is still quite difficult to integrate the mHealth systems into normal CSB have been using the system every month and the governmen- health care operations, increasing the risk that they only remain tal staff in charge of approving the reports had been constantly pilot projects instead of being further tested and then eventually monitoring the sent information. accepted, fully integrated, and scaled up. The case studies implemented by COOPI, demonstrate that However, some experiences combining simple health care needs mHealth tools can improve health care services in remote areas. with smart solutions, have gained the interest of government staff However their full potential has not been fully explored yet. Al - (i.e. Madagascar case study) who felt particularly involved and though some organizations are trying to introduce these tools into motivated and therefore fully adopted the system and monitored their projects, many are still quite sceptical; this is partially explained stock levels monthly, with no need for continuous reminders from by the fact that mHealth systems need constant monitoring, at least the NGO in charge of the project. Therefore possibilities for future in the initial phase, requiring time and dedicated resources. Also, it steps and developments may be explored. 26

Figure 14: Sambava mHealth staff training 4. Bibliography and References for Further Reading

CISCO (s.d.). CISCO Visual Networking Index. Tratto da http://www. NOMAD. (s.d.). Nomad onlineselection tool. Extracted from http:// cisco.com/en/US/solutions/collateral/ns341/ns525/ns537/ns705/ humanitarian-nomad.org/online-selection-tool-2/ ns827/white_paper_c11-481360_ns827_Networking_Solutions_ White_Paper.html Okutoyi, E. (2013). CEO Weekends:Doctors Using Phone App To Diagnose Eye Problems In Kenya. Tratto da TechMoran: http://techmoran. FrontlineSMS (s.d.). Frontline SMS. Extracted from https:// com/doctors-using-phone-app-to-diagnose-eye-problems-in-kenya/ frontlinecloud.zendesk.com/entries/24776631-FrontlineForms UNICEF. (s.d.). Rapid SMS. Extracted from https://www.rapidsms. 27 Gnucoop (2013). gnucoop. Extracted from gnucoop: www. org/ gnucoop.com Ushahidi. (s.d.). Ushahidi. Extracted from http://www.ushahidi. GSMA Disaster Response, S. a. (s.d.). Towards a Code of Conduct com/ – Guidelines for the use of SMS in Natural Disasters. Extracted from http://www.gsma.com/mobilefordevelopment/wp-content/ Vinci, L. d. Quote. uploads/2013/02/Towards-a-Code-of-Conduct-SMS-Guidelines.pdf Funded by:

Coordinator:

ISBN 978-92-5-108338-3

9 7 892 5 1 0 8 338 3 I3771E/1/04.14 Information and Knowledge Management

KEY PRACTICES for DRR Implementers Information and Knowledge Management: Key Practices for DRR Implementers

Cooperazione Internazionale, Milano – Via De Lemene, 50 20151 – Italia – [email protected], Tel. +39.02.3085057 – Fax. +39.02.33403570

This document was prepared by Cooperazione Internazionale (COOPI).

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

ISBN 978-92-5-108340-6 (print) E-ISBN 978-92-5-108341-3 (PDF)

Authors Hanitra Raveloson and Laurent Rajoelison, COOPI Madagascar Project supervisor and editor Paola Fava Photographs Ilmaestroemargherita.it Series coordinators Javier Sanz Alvarez and Erin O´Brien Design and layout Handmade Communications, [email protected] Information and Knowledge Management

n 2013, Cooperazione Internazionale (COOPI) adopted a these areas of intervention, promoting the use and development specific environment and disaster risk reduction policy.1The of research. main goal of the organization is to increase communities’ and ◼ Natural resources conservation and DRR-oriented land Iinstitutions’ resilience by promoting environmental sustainability, management: orienting land management interventions’ focus fostering participation, and integrating prevention, mitigation and towards protection and appropriate resource management 02 preparedness actions. COOPI aligns itself with international legal through interventions on protection, value, efficient use and frameworks, such as the Kyoto Protocol (1997), the United Nations optimization of land. Millennium Declaration (2000) and the Hyogo Framework for Action ◼ Capacity building and knowledge transfer: enhancing com- (2005–2015). COOPI enacts these frameworks using experience munities’ and institutions’ capacities is essential. COOPI stresses and knowledge in three key concepts: environmental sustainability, the importance of empowering emergency management struc- participation, and the integration of prevention, mitigation and tures, at both the institutional and at community level, through preparedness. COOPI uses six well-established approaches to decentralization strategies. implementation. ◼ Education, communication and information: combining ◼ Land analysis and information systems: an essential tool for education, communication and information to create a culture crisis and risk management, which allows the optimization of of risk management. resources. COOPI has developed a series of good practices in ◼ Risk mitigation and supporting infrastructures: strengthening responses, mitigation and early recovery by identifying vulnerable and useful resources. ◼ Scientific research and know-how transfer: establishing rela- 1 Policy available at http://www.coopi.org/repository/pagine/coopi_ambi- tionships with DRR academics, scientific institutions and bodies ente_2013.pdf for alternative energies innovations, monitoring methodologies frameworks. Specific sections are dedicated to geographic informa- and vulnerability analysis, natural hazard assessment, sharing tion systems (GIS), providing some key elements and guidelines in good practices, and so on. how to use geographical resources in the context of DRR. The toolkit is also available at www.seadrr.org. The Information and Knowledge Management: Key Practices for DRR Implementers resource toolkit presented here provides support to DRR practitioners in the management of information in the Tiziana Vicario context of DRR, referring to the fourth COOPI approach, described DRR & Environment Focal Point above. Specifically, the tool is based on the experience and lessons International Programs Planning & Innovation Office learnt during the information system set-up within the DIPECHO 03 Contents

Acronyms and Abbreviations...... 05

Preface...... 06

1. Introduction...... 07

04 2. Steps for Implementing an Information Management System for DRR...... 12 3. Practical Examples to Guide Implementation...... 23

4. Conclusion...... 33

5. Bibliography and References for Further Reading...... 34 Acronyms and Abbreviations

CI content information CMS content management system DRR disaster risk reduction ESRI Environmental Systems Research Institute GI geographic information 05 GIS geographic information system GPS global positioning system IKMS information and knowledge management system NGO non-governmental organization PGIS participatory geographic information system SADC Southern African Development Community UTM 36S Universal Transverse Mercator – latitude -36° – southern hemisphere

WGS84 World Geodetic System [established in year] 1984

Preface

n the context of disaster risk reduction (DRR) activities, informa- becoming increasingly prevalent and important in DRR, along with tion and communication are critical to inform decisions and to more traditional information-sharing media (web portals, reports, Iensure efficient reactions in emergency contexts. Humanitar- news, etc.). ian workers and decision-makers need to be connected to one Geographic information (GI) is also a critical aspect of an in - another to share information about ongoing activities, changing formation and knowledge management system (IKMS) for DRR, hazard contexts and to communicate with the general public and because the hazards affecting a population, the level of exposure at-risk populations. Information technology and communications and the response all require that DRR practitioners know precisely tools, as well as a system to manage the incoming information where an event is taking place, what is going on around it and how 06 and disseminate the knowledge resulting from these tools, are best to respond. Including the spatial dimension in the informa - tion is invaluable for efficiency in information sharing, mitigating negative impacts, early warning systems and emergency responses and to increase the accuracy of planning for and responding to hazardous situations. As a result, DRR stakeholders no longer communicate only with text, graphics and pictures; they can now call upon new technologies for managing geographic and real-time information to produce maps and simple tabular databases to pinpoint vulnerable people and places to facilitate an efficient and higher-impact intervention.

Figure 1: Information collected by mobile phones at Mbulu village clinics 1. Introduction

anaging ‘information’ is a delicate issue; indeed, we all ‘geographic’ when it can be located on the earth, and the tools know that those with information also have power. In this for managing this information are called geographic information Mregard, information is precious and necessary in order to: systems (GIS). GIS allows stakeholders to know exactly where a ◼ make decisions, and phenomenon has taken or will take place, to analyse which popula- ◼ prioritize interventions and activities in complex development tions are most affected or exposed and which infrastructures would contexts. be affected, and – more importantly – where to send and use specific resources. Decision-making and prioritizing actions are both particularly important Furthermore, GIS can facilitate the discussion between DRR in a disaster risk reduction (DRR) context, as the various actors in this stakeholders and the public. This is critical for DRR practitioners, 07 field need to have access to very specific and accurate information before intervening by mitigating, preventing or responding to natural hazards. Accurate information provides DRR implementers with a clear vision of what can and cannot be done and helps them to identify and reduce the various risks associated with actions. Information in its different forms is, therefore, a powerful strategic tool. As a result, it should be handled carefully and the possible impacts of sharing it should always be carefully considered and monitored. Special consideration should be given to geographic information (GI). Location is an important piece of information as it is an essential element for developing a strategy. Information is called

Figure2: River levels recorded manually as the public possesses a wealth of information about past and Objectives of information management and GIS recurrent disasters that affect their areas and the infrastructure and in a DRR context populations most at risk. By using GIS and participatory methodologies for community engagement, this information can be shared An information and knowledge management system (IKMS) refers easily with non-governmental organizations (NGOs), government to the collection and management of information from one or and other stakeholders to plan and execute well-informed interven- more sources and the distribution of that information to various tions to reduce the negative impact. audiences. For both the input to and dissemination of the infor - While several questions can be answered and different kinds of mation, different stakeholders are involved at multiple levels of challenges resolved using GIS, it does not require major financial interaction and consultation. Generally, the objectives of informa- investment or major capacity building, because sophisticated GIS tion management systems are to: software can be obtained and used through open access (i.e. free ◼ make information readily available and easily accessible; 08 of charge) and basic GIS knowledge can be acquired during a week ◼ share data and knowledge by facilitating the exchange data (includ- of training. ing geographical data) and documents in an interactive way;

Figure 3 (left): Stakeholders sharing information during the safe hospital workshop in Antananarivo

Figure 4 (right): Health-related information shared at Salima District Hospital ◼ educate and create awareness among the public or the target ◼ optimize the management of information for decision-making; audience; and ◼ expedite the flow of information between public and experts ◼ keep donors informed and support the decision-making process in both directions; and for future actions. ◼ share geographic data among various audiences.

These four main objectives are both complementary and interde- pendent: making information available will facilitate the sharing of Application of information management for DRR knowledge and expertise, thereby raising awareness and possibly leading to common and more coordinated, efficient and effective How an information management system is applied and used de- actions. pends on the objectives and the target audience. While the general As a core part of information management in a DRR context, objectives are outlined above, this section breaks down the various GIS plays an important role within the system as information is applications of information management and the audiences for 09 communicated by means of maps and tabular databases. Maps whom these applications would be of interest. It is important to are particularly useful to communicate specific information quickly, bear in mind that the innovation of an information management as they can depict several aspects of a disaster’s impact without system lies in its ability to serve different stakeholders in different requiring the audience to read lengthy texts; like a picture, a map ways that meet their array of needs (Deschamps, 2009). is worth a thousand word. The combination of spatial information A good information management system that also includes and databases allows the production of maps that depict the loca- geographical data contributes to: tion of disasters and their interaction with infrastructure, people, biodiversity, etc. 1. Making documents/data/maps readily available and GIS can be applied to many disciplines, but this toolkit explains easily accessible: most DRR projects use a multisectoral ap- briefly, concisely and clearly how GIS is used in the framework of proach with a wide range of themes (agriculture infrastructure, DRR, in particular how to use GIS to create hazard maps. mapping, irrigation, microcredit, etc.). While a project manager The specific objectives of using GIS are to: cannot be an expert in all of these sectors, having access to ◼ help people become well prepared face to disasters; documents, reports and maps about current and previous Figure 5: Students viewing online information

◼ use maps to locate specific indicators and characteristics that are relevant for the DRR context; ◼ expedite the flow of information between the public and experts; ◼ make GI comprehensible and accessible to non-technicians; and ◼ easily perform spatial analysis of different kinds of information.

Result: Being able to access accurate and timely information helps 10 project managers and DRR stakeholders to design a relevant and technically sound project.

2. Sharing knowledge (including geographical knowledge) experiences in each of these sectors can help to design a techni- among DRR partners (NGOs, universities, international cally sound and successful project. Access to information helps agencies, governments, donors, etc.). A good information a project manager to: management system should facilitate the sharing of information ◼ plan future interventions, based on a multisectoral approach; so that it is possible to: ◼ acquire knowledge about good and bad practices based on the ◼ know partners’ activities: Who does what? and Where?; experiences of others; ◼ exchange information, comments, know-how and expertise ◼ access specific documentation and expertise; with other organizations, possibly using interactive tools that ◼ access and share information among stakeholders to organize are part of, or result from, the information management system events with partners and other stakeholders; (forum, chats, social networks, etc.); ◼ learn from others’ experiences and lessons learned; Figure 6: Creating awareness among community members

◼ collate GIS information (for specialists) from several ministries, departments and institutions to produce operative maps; and ◼ distribute processed geographic data to experts from several disciplines for their studies, research or projects.

Result: Each partner can progress in their respective sector(s) and area(s) of intervention in the DRR context thanks to shared data and documents (using the open data approach). 11 3. Educating and creating awareness among the public. An information management system helps to sensitize the audience about DRR interventions and activities in a specific region by: ◼ increasing the visibility of the activities and the actors involved 4. Keeping donors informed and supporting the decision- in DRR; making process. An information management system helps ◼ sensitizing the public about the importance of DRR, through projects funders to: videos and educational material; ◼ view what funded organizations are doing; ◼ promoting a culture of environmental preservation; and ◼ monitor the effective use of funds and their impacts; and ◼ providing people with materials that would help to increase ◼ identify good practices that can address funding decisions for preparedness for specific disasters. future actions.

Result: More people become more aware about, and engaged in, DRR Result: Donors are more informed about implemented activities and actions and contribute towards their successful implementation. they can use successes in planning their future actions. 2. Steps for Implementing an Information Management System for DRR

here are many ways to manage and disseminate information, 2. Information should be trustworthy whether presented in a standard format or as geographical Once obtained, the information that you have searched for should Tdata, for example, by: creating an online information-sharing be verified to see whether it is trustworthy. To do this, the informa- tool (web portal), creating maps related to a specific theme or tion can be compared with other information or documents on the objective, organizing workshops or producing monthly reports. same topic but from different sources. However, in order to ensure the production and sharing of good- 12 quality information, some key principles and steps should be 3. Information should be clear and ‘to the point’ respected. The following questions should be considered: ◼ Does the information really answer my question? Key principles for an information management ◼ Do I understand this information properly? system in DRR ◼ Does the information meet my expectations?

The following are the different key principles to ensure that a good 4. Information should be ‘catchy’ and attractive information management system is in place (Lesca, 2010). The following question should be answered: ◼ Why did I consult this particular information instead of another 1. Information should be available at the right time source? Make sure that the information that you would like to have is avail- Users should be motivated to go back to the source of information able at the moment the target audience needs it. For example, if the either to provide feedback or to look for more details. Feedback message you are communicating is time bound or has a deadline, is extremely important: opinions and suggestions from users help make sure you are able to respect the announced time frame. information managers to shape the way they manage documents, publish resources, communicate key messages, etc. 5. It should be possible to enter information into the public domain Software is a product that is installed on a computer and contains Before sharing and publishing information, always ask yourself the logic programs, which allow the automatic processing of data and following questions: the performance of specific tasks. People collect and manipulate ◼ Is it confidential or sensitive information? If it is sensitive, are the software by following procedures. privacy and restricted users rights established? ◼ What part of this information can I share? ◼ How can this shared information be useful to those on the People receiving end?

Key principles for the use of geographic information

When dealing with GI, additional considerations need to be made. 13

1. A basic knowledge of GIS components To manage information for a specific topic, such as DRR, it is very important for the person designing the system to be aware of the Software GIS Data five elements of GIS and their functions. These elements, which are strictly related to each other in order to produce maps and databases, are: ◼ software; ◼ computer; ◼ people; ◼ data; ◼ procedures. Analysis Hardware

Figure 7: GIS components 2. Awareness of stakeholders’ knowledge of GI management Regarding data location accuracy, the technician should use ex - Experts from different technical sectors may use the GI for specific ogenous data to make sure that the newly collected data is good tasks within DRR; therefore, it is essential to understand stakehold- enough for the intended use. For example, the accuracy of newly ers’ knowledge about basic geographic principles and motivate collected or acquired data and their location can be verified by them by providing them with a clear, concise vision of why the data overlaying them with official (and therefore presumably correct) are being shared and how they should be used. Undertaking a brief administrative boundaries data. awareness-raising exercise is necessary prior to the organization of any workshop or training.

3. Data accuracy In GIS, it is extremely important to have accurate data. Both the 14 data and their location must be verified before anything is shared among stakeholders or is made public. People manipulating GIS should always use one of the following practices to make sure that data is correct: i. comparison: technicians can compare the collected data with archives, and their experience(s) in the region(s), in consultation with other professionals, organizations, etc. ii. cross-checking: if data are collected during a workshop where many people participate, a GIS technician should verify data from at least one other participant.

Figure 8: District map presented at Salima District Hospital in Malawi Activities and key steps for the development of Step 3. Search for and collect information an information management system for DRR At this stage, the information manager searches for and collects information from various reliable sources. These sources can be Key steps and activities required to manage information are indi- publicly available information (newspapers, journals, newsletters or cated below. online articles) that has been organized in a way, (e.g. thematically,

Step 1. Know the target audience and purpose The first issue to take into consideration when designing an information system is the identification of the target audience (i.e. Who are the intended users of this information?) and purpose (How will it be used?). Once this is established, it is easier to identify and develop the appropriate tools for collecting and communicating information, 15 and establishing criteria and standards to determine the inclusion of data in the information management system.

Step 2. Identify the appropriate information system There are many options available to manage information. Differ - ent solutions suit different audiences and users. For example, web portals, magazine articles, scientific papers, videos, photo galleries and workshops are all media and means for the management of information. Deciding how to collect, process and communicate information depends on the user’s needs and expectations, which should be clearly identified in Step 1.

Figure 9: River gauge data collection by organization, by sector or by geographical reference) that will facilitate its use after all the processes (Steps 1 to 8) have been carried out. Collecting information can be a two-way system, wherein stakeholders are invited to contribute through various fora (online, workshops, articles, etc.). At this stage, information managers put together all the information that they have collected.

Step 4. Assess, select and sort information Once the information has been collected, the information managers begin to: assess the data according to their quality (accuracy, source, relevance); select the information that will be used in the 16 current system and which will be omitted (based on the criteria in the assessment stage); and sort the information and data according to topics, themes, intended audience, communication media and other parameters established in Steps 1 and 2.

Step 5. Review the selected information at least three times To ensure the quality of the information to be published, infor - mation managers must read all of the information that they have selected at least three times to check for coherency and consistency. Having multiple reviewers and fact checkers for this step is a good practice, where possible.

Figure 10: Civil Protection Committee (CPC) member verifying collected information Step 6. Analyse the information from a different point of view, identify possible criticisms After thoroughly reviewing the information, the information manager should anticipate how readers from different segments of the public (participant communities in DRR projects, general public, NGOs, government, academics, etc.) might react while reading the information being shared. The information manager should list the potential criticisms that the various audiences could raise and prepare a response to each – whether it is to correct or amend the messaging (see Step 7) or to have a prepared statement in case these criticisms are raised in public. 17 Step 7. Correct and re-adjust the information After analyzing the information, managers correct and re-adjust it by taking into account the possible criticisms, as per the responses prepared in the preceding step.

Step 8. Publish and integrate the information on the system After all the above key steps, information can be published. At this stage, the information content is finalized and ready to be disseminated to the public in the medium that has been identified as most suitable to convey the messages generated by the information system.

Figure 11: Field visits to help verify collected data Key steps for the use of geographic information to create There are many ways to obtain thematic datasets: organizing hazard maps a workshop, digitizing existing maps, performing a survey, looking up available documents and collecting global positioning system To manage GI and create maps, the following steps should be (GPS) points. Other organizations operating in your study areas may followed as general guidelines. also have collected geographic data, and agreements on its use, manipulation and publication can be negotiated. Step 1. Define your project’s needs For DRR projects, you are likely to need to create hazard location Step 4. Verify, refine and structure acquired data, and assign maps, “most hazard prone areas” maps, baseline maps, etc. it a coordinate system Acquired data should be verified, refined and structured before in- Step 2. Prepare data needed for the map tegrating it onto a map. GPS data may not always be very accurate, 18 Two kinds of geographic data are required: and it is a good idea to check with field staff whether the location ◼ the fundamental dataset, which contains roads, rivers, adminis- of schools, houses, infrastructure, etc. is the true geographical posi- trative boundaries, protected areas, lakes, railways and buildings tion. If available, satellite images or Google Maps/Google Earth can in the study area; also help with this task, as GPS data can be exported and integrated ◼ the thematic dataset: data directly related to the objective of the into these programmes in .kmz file formats.2 map. If the objective is to create hazard maps, then data related GIS data must be assigned a correct coordinate system too, to hazards occurring in the study area need to be identified, i.e. as per the needs of the overall information management system. type, frequency and intensity of the hazard. A coordinate system is a reference system used to represent the locations of geographic features, imagery and observations, such Step 3. Identify where and how to collect data as GPS locations within a common geographic framework. Each Fundamental datasets can normally be obtained from government coordinate system is defined by the following: agencies responsible for national geographic data management; in some countries, fundamental datasets are made available online for easier access. If this is not possible, existing maps that cover the 2 Google Earth uses the .kmz file format for the exchange of geographic area of interest can be digitized and used in place of official data. information. ◼ its measurement framework, which can be either geographic than its width, then you should choose portrait orientation, in the (spherical coordinates are measured from the earth’s centre) other case, you can choose landscape page orientation. The size/ or planimetric (earth’s coordinates are projected onto a two- format of the map page (A0, A1, etc.) should also be taken into dimensional planar surface); account. ◼ its units of measurement (typically feet or meters for projected Because other organizations or people may need your geo - coordinate systems or decimal degrees for latitude-longitude). graphic data for their own projects, research or studies, it is recom- Several hundred geographic coordinate systems and a few mended to also think of how to make it available for them. thousand projected coordinate systems are available for use, but two types of coordinate systems are most commonly used Technical considerations and specifications in a GIS: • a geographic coordinate system: latitude-longitude. This The most important considerations and specifications to manage is a global or spherical coordinate system. information are summarized in this section, which focuses particu- 19 • a projected coordinate system, such as Universal Transverse larly on information shared on the web. Because GI requires specific Mercator (UTM), that provides various mechanisms to project attention and technical considerations, it is addressed separately maps of the earth’s spherical surface onto a two-dimensional from other general sources of information. Cartesian coordinate plane. Projected coordinate systems are referred to as map projections (ESRI, n.d.). Structure of the information system: Software Once the target audience is identified, the information system can Step 5. Map geographic data be designed. Websites are appropriate and affordable tools to gath- Create the map by overlaying all of the collected datasets using er information and share it easily. Many open source solutions are GIS software. available for website development: content management systems (CMS), such as WordPress, for user-friendly website development, Step 6. Layout and print the map – make geographic data or MySQL or PostgresSQL for database design and management. If available for others a website requires GI management, then some additional software The layout should be aligned with the needs of the project and the components need to be installed, such as OpenGeo. Users’ rights shape of the entire data. If the entire data shape length is longer should be defined during the design phase to establish which information can be downloaded or shared and which information quality and download speed. A lower resolution would reduce the is for viewing only. quality of the photos and higher resolution would make the file Additional information regarding software managing GI is too heavy for download. Photo galleries should also be designed included below. so that image browsing is easy and user-friendly, and the images in the photo gallery should be self-explanatory and attractive to keep Content format users’ attention once they enter the galleries section. Particular attention should be given to the size of the files included in any web application, such as photos and videos. For example, Update frequency images for websites should be in a sRGB profile with 72 dpi resolu- Information needs to be updated constantly and its accuracy should tion. These are the generally accepted standards for photos posted be verified. Selected staff should be dedicated to this task, as it is very on the Internet, as sRGB profile pictures are displayed consistently time consuming and the accuracy of information is key to keeping 20 across all programs and are suitable for normal prints and 72 dpi an audience interested. It is important to set this frequency properly photos are universally recognized as a good compromise between at the start of the project and try to stick to it as much as possible.

Figure 12: River gauge data verification Technical considerations and specifications for pricing options for NGOs. If users want more sophisticated tools, geographic information extensions or additional options for this software, they can be bought separately. The majority of GIS commercial software has Software to be used approximately the same price to quality ratio. There are many efficient professional GIS software products avail- On the other hand, open source GIS software is also avail - able on the market, but their prices vary considerably, making some able. Unlike commercial software, they do not require a licence options inaccessible for some DRR practitioners. For example, ESRI’s for either acquisition or use, i.e. they can be downloaded and ArcGIS 10.1 suite is one of the best GIS software products in terms used free of charge. The user can search for software online and of processing capacity and speed. It offers user-friendly tools and choose one from the many of options according to their needs. produces an attractive map layout. A license for a standard desktop In terms of results, the performance of such software differs version of this software, which can be used for creating maps and according to which group or association has developed it. The editing geographic data, but not for performing sofisticated GI open source GIS software QGIS is one of many that can provide 21 analysis, is generally quite expensive although there are preferential its users with the best performance and quality. Therefore, this

Figure 13 (left): A community hazard map on the bridge indicates the most at-risk areas

Figure 14 (right): Mapping and digitized information used among DRR stakeholders software is recommended if the project does not require complex In the UTM coordinate system, the variable X changes according and advanced data processing. to which country or region of intervention the data comes from, for example: in Malawi, UTM 36S and in Madagascar, UTM 38S Coordinate system or UTM 39S. With good maps, one can assure efficient and precise broadcasting WGS 84 is good to use when the data are being collected of information to stakeholders of a project. The production of a or still in the stage of processing, UTM is preferred when data good map relies on the appropriateness of the coordinate system measurements are needed or to finalize a map within GIS software. assigned to data. Even though data can be processed in GIS without Therefore, it is necessary to switch between both coordi - necessarily having to assign a coordinate system, experience has nate systems according to the needs of your project. Each GIS proven that it is important that the technician knows and assigns software program is already equipped with tools that allow this the appropriate coordinate system to data. This reduces the risks transformation. 22 of making errors during data processing. For example, in the southern Africans region, COOPI has used Perform simpler but smarter two kinds of coordinate systems for all of their data. People who lead activities related to GIS in DRR should be aware ◼ World Geodetic System 1984 (WGS84) is a geographic coor - of use of the maps by their audience and by the broader public. To dinate system, wherein the location of a point is defined by ensure that the information contained in the map is well commu- spherical coordinates (latitude and longitude) that are measured nicated to and understood by its recipients, activity leaders should from the earth’s centre. also know the level of knowledge of their interlocutors: decision- ◼ UTM-XS is a planimetric coordinate system, wherein the earth’s makers, citizens and experts in a given field, etc. Activity leaders coordinates are projected onto a two-dimensional planar surface; should then balance readability of the map against including the therefore the location of a point is projected over a flat surface. maximum amount of information, based on the recipients’ needs. 3. Practical Examples to Guide Implementation

Specific context in southern Africa and the could affect them – sometimes drastically. It is for these reasons that Indian Ocean region information plays a fundamental role in supporting interventions, because it helps people – both the local population and organiza- very year, countries in southern Africa and the Indian Ocean tions planning interventions – to know the area better and to be region face different types of disaster: flood, drought, cyclone, more aware of the hazards that could affect them and the activities Efood insecurity, etc. For instance, Madagascar, due to its being implemented to reduce their exposure as well as familiarizing geographical position in the Indian Ocean, faces tropical cyclones populations with the stakeholders working in the area, etc. each year. These disasters affect the lives of millions of people, In the region, the Southern Africa Climate Outlook forum is 23 both in urban and rural areas. Various factors make Madagascar’s responsible for forecasting the major climate events foreseen in the capital city, Antananarivo, vulnerable to disasters, in addition to peak hazard season annually and the UN Office for the Coordina- natural disasters tion of Humanitarian Affairs (OCHA) is in charge of managing and ◼ It is located only 20 kilometres away from a significant dam coordinating information related to disasters and creating awareness whose water runs through two large rivers surrounding the city. among citizens. In addition, some information management systems ◼ It is the location of a major petroleum depot. based on web platforms already exist (e.g. the Southern African ◼ It houses the national army ammunition storehouse. Development Community (SADC) at ). However, ◼ Buildings and other infrastructure are not constructed to resist at local levels and at levels that require interaction and coordination frequent catastrophes. of information on a smaller scale, DRR implementing organizations, ◼ The population of Antananarivo is affected by problems with partners and stakeholders play an essential role in the collection, food security. handling and dissemination (i.e. the management) of information. In addition, projects or programmes that include an information man- Because this is the capital city these hazards are well known, but in agement system are vital for these larger-scale efforts coordinated smaller villages people are often unaware of potential hazards that at a broader level by institutions such as SADC and OCHA. Unfortunately, GIS technology is not yet widely used in the Objective 1: Share, exchange, research information among southern African region’s DRR and development projects and stakeholders programmes. NGOs and other partners are usually unable to keep It is hoped that this platform will become an important platform up with the fast pace of GIS technology, from simple computer - tool for DRR activities in the region by offering various possibilities ized mapping procedures to the production of interactive online for information management (information on partners’ activities) maps. Nevertheless, interventions would benefit greatly from this and technical knowledge and data (geographical data and scientific technology. knowledge regarding the risks).

Experiences in southern Africa and the Indian Ocean region NGOs 24 Two experiences are illustrated in this section: the development of the DRR IKMS and participatory GIS exercises conducted in Mozambique and Malawi. Universities Institutions

DRR information and knowledge management system DRR IKMS • Data • Doc DRR IKMS is a web platform created to facilitate the work of hu - • Partners’ info manitarian aid staff in the southern Africa and Indian Ocean region • Mapping: through the following objectives: risk and vulnerability

Figure 15: IKMS' stakeholders and content Objective 2: Serve as an interactive tool between DRR partners These were the main steps followed to develop the DRR IKMS: The IKMS helps to: increase visibility of the implemented actions, avoid duplication of activities between different partners, provide a 1. Design the webportal specifications. clear idea of Who does what? and Where?, help geographical data management and provide access to technical documents. It also gives *Step 1: Web portal general structure and organization (menu, different rights to different types of users, such as: viewing data sections) only, downloading information, uploading information or data, etc. *Step 2: Operationalization (e-tools); e-tools are electronic tools that allow authorized users to: enter their own data into the web platform, search for documents, and view and download maps. NGOs There are particular two types of e-tool: the e-library (to share papers or articles) and the geo-portal (to share geographic data). 25

2. Design the webportal’s empty shell. This refers to the general structure of the web platform, specifying the relationships between DRR the different sections (documents, events, galleries, etc.). Universities Institutions IKMS 3. Collect and manage the information. Information is collected from various sources: partners, websites, newspapers, primary data collected through fieldwork, workshops, etc. For example, in the DRR IKMS, the main information was provided by partners of the regional project, such as FAO REOSA and UN-Habitat, but also from national partners, such as the national DRR platforms in Figure 16: IKMS’ DRR partners Madagascar, Malawi, Mozambique and the Comoros. Managing information consists of summarising the essential points from the different sources, using simple and clear language, so that it can be communicated to the general public. 1. Webportal speciﬁcation 4. Organize the content information (CI). Assign an order of priority to each piece of information by selecting the least and most useful and interesting for users. Vital information should then be highlighted and posted on the website. 2. Webportal is empty

5. Adjust the organization of the CI, by reviewing selected elements that may require clarification and correction to provide quality information to users. 3. Collect 26 information 6. Send the CI to the webmaster. 9. Update 4. Organise the CI the CI 7. Webmaster inserts the CI into the portal.

8. The CI is published on the website.

8. CI 9. Update the CI. Then, repeat the cycle from Steps 3 to 9. 5. Adjust publication the CI The IKMS serves as an information tool that meets the needs of users, gives them a focal information point with regularly updated data, follows technological development, and offers them a mod- 7. CI 6. Send the ern platform to increase their interactivity. The IKMS has been insertion CI to the webmaster developed in collaboration with Z_GIS, Dep. Of Geoinformatics, Paris-Lodron Universität Salzburg (Plus). Figure 17: Steps involved in the development of the IKMS Geographic information: Participatory GIS STEPS Important information on disasters can be obtained from people during participatory geographic information system (PGIS) mapping exercises. PGIS is an activity in which professionals of different Preparation at municipal Orientation categories (experts, associations, NGOs, farmers, government of- #1 level (with the participation of authorities) knowledge ficials, local community members, etc.) participate in discussions about one or more themes. Six steps are required to perform PGIS. The components of each step are described in detail in Box 1. Participatory mapping Hazard map #2 at the scale of the area (1st draft) 27 Mapping paces of occurance Hazard map #3 of risk in the study area (2nd drt)aft)

Participatory mapping Orientatnion #4 at the local level (village or quarter) (preci)se)

Mapping of the Hazard map #5 high-risk locations (with the ) participation of residents) (3rd draft)

Participatory mapping at Hazard map #6 local level (final)

Figure 18: Steps involved in practising PGIS BOX 1: PGIS steps from town to village level

STEP 1: Preparation (with the municipality or mayor and local authorities) 1. Introduce the concept of participatory mapping for risk management to local authorities. • Outline the six steps as above. • Objectives: • Map, through GIS tools, the knowledge of the authorities and information from local population about risks and disasters in their locality. 28 • Build capacity of municipal staff in the implementation of participatory mapping for risk management. • Expected results: Data and location of disasters and hazards in cities and villages are mapped. 2. Organize a participatory mapping session with municipal technicians. • Select sites. • Acquire (order or download) satellite images – high (for villages), low or medium resolution (for districts, regions) – freely available from Landsat images. • Process images: geo-referencing, calibrating, pan sharpening. • Set up page size. A0 format is recommended as this is usually big enough for users to identify small details and infrastructure. • Print the first draft of the map (image of the city/region) [A01A]. STEP 2: Participatory mapping exercise 1. Identify the existing risks in the area with participants: • their features: name, date, frequency; • the amount of damage: human and material. 2. On the printed A01A, at the scale of the city/region and with the support of municipality technicians, delimit, using a marker, the location of areas affected by a specific risk. 3. Processing of the first draft. • Scan the first draft of the map that has been worked on collaboratively (map A01A). • Calibrate the scanned map. • Digitize the boundaries of location risk. • Develop a database on the characteristics of each risk represented. 29 • Highlight sensitive areas with different colours. • Lay out and print to have the second draft A0 map (map A01B).

STEP 3: Map the places where hazards have occurred in the area 1. With the municipal representatives, check/confirm the information obtained about the risks. • Take note of their criticisms, corrections, updates and comments on the printed second draft. • Scan and geo-reference the second draft. • Outline new elements. • Update the database. 2. Lay out and print the semi-final map A0 (map A02). 3. Disseminate map A02 to various stakeholders. 4. Lay out the second draft at the scale of the most sensitive areas. 5. Print A0 maps for each sensitive area (A02). STEP 4: Second preparation (with local authorities) 1. Organize a coordination meeting at the local authority (municipality or district). 2. Introduce participatory mapping project for risk mapping by explaining: • the stages of the project; • the objectives; • the results. 3. Organize a participatory mapping exercise with village leaders. • Identify the hazards and disasters that have occurred in the village. • Discuss in detail the disaster identified, including where it happened and the epicentre of impacts – both human and material. 30 • On each of the A02 maps, delineate the areas most affected by the disaster.

STEP 5: Mapping of high risk sites (with the participation of residents) 1. Using the A02 maps, identify risks in the village (or confirm the identified risks). • Identify types of risks: floods, massive explosion, etc. • Identify disasters that have already occurred in the quarter. • Record data on a paper or computer (text file). • Record data on the types of disasters, date, time of occurrence, scale. • Record data on extent of damage. 2. PGIS or participatory mapping of identified risks (locally). • With the inhabitants (or local civil protection committees, if they exist), locate and delineate on the printed A02 map the at-risk or affected areas and areas with high additional risk. 3. Collect data (on schools, health centres, water points, etc.) by conducting a survey of the population using GPS and questionnaires. 4. Process the information on the map. • Scan maps. • Geo-reference them, calibrate them. This process involves specifying the location of two or three known points on the map. Once the correct geographic coordinates are known for these points (called calibration points), the coordinates of every other point on the map can be calculated. • Outline boundaries and representations peviously identified and reviewed with the local population. • Define the legend icons and labels. 5. Process data collected by survey. • Verify and refine information with the inhabitants or civil protection com- 31 mittees, if they exist. • Enter data into the GIS software (ArcGIS or QGIS). • Map geographical data. 6. Map geographical data from two sources (survey and PGIS), highlighting the most sensitive areas. 7. Lay out and print A0 (for the A03 map).

STEP 6: Participatory mapping locally 1. Present the map A03 to local authorities (village, town commune, neighbour- hood) for comment, verification and/or possible correction. 2. Incorporate comments and corrections on the map and GIS. 3. Lay out and print final maps. 4. Distribute maps to stakeholders. The final version of the hazard map contains important, accurate and clear information on disasters in a given area. It specifies what kind of disasters occur, the frequency of hazards and disasters, which localities are high-, medium- and low-risk, what elements (people, infrastructure) are exposed to recurrent hazards, the scale and extent of past hazards, etc. A database describing all of the elements of the map can be attached to the final map to help users to understand it fully. This final map is distributed to DRR stakeholders (for manag - ing DRR operations) and to government and public audience (for information and disaster preparedness actions). 32 PGIS exercises have been performed in municipalities and many villages across the region, such as in the city of Chokwe, Mozam- bique and Kasache Village, Malawi. Participants have demonstrated great interest in the exercise and were able to properly interpret the satellite image to identify key structures in their villages or regions and hazard zones. Copies of the final map have been provided to local authorities to be used to plan future interventions. Communities appreciate both the maps and the process followed, because the Figure 19: PGIS session with residents in Kasache, Malawi showing steps 4 and 5 in the process outlined above process takes into account their past experiences and their practical knowledge of natural hazards and resulting disasters in their communities. This is an important recognition of their experiences and their reality, and it is invaluable to DRR to help better prepare for and mitigate the impacts of future hazards. 4. Conclusion

anaging standard information (web pages, documents, etc.) or GI is a critical issue in DRR projects and programmes. MThe more knowledge NGOs, and implementing organizations and their partners, acquire and share about a village, district, country or region, the more significant an impact their actions will produce, and the more they can advance in their efforts together. Web platforms, documentation and case studies facilitate the information flows between regional actors, facilitating the sharing of good practices and lessons learned as well as avoiding mistakes 33 that may have been experienced in the past. PGIS helps to integrate local knowledge with technical tools (such as GPS and mapping software) to get the best, most accurate information out of the two communities: the inhabitants or local authorities and the GIS experts. This also helps in the planning of future actions, such as building new infrastructure or identifying where to relocate people in the occurrence of a disaster, to lessen the negative impacts on Figure 20: Members of the community during an emergency drill lives and livelihoods. 5. Bibliography and References for Further Reading

Deschamps, C. 2009. Le nouveau management de l’ information. Geoportal: https://reach1.cern.ch/reach/flex33/MLI_SB/. France. FYP Edition. Lesca, H., Lesca, E., Lesca, N. & Caron-Fasan, M-L. 2010. Gestion ESRI. (n.d.). Coordinate systems, map projections, and geographic de l’ iinformation: Qualité de l’ information et performances de (datum) transformations. Available at http://resources.esri.com/ l’entreprise. 2nd edn. ems Management & Societe. help/9.3/arcgisengine/dotnet /89b720a5-7339-44b0-8b58- 0f5bf2843393.htm). Environmental Systems Research Institute. QGIS download: http://hub.qgis.org/projects/quantum-gis/wiki/ Download. 34 ESRI ArcGIS 10 Desktop license: http://esri.osu.edu/node/31.

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Coordinator:

ISBN 978-92-5-108340-6

9 7 8 9 2 5 1 0 8 3406 I3772E/1/04.14 Safe Hospitals

KEY PRACTICES for DRR Implementers Safe Hospitals: Key Practices for DRR Implementers

Cooperazione Internazionale, Milano – Via De Lemene, 50 20151 – Italia – [email protected], Tel. +39.02.3085057 – Fax. +39.02.33403570

This document was prepared by Cooperazione Internazionale (COOPI) under the coordination and supervision of Paola Rosa Fava and by the University of Pavia, under the coordination and supervision of Prof. Marco Morandotti.

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

ISBN 978-92-5-108336-9 (print) E-ISBN 978-92-5-108337-6 (PDF)

Contributors Paola Rosa Fava, General Coordinator; Marco Morandotti, Coordinator; Daniela Besana, Consultant; Lorenzo Buratti, Consultant, Natalia DeGiovannini, Consultant; Marco Majocchi, Consultant; Elisa Salvaneschi, Consultant Photo credits Margherita Dametti and Davide Montenovi, Ilmaestroemargherita.it Series coordinators Javier Sanz Alvarez and Erin O´Brien Design and layout Handmade Communications, [email protected] Safe Hospitals

n 2013, Cooperazione Internazionale (COOPI) adopted a specific ◼ Natural resources conservation and DRR-oriented land environment and disaster risk reduction policy.1 The main goal management: orienting the focus of land management inter - Iof the organization is to increase communities’ and institutions’ ventions towards protection and appropriate resource manage- resilience by promoting environmental sustainability, fostering par- ment through interventions on protection, value, efficient use ticipation, and integrating prevention, mitigation and preparedness and optimization of land. 02 actions. COOPI aligns itself with international legal frameworks such ◼ Capacity building and knowledge transfer enhancing capaci- as the Kyoto Protocol (1997), the United Nations Millennium Dec- ties of communities and institutions is essential. COOPI stresses laration (2000) and the Hyogo Framework for Action 2005–2015. the importance of empowering emergency management struc- COOPI enacts these frameworks using experience and knowledge tures both at the institutional and at community level through in three key concepts: environmental sustainability, participation, decentralization strategies. and the integration of prevention, mitigation and preparedness. ◼ Education, communication and information combining edu- COOPI uses six well-established approaches to implementation: cation, communication and information to create a culture of ◼ Land analysis and information system: an essential tool for risk management. crisis and risk management which allows the optimization of ◼ Risk mitigation and supporting infrastructures: strength- resources. COOPI has developed a series of good practices in ening responses, mitigation and early recovery by identifying these areas of intervention, promoting the use and development vulnerable and useful resources. of research. ◼ Scientific research and know-how transfer: establishing relationships with DRR academics, scientific institutions and bodies 1 Policy available at http://www.coopi.org/repository/pagine/coopi_ambi- for alternative energies innovations, monitoring methodologies ente_2013.pdf and vulnerability analysis, natural hazard assessment, sharing In particular, the tool is based on the lesson learnt from COOPI’s good practices etc. three years of experience in using the index to assess safety of hospital and health centres in Malawi and Madagascar. The The Safe Hospitals: Key Practices for DRR Implementers resource toolkit and the Hospital Safety Index adapted by COOPI to the toolkit presented here provides support to DRR practitioners southern Africa region are also available at www.seadrr.org. working in the health sector and particularly to those dealing with safety of health facilities. The toolkit provides guidelines Tiziana Vicario and practical examples on the application of the hospital safety DRR & Environment Focal Point index, originally developed by the Pan American Health Organi - International Programs Planning & Innovation Office zation and adapted to the context of the southern Africa region. 03 Contents

Acronyms and Abbreviations...... 05

Preface...... 06

1. Introduction...... 07

04 2. Steps/Introductions for the Field-Based Implementation of Safe Hospitals..... 11 3. Practical Example to Guide Implementation of the Hospital Safety Index...... 23

4. Conclusion...... 34

5. Bibliography and References for Further Reading...... 35 Acronyms and Abbreviations

COOPI...... Cooperazione Internazionale DIPECHO...... Disaster Preparedness European Commission’s Humanitarian Aid Department DoDMA...... Department of Disaster Management Affairs DRR...... disaster risk reduction ISDR...... International Strategy for Disaster Reduction m2...... square metre 05 NGO...... non-governmental organization PAHO...... Pan American Health Organization SHI...... Hospital Safety Index UN...... United Nations UNISDR...... United Nations International Strategy for Disaster Reduction WHO...... World Health Organization

Preface

he health care system plays a key role within the disaster risk reduction context. Hospitals, health centres and other health Tstructures need to guarantee their ability to function before, during and after disasters strike. In order to achieve this objective, it is important to assess whether these structures are able to cope with eventual disasters that may occur. A campaign promoted by the Pan American Health Organization (PAHO) and called Hospitals Safe from Disasters: Reduce Risk, 06 Protect Health Facilities, Save Lives has been working in this direction and promoting the assessment of health infrastructures to verify their level of safety in normal and emergency operating conditions. This involves the use of a set of indicators called the Hospital Safety Index. The campaign started in South America and was then expanded in Asia and is currently being implemented in Africa. This toolkit describes the methodology developed by PAHO and adapted to the southeast Africa and Indian Ocean region, with specific examples of practical applications in Malawi and Madagascar. 1. Introduction

n order to understand disasters, it is necessary to analyse the Several studies, supported by data and statistics,4 showed that in types of hazards that might affect people, as well as social, recent decades there has been a substantial increase in the number of Ipolitical and economic dynamics among different population disasters occurring in the world and, in particular, in the developing groups: e.g. how they vary in relation to health, income, building world. The reasons for this dramatic increase cannot be attributed safety, location of work and houses, etc. (Blaikie, P., Cannon, T., exclusively to a particular geological or climatic factor, but it is increas- Davis, I. & Wismer, B. 2003). Once the concept of vulnerability 2 ingly clear how human actions and the same human presence heavily and its main causes are defined, there are two types of interven- influence the occurrence of disasters. The comparison between the tions to face risks: mitigation/prevention measures and emergency data for the year 2011 with the average for the decade 2001/2010,5 responses. Mitigation actions aim at building processes that can shows that the number of victims of natural disasters has increased by 07 reduce the impact of disasters. Some natural hazards (earthquakes, more than 200 million. This alarming fact can be largely understood droughts, volcanic eruptions, etc.) cannot be controlled or elimi- as a result of the growth of hydrogeological disasters, which in 2011 nated by human actions; therefore, the processes focus on reducing alone resulted in 57.1 percent of the total number of victims. The the anthropic vulnerability3 to these types of events. Prevention number of casualties as a result of natural disasters has increased in actions aim at reducing vulnerability, but unlike the mitigation that Africa, due to climatic disasters, particularly the drought in the Horn substantially reduces the effect, it prevents a disaster from hap - of Africa which has significantly increased the number of victims. pening. On the other hand, emergency responses intervene after The need to reduce vulnerability to natural disasters has led in a disaster occurs and it helps to minimize the effects of a disaster recent years to the development of a number of programmes and to people and infrastructures. campaigns focused on the theme, in its various manifestations: capacity building, environmental protection, safe construction, etc.

2 The characteristics and circumstances of a community, system or asset that make 4 EM-DATA – www.emdat.be it susceptible to the damaging effects of a hazard (UNIDSR, 2009). 5 Guha-Sapir, D., Vos, F., Below, R. & Ponserre, S., 2012. Annual Disaster. Statistical 3 Anthropic vulnerability refers to the economic, political and cultural aspects of review 2011. The numbers and trends. Available at www.cred.be/sites/default/ vulnerability. Wilches-Chaux, 1989. files/ADRS_2011.pdf One of the most significant processes was the one that affected the ◼ reduce the effects of a disaster if the health facilities remain health sector and that involved different agencies, most notably the structurally sound and operational even after a hazard and in World Health Organization and the United Nations. emergency situations when the demand on the facility and its It is clear that in mitigation/prevention measures, as in emer - systems to treat casualties or injuries is likely to increase; and gency responses, the issue of health – and specifically the ability of ◼ reduce vulnerability through prevention: if health facilities are health care facilities to function – is of crucial importance, as the adequately dimensioned, they can contribute to the reduction health system is involved in both the mitigation process and the of certain health risks (contamination, disease, treatment of the emergency response. Therefore, specific attention has been given wounded, etc.) and prevent the occurrence of health disasters to the health care sector involving different agencies. In 2008–2009 (epidemics). the International Strategy for Disaster Reduction (UNISDR) and the World Health Organization (WHO), with support from the Global The present brief about the assessment of health facilities provides 08 Facility for Disaster Reduction and Recovery of the World Bank practical support to meet the objectives outlined above. and many other organizations, promoted the Hospitals Safe from Disasters: Reduce Risk, Protect Health Facilities and the Save Lives General objective of promoting safer hospitals objective in the World DRR campaign. The campaign posited that an efficient and effective health system can deal with problems In keeping with the aims of the World DRR Campaign, the overall associated with the occurrence of disasters at different levels and goal is to make health facilities less vulnerable to natural disasters thus act as an agent to mitigate vulnerability, either in prevention and safer overall. A hospital or health facility is considered safe if it: or emergency response. For example, when faced with a hazard ◼ provides health services efficiently during both normal and (e.g. an earthquake, flood) a safe health facility can:6 critical times after disaster or during an emergency; ◼ prevent the occurrence of a disaster if the hospital buildings do ◼ is structurally sound and will not collapse due to hazards, injur- not collapse, there are no casualties among the patients and ing patients and staff; the medical staff; ◼ is resilient to operational malfunctions as contingency plans are in place and health workforce is trained to keep the network 6 International Strategy for Disaster Reduction (UNISDR), World Health Organiza- operational in times of crisis; and tion (WHO), World Bank, Reduce Risk, Protect Health Facilities, Save Lives Hospitals Safe from Disasters. 2008–2009 World Disaster Reduction Campaign. ◼ the workforce is trained to keep the network operational in managers and maintenance staff – in identifying and reducing times of crisis. risk and building the resilience of communities. ◼ Policy-makers: Identify health service safety as a specific target Therefore, the objectives of making hospitals safe from disasters for policy action and facilitate formulation of strategic action are to: plans involving governments, health sector and any other actors ◼ Protect patients’ and health workers’ lives by ensuring the to address it.7 structural resilience of health facilities ◼ Make sure health facilities and health services are able to func- Intended applications of safe hospital guidelines tion in the aftermath of emergencies and disasters, when they are most needed The use of the safe hospital concept and its tools are important in ◼ Improve the risk reduction capacity of health workers and order to achieve the following: institutions, including emergency management. 09 1. Monitor and evaluate existing health facilities using the In order to achieve these objectives it is necessary to work at dif- Hospital Safety Index. The use of the Hospital Safety Index helps to ferent levels: evaluate a health structure’s level of safety, through a standardized ◼ High-level summits: Raise awareness by including the topic and structured methodology. This can contribute to a clear picture on the agendas of high-level summits and technical meetings, of the state of safety of health structures in a certain region or documenting and sharing good practices to make hospitals safe area and allows to: from disasters. ◼ Plan for emergency response at a regional scale: Knowledge ◼ Health service networks: Take into consideration all key compo- of the real functionality and safety of health facilities makes nents of the health service network such as primary health care it possible to establish a plan for responding to emergency centres, blood banks, laboratories, warehouses and emergency situations, according to the capacity and capabilities of the medical services. different centres. ◼ Professionals: Involve the widest possible variety of professionals – including all health disciplines: engineers, architects, 7 International Strategy for Disaster Reduction (UNISDR), World Health Organiza- tion (WHO), World Bank, Reduce Risk, Protect Health Facilities, Save Lives Hospitals Safe from Disasters. 2008–2009 World Disaster Reduction Campaign. ◼ Plan the use of resources aimed at strengthening weak centre. Empowering and informing staff through the evaluation structures: Knowledge of the critical issues of individual health process helps the staff to undertake an active role in ensuring the centres makes it possible to prioritize interventions, indicating safety of the structure in which they work. The method for achiev- where economic resources should be invested in order to satisfy ing this goal has been identified in the formulation of a checklist real needs. for the assessment of parameters easily understood even by non- technical stakeholders and accompanied by specific explanations 2. Provide examples of good practices in various fields to for each heading and a list of good practices. sensitize on safety issues. The safety of a health facility depends on both structural parameters linked to the building, i.e. how it was 4. Development of a standard method. This allows comparison designed and built, as well on behavioural practices among the staff between different health facilities and replicability of use, and and patients. Sharing good standards and making stakeholders provision of results that are representative of the level of safety. 10 aware of the risks may be the first element to reduce internal risks The method is based on a checklist; each parameter is rated with a and improving safety. score obtained by a comparison to threshold values.

3. Create awareness within the hospital staff and the emergency 5. Provide guidelines for the construction of new health facilities committee. Awareness about disaster risks, and security and in a specific area. The Hospital Safety Index helps to identify good management of activities and resources, both in emergencies and and bad practices that are implemented in hospitals, thereby helping in normal situations, aims at reducing vulnerability of the health to define guidelines for the construction of new health infrastructure. 2. Steps/Introductions for the Field-Based Implementation of Safe Hospitals

Key principles for safe hospitals 80 percent or more of the total cost of the facility can be the price of non-structural components. s indicated by the World Disaster Reduction Campaign, there are ten principles that help to define the Safe Hospital 3. Functional collapse, not structural damage, is the usual Aconcept:8 reason for hospitals being put out of service during emergencies: this happens when the elements that allow a hospital to operate 11 1. Many factors put hospitals and health facilities at risk: on a day-to-day basis are unable to perform because the disaster buildings, number of patients, hospital beds, health workforce, has overloaded the system. equipment, basic lifelines and services. 4. Hospitals and health facilities can be built to different levels 2. Components of a hospital or health facility which are typically of protection. This happens when the elements that allow a hospi- divided into two categories – structural elements: those essential tal to operate on a day-to-day basis are unable to perform because elements that determine the overall safety of the system such as the disaster has overloaded the system. beams, columns, etc. and non-structural elements: all other ele - ments that enable the facility to operate, including water heaters or 5. Making new, safer hospitals and health facilities is not costly. storage tanks, mechanical equipment, etc. In the case of hospitals, It has been estimated that the incorporation of mitigation measures into the design and construction of a new hospital will account for less than 4 percent of the total initial investment. For example, 8 International Strategy for Disaster Reduction (UNISDR), World Health Organiza- non-structural elements – the contents, rather than the building – tion (WHO), World Bank, Reduce Risk, Protect Health Facilities, Save Lives represent most of the value of hospitals. Damage to non-structural Hospitals Safe from Disasters. 2008–2009 World Disaster Reduction Campaign elements is also what most often renders a hospital inoperable earthquake (Iran, 2003), it is estimated that the 14 foreign field during a natural disaster. Retrofitting non-structural elements costs hospitals cost US$12 million for two months of service, equivalent only about 1 percent9 while protecting up to 90 percent 10 of the to about 40 percent of the cost of rebuilding Bam’s two damaged value of a hospital. Retrofitted health centres in the Cayman Islands and unserviceable hospitals. Deployment was more rapid than it were virtually undamaged during Hurricane Ivan in 2004. 11 Had had been in the Gujarat earthquake two years earlier (24–48 hours they not been retrofitted, specialists estimate structural damages versus 5–7 days), but nevertheless, by the time the first field hos- could reach 20 percent of the hospital’s value, and non-structural pitals were active, injured patients had either died or been airlifted damage potentially 40 percent.12 to other cities.13

6. Field hospitals are not necessarily the best solution to 7. It is critical to seek the right expertise. An independent 'check compensate for the loss of a hospital or health facility. Field consultant' should be engaged to ensure that building standards 12 hospitals have been used successfully in complex disasters (civil are in place and are respected. The check consultant ensures that conflicts and wars), but experience in the aftermath of disasters norms and building standards are in place, and can be contracted caused by natural hazards in developing countries has shown these to oversee the construction of any building, but their thorough extremely expensive solutions not to be satisfactorily cost-effective. knowledge of building codes and natural hazard mitigation meas- The establishment of field hospitals involves several costs associated ures are particularly important to ensuring the disaster safety of with the transportation of material and equipment, site selection critical facilities such as hospitals.14 and related costs of safety measures. These costs, however, are all related to a temporary service that cannot be used after the initial 8. Building codes are of utmost importance. In order to guaran- emergency and therefore do not allow the reabsorption of the tee safety of the infrastructures, building codes must be reviewed initial investment costs. For example, in the aftermath of the Bam and respected from the planning and consultation phases, and

9 Tony Gibbs, Consulting Engineers Partners Ltd. 10 Guidelines for Seismic Vulnerability Assessment of Hospitals, WHO & NSET, 13 Von Schreeb, J., L. Riddez, H. Samnegård, H. Rosling & C. de Ville de Goyet, 2008. Kathmandu, April 2004. 14 International Strategy for Disaster Reduction (UNISDR), World Health Organiza- 11 Safe Hospitals: A Collective Responsibility, PAHO & WHO, 2005. tion (WHO), World Bank, Reduce Risk, Protect Health Facilities, Save Lives 12 Tony Gibbs, Consulting Engineers Partners Ltd. Hospitals Safe from Disasters. 2008–2009 World Disaster Reduction Campaign. throughout construction, and should also be considered for the both general information (population it serves, the number of maintenance of the facility. health staff, and type of natural hazards prevalent in the area and disaster history) and more technical data (dimension and materials 9. Creating safe hospitals is as much about having vision and of structural elements) are collected. Evaluators use a checklist to commitment as it is about actual resources. The responsibility of measure aspects that contribute to a facility’s safety, considering: creating safe hospitals must be shared among many sectors: plan- structural components (load-bearing walls, foundations, columns, ning, finance, public works, urban and land-use planning, together etc.), non-structural components (architectural elements and with the health sector. laboratory equipment, furnishings, ventilation or electrical systems) and organizational/functional elements such as the emergency 10. The most costly hospital is the one that fails. While adequate operations centre, contingency plans, backup systems for water resources are critical to ensuring the quality of the hospital’s con- and electricity, etc. The level of safety for each component is ranked struction and the services to be provided therein, the construction as high, medium or low, based on specific standards, according to 13 of a hospital should be feasible and its various elements should be general procedures, local context and building codes. These scores specific to the needs assessed in the particular context. are weighted according to the importance of the aspect being evaluated. A programme (Excel) automates and standardizes the The Hospital Safety Index: the central tool for assessment and evaluation phase, reducing bias and lessening the realising safer health facilities chance of mathematical error.15 The structure of this version of the Hospital Safety Index toolkit The assessment of hospital safety is based on the use of the Hospital is described in the figure hereunder. Safety Index, which was developed through a lengthy process of dialogue, testing and revision initially by the Pan American Health Organization’s Disaster Mitigation Advisory Group and later with inputs from other specialists in Latin America and the Caribbean. The goal of the project was to implement a rapid assessment method based on specific indicators to determine the level of 15 International Strategy for Disaster Reduction (UNISDR), World Health Organiza- safety of health care facilities. Through the Hospital Safety Index, tion (WHO), World Bank, Reduce Risk, Protect Health Facilities, Save Lives Hospitals Safe from Disasters. 2008–2009 World Disaster Reduction Campaign. FEATURES OF RISK LEVEL WEIGHT SCORE PARAMETERS CLUSTER Low Hazards Natural CLASS OF ASSESSMENT: A B C Man-made Medium High Geographical location Connections

Functional Additional space Space Connections Low Risk reduction Structural Foundation Beams & columns Performance in Medium TOOL normal conditions

Non-structural Roof SCORE

14 WEIGHT External walls RELEVANCE

Internal walls Performance in SAFETY LEVEL Doors & windows emergency High conditions Furniture & plants Medical equipment Furniture Water supply plant Air conditioning plant Fire prevention Organizational Emergency centre capacity Emergency plan CLASS OF RELEVANCE: A B C GOOD PRACTICES CLASS OF ASSESSMENT: A B C

Figure 1: Functional diagram of Hospital Safety Index There are four main sections to the Safe Hospital Toolkit: ◼ Spatial and functional: additional functions (staff and family houses), spatial, connections (21 indicators); 1. General description: data collection, necessary for file keep - ◼ Structural: foundations and structural frame (14 indicators); ing of the hospital and for general knowledge of the facility. The ◼ Non-structural: roof, walls, doors and windows (20 indicators); information is divided into: ◼ Furniture and plants: furniture and equipment, electrical ◼ Demographic structure: Name, year of construction, address, system, water supply and sanitation, fuel storage, heating, telephone number and email management (public or private), ventilation and air conditioning system, fire prevention (47 type of structure, number of staff, patients per day, total num- indicators); and ber of beds, number of buildings, number of units, height of ◼ Organizational capacity: emergency operations centre and buildings, presence of expansions, total floor area, presence of disaster committee, plan for internal and external disasters (24 parking, number of access roads, electrical supply, water supply. indicators). ◼ Constructive: For each unit it is asked to specify the number of 15 beds and the number of beds which can be added, the type of There are several indicators per cluster. For each indicator, the structure (frame in reinforced concrete, steel frame, masonry compiler is asked to answer a specific question by assigning a level bearing), the type of masonry (bricks, concrete blocks, panels, of safety (30 percent low, 70 percent average, 100 percent level blocks of clay) and the type of cover (sheet metal, tiles). high); the score of each indicator is then multiplied by a weighting ◼ Personal data of compilers: Compilers are asked to enter coefficient and it contributes to the final score. The maximum sum their personal information, such as their names, name of the of the scores for all indicators of a cluster is always equal to 100. If organization, job title, etc. the compiler does not know the answer to some questions, or if the indicator refers to an element not present in the structure, this has 2. Seven clusters to be assessed, consisting of 133 parameters. to be indicated by ticking a specific box which gives a contribution The clusters of Hospital Safety Index are: for that indicator equal to zero in the calculation of the final result. ◼ Hazards: natural and man-made (12 parameters); All clusters are organized with this structure. In the 'hazards' cluster, ◼ Geographical location: connection with settlements (6 the level of security is replaced by the level of risk, but the process indicators); of compilation and calculation remains the same. Each cluster is followed by a section that describes the related indicators together 4. Good practices. The last section of the toolkit is dedicated to good with the criteria for assigning the security level. practices. They are divided according to the three areas of significance described above and structured in a series of actions related 3. Results. The scores obtained from the assessment are displayed to a specific area, i.e. hygiene and waste, structural safety, etc. In automatically in the Results section according to two criteria: order to facilitate the understanding of the practice by non-technical personnel, two images are included: one demonstrating successful a. Typology and functionality. A coefficient (weight) is attributed implementation of safe hospital principles or management of space to the final score of each cluster, based on the relevance of that and another about an incorrect solution. The level of priority and cost cluster within the global system. This cluster score is multiplied by for the intervention are also elaborated in this section. This section its coefficient in order to contribute to the total score. The final does not represent an exhaustive list of possible interventions or good score of the overall assessment of the health facility is obtained by standards of construction and operation of health care facilities, but 16 the sum of the weighted scores of each cluster. This value is always provides some suggestions and actions, including related financial between 1 and 100. Finally, a specific class of safety is attributed commitments, based on the results of the evaluation. to the health facility as indicated below: The entire version of the checklist is available at the DRR Informa- ◼ ‘Class A’ if final score is higher than 70 tion Knowledge Management System web portal www.seadrr.org. ◼ ‘Class B’ if final score is between 41 and 70 ◼ ‘Class C’ if final score is less than 40. Technical considerations and specifications

b. Areas of significance. Each indicator is also classified based on Some considerations and specifications in order to properly apply the area of significance, i.e. risk reduction, performance in normal the safe hospital procedures are summarized below: conditions and performance in emergency situations. Therefore, Ease and fast use of the toolkit by non-technical staff: the the final results are also calculated based on this classification, method is easily understood and applied by non-technical and non- resulting in the ability to identify which sector requires an immedi- trained staff. Moreover, despite the high total number of indicators, ate response, through interventions focused on specific indicators. field assessments can be carried out in a day’s work. CHECKLIST PICTURES Action:

2.A The shape of the hospital should allow air flow through many openings, such as windows, louvres and doors. Openings in the same hall should be placed opposite to each other in order to improve cross ventilation. 2.B Placement of mosquito nets at every window or door to the hospital. 2.C Creation of openings in the roof to enable warm and humid air to exit. 2.D Construction of detached or double roofing which allows better air circulation and provides protection from the sun. 2.E Construction of protection panels for walls in order to reduce insulation and overheating and improve inner conditions. 2.F Improvement of light systems; the light system of operating theatres 17

PN2 and laboratories should be realized with adequate measurements in order to allow the best operating conditions. Description of pictures: Fig. 1 This is an example of wrong realization; hygienic and comfort conditions are inadequate: • metal sheet roof heats room; • walls are dirty; • windows are small and they do not guarantee enough light; and • there are no partitions or furniture for patients.

Fig. 2 This is an example of correct realization; Space is well lit and well sized; transversal ventilation is guaranteed by windows on opposite sites. Only problem is related to metal sheet that heats space.

Priority HIGH COST $$

Figure 2: Extract of Hospital Safety Index table: Indicators Do drainage systems exist? 15

D1.3 Area of relevance Risk reduction Score obtained for specific indicator Are the foundations properly designed and sized also in relation to the possibility of 15 0 adding additional floors to the building? Area of relevance D1.4 Additional data is available from product drawings and/or calculation report Y/N for the indicator

18 Area of relevance Risk reduction Are there anchorage systems between foundations and 20 0 vertical frame? Question about availability of supporting technical Data is available in project drawings and calculation report or as results of diagnostic documentation D1.5 investigations. Y/N

Area of relevance Risk reduction

Figure 3: Extract of Hospital Safety Index table: Indicators WELL-SIZED UNITS: In hospital design it is necessary to properly size the unit based on the number of patients. • Low if less of 25% of rooms are considered adequate. • Medium if adequate rooms are between 25% and 50%. C2.6 • High if adequate rooms are more than 50%. • Inadequate space is considered if there are usually more patients than bed and there are waiting patients in passages.

CRITICAL FUNCTIONS: The importance of well-designed space is highlighted for critical functions (operational theatre, pharmacy) both in normal and emergency contingencies; these key questions assess quality, dimension and maintenance of locals. C2.7 • Low if all critical functions are in unsafe area. 19 • Medium if critical functions are in both unsafe and safe areas. • High if all critical functions are in safe area.

ISOLATION UNIT: Isolation unit is a ward that needs supplementary control in terms of security and hygienic measurements. • Low if isolation unit is not in a separate building and/or there is no filter between

C2.8 this unit and the other ones. • Medium if isolation unit is in the same building as the other units, but it is well separated. • High if it is in separate building.

Figure 4: Extract from Hospital Safety Index table: Practices Safety level definitions are clear: The division into three security Indicators should have standard characteristics to make them levels – low, medium, high – could lead to some degree of ap - comparable. Generally, indicators should take into consideration: proximation and of subjectivity of the results. However, thanks to ◼ Relevance: Relevance to the scope of the system to be evaluated the detailed descriptions provided by individual indicators and the and consistency with the environment that the indicator refers correct interpretation of the threshold values has proven that the to. methodology is solid and leaves little room for misunderstanding, ◼ Representativeness: The ability to represent clearly and effec - and makes the findings more objective and reliable. tively the issues affecting the system the indicator is measuring; Structural indicators are simplified: Structural indicators have ◼ Traceability: Indicators should be monitored over time by both been simplified as much as possible, even though the argument technical and non-specialist individuals. is technical and complex, especially if the phenomena of risk are ◼ Comparability: Indicators should help users to compare and earthquakes or strong winds. It is clear that this section is significant detect differences and disparities among hospital units and 20 within the overall safety assessment of the complex as it gives an buildings located in different contexts. approximation of the ability of the building to be sustained over ◼ Objectivity: Indicators should be evaluated with neutral evalua- time and also in case of disasters. tion criteria and shared, in order to ensure the reliability of the Technical staff or specialists may be required for specific issues. results. Although the toolkit has been developed to be used by person - ◼ Measurability: Indicators must be measurable according to nel with non-technical and non-engineering skills, implementing established criteria, and shared in an objective manner. partners should look to employ engineers or architects in order to ◼ Ease of collection: In the interests of a rapid assessment, in - evaluate specific elements (i.e. foundations, beams, water system, dicators should be easily collected. Data is generally available etc.) that require further investigation or urgent action. Furthermore through existing records, desktop resources, public information questions have been added to the toolkit in order to verify the sources, and/or published research, or is easily observed by data availability of technical documentation, particularly in the section collectors. concerning the structural components. The positive or negative answers to these questions influence the final score: if there is no technical documentation, the final score is reduced. Activities and key steps required in the field

In order to evaluate hospital safety the following field activities are required.

Step 1. Plenary session: The committee of the health care facility where applicable, or staff members designated to do the evaluation, are invited to attend the presentation of the toolkit. This allows external parties to get to know the structure to be evaluated and to fill in the general description section of the Hospital Safety Index. This also helps to brainstorm with the local staff about the safety and functionality of the site where they work, and helps to highlight 21 those elements that the staff feels requires urgent action.

Step 2. Testing the compiling of indicators for one cluster: Tech- nical staff and local hospital staff try to analyse and answer all the questions within a specific cluster, in order to properly understand the procedure to be used for the whole evaluation of the hospital. This step helps users to become confident with the tool.

Step 3. Division of staff into subgroups for separate evaluations: Each group should be comprised of a multidisciplinary team. Each group then tries to make the assessment of the health facility

Figure 5: Plenary session during the Safe Hospital Assessment independently. This step tests the ease of use of the tool, helps to supporting the evaluation, should report in the Excel file (freely understand descriptions and indicators, and to evaluate the appropri- downloadable) the results of the assessment, as indicated in Step ateness of the established thresholds for the different levels of safety. 4. Just by entering the results in the automated file, a formula integrated in the program will generate the final scores, indicate Step 4. Compiling of Hospital Safety Index (SHI) sections in the safety class and generate graphs that represent the outcome the field: The staff in charge of carrying out the assessment shall of the evaluation process. indicate the safety level of indicators, following the instructions provided in the descriptions. Once the assessment is completed, Step 6. Definition of intervention: Based on the results from Step it is possible to get a picture of the security level of the health 5, priority interventions to increase the safety of the health facility facility straight away, just by analysing the single indicators and are identified. even without having the final score obtained with the automated 22 program. During the assessment process, the compiling of the indicators may be supported by visual and photographic material that document Step 5. Compiling of the automated Excel sheet: The hospital staff the elements of the structure and help to better understand and or, if not possible, governmental or non-governmental organizations analyse some specific issues. 3. Practical Example to Guide Implementation of the Hospital Safety Index

Specific context in southeast Africa and was divided into three phases: preliminary research, development Indian Ocean of a prototype toolkit and development of two case studies. During the preliminary research, a literature review of the subject and the lthough the concept of Safe Hospital and the Hospital Safety research of the right indicators have been conducted. This led to Index may be applied in many situations, it is important to the development of the prototype toolkit and the application of Averify its applicability to specific contexts. This led to the two case studies, one in Malawi and one in Madagascar. 23 implementation of the Safe Hospitals approach to the context of In both cases, a final workshop involving representatives from the the southeast Africa and Indian Ocean region, where the practice Ministry of Health and other key actors at national and international had not yet been commonly implemented. level in the health sector helped to reshape and adjust the indicators The Safe Hospital project “Assessment of two health-care or add elements that were not initially included, but that were instead infrastructures and promotion of hospital safety in two countries: relevant in the southeast Africa and Indian Ocean region. Malawi and Madagascar”, contained in the Disaster Prepared - ness European Commission’s Humanitarian Aid Department lll Experiences in southern Africa and the (DIPECHO III) regional programme, focused on the development Indian Ocean of an assessment method for health care facilities in the region of southeast Africa and Indian Ocean region, placing itself in continuity The two case studies applied in the region were an evaluation with the campaign to promote the health safety which started in of Salima District Hospital safety in Malawi and an evaluation of 2008–2009. Hôpital Be safety in Vangaindrano, Madagascar. Although these The process of adaptation of the toolkit to the southern Africa two experiences have been quite different in terms of hospital size and Indian Ocean region for assessing the safety of health facilities and human resources, there were also some common elements (i.e. functional or structural failures), that have proved the applicability of the SHI to any type of health facility. Background information on the two practical cases, as well as a description of the specific experiences in implementing the SHI, is provided hereunder.

Hospital description Salima District Hospital According to Ministry of Health policy, the district hospital should service more than 50 000 people. The district has one hospital situated at the district headquarters, which is run by the Ministry 24 of Health and Population, which is the main referral centre for all health units (14 health centres, 4 dispensaries and 59 outreach clinics) in the district. The hospital also provides preventive, curative, rehabilitative and support services to peripheral health units. In order to provide quality services, the hospital has medi - cal equipment in the minor and major surgery units, and dental surgery and labour wards, and it has diagnostic equipment in X-ray, laboratory and Volume Computed Tomography rooms. The hospital actually cares for over 285 444 people. Apart from being a referral hospital for the district health facilities, the hospital also provides outpatient services for the urban population and the surrounding villages.

Figure 6: Salima District Hospital entrance and corridors The Salima District Hospital was built in 1986; it is divided into 13 halls and has total area of about 5 500 m2. The current form of the complex has been not changed substantially over the years: the only structural changes have been the addition of two pavilions and houses for medical staff, using the same materials and processes as the rest of the original structure. The evaluation was performed by the emergency committee of the hospital with the technical support of the University of Pavia.

Vangaindrano, Hôpital Be Vangaindrano is a small rural town in the region of Atsimo-Atsina- nana in southeast Madagascar; it is about 70 km from Farafangana, 25 the capital of the region. The region is also periodically exposed to strong cyclones contributing to increased population vulnerability. The local health system refers patients to the hospital district that is located in Farafangana; however, the infrastructure network between the health centres is inadequate, resulting in the lack of access to the main hospital because of no roads. This causes overcrowding in the smaller towns’ medical centres, which must respond to situations for which they have inadequate space, equipment or staff. A further problem is the provision of medicines: the centres should be supplied with drugs from Antananarivo on a monthly basis, but this often does not occur because of the inaccessibility of the roads, leaving structures devoid of basic drugs.

Figure 7: Hôpital Be, Vangaindrano Hôpital Be was constructed in 1963. It is divided into four halls which house the general medicine, paediatrics, delivery room, outpatient clinics and offices, laboratory and pharmacy. The current form of the complex has changed little over the years: the main changes since its construction have been the reroofing of the hospital and the doctor’s house, which were destroyed as a result of a cyclone in 1996. The local staff is composed solely of three doctors, three nurse, a dentist and four midwives who work on alternating rotations for up to 100 patients per day, a volume for which the structure is undersized and spaces are inadequate. The assessment was con- 26 ducted with the medical inspector; it offered an opportunity to raise awareness and suggest a course of action for the management of the hospital from an emergency and disaster response point of view, but also in relation to the management and maintenance in normal circumstances.

Key issues for practical implementation of hospital evaluation Non-governmental organizations (NGOs) interested in performing a hospital evaluation need to understand the importance of involving hospital staff and, particularly, personnel in charge of hospital safety. This can be a challenge for some of the hospitals and health

Figure 8: Outside Hôpital Be, Vangaindrano

Figure 9: Hôpital Be, Vangaindrano facilities without specialized staff for these issues. For example, in Hospital Disaster Committee. In Vangaindrano DIPECHO partners Malawi at Salima District Hospital, the District Hospital Disaster supported COOPI to engage with the hospital and organize the Committee is a technical body of the hospital that is responsible final workshop for the presentation of the results. to address safety hospital issues. This body was established by the Before performing the actual hospital evaluation through the government but it has been mostly inactive. Hospital Safety Index, hospital staff should be trained on the use The evaluation was an opportunity to revitalize and strengthen of the SHI. Generally, the training does not require participants the position of the committee to suggest a course of action for the to have specific technical skills but a deep knowledge of hospital hospital management from the point of view of emergency and history in terms of safety certainly helps to improve the accuracy disaster response. About a dozen members of the committee took of the evaluation results. Trainers from the implementing NGO or part to the evaluation exercise: clinicians, nurses, administrators, external consultants should be engineers and/or architects, prefer- district health officers, etc. Each member deals with a specific is- ably with experience in health care structures. In both case studies, sue within the hospital and this allows the committee to have a COOPI collaborated with the University of Pavia in order to train 27 multidisciplinary approach to safety. While the Salima District Hospital represents a good case sce - nario, the situation at Hôpital Be in Vangaindrano, Madagascar, was quite different. Here a local committee does not exist and the assessment of hospital safety was carried out with only the support of the Medical Inspector (Médecin Inspecteur). NGOs interested in performing a safe hospital evaluation should also look into the possibility to partner with local NGOs specialized in health care, which can also contribute to the sustainability of the project. In Salima, COOPI partnered with Innovative Health Initia- tive, which provided support in the reinforcement of the District

Figure 10: District Hospital Disaster Committee during the evaluation exercise staff on the use of the SHI tool and to perform the evaluation of the two hospitals. It is good practice for hospitals to perform this type of evaluation on a regular basis. It is advisable to do it at least once a year, so that hospital safety and critical elements are always monitored and kept under control. Before carrying out the evaluation process, it is important that all staff involved understand clearly the SHI and that any docu - mentation related to the hospital is made available for the exercise. This includes, for example, hospital maps and any data related to previous disasters that occurred in the region where the hospital or its affiliated health centres operate. In the case of Salima District 28 Hospital, the map was provided by the Ministry of Health while it was not possible to provide the map for Hôpital Be in Madagascar. The evaluation exercise took two days for Salima District Hospital and one day for Vangaindrano Hospital, as the former has a much bigger and more complex structure compared to the latter. The costs of the evaluation exercise concerned mostly the employment of external consultants to adapt the tool to the local context, to train hospital staff on the use of SHI and to perform the first hospital evaluation. Once the hospital staff has been trained, then the evaluation can be performed internally by the hospital

Figure 11: Part of Vangaindrano Hospital

Figure 12: University of Pavia Team training Salima Hospital Commit- tee on the use of the SHI personnel or with NGO support. Costs will be mostly related to organizing meetings for carrying out the assessment and for the final presentation of results. The cost of the evaluation increases if external specialized consultants need to be employed to assess specific critical issues. The plenary is a key moment that introduces the committee or hospital staff to the hospital safety evaluation. In this phase, the committee or the hospital staff needs to get familiar with the SHI, and answer the questions in the ‘general information’ section. From COOPI’s experience in both Salima and Vangaindrano, at the start of the evaluation, the trainees found it challenging to grasp the SHI concept but after a few practical exercises where they were asked to 29 select an indicator and try to assign its level of safety, upon reading the indicator definition, they became familiarized with the tool and they felt confident with it. In Salima, the committee played an active part in the process, highlighting main deficiencies or problems of the hospital. From the beginning of the exercise the committee suggested some changes to the SHI, for example with regard to specific indicators for housing of doctors and nurses, or to the quarantine department, or in regards to the layout of the toolkit in order to ease its use by

Figure 13: District hospital disaster committee analysing hospital map

Figure 14: Use of the SHI in Salima District Hospital the staff. Furthermore, during the plenary session, the map of the Each group managed to carry out the work autonomously, hospital was analysed and this helped to identify buildings that demonstrating the toolkit’s accessibility. Also the structural sec- required specific attention (i.e. old, damaged buildings). tion was well understood by the staff thanks to the presence of a After the level of safety for each indicator in the general infor- technician/maintenance officer within the committee. mation section had been identified, evaluators were asked to fill in In Vangaindrano, the manager was active in the evaluation the SHI sections related to structural, non-structural and functional process, highlighting, from his point of view, the main deficiencies components. In order to do so in Salima, the committee was divided or problems of the hospital. In the early stages it was highlighted, into groups, with each focusing on a specific section. In order to in comparison with the previous case, that many indicators were answer some of the questions, the groups had to walk through not applicable due to the size and condition of the hospital (genera- the hospital and perform a visual assessment to define the level of tor, fuel storage, heating, ventilation and air conditioning system). safety of the specific indicators. The toolkit layout was also adjusted by applying the suggestions 30

F3 Water supply and sanitation

Key question Safety level Weight Score

No present Unknown Low Medium High %

Are latrines placed outside the hospital in a place where contamination with the sources of 15 water used in the hospital is not

F3.7 possible?

Area of relevance Risk reduction

Figure 15: SHI indicator on water supply and sanitation: Questions provided by the committee in Salima and which was effective in As shown in Figure 17, the committee indicated that latrines expediting the compilation of the toolkit. were built near the well and they contaminate the water that In general, if specific technical issues arise during an evalua - women in the family and pregnant women use for washing and tion, then engineers or architects should be consulted in order to drinking. Furthermore, tap drill is too low and this also contributes properly assess the safety of specific elements that require technical to water contamination. expertise (i.e. construction techniques, etc.). The SHI also suggests some possible actions that can be taken In order to help implementers to better understand the evalu - by the hospital committee in order to address the issue: ation process, a practical example from the Salima case study concerning an indicator related to hospital water supply and sanitation Actions: is described in Figure 15. The consultants from Pavia University, together with the hos- A. Build adequate septic tank. pital committee, attributed a low safety level to indicator F3.7, B. Increase septic tank or build a new septic tank, if necessary 31 C. Periodically check the septic tank contamination of water according to the definitions of safety in Figure 16. and soil, with particular attention if drilling is located in the proximity of latrines. D. Construction of new safe latrines.

SANITATION FEATURES: Once the level of safety has been assigned to each indicator, the If the latrines are located within the health facility buildings, they must final score is computed by entering the results for each indicator in be positioned so that the discharges and the septic tank, even in case of a specific Excel file. Results should be then presented to the Head of rupture, cannot contaminate the water supply. the hospital and then to representatives from the Ministry of Health.

F3.7 In the case of Salima and Vangaindrano, results were also presented Low = latrines are not in a safe place; Medium = they are in a safe place but they are undersized; during two workshops: one held in Lilongwe and another in Anta - High = they are in a safe place and they are well sized. nanarivo. While explaining the results, it is extremely important to describe both good and bad practices that have been identified, as the toolkit’s objective is to provide constructive feedback about both Figure 16: SHI indicator on water supply and sanitation: Description the strengths and weaknesses of the facility. During the final workshop it was also possible to analyse some of the items that generated concerns among the hospital staff; this helped to understand and refine good practices and to adjust inaccuracies in the draft version of the toolkit such as description of indicators, inappropriate values in the context of Malawi or Madagascar and missing information. In Salima, the assessment has ranked the Salima District Hospital as a Class B, with an overall score of 59 points. This result is ac - curate, as the condition of the structure is quite good: there are no significant environmental risks that directly affect the complex; the spaces are well organized and fairly clean and hygienic (despite 32 some shortcomings, e.g. missing mosquito nets, broken doors and windows); the operating room is divided from the rest of the department and from the preparation for the air-handling system, although the instruments are not placed properly. The pharmacy is equipped with air-conditioning for the storage of drugs; there is an electrical generator and there are preparations for a fire-alarm system; and a disaster management committee exists (although it is not fully operational). In Vangaindrano, the assessment has ranked the hospital as Class C, with an overall score of 33 points. This result is accurate, as

Figure 17: Latrines at Salima District Hospital

Figure 18: Insights on Salima Hospital the condition of the structure is poor both during normal operating and emergency conditions: ◼ In some departments, the structure is affected by flooding; this is exacerbated by the region’s exposure to cyclones. ◼ The hospital is undersized both in terms of physical dimensions as well as number of staff compared to the population that it must serve – even in non-emergency situations. ◼ There are two access roads which are both difficult to access by emergency vehicles, even during dry seasons. ◼ The hygienic and sanitary conditions of the facilities are precarious: the latrines do not have an effective water management system. The water supply is not always functional. 33 ◼ The lack of a generator and a connection to the network does not allow the use of electric current continuously, causing serious problems in the use of machinery and storage of medicines. ◼ Machinery is inadequate or non-functional. ◼ The supporting structures (home to the medical staff, offices) have problems of both size and healthiness.

Based on the above, the assessment helped to identify water management of latrines and provision of a backup generator as priorities for future interventions.

Figure 19: Insights on Salima Hospital

Figure 20: Salima Hospital 4. Conclusion

o summarize, the two case studies had two distinct positive results: T◼ They allowed the testing and adaptation of the toolkit to the Malawi and Madagascar contexts. ◼ They raised awareness among the committee members or hospital staff about existing issues that require immediate attention and possible interventions.

34 Generally, the SHI is a tool that helps organizations and hospitals in applying a precise methodology to evaluate the safety of a health facility. The results of the assessment can guide NGOs and institutions in taking further actions and trying to reduce the vulnerability of the health structures to disasters. 5. Bibliography and References for Further Reading

Agenda 21. Chapter 40. un.org/unsd/demographic/sources/census/2010_phc/malawi/ malawi_report.pdf Blaikie, P., Cannon, T., Davis, I., Wismer, B. 2003. At Risk: Natural Hazards, People’s Vulnerability and Disasters. London. United Nations Human Settlements Programme (UN-Habitat) Routeledge. (P 17) and United Nations Office For Disaster Risk Reduction (UNISDR). 2012. Tools for the Assessment of School and Hospital International Strategy for Disaster Risk Reduction (UNISDR). Safety for Multihazards in South Asia. Toolkit. 2009. Hospitals Safe from Disasters. Reduce Risk, Protect Health 35 Facilities, Save Lives. 2008-2009 World Disaster Reduction Z_GIS & COOPI. 2012. Consultancy to assess the current hazard Campaign Report. Available at: http://www.unisdr.org/2009/ mapping capacity and effectiveness of scenario-based tools for campaign/pdf/wdrc-2008-2009-information-kit.pdf long-term planning mechanisms. Report. Available at http:// www.gi4drr.org/wp-content/uploads/2010/11/09March2012_ National Statistical Office. 2008. Population and Housing Final_report_UNDP_Malawi-ReadyToPrint.pdf). Census Preliminary Report. Report. Available at http://unstats. Funded by:

Coordinator:

ISBN 978-92-5-108336-9

9 7 892 5 1 0 8 336 9 I3770E/1/04.14 Disaster Risk Reduction Architecture

KEY PRACTICES for DRR Implementers Disaster Risk Reduction Architecture: Key Practices for DRR Implementers United Nations Human Settlement Programme (UN-Habitat), PO Box 30030, GPO Nairobi 00100, Kenya Tel: (254-20) 7623120; Fax: (254-20) 7624266/7 (Central Office); E-mail: [email protected]; Website: www.unhabitat.org The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning delimitation of its frontiers or boundaries, or regarding its economic system or degree of development. The analysis, conclusions and recommendations of this publication do not necessarily reflect the views of the United Nations Human Settlement Programme, the Governing Council of the United Nations Human Settlement Programme, or its Member States. The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned. The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO. ISBN 978-92-5-108342-0 (print) E-ISBN 978-92-5-108343-7 (PDF)

Contributors Arianna Francioni, DRR Architect and main author; Pasquale Capizzi, Southern Africa Chief Technical Advisor and publication coordinator; John Chome, Habitat Programme Manager, Malawi; Monique Rakotoarison, Habitat Programme Manager, Madagascar; Fernando Ferreiro, DRR Architect, UN-Habitat Mozambique; Wild do Rosario, DRR Architect, UN-Habitat Mozambique; Rosat Ramanankolazaina, DRR Specialist, Madagascar Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © UN-Habitat Design and layout Handmade Communications, [email protected] Disaster Risk Reduction Architecture

he southern Africa and Indian Ocean region is extremely ◼ Empowering communities through multi-sectorial and multi- vulnerable to cyclones, floods, droughts and tropical storms. level approaches with DRR mainstreamed as a central compo- TThese recurrent climate-related shocks negatively affect the nent and improved food and nutrition security as an outcome. highly sensitive livelihoods and economies in the region, and erode communities’ ability to fully recover, leading to increased fragility This is done in alignment with national and regional strategies and and vulnerability to subsequent disasters. The nature and pattern of frameworks. weather-related disasters is shifting, becoming unpredictable, and For DIPECHO, one of the main measures of success is replicabil- increasing in frequency, intensity and magnitude as a result of climate ity. To this end, technical support through guidelines established for change. Vulnerability in the region is further compounded by prevail- DRR implementers is a welcome output of the DIPECHO interven- 01 ing negative socio-economic factors, such as high HIV rates, extreme tions in the region. ECHO has supported regional partners, namely poverty, growing insecurity and demographic growth and trends COOPI, FAO, UN-Habitat and UN-OCHA, to enhance the resilience of (including intra-regional migration and increasing urbanization). vulnerable populations in southern Africa by providing the funding The European Commission’s Office for Humanitarian Affairs to field-test and establish good practices, and to develop a toolkit (ECHO) has actively engaged in the region through the Disaster for their replication in southern Africa. It is the aim of the European Preparedness ECHO (DIPECHO) programme since 2009, supporting Commission Office for Humanitarian Affairs and its partners to fulfil multi-sectorial disaster risk reduction interventions in food security the two objectives sustainably and efficiently through the practices and agriculture, infrastructure and adapted architecture, informa- contained in this toolkit to ensure the increased resilience of the tion and knowledge management, water, sanitation and hygiene, most vulnerable populations in the region. and health. This programme operates with two objectives, notably: ◼ Emergency preparedness by building local capacities for Cees Wittebrood sustainable weather-hazard preparedness and management, Head of Unit, East, West and Southern Africa including seasonal preparedness plans, training, emergency Directorate-General for ECHO stocks and rescue equipment, as well as Early Warning Systems. European Commission 02 Foreword by UN-Habitat

n the last decade, the United Nations Human Settlements Pro- This publication documents some of the practices which fol - gramme (UN-Habitat) has developed innovative approaches for low UN-Habitat’s strategic policy on Human Settlements in Crisis, Idisaster resilience in human settlements and the built environ- which promotes a sustainable approach to relief and reconstruc- ment of southern Africa, and witnessed an impressive number of tion. It also contributes to the City Resilience Profiling Programme risk reduction practices. The cornerstone of the adaptive approach through the guidance it provides to practitioners, decision-makers to human settlements is to demonstrate through practical imple- and field workers in the field of disaster risk reduction. mentation that this approach to disaster-prone human settlements This resource tool is the summary of a larger study document- can go a long way in reducing risks. ing adaptive architecture, Taking Stock of Disaster Risk Reduction 03 It is timely that these practices are taken stock of, acknowl - Architecture in Southern Africa: lessons learned from 10 years edged and reproduced at a larger scale, included in policies and of adaptive architecture for practitioners, decision-makers and become common practice, so that communities in countries field workers in disaster-prone countries of southern Africa and exposed to recurrent cyclones, floods, earthquakes and droughts south-west Indian Ocean. It offers practical examples of adaptive learn how to live with the hazards, and become more resilient. It is construction practices for several hazards, as well as specific lessons also important, however, that emerging needs such as Urban Risk learned for both practitioners and decision-makers willing to un - Reduction and Resilience are recognized and tools progressively derstand what works and what does not, and what is worth repro- developed in this fast urbanizing subregion. In fact, the most recent ducing. The study and its technical annexes are available at www. studies, and our own experience as an urban agency both conclude seadrr.org or on request from UN-Habitat Mozambique,Malawi that the urban challenge will likely become a main concern for the and Madagascar. region. Cities and towns are not yet equipped to mitigate and adapt to the impacts of climate change and increased natural hazards, Jan Meeuwissen while they are becoming more and more vulnerable due to their UN-Habitat fast growth, mostly unplanned, and the concentration of people. Risk Reduction and Recovery Branch Coordinator Contents

Acronyms and Abbreviations...... 05

1. Adaptive Architecture for Disaster Risk Reduction in Southern Africa...... 06

2. Capitalizing on DRR Architecture Practices...... 08

04 3. How Adaptive Architecture Can Reduce Risks...... 10 4. Lessons Learned and Recommendations...... 34

5. Conclusions...... 41

6. Bibliography and References for Further Reading...... 42

Acronyms and Abbreviations

CBO...... community-based organization DIPECHO...... Disaster Preparedness ECHO DFID...... Department for International Development (United Kingdom) DoDMA ...... Department of Disaster Management Affairs DRR...... disaster risk reduction ECHO...... European Commission Humanitarian Aid and Civil Protection Office GEF/UNEP ...... Global Environment Facility/United Nations Environment Programme 05 INGC...... Instituto Nacional de Gestão de Calamidades km...... kilometre m...... metre MICOA-DINAPOT ...... Ministério para a Coordenação da Acção Ambiental (Mozambique) MLHUD...... Ministry of Land, Housing and Urban Development MOPH...... Ministério das Obras Públicas e Habitação NGO...... non-governmental organization TEVETA...... Technical, Entrepreneurial, Vocational, Education and Training Authority UNDP ...... United Nations Development Programme UNIDO...... United Nations Industrial Development Organisation US$...... United States Dollar

1. Adaptive Architecture for Disaster Risk Reduction in Southern Africa

The southern African and South-West Indian 2 700 km of coast; the Great Rift Valley; semi-arid areas); Mada- Ocean region is at risk gascar (island in the cyclone-prolific south-western Indian Ocean; semi-arid areas); and Malawi (large river basins on the edge of the he southern African region is highly exposed to natural hazards, Rift Valley; semi-arid areas) share an extreme natural hazard profile. i.e. cyclones, floods, droughts and earthquakes. For instance, Cyclones and floods, in particular, have recurrent, immensely 06 Tcountries such as Mozambique (nine international rivers; destructive effects on the built environment: each year, hundreds

Figure 1 (left): Damaged food items following the 2013 floods in Chokwe, Mozambique.

Figure 2 (right): Floods after Cyclone Hubert in Manakara, Madagascar. of houses, school buildings and basic community infrastructures are destroyed, with lives lost and enormous impacts on the economy. These events result in lives being lost, often due to a lack of shelter during the peak of the events, as well as loss of assets, including dwelling units, bridges, roads, railways, the uprooting of transmission towers and, importantly, key basic infrastructure, such as schools. The effort to reconstruct and recover from the loss of property and assets is so demanding that sustainable development is at stake each year. Furthermore, it is now a fact that meteorological events are becoming more severe as a result of the changing climate, especially in coastal cities of Mozambique, Madagascar and Namibia (rise in sea-level; stronger cyclones and winds; and 07 food insecurity as a consequence of lower supply from rural areas). Fortunately, there is a growing consensus on the need to con- ceptualize, design and build human settlements in a way that takes into account the risk profile of the countries. There are hundreds of examples of adaptive architecture in southern Africa, using both local and conventional materials and techniques. This brief showcases a number of adaptive architecture cases that are replicable and can be transformed into normal community and national practices. The objective is to offer an overview of the wealth of experiences so as to take stock and transform experience into capitalized practices, normal disaster-resistant constructive behaviour and, ultimately, enforceable policies.

Figure 3: Damaged school following Cyclone Funso in Pebane, Mozambique. 2. Capitalizing on DRR Architecture Practices

From pilots to policies… analyses (a list of complete references and background is offered in the bibliography) agree that with an increase of 5 to 10 percent he richness of examples in the field has not yet been compiled in the construction of buildings, communities and conventional and analysed in all its potential at country or regional level. builders – including the state – can save up to 30 to 40 percent of TSometimes, examples are replicated spontaneously by the funds otherwise used for emergency and reconstruction – not to communities and by the local authorities; however, more often mention avoiding the setbacks experienced by communities which than not, they remain isolated cases, with limited room for large- recurrently lose their schools, houses and assets. In line with the 08 scale replication. There is a need to take stock of these experiences priorities of the Hyogo Framework for Action and the Making Cities to mainstream the approach to the built environment in all commu- Resilient Campaign, there is room to ‘learn how to live with the nities, and rural, peri-urban and rural settlements. All cost-benefit hazards‘ in the built environment, to adopt adaptive policies as a

Figure 4 (left): Flood-resistant elevated school in Maniquenique

Figure 5 (right): On-the-job training with local builders in Manica for earthquake– resistant houses normal practice in communities, to develop and approve disaster- …through evidence! resilient norms and building codes, and to develop the capacity to enforce them as a priority. This brief is an abstract of the comprehensive stocktaking docu - In other terms, the examples developed in southern Africa by ment Taking Stock of Disaster Risk Reduction Architecture in communities, national governments, the local authorities, non- Southern Africa: Lessons learned from 10 years of adaptive governmental organizations (NGOs) and international technical architecture for practitioners, decision-makers and field-workers cooperation agencies should be recognized and, when relevant, in disaster-prone countries of Southern Africa and South-West capitalized into practices and policies. To do this, increasingly aware Indian Ocean, produced by UN-Habitat through Disaster Prepared- national and local institutions demand that sound, evidence-based ness ECHO (DIPECHO) III in 2013 in three countries in southern good practices in the area of disaster-resistant basic housing, shelter Africa (Madagascar, Malawi and Mozambique) in an attempt to and community infrastructure construction and reconstruction address the lack of evidence. The three countries have been chosen are analysed and lessons learned. In effect, there are hundreds of as a sample because – although disaster impacts vary among them 09 practices in the subregion, both in local and conventional material, – they offer a complete array of natural hazards: recurrent cyclones including community shelters, housing, schools, crèches and health and floods, and even earthquakes, which are highly destructive clinics. (although not frequently of high intensity). In addition, these countries experience frequent drought; although this hazard does not have an impact on infrastructure, its impacts can be mitigated to an extent with simple, inexpensive water harvesting measures taken by households and in schools or public posts. This brief is conceived as an introduction for institutions, practitioners and donors, to analyse what has been done up to now and what is the potential and benefit of scaling up adaptive architecture measures into practices, policies and programmes. Figure 6: Elevated latrines in community shelter in Madagascar 3. How Adaptive Architecture Can Reduce Risks

Why adaptive architecture? Disaster-Resistant Approach to the Built Environment or, simply Adaptive Architecture. o a large extent, the risks of disasters and their impact on What’s new, it may be asked? Communities in southern Africa the built environment can be mitigated through a disaster- and the south-west Indian Ocean have traditionally adapted to Tsensitive approach to construction, planning of settlements, the environment. In Madagascar, for instance, in several areas of maintenance and reconstruction (the Building Back Better ap - the country there are traditional builders with a profound knowl- proach). This is known as DRR Architecture and Planning, the edge of the hazards and how to adapt to them. Nonetheless, 10 the recurring nature and strength of the hazards, coupled with unplanned growth in settlements, exceeds communities’ capacities to construct appropriately. This also concerns the more formal built environment that, in the haste of building rapidly and cheaply, often disregards the very concepts of adaptation to the environment. There is the need to reintroduce basic concepts of adaptation on the one hand, and to disseminate economically viable solutions on the other. In the last decade, southern Africa was a laboratory of examples of resistant housing, shelter and basic infrastructure both in local and conventional materials. Some of these cases are showcased here, and a more complete assessment is available in Figure 7: the bibliography. In effect, also through DIPECHO I to III, national Cyclone-resistant community and local authorities, communities, NGOs and the United Nations shelter built by have constructed a number of architectural solutions for disas- CARE in Fenerive, ter risk reduction in the subregion during the past decade. The Madagascar. purpose of this action, overall, was to demonstrate that adaptive ◼ Indirectly sustaining the effort of sustainable development, by architectural solutions contribute to: avoiding disruption of social, economic, cultural and educa - ◼ Directly protecting lives through the provision of safer houses, tional activities of societies. for example, in the case of non-engineered dwellings; ◼ Directly protecting lives during and in the aftermath of an Learning to live with hazards emergency, through transforming basic infrastructure (schools, kindergartens) into safe havens; The concept of adaptive architecture is part of “learning how to live ◼ Directly saving economic and physical assets from the effects with hazards”, which includes: 1) understanding risks and vulner- of disasters; abilities; 2) planning settlements in a participatory and resilient ◼ Indirectly saving economic assets through Building Back Better manner; 3) adopting resilient basic service provision in terms of after disasters, so as to mitigate the risk of occurrence in the drainage, solid waste management and water management; 4) future; and building safely; 5) rebuilding improved structures after disasters; 11 and 6) learning preparedness and preventive measures in schools, community exchanges and families. In general, poverty inhibits the use of better materials or skills. Spontaneous constructions, regardless of regulations, with little support from more skilled technicians and authorities, also contribute to vulnerability. Notwithstanding this, it is a common misconception that local non-engineered constructions are necessarily more vulnerable than those constructed with conventional materials. Evidence suggests that formal constructions, including public constructions (such as formal schools), may also be vulner- Figure 8: Local able to hazards. Non-resistant constructions are often the tangible builders applied disaster-resistant result of a series of factors. These include lack of land ownership construction or tenancy rights; poor physical planning that disregards natural techniques in hazards; insufficient or unenforced building regulations; weak Angoche. technical know-how in construction or not valorizing local tradi- resilience, and is defined in this sector as the capability of a system: tional knowledge; and lack of preparedness, among other factors. 1) to maintain acceptable levels of functionality during and after disruptive events; 2) to recover full functionality within a specified Applied local solutions period of time after the event; and 3) to provide communities with additional tools to face adverse climates. In simpler terms, adaptive Architecture is adaptive when it is able to adjust its structure, architecture must learn from the local context, i.e. from traditional behaviour and resources to local climatic and geologic conditions; construction or commonly used public building specifications to i.e. a robust structure is able to sustain the impact of severe natural provide affordable and appropriate solutions. Within this approach, hazards or contribute to easing the life of communities, is adjusted there are a number of areas for action: to the local context, and is therefore sustainable. The combination ◼ Increasing awareness through simple, user-friendly materials. of robustness and sustainability results in increased community ◼ Creating understanding to foster an appreciation of safe 12 versus unsafe buildings in the context of the disaster related to additional forces, loads and effects. ◼ Facilitating application by creating an enabling environment for application of the appropriate norms to ensure structural safety. In effect, even when communities are aware, they often lack training and capacities within the community, which needs to be addressed through on-the-job training.

Given the breadth of experiences in southern Africa, stock can be taken of promising practices studied to influence constructive behaviour. The challenge, given the immense diversity and rich - ness of cultures in the subregion, is to find a common ground Figure 9: Simple technique using for extracting lessons. Understanding the potential or proven local material to impact of a given solution is a good filter for lessons, i.e. How improve resistance many people are safer thanks to the intervention in the long run? to cyclones. Figure 10: The River Game is an advocacy and awareness tool developed by UN-Habitat and partners which is used in communities to demonstrate the various threats and hazards related to river flooding.

How much can be saved? Also, understanding the degree of Madagascar) on activities since 2002; 3) data review and field visits; replicability is a key parameter: interventions are best practices and 4) interviews with key team members and relevant govern - when their potential is exploited through replication. ment counterparts, in particular IINGC/MOPH/MICOA (Instituto In the next section, a selection of solutions resistant to cy - Nacional de Gestão de Calamidades1/ Ministério das Obras Públicas clones, floods and earthquakes are described. They include both e Habitação2/Ministério para a Coordenação da Acção Ambiental,3 local and conventional materials and technologies, and involve (Mozambique), DODMA MLHUD (Department of Disaster Manage- a range of local and formal builders, communities, local institu - ment Affairs/Ministry of Land, Housing and Urban Development, tions, national institutions, NGOs, UN agencies and other entities. Malawi), partners (NGOs) and community beneficiaries. Samples have been studied through: 1) data collection forms; 2) focus groups between UN-Habitat, local NGOs, national and lo - 1 The National Institute for Disaster Management cal institutions in the different countries (Mozambique, Malawi, 2 The Ministry of Public Works and Housing 3 Ministry of Environmental Affairs Cyclone and strong-wind-resistant examples cyclonic areas in the world. Madagascar is the most vulnerable country in the subregion, with winds up to 350 kms per hour, followed by The coastline of south-east Africa is affected by cyclones and tropical Mozambique. The cyclone season normally occurs from November storms coming from the Indian Ocean – one of the most prolific to April, peaking in January and/or February.

Mortality risk index cyclone risk (classes)

Extreme High Medium Moderate 14 Low

Tropical cyclones wind intensity (SS cat)

1 2 3 4 5

Map: Global Risk Data Platform ©2012 UNEP/UNISDR Typically, 12 cyclones occur annually in the south-western Indian especially affecting roofing structures, and also have damaging Ocean, involving heavy rainfall and storm surges that cause the ocean effects on infrastructure. Storms and strong winds below cyclone level to rise by as much as 10 m. Over the past 20 years, 7.1 million strength also cause significant damage. To resist cyclones, a number people are believed to have been affected and losses of US$1.6 of architectural solutions have been devised and implemented in billion were experienced in both countries as a result of cyclones. Madagascar and Mozambique, using both local and conventional Cyclones have devastating impacts on housing and public facilities, materials. This concerns housing and safe havens.

Figure 11: Poor construction or limited consideration of the risk exposure can lead to significant structural damage, as seen here in Mozambique. Why is this architecture adaptive? The house integrates in its Case 1: Individual house – Maroantsetra, design and implementation many simple architectural solutions Analanjirofo, Madagascar which do not necessarily imply additional costs. The walls are • Within the framework of the TSARAKOBABY project, made of stems of ravenala assembled using bamboo to facilitate Medair, in partnership with local authorities, imple- replication by villagers. The structure must be tight and secure mented low-cost anti-cyclonic individual houses with to prevent wind penetration at the interstices. The anchoring of local materials. The project involved seven vulnerable the structure’s columns in the soil allows the stabilization of the communities in the Maroantsetra District. house while protecting the wood from termite attacks. The house • Implementing agency: Medair is raised on braced poles. The adding of diagonals allows for un - • Donor: DIPECHO loading the horizontal wind load on the ground, and the house is more cohesive. 16 Why is it replicable? The cost of local-material design interventions is limited, which makes replicability possible. Importantly, this house was constructed using improved local know-how, which makes techniques easier to master and integrate. Authorities could use these examples and showcase them to other communities through on-the-job training and mainstreaming of capacities, from local peer builders to others. 17 Why is this architecture adaptive? The applied principle is that Case 2: Kindergarten – Vilankulos, Inhambane a building’s reaction to cyclone winds is related to its shape and Province, Mozambique its weight or its technological characteristics. In particular, the • The kindergarten can be used as shelter in case of a cyclone-resistant buildings featured have roofs using prefabricated cyclone. The school has a 200 m2 plan, divided into a wire mesh concrete vaults whose shape, slope and weight ensure multipurpose room, cafeteria, office, kitchen and fe- excellent resistance to cyclones. In the kindergarten’s case, the male/male toilets. The project came about as a result prefabricated vaults that compose the roof structures are of large of the impact of the prototype testing workshop that dimensions, each covering three bays for a total length of 9 m. UN-Habitat implemented with the Municipality of The section is not a true semicircle, but rather a flattened arch. Vilankulos: one year later the municipality decided to The vault formwork technology was developed by the Institute of spontaneously replicate a cyclone-resistant interven- Cooperation and the United Nations Educational, Scientific and 18 tion, funded by an international organization, and Cultural Organization Chair for Basic Habitability and the Technical asked UN-Habitat for technical assistance. University of Madrid, and adapted by UN-Habitat in Mozambique. • When: 2010–2011 (six months) • Donors: Associaçao Moçambique Alemanha Why is it replicable? According to the results of the prototype • Partners: Vilanculos Municipal Council and UN-Habitat construction testing, the ferrocement prefabricated technique proved appropriate but required skilled construction companies, rather than local builders. Nonetheless, private citizens in Vilanku- los, using the same techniques, are currently building a number of private houses. This proves that good tangible examples can go a long way in influencing constructive behaviour.

Figure 12 (opposite): Cyclone-resistant kindergarten in Vilankulos, Mozambique. 19 Why is this architecture adaptive? The rectangular shape offers Case 3: Shelter house – Maroantsetra, Analanjirofo, an even resistance to the wind loads experienced in a cyclone- Madagascar prone area, thus proving that mitigation through adaptive archi - • This ‘shelter house’ was built by Medair, through tecture aims first at building more resistant structures without the DIPECHO, to serve as a safe haven during emergency use of additional resources. Also, foundations, which have been periods. During the non-cyclonic season, the house well treated against termites, elevate the safe haven to prevent can be rented to finance its maintenance or, if pos- floods associated with the strong winds and rains of a cyclone. The sible, to support the local community. wall structure is a wooden frame filled with wood, and the roof • Where: Maroantsetra Municipality, Maroantsetra structure is made of sheet-metal. It should be mentioned that often District, Analanjirofo Region the use of mixed materials, in addition to infrastructural considera- • Partners: Medair, local authorities and communities tions, provides a good balance between the use of local material 20 • Donors: DIPECHO and a more conventional appearance. This may help institutions in adopting models and promoting their replication.

Why is it replicable? Safe havens such as this promote double- purpose construction. Within an adequate territorial strategy (i.e. building safe havens in strategic areas) they may have a large catchment population. Their replicability, however, also depends on the capacity to generate income (or at least funds for maintenance), the relevance to the community’s daily life. Flood-resistant examples international river basins and 7 300 km of coastlines of the subregion, affecting more than 7.5 million people in the last 20 years. Abnormally high rainfall (e.g. due to tropical cyclones) is the pri - Many human-induced contributory causes interact to increase mary cause of flooding in southern Africa. It occurs along the ten communities’ vulnerability to floods, including land degradation;

Mortality risk index cyclone risk (classes)

Extreme High Medium Moderate Low 21 Map: Global Risk Data Platform ©2012 UNEP/UNISDR deforestation of catchment areas; increased population density along riverbanks; poor land-use planning, zoning and control of flood plain development; inadequate drainage, particularly in cities; and inadequate management of discharge from river reservoirs. A number of flood-resistant schools, safe havens, platforms and houses have been piloted in the subregion. These involve both local and conventional materials. Adaptive architecture can extensively mitigate the impact of floods through the adaptation of flood- prone settlements.

22 Why is this architecture adaptive? The elevated primary school Case 1: Elevated school – Maniquenique village, built in Maniquenique has a dual function: as a school in normal Chibuto District, Gaza Province, Mozambique times, and as a safe haven during floods. The floor was built higher • UN-Habitat, in partnership with national institu- than the 1-m flood waters experienced in 2000. In addition, the tions, facilitated participatory planning sessions with roof structure was reinforced so that it can be used as a refuge identified communities, with the construction of a platform. The school includes a rainwater harvesting system, as new school as the priority. Maniquenique (6 km from drinkable water is one of the major concerns during floods, and Chibuto, where the district administration is located) improved, elevated sanitation facilities which can be used both is a village located in a flood-prone area, and was during a flood and in normal times. The design of the school took totally flooded in 2000 by water averaging 1 m deep. maximum advantage of local knowledge, building materials and • Partners: Government of Mozambique, MICOA-DINAPOT, manpower. Results include one primary school/safe haven built, UN-Habitat, community-based organizations (CBOs) 300 children provided with education space, 150 to 200 com - 23 • Donors: Global Environment Facility/United Nations munity members provided with flood emergency shelter, builders Environmental Programme (GEF/UNEP) trained and awareness raised. • Cost (including labour): 200 m2 – approximately US$30 000 Why is it replicable? During the floods of 2013 (Limpopo River ba- • When: 2007–2008 sin, January–February 2013) communities used the school’s elevated platform for shelter. In addition to benefiting the host community, the school serves to increase awareness among local and national stakeholders. Costs are absorbed over the mid to long term (in case of floods, the return period seems to be changing in some areas) and compared with the lack of negative impacts as a result of the floods. Although more costly than local material solutions, such schools could be replicated strategically in large flood plain areas. The community also constructed an additional classroom on a compacted landfill, entirely in local materials. 24

Figure 13: Different construction phases of the flood-resistant elevated school in Maniquenique, Mozambique. Why is this architecture adaptive? The safe haven design in- Case 2: Safe haven and housing – Chikwawa cludes two large rooms to accommodate 500 people, toilets and District, Malawi an external covered space for cooking. It is designed for normal • In one of Malawi’s most flood-prone regions, Chik- community use during the rainy season. The site selection followed wawa District, UN-Habitat has tested the Living a participatory process and integrated local knowledge of the with Floods approach. Under the coordination hazards. An elevated plinth raises the building 750 mm from the and monitoring of DoDMA (Department of Disaster ground and a raised walkway to the kitchen and toilets enables Management Affairs) and MLHUD at national level, safe and dry access to these facilities, even in flood conditions. and the active involvement of Chikwawa District The roof is designed to resist strong winds. The construction of the Council, the project was implemented with the local safe haven was used as on-the-job training for local builders, which communities who contributed actively in site selec- provides sustainable awareness-raising and possible replication at tion and materials for the construction to reduce individual housing level. 25 vulnerability to floods living in low lands, prone to low and moderate flooding through small-scale Why is it replicable? The beneficiaries concurred on the need to shelter mitigation interventions. replicate the experience. The safe haven structure provided refuge • Where: T.A. Makhwira in Chikwawa District to hundreds of flood-displaced people in 2013. After the floods, • When: 2010–2012 (20 months) the facility has been used as an early childhood development cen- • Donors: DIPECHO with the participation of ONE-UN tre and for other community development activities. Community Fund members indicated the need for a lighting system and a fence to • Partners: UN-Habitat, Habitat for Humanity, Chik- guarantee safety of goods and people at night, as well as for a wawa District, DoDMA, MLHUD, CBOs rainwater catchment system to provide potable water in times of • Cost (including labour): house approximately floods. As with the cyclone shelters, the safe haven can be replicat- US$3 500; safe haven approximately US$28 000 ed to the extent that it has a functional double purpose (meeting centre, community centre, school, functions) that either generate small incomes for its maintenance (renting) or is constructed by national authorities in flood-prone areas within the framework of DRR school construction programmes. Earthquake-resistant examples an active fault zone. Devastating earthquakes with magnitudes greater than 6.0 occur almost annually in the East African Rift. In Malawi and Mozambique span the south of the Eastern African 2006, an earthquake measuring 7.0 on the Richter scale affected Rift, the boundary between two plates in separation, thus creating eastern Mozambique and was felt across the country, as well as in

Earthquakes as detected by ANSS (magnitude) 5.0–6.0 6.1–7.0 7.1–8.0 8.1–9.0

Earthquake footprint (MMI Cat) 5 (5–7) 7 (7–8) 8 (8–9) 9 (more than 9) Map: Global Risk Data Platform ©2012 UNEP/UNISDR parts of Zimbabwe, South Africa, Swaziland, Botswana and Zambia. In 2009 an earthquake of 5.8 magnitude hit the district of Karonga in Malawi, followed by a 6.2 magnitude earthquake, destroying houses and public buildings. As this is an infrequent hazard in the region, the affected population and concerned institutions were largely unprepared and unable to respond. Earthquakes have the potential to be highly destructive to housing and infrastructure, and are a potential cause of lost lives. Earthquake-resistant measures are not optional features in public buildings, especially schools. In the subregion, however, not many earthquake-resistant local material houses or basic infrastructures have been tested. Guidelines for non-engineered constructions, 27 however, are available in Malawi and Mozambique and awareness is increasing.

Figure 14 (far right): On-the-job training for earthquake- resistant construction in Manica, Mozambique.

Figure 15 (right): An example of a flood- and earthquake- resistant building in Chikwawa, Malawi. Why is this architecture adaptive? Case 1: Housing reconstruction and retrofitting, Karonga, Northern Among other technical specifications, this Region, Malawi example underscores the importance of • In the immediate aftermath of the 2009 earthquake, the Malawi Red Cross building design; the shape is a major factor Society (MRCS) provided emergency shelter to 6 000 displaced families. In in the disaster-resistant design, disproving order to reduce the vulnerability of the affected households in the long the common belief that disaster-resistant term the Department for International Development of the United Kingdom measures necessarily imply much higher (DFID) provided financial support for a project that provided materials, costs. In this case, the house is square and cash grants and training to build and repair houses and sanitation facilities compact, and unsupported wall spans are for households and schools; and disseminated better building practices, less than 5 m long; the plinth is raised from through training of hygiene promoters, training of artisans and beneficiary the ground, and walls, made in fired bricks 28 dissemination workshops. One of the guiding principles for the project was as in the local custom, are reinforced. The that households, communities, and government were responsible for provid- openings do not exceed 50 percent of over- ing safe and adequate housing. Every beneficiary was given a range of all wall area, and a minimum distance of is designs to choose from and both householders and artisans were trained to kept between window and door openings ensure that important construction details and methods were implemented. and the corners of the buildings. • When: 2010–2012 • Donor: DFID Why is it replicable? The techniques used • Partners: Malawi Red Cross Society, Karonga District Council, MLHUD, UN- are easy to grasp, local materials were Habitat, TEVETA (Technical, Entrepreneurial, Vocational, Education and used, and costs were limited, making it Training Authority), CBOs accessible to communities. While integrat- • Cost (including labour): reconstruction approximately US$4 000; retrofitting ing earthquake (and strong-wind) resistant US$350 measures, the house remains affordable, and capitalizes on local techniques and capacities. 29

Figure 16 (above): Technical drawings for earthquake-resistant houses in Karonga, Malawi. Drought-resistant examples With a very short recurrence period of three to four years, droughts increase the vulnerability of poor populations which do not have Drought is a major chronic natural hazard in southern Africa, which sufficient time to recover from the economic and social impacts has the potential for dire consequences on affected populations. provoked by droughts from one cycle to the next.

Drought population 2010 exposed (people/year) Less than 10 10–50 50–200 200–1 000 1 000–21 057 684 Map: Global Risk Data Platform ©2012 UNEP/UNISDR Although droughts do not have a direct impact on building infrastructures, adaptive architecture can mitigate the impacts through different techniques and mechanisms, most of which are accessible to communities and have high potential in areas with low precipitation and difficult access to water.

Figure 17 (right): Improving water access through water harvesting tanks in Chicualcuala, Mozambique.

31 Why is this architecture adaptive? The rectangular main building is made of concrete columns and beams and stabilized interlocking Case 1: Multi-purpose community centre, masonry blocks. The single-pitched roof slope has been designed Chicalacuala, Gaza Province, Mozambique for the collection of rainwater with the use of gutters and down- • Chicualacuala District, Gaza Province, is affected by pipes connected to a water-harvesting system that ends in three chronic droughts. The project raised awareness among underground tanks with a total capacity of 40 000 litres. The local communities by introducing innovative rainwa- most interesting feature of the project is the rainwater harvesting ter harvesting techniques. The main building area system, using roofs that are similar to canopies situated above the includes housing, offices, meeting rooms, kitchens, cultivated fields. The geometrical form allows the roof harvesting toilets, porches, recreational and playground spaces system to interact with renewable energies, such as sunlight, creat- and public parks. ing a new type of sustainable agriculture. The roof slopes converge 32 • When: 2008–2013 in collection holes which are used to channel water into large • Donors: Spanish Government, United Nations Devel- tanks, so that collected rainwater can be used to irrigate crops in opment Programme (UNDP) Millennium Development the fields. Community rainwater tanks, although technically chal- Goal Fund lenging, are a measure to be further studied and replicated. • Partners: Food and Agriculture Organization (FAO), UNEP, UN-Habitat; United Nations Industrial Devel- Why is it replicable? Apart from the larger building, there are opment Organisation (UNIDO), UNDP, World Food a number of very simple water-harvesting systems that can be Programme (WFP), INGC, MICOA introduced in all public buildings – especially schools – that involve • Cost of the intervention (including labour): ap- simple piping and water collection tanks. These are generally in - proximately US$4 000 for the big water tank; and expensive, go a long way in mitigating the impact of droughts on US$700 for the small water tank (excluding the large the life of communities, and can be operated with basic technical building) capacities. Nonetheless, consideration of water contamination should always be taken into account and proper awareness must be central in the dissemination of these practices. 33

Figure 18 (left): Large water harvesting tank being built in Mozambique. 4. Lessons Learned and Recommendations

General recommendations for adaptive Indian Ocean remains, however, a challenge. Architectural be - architecture interventions in the subregion haviour is the composite result of the interplay between cultural values, technological awareness and technical abilities, economic he samples showcased in the previous section represent an capacities and an overall legal, institutional environment. The same overview of relevant interventions in adaptive architecture, prototype implemented in different environmental contexts, by Twhich have been proven to be sustainable, appropriate and different communities and through the cooperation of a different affordable (within a given context) and, importantly, replicable. institutional framework, produced varied results. Using the filter of 34 Extracting lessons for across southern Africa and the south-west replicability and potential impact, and including the suggestions from all stakeholders interviewed, this provided the opportunity ◼ Isolated practices of pilot construction, which do not build to extract a range of lessons and recommendations for future on lessons learned and are not part of a wider strategy of replication. awareness and stock-taking with local and national institutions, In general, there is consensus on the following: should be discontinued; and ◼ Coordination provides a wider impact and further replication ◼ Local materials are low-cost and easy to reproduce; however, possibilities for best practices in construction; institutions in some countries sometimes disregard them. Ad- ◼ Community mobilization and participation should be gender- vocacy on their relevance should be promoted consistently. balanced and inclusive of vulnerable groups from the design stage; this is crucial for the project’s success; Cost-effectiveness and cost-benefit ◼ To ensure technical viability, communities need small, simple, labour intensive, economically and socially viable projects, In short, building ‘adaptive‘ is cheaper than reconstructing. Re - which can be maintained and operated by the communities current destruction of houses and other public infrastructures 35 themselves in a sustainable way; documented in each natural disaster in the subregion simply ◼ Existing knowledge/practices should be the basis for all demonstrates that a portion of the financial resources invested intervention; by or within every country is lost annually in the recovery of the ◼ Hardware (construction) must go hand in hand with software infrastructures. Considering the risk/vulnerability profile of most of (awareness, training) activities for maximum, sustainable southern African countries, investment in hazard-resistant meas - impact; ures translates into medium- to long-term savings and a maintained ◼ Partnership among communities, governments and other or- focus on achieving national development and poverty reduction ganizations (UN/NGOs) is a critical success factor and enables objectives. This is even more relevant in the context of climate better access to the affected communities; change, which assumes that these events will recur more frequently ◼ User-friendly materials should be disseminated for training of and with greater impacts – a hypothesis increasingly supported by builders; data. To calculate the economic benefits derived from applying ◼ Prototypes, if used as premises for local committees, also resistant measures from the start, the cost of these measures can increase their visibility; be subtracted from the cost of potential impact, for example: Table 1: Cost-benefit analysis of DRR architecture infrastructure is affected by a natural event, by including it in Cost-benefit example the contingency budget of reconstruction projects. Initial cost to build a classroom (IC) Sample country in 2012, including toilets ◼ Launch national and regional campaigns to raise awareness and and administrative block = US$24 500 evaluate the level of vulnerability of the building assets. Reconstruction of 500 classrooms US$5 500 x 500 classrooms = US$2.75 ◼ Carry out actions to maintain and retrofit building assets, in US$5 500 per classroom (field visits, million contract management, implementation) order to reduce the vulnerability of existing buildings. Cost of lost items and assets US$300 per classroom x 500 classrooms (books, furniture) = US$150 000 Prototype-specific recommendations Cost of emergency response (CE) US$200 per classroom x 500 classrooms = US$100 000 Although implemented in different geographical contexts, a num- Projected costs to reconstruct 500 US$3 million classrooms ber of recommendations are extracted per prototype, effective for 36 Application of resistant measures into US$2 940 per classroom x 500 the entire subregion. original project equal to 8% –15% of the classrooms = US$1.47 million initial cost: (IC) = US$2 940 per classroom Cyclone-resistant shelters and housing in traditional Estimated savings materials US$3 million – US$1.47 million = x x = US$1.53 million (!) These prototypes are present on the northern coast of Mozam - bique and Madagascar. Although double-purpose buildings are not More resistant construction costs less in the long term (or in the yet commonly acknowledged by communities, when these show medium term, given the recurrence of cyclones) than a school that tangible results, spontaneous replication has been observed. This has to be rebuilt every time a severe natural event occurs. This ex- replication and further upscaling is facilitated in most cases by the ample does not include the estimated costs of recurrent disruption use of local material for construction. of educational services over the long term. Considering the expected In many cases, however, local materials are not easily accepted economic and social benefit, the following can be recommended: and reproduced by institutions which sometimes disregard their cost- ◼ The progressive adoption of improved reconstruction (Build - effectiveness. In this regard, practitioners should spare no effort in ing Back Better) techniques, where a dwelling or a public the promotion of local technologies, techniques and materials. Recommendations local builders, who will copy the often only example of resistant ◼ Where possible, adaptive public infrastructures should always infrastructure in the community. have a double purpose, i.e. they should have another function ◼ Always include training on hygiene, water and sanitation in the communities aside from that of an emergency shelter. together with on-the-job training in construction, as cultural They will be used always, maintained more effectively and behaviors on these issues may hinder the effectiveness of shel- improve awareness. ters during emergencies. ◼ Double-purpose buildings can be used for simulation and training with the local communities and children on preparedness Cyclone-resistant shelters and housing: conventional and response. materials ◼ Along with on-the-job training in construction, the very pres- These prototypes are present on the central coast of Mozambique ence of a resistant public building improves the behaviour of and northern coast of Madagascar. In general, in all experiences surveyed, the design did not include the possibility for expansion 37

Figure 19 (left): A cyclone-resistant shelter built with traditional materials.

Figure 20 (right): A cyclone-resistant shelter built with conventional materials. and modification of the buildings and houses, according to the local Elevated double-purpose platforms: conventional tradition. Also, where some components of the building are made materials in ferrocement (e.g. roofing vaults), its cost prevents an upscale of These prototypes are present in the southern Malawi and across the prototype, even though it is cheaper than concrete. However, in Mozambique, along international rivers. Sometimes, replicability the case of Vilankulos (Mozambique) a number of houses of private has been reduced because of the very size of the intervention, citizens have started to be constructed with the same measures, especially in remote areas. Most importantly though, some of these proving that a tangible example of cost-effectiveness over the mid interventions were isolated and lacked a territorial strategy for their term might overcome considerations in the short term. Nonethe- use, which should prevent the overcrowding experienced during re- less, where ferrocement is involved, the implementation technique curring floods. This overcrowding demonstrated both the relevance was more easily replicable by small construction companies than of the structures and their limitations when conceived outside an by individual local builders. overall territorial demographic strategy and contingency planning. 38 Recommendations ◼ Develop where possible ‘incremental building design‘ (e.g. the possibility for the building to be increased in size for a growing family) as a guiding principle in the original design of every prototype. ◼ To facilitate spontaneous replication, it is advisable to carry out on-the-job training sessions with small construction companies or artisans, who can train individual field-based builders once trained on the technology. ◼ Small-scale investments in the industrialization process of fer- Figure 21: A rocement construction can help to reduce the implementation building with an elevated cost in the long term. double-purpose platform built with conventional materials. Recommendations ◼ Isolated interventions should be included in a wider strategy for ◼ The platforms should be built with techniques familiar to vulnerability reduction and sustainable development in zones builders. prone to flooding. ◼ The wooden roofing structures could also be substituted with metal trusses, which can bear the weight of people finding Quake-resistant housing: conventional materials shelter on the roof of the building. Prototypes are present in northern Malawi and central Mozam - ◼ Each structure should be accompanied by a rainwater catch - bique along the East African Rift, a fault line that identifies the ment system. seismic area of the subregion. The key to resilience to this hazard is ◼ The elevated platform could be adapted to be used not only as to increase risk awareness, develop sound and enforceable building a school, but also as a clinic or other public infrastructure. regulations, and to promote, use and upscale simple but effective solutions, at least for simple ground-level buildings. 39

Figure 22: A quake-resistant house built with conventional materials. Recommendations Water harvesting systems: conventional materials ◼ Bamboo is widespread in earthquake prone areas of Mozam- These prototypes have been surveyed in central Mozambique, bique and it is cheap. It can be used to create an interlaced but are also present in several other southern African countries. framework to reinforce wall courses, lintels and corners. Build - Although they do not pose a threat to infrastructure, droughts ers in the area already know how to interlace bamboo slats. are among the hazards that result in the highest loss of life in the ◼ Earthquake-sound building layout for non-engineered houses subregion. Knowing the hazard areas, all schools should be pro - and schools needs to be tested and applied all over the seismic- vided with basic water harvesting systems; likewise, many simple prone area. solutions can be devised for housing. ◼ Malawian experience of cash transfers for reconstruction through mobile networks to beneficiaries affected by the Recommendations earthquake has been successful and could be repeated. ◼ Water harvesting is an effective, mostly inexpensive approach 40 that can be introduced in practices and policies without significant cost implications. ◼ To ensure sustainability, the implementation has to be accompanied by awareness-raising initiatives and training activities with local committees; this is particularly true concerning hygiene and water contamination. ◼ The application of water harvesting systems to education infrastructures accompanied by awareness-raising campaigns targeting students has been successful.

Figure 23: Water harvesting system. 5. Conclusions

here are a number of interesting, sustainable and replicable that, through local knowledge and know-how, different solutions experiences to be taken stock of in southern Africa and the can be devised and replicated to scale thanks to the low cost, Tsouth-west Indian Ocean. The selection of experiences pre - simplicity of execution and potential to raise awareness. Finally, sented here is only a fraction of the possible alternatives which are Building Back Better practices should be adopted in all countries. limited only by knowledge of the local context, the requirements Madagascar is pioneering work to make public schools resistant of the communities and creativity. A more complete compendium to cyclones, and Mozambique is also undertaking a process to can be accessed on the website of UN-Habitat and the DRR Portal integrate disaster-resistant measures into this important sector. (www.seadrr.org). Malawi is increasingly promoting the Living with Floods approach, Introducing more resistant measures in the construction of and adopting hazard-sensitive practices and regulations. These are 41 public buildings is not optional, considering the risk profile of the extremely important examples to be mainstreamed within these subregion. The benefits, both in terms of safety and investment, same countries, from which lessons can be extracted and applied are too great not to be transformed into national practices. On the for the whole subregion and compared to other experiences in other hand, the experiences of local material construction attest neighbouring countries. 6. Bibliography and References for Further Reading

Bhaduri, S. 2011. Disaster Risk Reduction – A Planning Approach. Suresh, V. 2002. Promoting Safer Building Construction. New Delhi, India. Twigg, J. 2007. Characteristics of a Disaster-resilient Community: A Birkmann, J. 2006. Measuring vulnerability to natural hazards: Guidance Note. (for the DFID Disaster Risk Reduction Interagency Towards resilience societies. New York. United Nations University. Coordination Group).

Francioni A. 2011. Focus on Mozambique: A decade experimenting UN-Habitat. 2009. Malawi Additional Financing for Third Social 42 disaster and risk reduction strategies. UN-Habitat. Action Fund APL II. Project Information Document; Appraisal stage. Report No. AB5669. GFDRR. 2011. Climate Risk and Adaption Country Profiles. UN-Habitat. 2011. Defining Disaster Resilience: What does it mean IRD. 2012. Reducing Vulnerability to Drought, Cyclones and Climate for DFID? Change in Mozambique. UN-Habitat, UNHCR and IFRC. 2010. Shelter Projects. Malalgoda, C. Amaratunga, D. and Pathirage, C. 2010. School of the Built Environment. Exploring Disaster Risk Reduction in the Built Visit www.seadrr.org in the UN-Habitat page to download the full Environment. University of Salford, UK. document Taking Stock of Disaster Risk Reduction Architecture in Southern Africa: lessons from 10 years of adaptive architecture Mayunga, J. S. 2007. Understanding and Applying the Concept of in disaster-prone countries of Southern Africa and South-West Community Disaster Resilience: A capital-based approach. Position Indian Ocean, UN-Habitat, DIPECHO III 2013–2014. paper prepared for the Summer Academy for Social Vulnerability and Resilience Building, 22–28 July 2007.

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ISBN 978-92-5-108342-0

9 7 8 9 2 5 1 0 8 342 0 I3773E/1/04.14 Disaster Risk Reduction for Food and Nutrition Security

KEY PRACTICES for DRR Implementers Disaster Risk Reduction for Food and Nutrition Security: Key Practices for DRR Implementers

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

ISBN 978-92-5-108346-8 (print) E-ISBN 978-92-5-108347-5 (PDF))

Authors Tamara van 't Wout, Stephan Baas, Mario Samaja and Javier Sanz Alvarez Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © FAO/Javier Sanz Alvarez Design and layout Handmade Communications, [email protected] Disaster Risk Reduction for Food and Nutrition Security

Acronyms and Abbreviations...... 05

1. Introduction...... 06

2. Key Concepts...... 08

04 3. FAO’s DRR for Food and Nutrition Security Framework Programme...... 10 4. FAO’s Framework Programme in Southern Africa...... 14

5. Conclusion...... 39

6. Bibliography and References for Further Reading...... 40

Acronyms and Abbreviations

DRR...... disaster risk reduction FNS...... food and nutrition security GLEWS...... Global Early Warning System for Major Animal Diseases GIEWS...... Global Information and Early Warning System on food and agriculture HFA...... Hyogo Framework for Action HIV/AIDS...... human immuno-deficiency virus/acquired immune deficiency syndrome 05 IPCC...... Intergovernmental Panel on Climate Change IPM...... integrated pest management OIE...... World Organization for Animal Health SADC...... South African Development Community SARCOF...... Southern Africa Regional Climate Outlook Forum SREX...... Special Report on Managing the Risks of Extreme Events and Disasters to Advance Climate Change Adaptation WHO...... World Health Organization

1. Introduction

outhern Africa1 is a highly diverse region, from both a geo - as well as food price volatility. Biological factors, such as the spread graphic and a climatic point of view, spanning the ample de- of animal and plant pests and diseases (brown streak and mosaic Sserts in Namibia to the Equatorial rainforests in the Democratic diseases of cassava, or foot-and-mouth disease that affects cattle) Republic of the Congo (DRC). This diversity is also reflected in the have also impacted the food, nutrition and livelihood security in the variety of hazards that recurrently affect an important part of the region. The impacts of such disasters include reduction of agricul- surface and the population. ture production, destruction of productive assets, like agricultural Hazards in southern Africa are often due to disruptive climatic equipment and facilities, as well as disrupting trade and market events, particularly severe droughts, floods and/or cyclones. The access. All these factors negatively impacted the farmers’ income 06 1992 drought that affected most of southern Africa, and cyclones and their ability to adequately and safely feed their families. Eline in 2000 and Favio in 2007, which heavily impacted Mozam- bique and Madagascar, are among the most destructive events of the last two decades in this region. Each of these events led to substantial devastation with regard to lives and livelihoods, and both also had significant impacts on the region’s economic development. Climate change is a major concern in this regard, as extreme weather events are expected to increase and become more severe. During the last decades other crises have occurred, including man-made hazards, such as armed conflicts (i.e. DRC), political conflicts (i.e. Madagascar) in socio violence/conflicts (i.e. Zimbabwe)

1 For the purpose of this document, the following countries of the southern Africa sub-region are included Angola, Botswana, Comoros, Democratic Republic of Congo, Lesotho, Madagascar, Malawi, Mauritius, Mozambique, Namibia,

Seychelles, South Africa, Swaziland, Zambia and Zimbabwe. © Mario Samaja The people of southern Africa’s rural communities are highly agriculture-dependent communities. It outlines an overall context dependent on agriculture (including forestry, livestock production for the other documents produced in this series, A Field Guide for and fisheries) for a living; and for them the impact of disasters Disaster Risk Reduction in Southern Africa: Key Practices for DRR may lead to a progressive impoverishment. Moreover, underlying Implementers. Moreover, it describes FAO’s Framework Programme structural and vulnerability factors, including extreme poverty and within this context provides overall information and technical levels, HIV/AIDS, water scarcity and environmental degradation, recommendations, which can help field practitioners, government will further increase the impact of disasters throughout the region. officers and non-governmental organizations, involved in the The Food and Agriculture Organization of the United Nations formulation or implementation of DRR projects and programmes (FAO) leads international efforts to defeat hunger, supporting in southern Africa. In particular, it may serve as a reference guide countries to improve sustainable agriculture, livestock, forestry and during the identification, formulation and planning of activities fishery practices to ensure food and nutrition security for all. FAO’s that aim to build resilient livelihoods in the agriculture, livestock, Disaster Risk Reduction for Food and Nutrition Security Framework fisheries/aquaculture, forestry and natural resource management 07 Programme, aims at building hazard-prone communities’ resilience sectors in hazard-prone areas. through strengthening agricultural livelihoods, in order to be prepared for possible hazards, reduce their impact, and facilitate an early recovery. It aims to guide the implementation, scaling up and acceleration of its disaster risk reduction (DRR) work at local, national, regional and global levels and consolidate its technical cross-sectoral expertise on DRR.

Objective and intended application

This brief provides general understanding of what DRR and resilience is, what it means for the agricultural sectors in the southern African context, and what may help to build resilient livelihoods to threats and emergencies and ensure the food and nutrition security of the 2. Key Concepts

Disaster risk reduction countries, provides a 10 year action-plan for DRR; it has been adopted by all southern African countries.2 The HFA provides a coordination eople’s livelihoods are impacted by various types of shocks mechanism, and has created regional and national platforms guiding and crises, which can lead to the damage or destruction of the implementation of DRR activities across sectors. Phuman lives, crops, animals, fishing boats and gear, infra - DRR interventions aim to avoid (prevention) or to limit (mitiga- structure, etc. The extent of the impact depends on the intensity tion and preparedness) the adverse impacts of hazards, thereby 08 of the hazard, the level of people’s vulnerability and their capacity minimizing vulnerabilities and disaster risks as well as facilitating to cope with these shocks and stresses. an early recovery after the shock. Within the field of DRR, a further distinction can be made between ‘structural’ measures (physical Risk = Hazard x Vulnerability and technical), which refer to engineering techniques that focus on Capacity hazard-resistance, and those that are ‘non-structural’ (diagnostic, policy and institutional), such as advocacy, knowledge and practices According to the United Nations International Strategy for Disaster or agreements to reduce risks and impacts. In addition to being Reduction (UNISDR), disaster risk reduction is: “the concept and effective in terms of saving lives and livelihoods, DRR is also efficient practice of reducing disaster risks through systematic efforts to ana- and cost effective: it is calculated that for every dollar spent on DRR, lyze and manage the causal factors of disasters, including through reduced exposure to hazards, lessened vulnerability of people and 2 The five priority areas of the HFA are: (1) Ensure that disaster risk reduction is a property, wise management of land and the environment, and national and a local priority with a strong institutional basis for implementation. improved preparedness for adverse events.” The concept of DRR (2) Identify, assess and monitor disaster risks and enhance early warning. (3) Use as promoted by UNISDR was initiated to address natural hazards. knowledge, innovation and education to build a culture of safety and resilience at all levels. (4) Reduce the underlying risk factors. (5) Strengthen disaster The Hyogo Framework for Action 2005-2015 (HFA), adopted by 168 preparedness for effective response at all levels. between US$2 and US$4 are saved that would otherwise be spent ◼ stresses the link between underlying risk factors that create on disaster relief and rehabilitation.3 overall vulnerability, and the acute threats people face through DRR is a key concept for agriculture since the majority of the their exposure to extreme events; people vulnerable to natural hazards and disasters are the food ◼ emphasizes the need for stronger synergies between develop- insecure and the poor who derive their livelihoods from agriculture ment and humanitarian perspectives and actions to promote and its subsectors. short- and long-term resilience; and ◼ reinforces that, ultimately, resilience must be embedded into Resilience the institutional, social, economic, environmental dimensions of sustainable development, in efforts at all levels to fight hunger Disasters and crises that affect food and nutrition security go and malnutrition. beyond natural disasters; therefore, FAO promotes a multi-hazard approach to strengthen the resilience of livelihoods against disasters The promotion of resilience of livelihoods calls for synergies 09 and ensure food and nutrition security. The concept of resilience between technical good practices for disaster risk reduction and establishes the wider frame, which includes DRR but goes beyond it. climate change adaptation, food chain crises prevention, social The resilience concept as promoted by FAO in the context of shocks protection, financial risk transfer and tenure of natural resources and crises applies multi-sectoral and multi-hazard perspectives; the for the most vulnerable. shocks and crises addressed in integrated ways in FAOs approach include natural disasters, food chain emergencies/transboundary threats; socio-economic crises; violent conflicts; and protracted AO’s definition of resilience is crises. The FAO resilience concept applied to the context of shocks “the ability to prevent disasters and crises as well as Fto anticipate, absorb, accommodate or recover from and crises: them in a timely, efficient and sustainable manner. This includes protecting, restoring and improving livelihoods systems in the face of threats that impact agriculture, nutrition, food security and food safety.” 3 DFID, 2006 3. FAO’s DRR for Food and Nutrition Security Framework Programme

n its commitment to support livelihood protection and to strengthen capacities to absorb the impact of and recover Ifrom disasters through risk reduction, FAO has developed a Disaster Risk Reduction for Food and Nutrition Security Framework Programme. It aims to guide the implementation, scaling up and acceleration of FAO’s DRR work at local, national, regional and 10 global levels and consolidate its technical cross-sectorial expertise on DRR in the wider context of resilience building. “The goal of the FAO’s DRR for Food and Nutrition Security Framework Programme is to enhance the resilience of livelihoods against threats and emergencies to ensure the FNS of vulnerable farmers, fishers, herders, foresters and other at risk groups.” (FAO, 2013: viii) The Framework Programme consists of four pillars, which integrate all agricultural sectors and promote cross-sectoral col - laboration. These four pillars are closely linked to the priority areas of the Hyogo Framework for Action 2005-2015 (HFA). Pillar 1 – ‘Enable the environment’: good governance and local level. DRR interventions should be integrated into poverty institutional strengthening reduction and development programming and policies, and close coordination amongst institutions at different levels are key to avoid The objective of pillar 1: is “to support the enabling environment overlaps and promote synergies and complementarities, including of FAO’s member states, with appropriate legislation, policies and between humanitarian and development actors to ensure sustain- institutional frameworks for DRR for FNS in agriculture, livestock, ability of actions. fisheries/aquaculture, forestry and natural resource management and to strengthen the institutional capacities to implement these Pillar 2 – ‘Watch to safe guard’: information and early initiatives.” (FAO, 2013: iv) warning systems

National DRR laws, policies and institutional mechanisms are re - The objective of pillar 2 is to “strengthen and harmonize food quired to support the implementation of appropriate actions at and nutrition security information and early warning systems to 11 better monitor the multiple threats and inform decision-making in preparedness, response, policy, advocacy and programming.” (FAO, 2013: 32)

Monitoring emerging and existing threats, such as natural hazards, transboundary plant and animal pests and diseases, food safety hazards and economic crises (such as price volatility) is crucial to build resilient livelihoods. Improved monitoring, data collection and analysis will help small-scale farmers and other relevant stakeholders to take rapid decisions after an early warning. Capacity building is important to assure that the data is accurately collected and reliable, for early warning and forecasting, but also to monitor and analyze the various hazards that impact livelihoods. Pillar 3 – ‘Apply prevention and mitigation’: agricultural Appropriate agricultural prevention and mitigation measures include practices and technologies that prevent and reduce the a range of technologies, practices and approaches that help to adverse impact of hazards increase the resilience of rural communities and to prevent and mitigate the impact of future disasters. In this regard, it is important The objective of pillar 3: is “to reduce the underlying risks to food to support capacity development, strategic partnerships and policy and nutrition security through the application of technologies, development, taking into account that technologies and practices good practices and approaches in farming, fisheries/aquaculture, for DRR are always location and context-specific, and are dependent forestry and natural resource management for prevention, mitiga- on local factors. tion and livelihood diversification.” (FAO, 2013: 50)

12 Pillar 4 – ‘Prepare to respond’: improve preparedness for disaster response and recovery

The objective of pillar 4 is to “strengthen capacities at all levels – in preparedness – to improve response to, and recovery from, future threats to food and nutrition security, and to reduce their potential negative impacts on livelihoods.” (FAO, 2013: 60)

When people and communities are well-prepared to respond to and recover from emerging threats or crises, the adverse impact on their lives and livelihoods can be reduced. At the community level, preparedness can be improved through the implementation of 13 appropriate technologies and practices, as well as well-functioning early warning systems. Timely and effective disaster response requires leadership, coordination and awareness-raising at all levels, among both humanitarian and development actors. It also requires operational capacities and technical know-how on DRR and man - agement for agriculture and food and nutrition security. Besides the four pillars, the Framework Programme includes four cross-cutting issues: Capacity Building, Knowledge Management and Communication, Strategic Partnerships and Gender Equity. Enable the #1 environment: Institutional strengthening and good governance for DRR in agricultural sectors Prepare to respond: Watch to safeguard: #2 Preparedness for #3 Information and early effective response and warning systems on FOUR INTEGRATED recovery in agriculture, food and nutrition THEMATIC PILLARS 14 livestock, fisheries and security and trans- forestry boundary threats Apply prevention and #4 mitigation measures: Prevention, mitigation and building resiliance with technologies, approaches and practices across all agricultural sectors

capacity development; knowledge management and communication; Cross-cutting priorities strategic partnerships; gender equity.

Figure 1: DRR for FNS Framework Programme Source: FAO, 2013a 4. FAO’s Framework Programme in Southern Africa

Main disasters and threats in southern Africa As a result of climate change the region is likely to experience more severe weather patterns, including more drought episodes, arious disasters impact the lives and livelihoods of small-scale which will have a great impact on rural communities that are largely farmers, herders, fishers and foresters throughout southern dependent on rain-fed agriculture. The following section outines VAfrica: the hazards to which southern Africa is exposed. Natural disasters, such as droughts, floods and cyclones are the main natural disasters in southern Africa, and have an enormous potential to inflict severe damage to agriculture production, destroy 15 production assets like equipment or infrastructures, disrupt market access and highly affect food and nutrition security, food safety and farmers´ income. In the last 20 years, these weather-related events have resulted in substantial numbers of affected people and economic losses. The 1992 drought, for example, affected over 86 million people throughout 10 countries. Around 5 million people were affected by cyclones Eline and Hudah in 2000 in Madagascar and Mozambique. Four years later cyclone Favio and extensive flooding severely affected 200 000 people and agricultural production in Madagascar where in some locations 80 percent of crops were lost.4

4 http://www.fao.org/newsroom/en/news/2007/1000518/index.html; http://www. fao.org/docrep/004/x7009e/pays/soaf0004.htm Food chain emergencies of transboundary threats, such and Rift Valley fever or Peste des Petits Ruminants, which affect as transboundary plant, animal, aquatic and zoonotic pests and small ruminants. diseases. Transboundary plant pests and animal diseases can easily Food chain emergencies resulting from transboundary threats spread between countries and reach epidemic proportions; where reduce the productivity of crops and animals and may have severe control/management, including exclusion, are needed, addressing consequences for food safety and public health in the case of food these threats requires cooperation between several countries. Trans- contamination or zoonosis (animal diseases that can also affect boundary plant pests and diseases include locusts or armyworms humans, such as Brucellosis or Rift Valley fever). Food-borne ill - and cassava brown streak and mosaic diseases. Transboundary nesses are also a cause of malnutrition, due to the consumption animal diseases include foot-and-mouth disease that affects cattle of unsafe food.

16 Environmental degradation: The degradation of land, natural water catchments, forests and coastal marine and inland aquatic systems, undermine nature’s defense capacity against natural hazards, aggravating the impact of disasters and further contributing to ecosystem degradation, erosion, desertification and biodiversity loss. Environmental degradation may negatively affect agricultural productivity, food security, food safety and civil protection, as people often settle in areas highly exposed to flood risk or land and water degradation.

17 Socio-economic crises, such as volatility in agricultural com- Other main social threats that have a macroeconomic impact on modity markets and soaring food prices. On several occasions over some countries in southern Africa are the high levels of chronic the past decade, food prices rapidly increased as a result of poor malnutrition and HIV/AIDS infection. harvests and other factors such as food commodity speculation and Protracted crises are prolonged emergencies that are charac- the expansion of bio-fuel crops. The global food crisis of 2007–2008 terized by high levels of food insecurity. Throughout the region, had a significant impact on the prices of the main staple cereals, armed, political and social conflicts and violence have occurred which further aggravated malnutrition in the region and impov - (political crisis in Madagascar and Zimbabwe) or are still active (e.g. erished vulnerable communities. In 2010, the soaring food prices the Kivu conflict in the DRC). triggered riots in food importing countries, such as in Mozambique.

18 Linking FAO's Framework Programme to southern Africa's threats Pillar 1 – Enable the environment: good governance and institutional strengthening

At regional level, southern Africa has made progress over the last years in terms of developing regional structures and establishing DRR policies and plans. For instance, the Southern Africa DRR Plan 2012–2014 was developed to allow comprehensive disaster programming, and the Southern African Development Commu - nity (SADC) has increased its involvement in DRR to ensure the coordination of regional preparedness and response programmes 19 for transboundary hazards and disasters, by setting up a Regional Platform for DRR as well as provide food security, meteorologi - cal information and alerts on political instabilities and conflicts. Challenges remain including limited funding and coordination of regional institutional frameworks for DRR.5 At national level, efforts in DRR are uneven, although institutional structures, such as national disaster management authorities and DRR national platforms are established in most of the southern African countries.6 National platforms are country-owned fora

5 http://www.sadc.int/themes/disaster-risk-management/ 6 According to UNISDR, the following countries have officially declared national platforms for DRR: Botswana, Comoros, Democratic Republic of Congo, Lesotho, Madagascar, Malawi, Namibia, Seychelles, South Africa, Zambia. http://www. preventionweb.net/english/hyogo/national/list/?pid:23&pih:2 where DRR stakeholders (public and private, national and inter - However, efforts need to be enhanced to link these existing strate- national) meet to exchange information, knowledge, experience, gies with DRR plans and strategies. analyses and coordinate DRR activities. The Southern African Regional Interagency Standing Committee Most of the countries also have legal frameworks, policies and (RIASCO) identified the following main challenges to humanitarian national plans and strategies for DRR, although efforts should be and DRR interventions in the region: done to assure the full implementation of these policies. National ◼ Uneven human resource capacities in national disaster manage- strategies and plans have also been developed and established in ment authorities; important sectors that are concerned by DRR, such as food security, ◼ High dependence on external funding; and nutrition, social safety-net programmes, poverty reduction, sustain- ◼ Limited institutional and operational capacity for urban risk able natural resource management and sustainable development. management in rapidly expanding cities, which among others constraints risk management planning.7 20 Recommendations

The following section outlines recommendations to build capacity in countries at various levels related to three areas, namely legal and policy frameworks on DRR, institutional structures and coordination and institutional capacity development of risk reduction in and across agriculture-related sectors.

Legal and policy frameworks on DRR Both legislation and policies for DRR are essential, as they provide the formal basis for implementing as well as enforcing DRR strategies, plans and activities by any institutions.

7 Holloway et al., 2013 Agriculture and food and nutrition security sectors (agricul - ◼ Promote resource mobilization and investment programming ture, livestock, fisheries and aquaculture, forestry, natural resource for DRR. Preventive DRR interventions are often under-funded, management, food safety and consumer protection) should be and there is a strong need to advocate the inclusion of DRR included in the national DRR laws, policies and strategies, likewise within the national government budgets and international fund- DRR considerations should be taken into account in agricultural ing agendas to ensure proper funding; this advocacy should be and rural policies. supported by evidence that funds invested in preventive DRR will reduce the needs of a response after a disaster. Institutional structures and coordination ◼ Ensure that institutional structures own and support DRR’s DRR institutions and structures are needed to support and imple- implementation. National institutions should lead the implement DRR laws, regulations and activities. The involvement of all mentation of DRR. relevant stakeholders, as well as adequate cooperation and coordination among agencies at different levels, are needed to effectively 21 implement all efforts to reduce the impact of disaster to food and agricultural sectors. Some recommendations are: ◼ Ensure relevant representation of line ministries in the national and local DRR structures. It is very important that agriculture-related line ministries, e.g. agriculture, livestock, fisheries/aquaculture, forestry and natural resource manage - ment, are involved in national and local DRR structures, due the substantial impact of disasters on the food and nutrition security of agriculture-dependent communities. ◼ Facilitate strategic coordination and partnerships among humanitarian and development actors. Strategic coordination and partnerships help to ensure effective DRR and reduce any potential overlap in the work of both humanitarian and development actors. ◼ Promote partnerships among community-based ◼ Strengthen traditional institutions and knowledge, and organizations, universities/research centers and extension promote the exchange of knowledge, information and services for DRR. Partnerships and involvement of key stake- experience between communities. To build upon traditional holders are important for the identification, selection, testing knowledge of rural communities, promote the exchange of and validation of agriculture good practice options for DRR, information, knowledge and experiences, will help communi- which are location and context-specific. ties to improve DRR strategies. Fostering partnerships between government and communities helps to strengthen institutional collaboration to ensure that DRR is effectively implemented and supported at the local level.

Institutional capacity development for risk reduction within 22 and across agriculture-related sectors Institutions require adequate human resources, with the technical capacities to implement DRR activities. Capacity building is often required to improve the implementation of DRR actions. To achieve this, some recommendations are: ◼ Strengthen the capacity of line ministries to deliver national legislation, policies and strategies on DRR through the provision of technical advice, human resources and expertise, training, practical tools and services. ◼ Support decentralized DRR actions and strengthen the capacities at sub-national level through involvement of local authorities, extension services and community-based organizations to deliver DRR activities and interventions. ◼ Promote and support community-based DRR approaches and local planning. Communities are first responders during an emergency and, therefore, need to be fully involved in designing, planning, implementing and monitoring DRR actions for these actions to be effective. ◼ Promote investment in knowledge management and dissemination of gender-sensitive DRR at the global, regional, national and sub-national levels. DRR interventions should include gender sensitive approaches that take into account women’s and men’s specific vulnerabilities, needs and capacities. ◼ Promote and support sustainable natural resource management practices, such as wetland management, sustainable fisheries, land and soil management, efficient energy use, 23 and natural resources tenure rights security. ◼ Promote and support sustainable land use planning to reduce risks, including urban/territorial development. Inappropriate land use planning can exacerbate risks; therefore, sustainable land use planning needs to be promoted.

The case study below provides an overview of institutional frameworks and structures in South Africa. It outlines the progress that has been made to promote an enabling environment, specifically with the inclusion of DRR into its agricultural plan and policies, although challenges and constraints remain. Box 1: Legislative frameworks and institutional structures for disaster risk management in South Africa

outh Africa, prone to natural hazards including droughts, floods, cyclones and fires, has been at the forefront of establishing disaster risk management legislation and institutional structures at all levels. In 2002, it established the SDisaster Management Act (DMA) along with the 2005 National Disaster Management Framework, which provides the legal framework that promotes prevention, mitigation and preparedness for disaster response and recovery as well as outlines the institutional structure for disaster risk management at national, provincial and municipal levels. At the core of this institutional structure is the National Disaster Management Center (NDMC), which is the main body that develops, coordinates, implements and monitors legislation, policies and cross-sectorial activities at all levels. Disaster management centers also exist in each province and municipality and their exact roles and responsibilities regarding planning, implementation, monitoring, communication and coordination of activities with other key actors are described in the DMA. South Africa included risk management activities into its 1998 agricultural policy, such as the promotion of technologies 24 and practices to reduce risk and the collection of climate trends and market information. It started to systematically integrate disaster risk management as a strategic goal in its agricultural plans from 2008 onwards;* similarly agricultural sectors featured strongly in the 2005 drought plan. This mainstreaming is highly important as disasters severely affect small-scale farmers whose livelihoods are largely dependent upon agriculture. Despite the establishment of legislation, the advancement compared to other countries in the region of the inclusion of DRR into agricultural sectorial plans and policies as well as the establishment of institutions at all levels, constraints exist in the effective functioning of the system. Limited financial resources, which in turn restrict the implementation capacity of institutions, in particular at the local level as well as the lack of communication and coordination between the disaster management centers at different levels, are among the challenges. However, DRR is fully driven and owned by the South African government, which should be applauded and further stimulated, because having these legislative frameworks and institutional structures in place is a prerequisite for implementing proactive measures that help to prevent and mitigate the impact of disasters.

Source: Van Niekerk and Visser, 2010; SALGA, 2011

* See South Africa’s Strategic Plan for the Department of Agriculture, 2008/09 – 2010/11; the Sectorial Disaster Risk Management Plan, 2012; and the Strategic Plan for the Department of Agriculture, Forestry and Fisheries, 2012/3 – 2016/7. Pillar 2 – Watch to safe guard: information and early warning systems

There have been improvements in the collection of information on disasters and emergencies at national and regional level, although the efforts are uneven throughout the region: only Mozambique, Malawi and Madagascar systematically collect information.8 There remain many challenges at regional and country level regarding the monitoring of natural hazards, climate conditions, economic crises and political conflicts and their effects on food and nutrition security. These limitations refer to the scope, data collection methodologies and user applications, institutional structures, 25 capacity, coordination and communication. Regional and national food security information systems mainly focus on natural events affecting food security and less on the impacts of long-term trends like climate change and economic crises and their effects on food and nutrition security. Besides limitations in terms of scope, additional challenges of these systems include inaccuracy of food security data caused by the use of official and unofficial data sources; the lack of consensus between countries on the use of indicators and the inconsistent measurement of different food security dimensions due to use of different methodologies by countries.

8 UNECA, 2011; Holloway et al., 2013 In terms of the use of information, it seems that there is a gap between the information collected and the data users’ needs. Moreover, information is not timely provided in order to facilitate decision-making, it is poorly disseminated and does not reach vulnerable communities due to the lack of communication strategies. In general, it is observed that institutions have limited capacity at the national and decentralized levels to collect, analyze, report and communicate food security and hazard information. In many countries in the region it is unclear which institutions are responsible for food security issues. The 2013 Southern African Regional Interagency Standing Com- 26 mittee (RIASCO) study identified challenges related information and early warning systems including: ◼ The lack of comprehensive and constantly updated risk assessment and analysis, which limits planning and effective DRR actions to address priority needs; ◼ Weak information and knowledge management systems, especially in high risk areas; and ◼ Uneven and often limited bilateral communication between neighbouring countries on transboundary threats, including cholera outbreaks and floods.9

9 Holloway et al., 2013 and SADC, http://www.sadc.int/themes/ disaster-risk-management/ Global initiatives on early warning systems (EWS) can be useful ◼ The Integrated Food Security Phase Classification (IPC) consists tools to provide standard and periodic information to assess and of a set of standardized tools and procedures, which aim to monitor threats and provide timely alerts. Some of these global establish the severity and magnitude of food insecurity situa- early warning systems, in which FAO participates, are active in tions within and among countries and over time. Accurate and southern Africa, and have been very useful for countries to report timely food security information and monitoring may help to on threats based on internationally recognized methodologies and reduce, predict and prepare for food insecurity situations as indicators that can be compared amongst countries in the region, well as help decision-makers to take informed actions. The IPC as well as improve the collection and verification of information implementation is undertaken in two stages: so far IPC stage 1 and facilitate the decision making process at national and regional awareness raising and consultations have been held in Angola, levels. Some of these global EWS include: Botswana, Madagascar, Namibia and Zambia and in-country ◼ The Global Early Warning System for Major Animal Diseases training and analysis workshops (stage 2) have been realized, (GLEWS), a joint collaboration between FAO, World Organiza- in addition to stage 1, in Madagsacar, Malawi, Mozambique, 27 tion for Animal Health (OIE) and the World Health Organization South Africa, Swaziland, Zimbabwe and Lesotho. (WHO), disseminates coordinated alerts on transboundary animal diseases. GLEWS has been a very useful tool to monitor the spread of animal diseases and help governments take emergency measures to control outbreaks, e.g. foot-and-mouth disease, Rift Valley fever or Peste de Petits Ruminants. ◼ The Global Information and Early Warning System on food and agriculture (GIEWS) is another useful tool, which has signifi - cantly helped to mitigate the impact of plant or insect plagues, as well as monitor macro-economic trends on cereal flows. GIEWS’ contributions to monitoring the soaring food price crisis, or the outbreaks of locust or armyworm in Southern Africa, have been very helpful to governments in taking decisions. Important efforts have also been dedicated to the implementation and appropriate decisions, which can potentially help them to of community-based EWS, such as the monitoring of river levels prevent and/or mitigate a hazard from turning into a disaster. with gauges or the transmission of information through mobile phones (see Community-based Early Warning Systems in the Improved monitoring of traditional and emerging threats present series). ◼ Statistical baselines; multi-hazard risk mapping and analysis of agriculture-related livelihoods; vulnerability and risk Recommendations assessment and analysis. Statistical baselines are essential to monitor the level of food and nutrition insecurity, both acute Accurate and timely information and early warning messages can and chronic, based on accurate and reliable data. Multi-hazard support hazard-prone and vulnerable communities to take informed risk analysis and mapping are also important to understand which areas are vulnerable to specific types of hazards and risks, 28 including gender disaggregated data and analysis, to evaluate and monitor people’s coping capacity to design future interventions and inform policy. ◼ Weather monitoring and seasonal forecasting (rainfall, vegetation index, yield forecast, etc.). Timely and accurate meteorological data can mitigate the impact of disasters, allowing farmers to take decisions in terms of early or late planting, type of crops or varieties to cultivate, among others. Capacity building is needed to facilitate data collection, monitoring and analysis, as well as to disseminate this information for decision-making. ◼ Monitoring of transboundary animal diseases, plant pests and diseases, and threats to food safety. Animal diseases and plant pests and diseases can have a devastating effect on the livelihood of small-scale farmers and herders. Prevention measures should be mainstreamed in all the productive activities coping capacity to recover from a shock through the use of for the most common diseases and pests, but when an outbreak savings, sale of assets or coping mechanisms (providing labour occurs, timely information is fundamental for decision-making to work on other people´s land, consumption of less preferred both at institutional level (quarantine, restrictions on move - food, reduction of number of meals). Under extreme stress, ment of livestock, animal and vegetal products) as well as at these coping mechanisms can lead to social and environmental famers’/herders´ level (protection measures on-farm, avoidance problems (poaching, over-exploitation of natural resources, of buying and moving animals, early harvest, harvest of green migration). Simulating and modelling the impact of shocks on products). the household´s food and nutrition security helps to assess on ◼ Food price monitoring. Monitoring and dissemination of food the foreseeable extent of the shock and to design appropriate prices and trends is very important for small farmers to take interventions and facilitate decision-making. appropriate decisions on the sale or storage of their harvest. The prices of main commodities (usually cereals and cassava for Harmonized monitoring, analysis and communication of the 29 southern Africa) may double between the harvest period (when multiple threats to FNS there is a surplus in the market) and the lean period (when Harmonized monitoring and analysis is desirable and necessary in farmers have often depleted their stocks and are obliged to order to compare data among different countries. Effective com- buy food). In southern Africa the price of main commodities is munication through various means is essential, as different disasters influenced by the international prices, as well as the speculation affect various sectors, for example outbreaks of cholera occur after on agricultural products made by middlemen or intermediaries floods or cyclones due to contamination of food and water. at different levels; however, governments can mobilize national ◼ Integrated monitoring and early warning, across: sub- grain reserves and restrict the exports of main commodities sectors, different levels and multiple threats. At present to counteract or minimize the soaring of food prices. The monitoring and early warning primarily focus on agriculture monitoring of food prices is closely linked to the monitoring of production, but since disasters and new threats like rising food animal and vegetable production, and the impact of hazards prices also affect agricultural sub-sectors a comprehensive or weather conditions on the expected harvest. multi-hazard analysis and monitoring are needed to enable ◼ Simulation and modelling the impact of shocks on household appropriate action for food and nutrition security. food and nutrition security. Each household has a different ◼ Improved communication products to help inform actions. Improved communication products, which promote multi- hazard risk analyses, help to support the monitoring of location- specific risks. Through the development of targeted policy briefs, early warning updates and alerts, targeted users and decision-makers can be informed of the multiple threats that affect food and nutrition security in their area, country, region or the world.

In 2013, Mozambique experienced devastating floods, which displaced and affected many people. The case study below describes 30 the issuing of alerts by government to reduce the impact of the disaster by improving preparedness for response. © Erin O'Brien Box 2: The issuing of alerts to improve preparedness for response to the 2013 floods in Mozambique

ozambique experienced extensive flooding in early January 2013, which killed over 110 people, temporarily displaced over 185 000 and destroyed and damaged crops and infrastructure including houses, roads and bridges. The disaster Mhad extensive impacts, even though this country is frequently affected by natural hazards. By mid-January, the authorities issued an orange alert due to heavy rainfall, which resulted in nine deaths and affected over 18 000 people, to increase monitoring and strengthen preparedness; the following week an institutional red alert was issued and response actions were initiated, which were coordinated and led by the National Disaster Management Institute (INGC). The government mobilized approximately US$10 million through the Contingency Plan Funds for response activities, however, it was anticipated that this would not be sufficient and requested at the end of January US$30.6 million from the 31 international community to support 150 000 people in the southern province of Gaza for a period of six months. By early March, the number of people affected increased to over 475 000, with over 1 300 reported cholera cases. UN organizations, national and international non-government organizations provided relief and recovery assistance. By the end of April almost all humanitarian relief needs were financially covered, but only very limited funds were received and available to support early recovery activities, which are crucial to help these people recover and rebuild their lives and livelihoods. This case study has shown that the government of Mozambique is aiming to increase the issuing of timely alerts so that people can improve their preparedness and to make funds available through established contingency plans and mechanisms to initiate response activities. As a result of a good early warning system and the activation of contingency and response plans, the impact of these floods, even if devastating for material goods, was relatively small in terms of the number of people who died.

Sources: OCHA, 2013; United Nations Resident Coordinator’s Office, 2013 Pillar 3 – Apply prevention and mitigation: agriculture practices and technologies for disaster prevention and mitigation

One of the strategies to build the resilience of farming communities is the promotion of improved agricultural practices and technologies to reduce risks to disasters as well as to adapt to climate change. After some of the catastrophic natural hazards in southern Africa – floods in Mozambique, cyclones in Madagascar – significant efforts have been dedicated to adapting the agricultural and 32 food and nutrition security sectors and increasing the resilience of small-scale farmers. As a result, extensive knowledge has been ac- cumulated, and fruitful cooperation with governments has allowed the testing and dissemination of good DRR practices at field level. FAO has contributed to this process, working closely with agricultural line agencies as well as universities, research institutes, NGOs, extension workers and farmers to identify, select, test and validate these agricultural good practices and technologies. Although these are locally specific, some general concepts and recommendations can be advanced, such as the use of drought-resistant, flood-tolerant or short-cycle crop varieties, cyclone or flood-resistant agricultural infrastructures, integrated farming systems, irrigation techniques, soil protection, water use or livelihood diversification. Specific challenges related to the implementation of good practices and technologies for DRR in agriculture in the southern Africa region include those related to limited adequate information the impact of natural hazards. Some crops are more resistant and knowledge of practices and technologies that mitigate the to dry spells or drought (cassava, millet, sorghum), while others impact of disasters; limited institutional capacity and coordination are more resistant to floods (rice) or other hazards. Regard - among different key stakeholders; and limited financial resources. ing the selection of appropriate varieties, local varieties and ecotypes are better adapted to local conditions, and will be Recommendations naturally more resistant to the common hazards in a certain area. Extensive research has been undertaken on improved The following section outlines some of the most important seed varieties, short cycle varieties, drought resistant varieties, agriculture-related DRR practices and technologies, which can be disease and pest resistant varieties, and flood or saline tolerant considered by DRR field practitioners in the formulation of DRR varieties, which have been released by research institutions programmes: and private seed companies. There are important differences in the availability of these improved varieties depending on the 33 Agriculture country and its legislation and regulations. In general, improved ◼ Adjustment of cropping calendars involves analyzing the varieties of the main cultivated cereals (maize and rice) exist, impact of various hazards during crop cultivation periods and but sorghum and millet are more difficult to find, as are pulses adapting the timing of cultivation to prevent and reduce losses. (for more information see the Appropriate Seed Varieties for In southern Africa, the peak risk period for cyclones and floods Small-scale Farmers and Management of Crop Diversity briefs is between early January and early March, and drought and dry in the present series). spell periods may happen throughout the year. Early planting may reduce the impact of hazards, as crops will be sufficiently developed to better cope with stressed conditions. Late planting, just after the period of risk, may give good results under irrigation, preservation of residual moisture and use of short cycle varieties. ◼ Appropriate crop and variety selection. The selection of a crop (or a mix of crops within a farming activity) can reduce ◼ Conservation agriculture. Some of the principals of conserva- Pests and diseases are often specific for a certain crop or animal tion agriculture, based on reduced soil disturbance (minimum species (e.g. mosaic disease affects cassava, African swine fever tilling), soil protection (crop rotation or intercropping) and only affects pigs), although sometimes they can affect different preservation of residual moisture (use of organic mulch, such species (e.g. Brucellosis or Peste de Petits Ruminants can affect as straw and leaves to cover the soil), can have a significant several species of animals, some storage pests affect different positive effect in case of natural hazards. A better soil structure cereals). Some crops or animals are more resistant to certain dis- and sufficient soil moisture will reduce the impact of droughts ruptive events, for example cassava is less affected by drought, and dry spells, soil erosion and risk of downstream flooding will rice is less affected by flooding and goats are more resistant also be reduced; and pest and disease outbreaks will be less to drought. Crop and livestock diversification will reduce the harmful when crop rotation is implemented. risk of total failure in the case of a disruptive event. This is ◼ Crop and livestock diversification. Different crops or animal intimately linked to livelihoods diversification, which may also 34 species have different susceptibilities to be affected by hazards. include other, non-farming activities. ◼ Climate proofing agricultural infrastructures. In hazard prone losses throughout the value chain (e.g. crop production, har- areas, the planning and construction of agricultural infrastruc- vest, drying, processing and storage). tures (e.g. warehouses, seed and grain storages, animal shelters, ◼ Strengthening seed systems and seed saving mechanisms. genebanks, irrigation schemes, pumping stations, markets, Improving farmers’ access to quality seeds is fundamental to slaughterhouses) need to take into account good construction maintain a balanced on-farm agricultural production, which also practices in order to reduce the risk of severe damage done includes the production of local crops and varieties. Strengthen- by climate-related hazards, such as cyclones, heavy rainfall or ing seed systems, both informal (for local seed) and formal (for floods. Some of the main considerations are structural (e.g. commercial seed), through the implementation of appropriate elevated platforms, cyclone-proof architecture, reinforced ir- activities of seed multiplication at community level, seed sav- rigation channels and wells), but associated also risks need to ing systems such as seed pass-on programmes, proper storage be taken into account during the identification of the location of seeds and the conservation of genetic resources in local for the installation or construction of the facilities (for more genebanks, will be crucial to reduce the impact of hazards. An 35 information see the Appropriate Seed and Grain Storage increased availability to different and better seeds and planting Systems for Small-scale Farmers brief in the present series). materials will facilitate a more balanced agricultural production, ◼ Integrated pest management (IPM), aims to reduce the impact as well as providing more means for an early recovery after a of pests throughout the agricultural cycle (from pre-harvest shock. to storage of processed agricultural products). IPM means the ◼ Land use and soil management. The implementation of pre- careful consideration of all available pest control techniques and ventive measures to protect agricultural land, which can be subsequent integration of appropriate measures that discourage highly exposed to hazards, such as steep slopes exposed to the development of pest populations and keep pesticides and erosion or lowlands subject to flooding, will reduce the impact other interventions to levels that are economically justified and of these hazards. Some traditional activities, include terracing reduce or minimize risks to human health and the environment. to reduce soil erosion on steep slopes, or the maintenance of IPM emphasizes the growth of a healthy crop with the least pos- irrigation and drainage channels in flood-prone areas, can be sible disruption to agro-ecosystems and encourages natural pest highly effective. control mechanisms. The implementation of appropriate IPM measures will significantly reduce pre-harvest and post-harvest Livestock: ◼ Fodder conservation provides a supply of fodder for on-farm ◼ Agro-silvopastoral systems combine the growing of crops, use when there is a shortage of feed. The use of dry or wet trees and the grazing of animals on the same land. These sys- fodder for animal consumption is very important to increase the tems have several benefits including the provision of feed for resilience of small-scale herders under stress situations, mainly livestock, the increase in soil fertility due to increase of organic droughts, but also floods. Fodder conservation is useful when matter from the use of animal manure and trees reduce the free ranging in commonly used pastures is restricted due to impact of natural hazards, like high winds and rainfall. It also animal disease outbreaks. helps to diversify farmers’ livelihoods through the cultivation of ◼ Grazing and pasture resource management aims to increase crops and raising of animals, reduce the risk of total production the nutritious quality of pastures through the improvement of failure and may generate additional income from the sale of the species that form the pasture, and to improve the manage- trees, crops and animals. ment of pastures in order to increase the carrying capacity 36 (with improvements, such as soil amendments of fertilizers) and reduce the impact of hazards. Some of the good practices in pasture management include the limitation of the grazing animals depending on the capacity of the pasture throughout the year or the reserve of certain pastures to the dry periods and as an eventual insurance in case of major shocks. ◼ Vaccination of animals helps to control and prevent the outbreak and spread of animal diseases. Animal vaccinations need to be conducted strictly in accordance with national policies and regulations, and should be led by the national veterinary authorities and strategies on animal health, as the wrong use of vaccines may lead to serious consequences, like the introduction of foreign virus strains into a region. 37 Water: ◼ Use of residual moisture after floods. Depending on the nature of the soil, appropriate soil moisture conservation activities can be implemented to restart agronomic activities after floods using the residual moisture in the ground as the main water to be used by the replanted crop. This can be further promoted through the use of short cycle varieties, mulching, and supplementary irrigation or other practices that improve the soil structure or reduce water evaporation. ◼ Agronomic and irrigation techniques. The use of water can be maximized by the use of good agronomic techniques, such as 38 planting on furrows or ridges, planting pits or box ridges, as well as irrigation techniques, such as the use of shallow wells, treadle pumps, river diversions, irrigation channels or drip irrigation installations (for more information see the Irrigation Techniques for Small-scale Farmers brief in the present series). ◼ Rainwater harvesting and storage techniques reduce the impact of dry spells and drought through the capturing and utilization of rainwater. An example of a rainwater harvesting practice is rooftop rainwater collection, often used for household consumption and for the cultivation of vegetables at the homestead. © Erin O'Brien Land: Forestry: ◼ Land use and territorial planning involves appropriate use ◼ Afforestation/reforestation focuses on the (re)establishment and planning of land, such as restrictions for the cultivation of of a forest cover, which helps to reduce the impact of natural crops or grazing of animals on fragile lands that are prone to hazards, such as landslides and soil erosion, mitigate global degradation, such as landslides and land sinking. An important warming through the uptake of carbon by the trees and contrib- issue to take into account in southern Africa is land tenure rights, ute to the improvement of biodiversity. A practice with particular which protect and ensure people’s access to, use of and control interest for DRR is the afforestation of river banks to prevent over land. Community participation in territorial planning is a erosion caused by flash floods. key aspect to reduce the losses of natural hazards, mainly due ◼ Agro-forestry combines trees and shrubs with crops and/or to floods and dry spells. livestock. The impacts of extreme weather events, like cyclones 39 and heavy rains can be reduced through the use of trees and ◼ Integrated fire management is a holistic approach, where shrubs as shelterbelts, windbreaks and live fences. An additional prevention, preparedness, suppression and restoration meas- benefit is that agro-forestry also stabilizes soils, prevents ero- ures are undertaken to manage fire on all vegetation types. sion and slows land degradation. This practice can generate Prescribed burning is a DRR technique through which controlled additional income and diversify production, thus reducing the burning is undertaken during the cooler months to reduce fuel risk of total production losses. buildup and thereby reducing the risks of fires. ◼ Improved cook stoves and alternatives to wood energy support the preservation of biodiversity, the reduction of deforestation and in turn the reduction of the impact of natural hazards that a deforested area is more prone to, such as heavy winds and landslides. 40 Fisheries and aquaculture: ◼ Implementation of the Code of Conduct for Responsible Fisheries, including the application of the ecosystem approach to fisheries and aquaculture and of the voluntary guidelines for securing small-scale fisheries. ◼ Development and implementation of good aquaculture practices to reduce the exposure of aquaculture against natural hazards as well as minimize environmental damage.

The southern-most districts of Malawi are particularly affected by droughts and floods each year. FAO has developed a programme to identify, select, test and validate good agricultural practices and technologies to increase the resilience of rural communities, which is described in the following case study. Box 3: Increasing resilience of small-scale farmers in flood and drought prone areas in Malawi

alawi is prone to natural hazards, such as floods and droughts, which usually happen in late January to early March in the southern districts of the country (Nsanje and Chikwawa). The country is also one of the poorest in Africa and Mthe world, where the majority of the small-scale farmers are dependent on rain-fed agriculture, high malnutrition levels are prevalent, and approximately 7 percent of the population is affected by HIV, which has socio-economic effects on people’s food and nutrition security (UN Aids, 2012). Farmers generally do not perceive floods as a major problem, because once the water has receded, the residual moisture allows them to replant, with high chances of obtaining a harvest. Dry spells, on the other hand, have a more severe negative impact on crop production and food and nutrition security, as they can occur throughout the country, at any time in the growing cycle. Dry spells are expected to increase due to climate change. FAO, in collaboration with the agricultural line ministries at various levels, universities and research institutes, non- governmental organizations, extension officers and farmers associations, is implementing an ambitious programme to identify, select, test and validate good agricultural practices and technologies that can be very helpful to increase the 41 resilience of rural communities to floods and cyclones, therefore reducing the losses linked to the impact of disasters on people’s livelihoods and contribute to their food and nutrition security. FAO works through existing community structures, such as the Village Civil Protection Committee (VCPC), and with the support of the extension services to ensure local ownership of the interventions and long-term sustainability. Community demonstration plots are used to train farmers and increase their knowledge of these agricultural practices. The DRR programme implemented in Malawi, for instance, has proved that when early planting (late October-early November) is combined with short cycle varieties, losses can be reduced and production increased. This is because short cycle varieties mature more quickly and therefore become stronger and are better able to resist the impact of erratic rains, floods and dry spells; furthermore, plants spend less time in the field, shortening the hazard-exposure period. The use of an improved short cycle varieties, such as the variety of millet ‘Nyankhombo’, showed to be more resistant to drought than the local varieties and doubled the yield in all study areas compared to local varieties. Other good agricultural practices, like mulching, conservation agriculture, small irrigation through shallow wells and treadle pumps, planting pits, furrows and box ridges, can further help to mitigate the impact of dry spells and support hazard- exposed small-scale farmers. The strengthening of community based organizations and initiatives, such as farmer´s associations, clusters of farmers, seed pass-on programmes or community managed agricultural infrastructures and equipment (irrigation schemes, storage facilities), has proven to significantly help to increase the resilience of these communities. Pillar 4 – Prepare to respond: preparedness to improve disaster response and recovery

Contingency plans outline the roles and responsibilities of key stakeholders at all levels as well as procedures to follow when a disaster happens. The implementation of preparedness measures to improve disaster response and recovery involves developing interdisciplinary preparedness and contingency plans. These plans should include the food and agriculture sectors and identify specific and related measures to reduce the impact of natural hazards such as floods and droughts. 42 Governments across the region are taking the lead to coordinate the contingency planning process at national level with support from other international partners. National contingency plans generally exist and few countries, such as Mozambique and South Africa, have sub-national contingency plans. Some countries de - veloped contingency plans that address multi-hazards, for instance Malawi, whereas others like Madagascar developed contingency plans specifically for floods and drought. Agriculture-related emergency response and recovery measures aim to rapidly rebuild agricultural capacities. These interventions include relief operations mainly focused on distributions of agricul - tural tools and equipment, such as seeds, fertilizer, fishing nets or vaccines and veterinary supplies. However, some considerations on prevention need to be also included in this response and recovery phase, and efforts should be channeled to assure the principle of ‘Building Back Better’, assuming that natural hazards in prone areas disaster response and recovery. There is also a need to include the will happen again. Recovery interventions should aim to increase local levels in consultations and in participatory planning so that local capacities and disseminate practices that will minimize the the measures and actions are well-known and understood by those need for external support in the future. who are required to implement life-saving actions. In recent years, there has been growing interest and practice in The RIASCO study identified challenges regarding regional the use of vouchers and cash transfers in crisis risk management, preparedness in southern Africa. The Southern Africa Regional Cli- humanitarian and transition programming, as well as in develop - mate Outlook Forum (SARCOF) process to undertake preparedness ment and social protection programmes, and there are experiences planning is seasonally focused, instead of planning for less expected, in several countries in southern Africa.10 smaller and/or more recurrent and widely impacting emergencies, This series elaborates guidelines on how to integrate emer - including those with longer duration periods of over three months, gency responses with prevention mechanisms in several aspects of or emerging hazards, such as severe economic shocks that affect agriculture geared towards DRR and increasing resilience. Topics food, which should also be considered and included.11 43 addressed include strengthening the informal seed sector in hazard prone areas; improved hazard-proof construction of agricultural Recommendations infrastructures, such as irrigation schemes or storage systems; the strengthening of farmers´ technical and organizational capacities The impacts of hazards can be reduced through improved prepared- through Farmer Field Schools; the promotion of local seed multipli - ness for response. This goes hand in hand and mutually reinforces an cation; and improving local-level capacities to cope with recurrent enabling institutional environment, information and early warning natural hazards. systems, which contribute to the effectiveness of implemented Challenges that remain encompass the limited and regular up- prevention, mitigation and preparedness measures. dating of contingency plans, limited inclusion of specific agricultural preparedness measures, and often resource constraints (human, technical and financial) to effectively improve preparedness for

10 Further reference can be found on the FAO Policy on Cash Based Transfers ( Nov 2012) and Guidelines for Input Trade Fairs and Voucher Schemes ( April 2013) 11 Holloway, et al., 2013 Agricultural practices to strengthen preparedness for response and recovery at national and local level ◼ Establish seed and grazing fodder reserves. Sufficient seed and fodder reserves are particularly important during shortages, to facilitate replanting after a shock as an early recovery measure for the former and to prevent de-stocking of animals in the case of the latter. A well-functioning community seed or grain bank can increase and ensure farmers’ access to seeds and food in times of need. ◼ Establish safe storage, animal shelters and food processing facilities. The protection of seeds, harvests and agricultural 44 inputs and equipment in hazard-resistant safe storages, are highly important preparedness measures in a hazard-prone area. Livestock shelters to protect animals in time of shocks and the protection of food processing facilities are also important aspects to take into account as preparedness measures against possible hazards. ◼ Establish vaccine banks to ensure the rapid supply of emergency stock of vaccines. In areas that are endemic to animal diseases that cause significant losses, national and regional authorities may consider establishing vaccine banks and vaccination campaigns as a preventive measure, but also as a way to control a declared outbreak. ◼ Stockpile agricultural inputs. Ensuring farmers’ access to agricultural inputs (tools, fertiliser, fishing gear, etc.) helps to increase their coping capacity to quickly recover from a disaster. ◼ Promote community based preparedness and response ◼ Support multi-hazard risk analysis and its integration into planning to include location specific early warning mechanisms preparedness planning and development programming. or demarcation of evacuation routes and emergency grazing Multi-hazard risk analysis helps to understand the interaction reserves. of various risks at different spatial scales and levels. The integration into preparedness planning and development planning is National and local preparedness planning highly beneficial as adequate and effective interventions can be ◼ Support the link between early warning and early action: designed that address and reduce all identified risks. The capacities of national institutions need to be reinforced to trigger a timely action after an alert has been released by an EWS. This involves the coordination between different institutions (civil protection, extension services, research centers, meteorological information, etc.) as well as between institutions 45 and stakeholders at national and local levels. ◼ Support local and national preparedness/contingency plans. Effective preparedness and contingency plans outline key stakeholders’ roles and responsibilities, coordination mechanisms and procedures to follow during an emergency event. Agriculture and food and nutrition security sectors need to be integrated in these multi-sectorial plans; for example, a preparedness/contingency plan for floods should include specific agriculture actions, such as moving livestock to safe locations to reduce losses. ◼ Provide guidance on viable operational and financial components of national contingency plans. Sufficient operational and financial capacity to respond and recover from a disaster is essential to respond to a crisis. Box 4: Controlling the spread of the locust plague in Madagascar in 2013

adagascar is recurrently affected by locust plagues, but the infestation of locust in 2012–2013 has been one of the worst in the past 60 years. By mid-2013 locusts had already infested over half of the island’s cultivated land and pastures, Mespecially affecting the southwestern region. This locust infestation led to huge losses that exceeded a quarter of Madagascar’s food crop production. This is disastrous for a country where more than three-quarters of the population depend on agriculture for their livelihoods, and where the food security was already precarious as it has been severely affected by a long period of political instability and economic crisis that started in 2009. • By the end of 2012, the Ministry of Agriculture of Madagascar requested technical and financial support from FAO to help control the spread of locusts as well as to assist with the coordination and implementation of the response to the locust plague. Timely response is essential in such a rapid onset crisis, in order to minimize the losses and save the livelihoods 46 of millions of small-scale farmers dedicated mainly to rice production and cattle rearing – both activities severely touched by the locust plague that creates significant losses in crops and pastures. • Together with the government, FAO is currently implementing a three-year locust programme (2013–2016) totaling US$41.5 million, which involves large-scale aerial campaigns to treat and protect a total of 2.14 million hectares as well as strengthening national capacities to survey, analyze and control locust outbreaks and monitor the impact of treatments on crops, pastures, human health and the environment. • A national locust emergency plan developed in 2012 established a national coordination unit within the Ministry of Agriculture in Antananarivo and a regional coordination unit in Tuléar to help with the management of the crisis. • A locust risk management plan and a locust risk prevention plan are also being prepared. • Until the end of January 2014, extensive aerial surveys have been undertaken in the invasion and outbreak areas: approximately 270 000 hectares have been identified as heavily infested and a total of 79 584 hectares have been treated and protected. • The rapid response to control this locust infestation has been crucial to mitigate the impact of the crisis and reduce the effect on the food security situation of an important fraction of the Malagasy population.

Source: FAO, 2013c 5. Conclusion

outhern Africa is prone to various hazards, including floods, strengthening; information and early warning systems; agricultural cyclones, droughts, plant and animal pests and diseases and practices and technologies for disaster prevention and mitigation, Seconomic and political shocks, which significantly affect the as well as preparedness measures to improve disaster response livelihoods of millions of small-scale farmers, herders, fishers and and recovery. foresters. More than this, these crises may undermine the improve- The objective of FAO DRR programme in Southern Africa is to ments made in the development of many countries in southern build the resilience of rural communities involved in the agriculture, Africa, as they often have macroeconomic repercussions. livestock, fisheries, forestry and natural resource management With climate outlooks indicating an increase in the frequency sectors in hazard-prone areas, and help them to better adapt to and intensity of natural events, it is likely that agriculturally de - adverse situations. 47 pendent households in hazard-prone areas will be even more severely affected in the future. The impact of natural hazards in the agriculture and food and nutrition security sectors affect mainly the crop production, but also the agricultural infrastructure and access to markets, increasing the vulnerability of rural communities, exacerbating the persistent high poverty levels, constraining the development of an important part of the population and leading to inequalities and social and economic tensions. Disaster risk reduction can provide viable options to increase the resilience of these rural communities to prevent and mitigate the effects of hazards, be better prepared and facilitate an early recovery after the shock. This brief has identified key DRR areas and outlined recom - mendations in the areas of good governance and institutional 6. Bibliography and References for Further Reading

Climate and Development Knowledge Network. 2012. Managing FAO. 2013b. Forests, Rangelands and Climate Change in Southern Climate Extremes and Disasters in Africa: Lessons from the IPCC Africa. Forests and Climate Change Working Paper 12. Rome, SREX report. CDKN, available at: http://www.ifrc.org/docs/ available at: http://www.fao.org/docrep/018/i2970e/i2970e.pdf IDRL/-%20To%20add/ManagingClimateExtremesAfrica.pdf FAO. 2013c. Response to the locust plague. Three-year Programme DFID. 2006. Reducing the Risk of Disasters – Helping to Achieve 2013-2016, available at: http://www.fao.org/fileadmin/user_upload/ Sustainable Poverty Reduction in a Vulnerable World: A DFID Policy emergencies/docs/Locust-crisis-madagascar-FAO_en.pdf 48 Paper. Holloway A., Chasi V., de Waal J., Drimie S., Fortune FAO. 2001. The State of the Food and Agriculture 2001. Rome, G., Mafuleka G., Morojele M., Penicela Nhambiu B., available at: ftp://ftp.fao.org/docrep/fao/003/x9800e/x9800e.pdf Randrianalijaona M., Vogel C. and Zweig P. 2013. Humanitarian Trends in Southern Africa: Challenges and Opportunities. FAO.2007. Subregional report on animal genetic resources: Regional Interagency Standing Committee, Southern Africa. Southern Africa. Annex to The State of the World’s Animal Genetic Rome, FAO, available at: http://reliefweb.int /report /malawi/ Resources for Food and Agriculture. Rome, available at: ftp://ftp. humanitarian-trends-southern-africa-challenges-and-opportunities fao.org/docrep/fao/010/a1250e/annexes/Subregional%20Reports/ Africa/SouthernAfrica.pdf SALGA. 2011. Disaster Risk Management Status Assessment at Municipalities in South Africa. Available at: http://www.salga. FAO. 2013a. Resilient livelihoods: DRR for Food and Nutrition org.za/app/webroot/assets/files/Research_Results/Salga_Draft_ Security. 2013 edition. Rome, available at: http://www.fao.org/ ReportFINAL_V1_3%20(2).pdf docrep/015/i2540e/i2540e00.pdf 49 UNAids. 2012. Malawi Country Profile, available at: http://www. Nairobi, 14-16 May 2010, available at: http://acds.co.za/uploads/ unaids.org/en/regionscountries/countries/malawi/ Conf_Papers/DRR_local_gov_Dewald_van_Niekerk.pdf

UNESCA. 2011. Enhancing the effectiveness of food system Ziervogel, G., Taylor, A., Hachigonta, S. and Hoffmaister, J. information systems in SADC, available at: http://www.uneca.org/ 2008. Climate adaptation in Southern Africa: Addressing the needs sites/default/files/publications/enhancing-the-effectivenessof-food- of vulnerable communities. Stockholm Environmental Institute, security-information-systems-in-sadc_issues-paper.pdf available at: http://www.education.gov.za/LinkClick.aspx?filetick et=ofuBOWIEHtI%3D&tabid=675&mid=2926 UNOCHA. 2013. Southern Africa: Weekly Report (5 to 11 March 2013), available at: http://reliefweb.int/sites/reliefweb.int/files/ resources/Weekly_Report_Map_5_11_March_2013.pdf

50 United Nations Resident Coordinator’s Office. 2013. Humanitarian Country Team. Mozambique Floods 2013. Response and Recovery Proposal, available at: http://reliefweb.int/sites/reliefweb.int/files/ resources/Mozambique%20Floods%202013%20Response%20 and%20Recovery%20Proposal.pdf

UNISDR. 2009. UNISDR Terminology on Disaster Risk Reduction. Geneva, available at: http://www.unisdr.org/files/7817_ UNISDRTerminologyEnglish.pdf

Van Niekerk, D. And Visser, R. 2010. Theme 2: Towards a Funding Mechanisms for Disaster Risk Reduction in Africa: Experience on decentralized mechanism and funding for DRR in South Africa. Second Ministerial Conference on Disaster Risk Reduction in Africa,

Funded by:

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ISBN 978-92-5-108346-8

9 7 8 9 2 5 1 0 8 3468 I3775E/1/04.14 Community-based Early Warning Systems

KEY PRACTICES for DRR Implementers Community-based Early Warning Systems: Key Practices for DRR Implementers

The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) or of the United Nations Office for the Coordination of Humanitarian Affairs (OCHA) concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these are or have been endorsed or recommended by FAO or OCHA in preference to others of a similar nature that are not mentioned. All reasonable precautions have been taken by FAO and OCHA to verify the information contained in this publication. However, the published material is being distributed without warranty of any kind. either expressed or implied. The responsibility for the interpretation and use of the material lies with the reader. In no event shall FAO and OCHA be liable for damages arising from its use. The views expressed herein are those of the authors and do not necessarily represent those of FAO or OCHA.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO.

ISBN 978-92-5-108344-4 (print) E-ISBN 978-92-5-108345-1 (PDF)

Authors Yolanda Cowan, Erin O’Brien and Noroarisoa Rakotomalala-Rakotondrandria Series coordinators Javier Sanz Alvarez and Erin O´Brien Photographs © FAO/Javier Sanz Alvarez, unless otherwise indicated Design and layout Handmade Communications, [email protected] Community-based Early Warning Systems

outhern Africa is a region exposed to compound and contigu- One of the key tools of disaster risk management that can ous risks and multiple, frequently repeating and compounding build the resilience of communities prone to this cycle of crisis and Sshocks that prevent communities from fully recovering. Every increasing vulnerability is early warning. Early warning saves lives by year floods, droughts, crop pests, cyclones and economic shocks alerting the population of an imminent danger, empowering them at household and community level and political risks/conflict neces- to make decisions that can help protect their lives and livelihoods. sitate emergency aid to hundreds of thousands of people across Early warning, when linked to early action helps to mitigate the the region. effect of a shock on a community, protecting the hard-earned gains There are increasing numbers of people facing acute crises; many the community has made in enhancing the future prospects for of these are found in the same populations year after year. There is men, women, boys and girls in the community. 03 little indication that most current short term humanitarian responses, while essential to cater for the most acute life-saving needs, are able to break this cycle of crisis and increasing vulnerability. It is within Ignacio Leon such a context that a growing consensus has emerged that develop- Head of the Regional Office for Southern Africa ment assistance should therefore embed disaster risk management United Nations Office for the Coordination of Humanitarian and vulnerability analysis to enhance resilience. Affairs (OCHA) Contents

Acronyms and Abbreviations...... 05

1. Early Warning Systems: Functions and Objectives...... 06

2. The Four Elements of Early Warning Systems...... 10

3. Pulling It All Together...... 18 04 4. Bibliography and References for Further Reading...... 22

Annexes...... 24 Acronyms and Abbreviations

DRR...... disaster risk reduction EWS...... early warning systems FAO...... Food and Agriculture Organization of the United Nations GIS...... geographic information system IFRC...... International Federation of Red Cross and Red Crescent Societies OCHA...... Coordination of Humanitarian Affairs 05 RSS...... rich site summary (often called ‘really simple syndication’) UNISDR...... United Nations International Strategy for Disaster Reduction UNOCHA...... United Nations Office for the Coordination of Humanitarian Affairs VCA...... vulnerability and capacity assessment WFP...... World Food Programme (UN)

1. Early Warning Systems: Functions and Objectives

atural hazards, and their impacts on affected populations, In both cases, the ability to monitor the factors that turn a can vary in time and space. Natural hazards can be either hazard (the actual event) into a disaster (the worst-case result of Nsudden or slow onset, with both having the potential to the event) can help save both lives and livelihoods of populations devastate a community, country or region. Sudden onset hazards that are at risk. Early warning systems (EWS) are central to limiting are those that happen as the result of a single event with little to the loss of lives and livelihoods as a result of hazards and disasters. no warning, such as tsunamis and earthquakes, and they limit the EWS are a series of organized surveillance mechanisms or actions 06 ability of communities and institutions to react. A slow-onset hazard that collect information on potential hazards in a given location, does not emerge from a single, distinct event but is one that in order to trigger timely, coordinated responses. Early warning emerges gradually over time, often based on a confluence of systems are used in all of the sectors involved in disaster risk reduc- different events (OCHA, 2011), such as drought or pest infestations. tion (DRR) including health, food security, agriculture and adaptive

1984-1985 1990-99 1994 1995 Famines in Sudan and Somalia The International Decade for World conference on Natural Request for forecasting research The United States created the Famine Disaster Risk Reduction Disaster Risk Reduction (Yokohama The process of preparing recommendations Early Warning System (FEWS) –now FEWS Promoted awareness of the potential of Japan) for effective early warning systems, the NET – in response to the widely reported early warning systems The conference produced the Yokohama UN International Strategy for Disaster famines estimated to have caused up to Strategy and Plan of action for a Safer Reduction (UNISDR) requested further one million deaths. The system aims to World, which provides guidelines for examination of new science-based anticipate impending famines and advise disaster prevention, preparedness and methods to improve the accuracy and policy-makers on how they might prevent mitigation and acknowledges early timeliness of short-term forecasting famines warning systems as a crucial component.

Figure 1: Events leading to the evolution and development of EWS (continued on next page) architecture, among others,1 to provide communities, governments, reality; and where they do exist, breakdowns in critical junctures NGOs and humanitarian actors with the information required to act lead to inefficiency or ineffectiveness. effectively and efficiently. The present brief will demonstrate how EWS has evolved from EWS occur at various, ideally interrelated, levels ranging from a centralized process to becoming a system that blends technology community level to international surveillance systems, all of which and local knowledge and experiences to enhance complementarity play an important role in monitoring the known hazards in a region and become more people-centred, and therefore have a greater or locality to give advance warning to enable mitigation, preventa- impact on the ground. tive and response measures. Although the importance of EWS is widely recognized, in many cases they are not adequately invested in by stakeholders who translate policy intentions to on-the-ground 07

1 This series, A Field Guide for Disaster Risk Reduction in Southern Africa: Key Practices for DRR Implementers, has briefs for each of these specific sectors. For

2004 2005 2006 2011 The 2004 Indian Ocean Tsunami 2005 World Disaster Reduction 3rd International Conference on Tõhoku earthquake and tsunami More than 200,000 people in the Conference (Hyogo, Japan) Early Warning The earthquake and tsunami, which claimed tsunami, highlighting the need for a The Hyogo Framework for Action was Development of a checklist by UNISDR to about 15,000 lives, served as an opportunity coordinated early warning system in the adopted, in which risk assessment and help governments and communities set up to observe how Japan had prepared for region. As a result, the Intergovernmental early warning is one of the five themes. effective early warning systems. such and extreme event. Warning systems, Oceanographic Commission (IOC) adopted evacuation routes and coordination were put a resolution to establish a global early to the test and proved successful compared warning system framework for ocean to the panic and lack of coordination seen related hazards. Governments around seven years earlier in Asia and the Pacific. It Asia and the pacific also created disaster also provided unprecedented opportunities management departments and increased and to study how buildings hold up under their disaster preparedness activities. long periods of shaking and how to build them better. Early warning systems’ evolution and rise to prominence

Early warning systems have been increasingly in the global spotlight to address mitigation of and preparedness for natural hazards, since the mid-1980s. Through a series of coordinated efforts, spearheaded by the United Nations (OCHA, UNISDR) and many donor and developing country governments, the ability to follow key indicators and the systems required to do so have become mainstreamed into the disaster risk reduction, climate change adaptation and humanitarian discourse. 08 EWS has risen to prominence following the events outlined in Figure 1 and through its inclusion in the Hyogo Framework for Action, the global strategy for disaster risk reduction as a sector, where it is Priority Action 2: Identify, assess and monitor disaster risks and enhance early warning. These experiences, in addition to recognizing the need to establish EWS, underscore the importance of linking different levels of actors within the system; the greater the interaction, the greater the chance of effectiveness. National and regional level systems will need very coordinated and effective communications and information dissemination mechanisms in order to reach the local levels and have an impact. The table below highlights different kinds of EWS at different levels; the various components of the EWS are elaborated in section 2. Table 1: EWS components and stakeholders

EWS Local/community or components hazard-scape National Regional/global Risk knowledge Maps of hazard- GIS risk maps Satellite imagery scapes drawn by showing hazards from 30+ years community members and vulnerabilities can be overlaid on (i.e. through the VCA throughout the observation data to process, also known country; computer produce rigorous as community risk network that receives risk maps with layers assessment). and tracks major portraying hazards storm signals. and vulnerability. Monitoring Manual river and Automated gauge Satellite-based rainfall gauges; system with monitoring system in billboards to information flowing real time with current announce river levels. into a central location global conditions and 09 in capital city. projections based on global climate models. Response Evacuation routes Any response at this level will probably draw capability signalled by locally on the same technology found in warning made (and where communication below. available, fluorescent coloured) signs and cyclone shelters designed locally. Warning Local devices for Radio, telephone, E-mail and internet- communication communication: word- television. based seasonal of-mouth, runners, forecasts, RSS feeds. criers, drums, flags, bells, telephone, radio, television, megaphone, mosque speakers.

Source: IFRC Community Early Warning Systems: Guiding Principles (2012) 2. The Four Elements of Early Warning Systems

he table on page 9 presents different kinds of EWS at different bottom up’, in that they can raise initial warnings about changes of stakeholder levels. There are two core elements that can be key indicators (e.g. rising water levels, increased prevalence of illness Tnoted in the evolution of EWS and in the table: symptoms), and convey these messages to centralised systems or information managers who are in a position to raise the signal 1. EWS has necessarily evolved to become more people-centred, within an EWS (Figure 1). in a way that is respectful and recognisant of the participation of communities in the development of an EWS that concerns them 2. In all levels, there are four core elements for the development at local level. In addition, people-centred EWS capitalizes on the of a complete and effective EWS: risk knowledge, monitoring and 10 knowledge, tools and systems within a community. The core idea is warning service, dissemination and response capacity (i.e. action on that for any EWS to be effective, the message from the ‘“top level’ the early warnings received). Failure in any one of these elements (e.g. government, research institutions) must reach the populations could mean failure of the whole system. When looking to build who stand to be affected by the hazards being monitored. In ad- resilience at community level through early warning systems, it is dition, communities can contribute substantially to EWS from ‘the essential that all four elements be considered. While the source of one of the elements is not found within the community (e.g. Risk knowledge Monitoring and warning service meteorological services), the importance lies in a community’s Systematically collect data and Develop hazard monitoring and undertake risk assessments early warning services access to relevant information. The four elements are examined in • Are the hazards and the vulnerabilities • Are the right parameters being more detail below. well-known? monitored? • What are the patterns and trends in • Is there a sound scientific basis for those factors? making forecasts? These two core elements are explored here, with focus being on • Are risk maps widely available? • Can accurate and timely warnings be the community-based, people-centred EWS which have a central generated? role to play in increasing resilience of hazard-prone communities Dissemination and communication Response capability in southern Africa. This analysis is presented to help guide disaster Communicate risk information Build national and community risk reduction (DRR) implementers through the key elements, i.e. and early warnings response capabilities • Do warnings reach all of those at risk? • Are response plans up-to-date and the essential questions to ask and the cross-cutting themes to • Are the risks and warnings understood? tested? be addressed when considering the development of an EWS at • Is the warning information clear and • Are local capacities and knowledge 11 usable? made use of? community level and the cross-cutting themes that should be ad- • Are people prepared and ready to react dressed by an EWS at community level (see Annex 1 for operational to early warnings? guidelines for community early warning system).

Element 1: Risk Knowledge - Prior Knowledge of the Risks Guiding principle 1.1. Although risk knowledge exercises may not lead to early warning, all early warning must be founded on risk knowledge. Guiding principle 1.2. Accept that a community’s priorities may not be your own. Communities are exposed and vulnerable to disaster risks from various hazards. It is important that community members themselves are aware of such risks and vulnerabilities. One way to develop this understanding in the community is through risk assessment and risk mapping exercises to help prioritize which hazards an early warning system will focus on and guide response preparedness activities, as well as disaster prevention. These assessment and mapping exercises could be based on the community’s different categories of vulnerabilities (human, social, economic and environmental), as well as their previous experiences with natural hazards. 12 Raising awareness about the risks that communities face and using past experiences as guiding principles can help both DRR implementing partners and communities understand why certain risks are prioritized. These awareness-raising sessions that use participatory methodologies (e.g. oral history, focus groups), would be the first step in developing a people-centred EWS. At the end of the day, it is important that community members themselves determine the risks to which they are most exposed and vulnerable, and that DRR implementers concede that these may not match their own assessment of the situation. Nevertheless, in this awareness-raising stage DRR implementers can assist communities establish the links between the disasters they are exposed to and the broader hazard profile of the community to make the ‘bigger picture’ more evident. Developing a problem tree with the community (see Annex 2) can help communities and Element 2: Warning Service – Technical Monitoring and Warning Service for Identified Risks Guiding principle 2.1. Passive receivers of information do not save lives. Guiding principle 2.2. Some communities will need to drive their EWS. Guiding principle 2.3. Public displays of monitoring can motivate communities. Guiding principle 2.4. When hazards evolve, so must their monitoring.

implementers understand local vulnerabilities and exposure as an people/households most at risk. For more information on participa- 13 outcome of interacting factors and causes, i.e. structural causes, tory global information systems (GIS) mapping, see the Information underlying causes and immediate causes, which interact to lead to and Knowledge Management brief prepared by COOPI in this specific outcomes. At times, communities see the outcomes as the series. main problem, whereas these may be the result of a series of events, The warning services are one element that has evolved signifi- each of which can be addressed through various steps and interven- cantly. From seismic sensors to meteorological modelling for cyclone tions to prevent negative outcomes. An early warning system can trajectories, to satellite rainfall monitoring, science has brought be an important component to positively impact the interaction of technical monitoring and warning services to higher levels. Yet, this these factors and mitigate negative outcomes, perhaps even making does not mean that traditional/indigenous ways of monitoring risks communities more resilient in the long term. in the community should be abandoned; rather complementarities Following the awareness-raising activities, assessments and need to be sought between indigenous and scientific approaches, mapping can be done in a participatory way. This can include the which usually involve various monitoring agencies. At the same use of satellite mapping images being overlaid with community time, efforts to support the evolution of traditional monitoring and maps, or having community members identify key infrastructures warning mechanisms, so that they adapt to evolving contexts and and the most vulnerable areas to the hazard at hand and the hazards, should be undertaken. Element 3: Dissemination of Understandable Warnings to Those at Risk Guiding principle 3.1. Clearly delegate responsibility to alert or mediate. Guiding principle 3.2. Do not fall into the ‘sophistication trap’ for warning devices. Guiding principle 3.3. Use staged warnings (levels and colours) in dissemination. © Mario Samaja

14 Warnings need to reach those at risk, be understood properly Communication channels from regional to national to com- by them and contain information that enables adequate and timely munity levels have to be pre-identified, and it is necessary to have response. one authoritative voice. Many countries need to increase their

Element 4: Response Capability – Knowledge and Preparedness to Act Guiding principle 4.1. In EWS, we respond to warnings, not to disasters. Guiding principle 4.2. Strive to organize robust ‘no-regrets’ response actions. Guiding principle 4.3. Embed response options in annually updating contingency plans with links to funding. Guiding principle 4.4. ‘Practice makes perfect’: test drive your response actions. institutional capacity in disaster risk management and link various disaster management bodies from national to local levels and vice versa. Communities need to know how to react when they receive warnings from warning services. This should be an outcome of response preparedness activities conducted with the community. For some life-endangering sudden-onset hazards, households should be empowered with the knowledge of what to do immediately to save their families and protect their livelihoods. For other hazards which have not yet occurred, but are likely in the future, the community may decide to convene a gathering and make a plan (contingency planning). 15 People-centred EWS: enriching the four Thanks to significant technical and technological advances elements with cross-cutting issues which bring about new ways to detect risks and issue warnings, EWS has more potential to save lives and livelihoods and contribute It is to be noted that many communities have combined indigenous to building a more resilient community. However, if an EWS does knowledge with newer technologies. For instance in Mozambique, not serve the people it is targeted to protect and empower, its local risk committees around the Zambezi basin use colour-coded effectiveness will be limited. flags, whistles and loudspeakers to inform the population of im - Communities must receive clear and relevant messages regard- pending cyclones and floods. ing hazards, which lead to practised and informed responses. Many Many communities have been able to learn from previous inci- sectors and levels of society should be involved in a people-centred dents and incorporate this knowledge into warning and response system, in which education and awareness-raising are central. plans. 16 Cross-cutting issue 1: Combining ‘bottom-up’ and ‘top-down’ elements To have an effective EWS, both of these approaches are crucial. Firstly, community participation is required to map needs, risks and vulnerabilities. Also, their involvement can lead to ownership and legitimacy to ensure that warnings lead to actions. Secondly, the early warning indications/messages from national, regional and global monitoring systems for specific risks – particularly those relating to weather – need to reach the community level. Com - munities cannot achieve what these scientific systems can do, but on their own they are not effective unless they receive information from these risk monitoring systems and respond to the information appropriately. Cross-cutting issue 2: Involving local communities in the early be multipurpose. For example, a signboard used to advertise com- warning process munity events can be issue warnings for various hazards; cyclone When local communities use accessible technology to track some shelters can be used as community spaces; and radios and phones hazards like river levels and rainfall gauges, they are able to monitor can be useful in the everyday lives of the community. threats and use some simple agreed-upon steps to initiate warnings. These can even feed into larger monitoring systems. Cross-cutting issue 4: Mainstreaming early warning Community awareness of all four stages of an early system is vital. Cross-cutting issue 3: Using a multihazard approach It is important that this awareness is mainstreamed into existing Developing mechanisms designed for a single hazard within the education, training and knowledge transfer exercises. community may not be effective, especially if the hazard does not occur regularly. Systems should use a multihazard approach and 17 3. Pulling It All Together

hile engaging the community in the awareness-raising and ◼ Who in the community is best positioned to raise the alert about risk assessment/mapping exercises, a DRR practitioner/ the impending hazard? What access do they need to have to Wimplementer should keep the following in mind: these community officials and fellow community members in order for considerations are based on a ‘bottom up’ approach to EWS where the message to be taken seriously and to enact the full system? communities are the first point of entry for the EWS. This section What skills must they have? draws heavily from the International Federation of Red Cross and • The people in the community who do this are called authors Red Crescent Societies’ publication Community Early Warning and they are responsible for the collection of information at the Systems: Guiding Principles (IFRC, 2012). primary (community) level which they then pass on to other 18 stakeholders in the system; for example, a community member indicators can be monitored; in food insecure areas market ac- who tracks a river gauge in a certain location, or a community cess, food availability, community/household food consumption member who has been tasked to monitor food-price informa- changes, food prices, etc. can be used to monitor the situation. tion in the local market. For the main indicators being monitored, thresholds for action ◼ Who in the community can take the decision to enact the must be defined based on the local context and international early warning systems and the subsequent actions once it has standards, where applicable. reached the various thresholds? What access do they need to have to community officials and fellow community members in Early warning is based on information. The indicators selected order to enact the plan of action that follows the EWS? What should target the core of the hazard being monitored and should skills must they have? With which other institutions must they not involve extraneous information; should be well aligned with be in contact? the information that is realistically available at community level; • These people are called mediators; they aggregate the and should be able to be communicated in a timely and efficient 19 information coming in from the various authors to get a more holistic picture. They use the established thresholds to define the tone and severity of the message which is sent to the recipient, i.e. the at-risk population which needs to be warned of the impending hazard, as well as the general public.

Defining who in the community can assume these roles is of ex - treme importance, and ensuring the viability and sustainability of the system should be done according to criteria identified with the community and its leadership structures. ◼ What is the key information that needs to be gathered and which indicators need to be monitored (i.e. when and how often) for a viable EWS in the community? For example, in a flood area dam levels, the upstream river levels and pluviometric manner. SMS-based systems are, for example, useful in food secu- How the information is to be communicated is one of the main rity monitoring. The various pieces of data can be assigned codes considerations in an EWS. The communication strategy must take according to a template that has been identified among the authors into account both the way in which the authors send information and the mediators. The concept of the Likert scale (i.e. ranges from to mediators, and how mediators communicate the information 1–5, where 1 is bad and 5 is good) can be a useful way to track to the at-risk population. In both cases, the decision should be tendencies for early warning. based on the local context, taking into consideration the reliability It is important to define from the beginning the information of the chosen system in non-crisis times and in crisis times (e.g. that is to be included in the messaging, both from the author to SMS may be fine for regular monitoring of flood prone areas, but mediator and mediator to recipient. telecommunications may be impossible during the flood itself). From the author to the mediator, it is imperative to include: In this regard, a centralized audio method (e.g. drums, runners, ◼ the location where the information is coming from; flags, mosque towers, whistles, etc.) may need to accompany more 20 ◼ the date and time of the information; technology-based options to ensure the messages are well com- ◼ the basic indicator monitoring information (in non-crisis municated and received in the most critical moments. times) or the scale of the change in indicator when a hazard is impending. Coordination saves lives

For the mediator, it is important for him/her to include the above Coordination is the key to ensure strong interlinkages between information, as well as: the four elements of an early warning system, as well as between ◼ the likely impact of the hazard on the community and which the different stakeholders involved at different levels. In addition areas are most at risk; to being well-coordinated, early warning-related activities should ◼ when the hazard is likely to happen; be supported politically through legislation, regulation, policies ◼ what the community should do in preparation for the hazard and trained technical staff. Preparedness and its early warning (e.g. move livestock to higher ground, safely store personal component need to be ingrained at all levels. assets, etc.), and what actions will be required during the hazard Ensuring that the system being developed – while rooted in the (if an evacuation is likely, how it will be communicated, where community – has the appropriate support from local, sub-national the safe haven is, etc.) and national government; local and national NGOs working in the relevant sectors; and other relevant sectorial stakeholders is system is capable of organizing itself to increase its capacity for critical to the ability of the system to function in the short term, learning from past disasters for better future protection and to and have an impact in the long term. In order to do this, engaging improve risk reduction measures.” the government at all levels and stakeholders who could help or hinder the success of the system is important at all phases of the Given this definition, EWS is central to a resilience agenda because initiative. of the participatory and consultative process it adopts in its for - Often, the most effective and efficient way to approach con- mulation and during context analyses, the holistic approach to sultations, updates and end-of-action lesson learning is through hazards, sectors and stakeholders, the cost efficiency it promotes a coordination body, such as the relevant government platforms, (early response versus resilience) and enhanced partnerships and OCHA, or taskforces that are recognised and can assemble the synergies. Early warning has a key role to play in saving the lives necessary stakeholders. and livelihoods of the communities that are at risk of disasters and promoting their resilience through learning what has happened and 21 Linking EWS with broader agendas applying these lessons to what is to come.

Embedding the system into a greater framework, whether DRR, climate change adaptation, resilience, etc., could help it receive more visibility, which would encourage community members to continue with monitoring; help it receive longer-term funding, if the initial set-up is based on project funding; and help to increase communities’ resilience to allow them to focus on development (structural issues) and not annual/cyclical reconstruction (outcomes). Resilience, according to UNISDR, is: “The capacity of a system, community or society potentially exposed to hazards to adapt, by resisting or changing in order to reach and maintain an acceptable level of functioning and structure. This is determined by the degree to which the social 4. Bibliography and References for Further Reading

Manuals trp8so3zwjwmpc7/Community_Based_Early_Warning_System_ Training_Manual_2010.pdf Astrid von Kotze and Ailsa Holloway. 1996. Reducing Risk: Participatory Learning Activities for Disaster Mitigation in Southern Public Entity Risk Institute. Four Elements of People Centered Africa. International Federation of Red Cross and Red Crescent Early Warning Systems. http://www.riskinstitute.org/peri/images/ Societies and Department of Adult and Community Education, file/PERI_Symposium_UNISDR.pdf University of Natal. 22 United Nations Chief Executives Board for Coordination (CEB). Mercy Corps and Practical Action. 2010. Establishing Community 2013. United Nations Plan of Action on Disaster Risk Reduction for Based Early Warning System Practitioner’s Handbook. http:// Resilience. http://www.preventionweb.net/english/professional/ practicalaction.org/docs/nepal/Establishing-CBEWS-Practitioners- publications/v.php?id=33703 handbook.pdf UNISDR. 2011. Global Assessment Report on Disaster Risk Reduction: Revealing Risk, Redefining Development. www.unisdr. Publications/papers org/we/inform/publications/19846

IFRC. 2012. Community Early Warning Systems: Guiding Principles. UNOCHA. 2012. From Early Warning To Reinforcing Resilience: http://www.ifrc.org/PageFiles/103323/1227800-IFRC-CEWS- Lessons Learned From The 2011-2012 Sahel Response. https:// Guiding-Principles-EN.pdf docs.unocha.org/sites/dms/Documents/Lesson%20Learning%20 Review.%20Early%20Action%20and%20Resilience%20in%20 Philippines Red Cross. 2010. Community-Based Early Warning the%20Sahel.pdf Systems: Guiding Principles https://www.dropbox.com/s/ UNOCHA. http://www.unocha.org/what-we-do/coordination/ Websites preparedness/overview Prevention web. Various publications on early warning. http:// www.preventionweb.net/english/professional/publications/index. php?o=ent_datepublished&o2=DESC&ps=50&hid=0&tid=35&cid Videos =0&oid=0&x=11&y=7 Kenya Rural Development Programme. 2013. Launch of Drought South-East Asia’s Road to Resilience/Early Warning Systems Risk Management and Early Warning Information Campaign in and Manuals. https://sites.google.com/site/drrtoolsinsoutheastasia/ Turkana County. http://www.youtube.com/watch?v=24HbYNBpKy8 climate-change/early-warning-manuals OCHA and WFP. 2012. Act Now Save Later. http://www.youtube. UNISDR Platform for the Promotion of Early Warning. http:// com/watch?v=HhD85cQejTg 23 www.unisdr.org/2006/ppew/ Annexes

Annex 1. Operational guidelines for working with communities on early warning

Making a plan, making a commitment and coordinating be effective, e.g. if a community is able to receive warnings but does not know what to do. Consider the four different elements of an early warning system and the different activities recommended to help support a community Step One: Research existing early warning systems become more resilient to shocks. One element on its own may not ◼ Are you aware of existing early warning systems at the district, 24 national and institutional level?

Step Two: Engage with any existing disaster preparedness activities affecting the community and ensure synergies and complementarity ◼ Are you aware of existing disaster preparedness activities implemented by district authorities, NGOs, the National Red Cross Society, UN agencies and community leaders?

Step Three: See if hazard and risk mapping has been previously done in the area ◼ Has hazard and risk mapping been conducted previously in the area? Is it still relevant? Step Four: Seek buy-in from community leaders and community members ◼ Have you consulted local community stakeholders and have their buy-in to the process? ◼ Are you able to be part of a long (multi-year) process which consolidates the community’s early warning system and links it to other programmes?

Step Five: Agree on steps and activities with community leaders ◼ Depending on previous steps, activities could include the following: • Hazard and risk mapping – from the beginning or by revising 25 previous mapping to ensure community priorities are reflected (see example activity in Annex 3). • Monitoring and warning assessment. • Warning communication assessment. • Response capability mapping. • Planning activities to address gaps and weaknesses identified in mapping activities. The activities are expected to involve a wide spectrum of community stakeholders. • Drills and simulations. • ‘Lessons-learned’ activities after the occurrence of an event. Annex 2. Problem tree development

fter a community has identified the main hazards and related For each hazard/disaster, form a work group and have them disasters that they face, ask them to decide if the hazard/ map the differed levels of factors that lead to and result from the Aresulting disaster is a structural factor, an underlying cause, an hazard/disaster they have identified. Bring the work groups back to immediate outcome or an impact. The relationship between factors, plenary and have them present the factors from bottom up: What causes, outcomes and impacts can be either positive or negative. is the structural factor that leads to the underlying factors, which A structural factor is something that is reinforced by administra- have an immediate outcome and lead to an impact? tive, economic and social barriers; for example a failure in govern- Once all of the groups have presented, take time in plenary to ance is a structural issue that can have impacts on the ability of establish the relationship between the various hazards through their early warning systems to be established and function properly. structural and underlying factors, through the immediate outcomes 26 An underlying cause is linked to services (education, health), and finally to the impacts. products (medicines, infrastructure), access (markets) and specific This exercise can be helpful to link resilience efforts to rehabilita- recurring events (floods, cyclones, prolonged dry spells) that have tion and development by identifying the structural and underlying an impact on the population in question. Examples include: conflict, issues that lead to disasters resulting from natural hazards. By specific hazards or shocks, lack of education services, land degrada- addressing some of the structural issues, the impact of the hazard tion, production declines, etc. may be lessened in the long term. Further, in relation to EWS, it Immediate outcomes are the manifestations of the underlying can help establish the positive and negative relationships between causes that emerge in the short term. Examples include: low im - the factors, outcomes and impacts at each level. This can help munization rates (as a result of lack of health services) and limited community awareness of how the occurrence of a specific hazard household access to food. event can trigger secondary or parallel problems, which must also Impacts are the long-term, compounded and larger-scale be monitored, have timely warnings issued and actions planned. implications of the factors, causes and effects that result from This can inform contingency planning, which is the next step in the interaction between various factors, causes and outcomes. developing a Plan of Action following the enactment of the com- Examples include: disrupted livelihoods, prevalence of illnesses munity early warning system. and malnutrition. Annex 3. Community-level exercises – risk knowledge, defining concepts and putting them into practice

Example activity 1: Risk knowledge

Requirements: Flipchart, cards, markers

Exercise One Present the following to community members: Disaster = Hazard x Vulnerability 27 Capacity Explain to participants that the magnitude of a disaster is defined by the hazard and the degree of vulnerability divided by their capacity. Later the participants will explore further the definitions of each word. To begin, however, use each question to understand the relationship between the words. Will the disaster be bigger or smaller if: ◼ The hazard is bigger? ◼ The community is more vulnerable? ◼ The community has more hazards? Exercise Two Defining key concepts Give the definition to the community members and then ask them about examples in their communities.

Concept Definition Examples in the community Disaster A serious disruption of the functioning of a society, causing widespread human, material or Has the community ever experienced a disaster according to environmental losses which exceed the ability of the affected society to cope using only its own this definition? resources. Disaster is sometimes also used to describe a catastrophic situation in which the normal patterns of life (or ecosystems) have been disrupted and extraordinary, emergency interventions are required to save and preserve human lives and/or the environment. Disasters are frequently categorised according to their perceived causes and speed of impact. Hazard A rare or extreme natural or human-made event that threatens to adversely affect human life, property What hazards is your community exposed to? or activity to the extent of causing disaster. A hazard is a natural or human-made phenomenon which Natural may cause physical damage, economic losses or threaten human life and well-being if it occurs in an Human-instigated area of human settlement, agricultural or industrial activity. Examples of types of hazards: Complex emergencies (e.g. combination of natural disaster Natural hazards (rapid onset and slow onset) and conflict/unrest) 28 Rapid onset, e.g. earthquake, tsunami. Slow onset, e.g. drought. Human-instigated, e.g. chemical spill, nuclear reactor meltdown. Complex emergencies and other situations of violence, e.g. internal armed conflict. Vulnerability The extent to which an individual, community, subgroup, structure, service or geographic area is Are men, women, boys and girls affected equally when likely to be damaged or disrupted by the impact of a particular disaster hazard. disasters occur? Are there particular vulnerable groups in your community? Why are they vulnerable? Are there geographic areas of your community that are more exposed to hazards? How do different groups (social, economic, gender) cope with the hazards? Capacity Capacity refers to individual and collective strength and resources that can be enhanced, mobilized What do people do to survive a disaster that has previously and accessed, to allow individuals and communities to shape their future by reducing their disaster risk. worked well? Examples of kinds of capacity: Are members of the community aware when hazards are Individual survivability (taking individual action) approaching? Community readiness (community having warning signals) Have the community members taken steps to avoid being Preventive capacity (actions that prevent hazard impacts, e.g. soil stabilization, floodplain impacted by disasters? regulation) What steps have been taken? Mitigation capacity (actions that reduce hazard impacts, e.g. property protection, education and Who is responsible for their implementation? awareness) Exercise Three community members go there, but there is often little warning that a flood wave is coming, so many families do not have enough time ◼ Write four words (disaster, hazard, vulnerability, capacity) on to take their possessions or move their chickens. four cards. Place cards in four corners of the workshop/discussion area. What is the hazard mentioned in this passage? Read out definitions and selected examples in mixed order and ask What could be some other hazards that this village is exposed participants to point to or walk to the correct card. to but which are not mentioned here? What could be some of the results of a disaster? OR Where are the most vulnerable areas? Who are the most vulnerable people mentioned? Read out definitions and ask participants to point to or walk to What other vulnerable people are not mentioned? correct card. Ask each participant who got the correct answer to What capacities exist within this community that are mentioned? 29 give an example for each. What could be some of the capacities that are not mentioned? ◼ Explore using an example: Community X is prone to riverine flooding which leads to loss of Bonus life and livelihoods. Sometimes while crossing streams and creeks, What are some measures that this community could take to many children and women are known to drown while trying to reduce vulnerability and enhance capacity? access their crops. The village grows maize and raises chickens. Some men and women do day labouring. Many men and women Try and be as innovative as possible, e.g. swimming lessons for cannot get to their day labour jobs as they are too afraid to cross women; keep ducks instead of chickens (as ducks can swim). the river because they cannot feel they riverbed when they walk across. When there is a big flood, the chickens often drown and Additional optional activity: Use risk determination (impact and the community has to start the chicken farming from zero. The probability) to rank hazards. maize crops are often destroyed when they are flooded. One in ten members of the community has HIV. There is no clinic in the village. The school and the village church are on higher ground and often Example activity 2: Monitoring and warning service and dissemination and communication

Requirements: cards, markers Ask groups to present back to plenary and then ask participants to A Look at the hazards identified in the ‘Risk Knowledge’ activity. stand up. Point to your left and say that that point represents ‘no B Write a hazard on each card. warning’ and then point to your right and say that point represents C Divide the community members into small groups. ‘everyone warned with ample time to react’. Go through each D Assign each group a hazard. hazard one at a time and ask participants to put themselves at the E Ask each group if they have received warnings for that hazard. point where they think the community is in terms of early warning. F If they do, ask them about the following, to be discussed in As a follow-up, ask community members how they think they can small groups: improve the early warnings within the community. 30 ◼ How do they receive the warnings? For example, how do they know there is going to be a flood? ◼ Does everyone receive the warning? ◼ Does everyone understand the warning? ◼ When warnings are given, do people react? ◼ Are the warnings local/indigenous, meaning that they are passed on from generation to generation as a result of culture of beliefs? For example, knowing when to plan, knowing when not to go to sea? OR ◼ Are the warnings scientifically based on research and studies? For example, warnings from hydro-meteorological services, text messages, media, radio, information given at school? ◼ How does the community react? ◼ Is there a plan of action developed related to the warning?

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