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 Foreword
 Table of Contents
 List of Tables
 Executive summary
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 Synthesis and major findings from...
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 Bibliography






Group Title: Document / Institute for Development Anthropology ;
Title: Sustainable uses for steep slopes, workshop proceedings : volume 2 : synthesis report
CITATION THUMBNAILS PAGE IMAGE ZOOMABLE
Full Citation
STANDARD VIEW MARC VIEW
Permanent Link: http://ufdc.ufl.edu/UF00095074/00001
 Material Information
Title: Sustainable uses for steep slopes, workshop proceedings : volume 2 : synthesis report
Series Title: Sustainable uses for steep slopes, workshop proceedings
Physical Description: v. : ; 28 cm.
Language: English
Creator: Hanrahan, Michael S.
Development Strategies for Fragile Lands (Project)
Earth Satellite Corporation
Social Consultants International
Publisher: Development Strategies for Fragile Lands (DESFIL)
Place of Publication: Washington, D.C.
Publication Date: 1987
Copyright Date: 1987
 Subjects
Subject: Slopes (Soil mechanics) -- Congresses   ( lcsh )
Genre: bibliography   ( marcgt )
non-fiction   ( marcgt )
conference publication   ( marcgt )
Spatial Coverage: Ecuador
 Notes
Bibliography: Includes bibliographical references.
General Note: "Quito and Salcedo, Ecuador September 19-24, 1987."
Statement of Responsibility: Michael S. Hanrahan.
 Record Information
Bibliographic ID: UF00095074
Volume ID: VID00001
Source Institution: University of Florida
Holding Location: University of Florida
Rights Management: All rights reserved by the source institution and holding location.
Resource Identifier: oclc - 244824397

Table of Contents
    Cover
        Cover 1
        Cover 2
    Half Title
        Half Title 1
        Half Title 2
    Title Page
        Title Page 1
        Title Page 2
        Title Page 3
        Title Page 4
    Foreword
        Page i
        Page ii
    Table of Contents
        Page iii
        Page iv
    List of Tables
        Page v
        Page vi
    Executive summary
        Page vii
        Page viii
        Page ix
        Page x
        Page xi
        Page xii
        Page xiii
        Page xiv
    Introduction
        Page 1
        Page 2
        Page 3
        Page 4
        Page 5
        Page 6
        Page 7
        Page 8
        Page 9
        Page 10
    Synthesis and major findings from the working group discussions
        Page 11
        Page 12
        Page 13
        Page 14
        Page 15
        Page 16
        Page 17
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        Page 20
        Page 21
        Page 22
        Page 23
        Page 24
        Page 25
        Page 26
    Synthesis and findings from proceedings papers
        Page 27
        Page 28
        Page 29
        Page 30
        Page 31
        Page 32
        Page 33
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    Bibliography
        Page 47
        Page 48
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Full Text
97; 1'i3"


Development Strategies for Fragile Lands
Development Strategies for Fragile Lands





























DESFIL
Development Strategies for Fragile Lands
624 9th Street, N.W., 6th Floor, Washington, D.C. 20001
Development Alternatives, Inc. in association with: Earth Satellite Corporation
Tropical Research and Development, Inc. Social Consultants International


"SUSTAINABLE USES
FOR STEEP SLOPES"

WORKSHOP
PROCEEDINGS

Volume II:
Synthesis Report







DEVELOPMENT STRATEGIES
FRAGILE LANDS
(DESFIL)


"SUSTAINABLE


FOR STEEP


USES


SLOPES"


Workshop Proceedings

Volume II:
Synthesis Report



Michael S. Hanrahan
Quito and Salcedo, Ecuador
September 19-24, 1987


ORGANIZERS:
Ecuador Soil Science Society
Science Foundation of Ecuador
Development Strategies for Fragile Lands Project

SPONSORS:
USAID/Ecuador
USAID/Science and Technology and Latin America Bureaus

DESFIL
624 Ninth St., NW, Sixth Floor
Washington, DC 20001, USA


USAID Project No. DHR-5438-C-00-6054-00


FOR


































These proceedings were prepared with the support of USAID. The
opinions, results, conclusions, and recommendations expressed herein
do not necessarily reflect or represent the views of USAID.





















FOREWORD


Archeological proof exists that the puna, above 4,000 meters elevation, was
one of the areas where civilization first came into existence in the Andean
region, more than 8,000 years ago. Principal Andean civilizations predating
the conquest included the Chabin, the Huari, and the Tihuanaco, and Junin
appears to be an area where a human group lived for thousands of years
in harmony with the resources and ecology of the Andean region.

During the Inca period, the Andean highlands were home to 20 million
persons, and sustained an efficient agriculture, evidently sufficient to
support this population, indeed with excess production to trade with lower
areas. The historical record left by these more primitive peoples attests
that it is possible to practice efficient and sustainable agriculture in the
region.

Presumably, these peoples could have elected to live in other, more benign
zones, perhaps it is a modern concept that the Andean highlands are a
hostile and inhospitable region, even though large populations continue to
live in and appear perfectly adapted to these areas.

Just as in the past, technicians, politicians, social scientists, and
campesinos must learn to coexist and develop in mutual harmony, with
nature, in the Andes. The record from our past is our challenge today.


Barbara d'Achille















TABLE OF CONTENTS






EXECUTIVE SUMMARY . . . .


CHAPTER ONE
INTRODUCTION. . . . .


ANNEX I-1:

ANNEX 1-2:


PROGRAM FOR SUSTAINABLE USES FOR
STEEP SLOPES WORKSHOP . . . . . . .
PERSONS, COUNTRIES, TECHNICAL DISCIPLINES,
INSTITUTIONS, AND PAST PROJECT EXPERIENCES
OF ATTENDEES ..................


CHAPTER TWO
SYNTHESIS AND MAJOR FINDINGS
FROM THE WORKING GROUP DISCUSSIONS . .

SOCIOCULTURAL THEMES . . . . . . . . . . .
Need for Beneficiary Participation . . . . . . . . .
Failure to Recognize What Farmers Do . . . . . . . .
Programs Directed at Men ......................
INTERDISCIPLINARY FOCUS REQUIRED . . . . . . . .
Land-Use Planning Needs to Incorporate Social Factors . . . . .
Need for Full-Cost Accounting. . . . . . . . . . .
NEED TO TARGET PROGRAMS. . . . . . . . . ..
INFORMATION...... ............. ...... ....
Information Not Disseminated . . . . . . . . . .
Lack of Memory . . . . . . . . . . . . .
Need for Networks . . . . . . . . .. . . .
INCENTIVES . . . . . . . . . . . . . . .
COORDINATION AND COOPERATION. . . . . . . . .
VERY STEEP OR HIGH AREAS ................. .....
PUBLIC AWARENESS...............................


CHAPTER THREE
SYNTHESIS AND FINDINGS FROM PROCEEDINGS PAPERS.

THE EFFECTS OF TECHNOLOGY: EXPERIENCES WITH
DEGRADATION-CONTROL PRACTICES AND PROJECTS . . . .
LIVESTOCK ABOVE 3,500 METERS . . . . . . . . .


. . 27
. . 32



























iv




INSTITUTIONS . . . . . . . .. . . . . . . . 33
External Institutions. . . . . . . . . . . . . ... 34
Local Institutions and Organizations . . . . . . . . . . .. 38
CAMPESINO PERCEPTIONS .......................... 39
STRATEGIC PLANNING ........................... 40
The Estimation of Technical Data and Targeting . . . . . . . .. 41
Social and Institutional Lessons in Technology Transfer . . . . . .. 43
INCENTIVES ............... ............... .. 45
Types of Incentives . . . . . . . . . . . . . . 45
Discussion . . . . . . . . . . . . . . . . 45


BIBLIOGRAPHY ............... 47



























V





LIST OF TABLES


ANNEX 1-2:



TABLE I-1:

TABLE III-1:


PERSONS, COUNTRIES, TECHNICAL DISCIPLINES,
INSTITUTIONS, AND PAST PROJECT EXPERIENCES
OF ATTENDEES ........................ 7

COMPOSITION OF THE WORKING GROUPS . . . ... 12

AVERAGE CROP YIELDS OBTAINED ON ABSORPTION
TERRACES AND CHECK PLOTS IN THE PERUVIAN ANDES,
1984 CROP YEAR ....................... 30










vii




EXECUTIVE SUMMARY



"Sustainable Uses for Steep Slopes" sussS), a workshop for applied development
practitioners, was held in Quito and Salcedo, Ecuador, during the week of September
12-19, 1987. The workshop had two general purposes:

To report experience in implementation and applied research on the
development and the intensified but sustainable uses of fragile, steeply
sloped areas; and

To draw conclusions and lessons learned from past experience for the design
and management of future development on fragile, steeply sloped areas.

Presentations were made by persons and institutions that had attempted project
implementation or had concluded applied research projects based on steep slopes,
could document what happened, and could draw lessons learned, implications for
policy, and recommendations for the design and management of future projects from
these experiences (Annex 1-2).


WORKING GROUP DISCUSSIONS


Five discussion periods of 90-minutes each were built into the workshop
program, and participants were divided into three working groups. Discussions were
held after each plenary session. The general mandate was to focus on the theme of
the preceding session and the papers presented during that session. What could be
learned from the experiences presented? What were the main problems illustrated?
What contributed to any successes or failures? What recommendations could be made
for the future design and management of development activity on steep, fragile
areas?

The working groups emphasized sociocultural themes and community
participation. Those present, most of whom were not social scientists, were
overwhelmingly of the opinion that effective technical measures for degradation
control -- such as terraces, windbreaks, living barriers, diversion or infiltration
ditches, mulching techniques, crop rotation, cross-slope farming, and so on -- proved
under on-farm conditions, existed. Considerable support for this view is found in the
papers (see, for example, N. Fernandez; Espinosa and Maldonado; Comerma; Croveto;
Espinoza; Fernanadez-Jauregui). Farmers, however, and many personnel in public-
sector institutions and donor agencies were unaware that degradation was a problem,
did not immediately perceive or pay for its effects, and were thus reluctant to apply
or continue to apply the efficacious, available control measures. Working group
recommendations are found in Table 11-2.













Sociocultural Themes

The sociocultural deficiencies that the three working groups identified in
development projects and programs in fragile areas are, in general, that local
participation was not included in development efforts and that the talent, leadership,
and traditions of the native communities and of the national-regional technicians
community were not called upon. In addition, projects are usually designed to cover
relatively short time spans, and so do not provide for postproject continuity of
degradation-control programs (see recommendations 4, 5, 6, and 7, Table 11-2).


Interdisciplinary Focus and Targeting

In the design and management of natural resources projects, the working groups
signaled a need for an interdisciplinary focus on the multiple phases and effects of
the degradation problem.

In four workshop papers, methodologies for or applications of targeting were
presented (Brooner; Faustino; Harden; Vivero). The working groups regarded
targeting favorably (see recommendation 2, Table 11-2).


Basic Information

Working groups signaled, in the strongest possible terms, the need for basic
information in planning, managing, monitoring, and evaluating projects. The
reluctance of national institutions and donor agencies to fund applied research was
denounced. The nearly total lack of significant monitoring and evaluation of ongoing
and past projects was noed. When data have existed, when applied research has
been done, or when projects have been monitored, results have been neither analyzed
nor disseminated. As a result, mistaken approaches to development and past project
failures have been repeated again and again (see recommendation 8, Table 11-2).


Incentives

Incentives can be differentiated in several ways. Monetary incentives include
the payment of wages, payment for works constructed, and food for work.
Nonmonetary incentives include training courses, diplomas, certificates, prizes, tours,
community recognition, and access to production credits or superior production inputs
that are not fully subsidized. Other ways of differentiating incentives include
whether they are imposed from outside the community or arise from within it and
whether they are long-term or short-term incentives.

In general, the development practitioners who were present -- including 52
technicians with experience in research and implementation on dozens of projects in
12 Western Hemisphere countries -- considered nonmonetary incentives necessary,
even desirable, in the adoption of programs. Monetary incentives were considered
suspect, dangerous, and often ultimately destructive.











Incentives can stimulate the adoption of conservation practices (such as the
construction of terraces, diversion ditches, windbreaks, and living barriers, and the
planting of trees) that might be difficult to introduce without them. Thus,
incentives may stimulate and facilitate the extension program, at least in its early
stages.

Risks associated with incentives are that they may create an addiction to the
incentive on the part of the beneficiaries and a focus on the incentive -- food or
money -- rather than a commitment to the conservation program or practice or a
focus on the desired result -- aware campesinos, living trees, or ditched hillsides.
This is especially true of monetary incentives, which tend to become quickly
politicized.

Working groups were reluctant to take a firm stand for or against incentives,
thinking instead that cases should be judged individually. Monetary incentives,
however, were thought to be highly suspect, distracting, and politically charged.
Nonmonetary incentives, particularly those suggested by the communities where work
takes place, were considered desirable and useful, especially in extension.


Lack of Coordination among Development Agencies

Several speakers noted the proliferation of development agencies. Fifty or more
Ecuadorian agencies were directly involved with the management and control of
degradation programs (Vivero; Mejia; Fundaci6n Ciencia). More than 125 development
programs operated in the Bolivian Valles Altos (Quiroga). Such agencies frequently
operated in the same geographic area, worked on the same problems at the same
time, and promoted similar programs. Conflict and lack of cooperation, rather than
collaboration and coordination, was the norm.


Very High, Fragile Zones

Workshop participants noted the existence of certain problem-prone areas, such
as paramos, dormant volcano craters, and very high cloud forests, which nevertheless
offer development potential. The key to the development of these areas is multiple,
non-intensive, non-agriculturally based uses (such as a combination of forestry,
tourism, and public education programs, or the non-intensive exploitation of
indigenous species). However, basic data on the identification and sustainable uses
of such zones are lacking.


SYNTHESIS OF INFORMATION ON THEMES
FROM WORKSHOP PAPERS


The Effects of Technology: Experiences with Degradation Control Practices and
Projects

Considerable discussion at the workshop concerned experiences with
degradation-control practices. This experience had been gained through research and
project implementation. Chief among practices were the building of rock walls,











living barriers, terraces of various types, and contour and infiltration ditches;
mulching and the use of crop residues; and various combinations of these, especially
the use of terraces in combination with other efforts. The effects of these practices
were analyzed.

Degradation-control technologies, principally terracing, were shown to increase
crop yields, increase the value of output, and stimulate changes in the mix of crops
produced. As a result of the technologies, production intensified. More labor, more
capital, and more purchased inputs -- tools, fertilizer, seeds, pesticides -- were used.
Applications of the technologies also facilitated the increased use of irrigation. The
greater demand for labor -- both in construction and in intensified production of
crops and livestock -- provided local employment and reduced seasonal pressure to
migrate in search of daily wage employment outside project areas. However, several
participants reported that effective technologies could not be applied on small,
individual land areas, usually because of social problems.

Run-off and sediment movement, and the associated losses of plant nutrients,
topsoil, organic matter, soil moisture, and applied inputs, were greatly reduced or
eliminated in all reported experiences. At the same time, the surface areas of
treated fields changed. Terraces, contour ditches, barriers, and the like reduced the
area available for crop production by converting part of the field to conservation
use. Gully control, the removal of surface stones, and the construction of rock walls
increased the field area available for production of primary crops. Even when
surface area decreased, the increases in yields -- especially when low-intensity
production had been the norm -- usually led to significantly greater total output
from the same field. When surface area increased, either labor was hired or less
productive and more degradable fields were abandoned. Whether field surface area
increased or decreased, a typical net result was significant increases in yields per
hectare and volumes produced, from either the same or a reduced cultivated area.

Cost-benefit analysis was used by several authors to demonstrate the economic
viability of the practices. The effects summarized were from highland areas in
Venezuela, Ecuador, Peru, Bolivia, and Chile, in projects and experiments that began
as early as 1970, on diverse slopes, soils, precipitation regimes, and elevations, and
including 20 or more crops.


Livestock above 3,500 Meters

The economic exploitation of natural resources at high altitudes is associated
with serious potential degradation. Livestock are important in the income and
economy of high Andean areas. They provide an alternative to crop production in
zones that are marginal for intensive agriculture.

Overgrazing seriously affects the growth and regeneration of both native and
exotic high-altitude pasture species. Because different species recover at different
rates, overgrazing also changes the mix of species present. The productive decline
of Andean pdramos has been accelerated by the introduction of cattle, sheep, and
horses, all exotic to the Andes, and by a steady increase in the human population
living in and economically dependent on these areas. Overgrazing and other
intensive uses of very high areas are associated with the rapid deterioration of the
structure and mechanical properties of the soil, its water-retention capacities, losses











of nutrients, accelerated run-off, and transport of sediment. These effects combine
to reduce greatly the production of dry matter per hectare, thereby reducing
potential livestock yields.


Institutions

Institutional factors were regarded as chief contributors to degradation.
External institutions -- the public sector, nongovernmental organizations (NGOs), and
donors -- are based outside communities. Local institutions are based in the hillside
agricultural communities. Institutional arrangements have rarely facilitated
sustainable land use. They are often chief contributors to degradation of the land.

Significant findings associated with the performance of extracommunity
institutions in the development of steep, problem-prone areas include all of the
following:

There is a proliferation of institutions involved in management of resources,
with a consequent dilution of authority among the many involved.

There is no sharp focus on sustainable land use or on the testing and
dissemination of solutions to the problem of sustained use.

Institutions act at cross purposes, in that the activities and policies of some
institutions and some associated legislation stimulate and foment land
degradation, erosion, and deforestation, even while other institutions and
laws act at the same time and in the same place to control these problems.

Institutions are often underfunded.

Long-term continuity of programs, policies, staff, financing, and attention
has normally been absent in these institutions. Institutional will has often
proved short-lived.

Such organizations are inflexible and slow to adapt or change their
approaches as project experience accumulates.

Monetary incentives, short courses, field days, and similar extension
programs are directed at men, not at the women, children, and older persons
who implement recommended practices.

To achieve long-term sustainable use of fragile hillside areas, all of the following are
essential: long periods, sustained funding, sustained political will, continuity in
policy and personnel, and a focus on the actual users of the land.


Campesino Perceptions

For conservation practices to be accepted and widely adopted, the negative
productivity effects of land degradation must be perceived as important to the
welfare of campesinos. That perception and the effects of conservation practices on
control of degradation, on enhancement of productivity, and subsequently on income







xii



and welfare, must be understood. According to d'Achille:

Social aspects are among the principal factors to take into account. . .
The campesino must realize, in the most rapid and graphic way possible,
that soil conservation results in a direct benefit to him, that is, in
increased production (Volume II).

Although terraces and other conservation technologies are ancient in the Andes,
many writers cite project experience to show that the relation between control of
degradation and enhancement of productivity is not widely perceived, that the effects
on productivity of some degradation-control practices are not widely perceived, and
that even when such perceptions are present, the pressure to increase output by
intensifying land use outweighs concerns over erosion and degradation.

Espinosa and Maldonado state that campesinos clearly understand that terraces,
contours, diversion and drainage ditches, and the like take land out of production
because they reduce the cultivable surface area of a field. Campesinos expect
enhanced productivity on improved areas to more than compensate for production lost
on areas diverted to the uses of conservation. Because of campesinos' misgivings on
this point,

The idea of providing solely technical assistance to control erosion was
not accepted in any project area or subarea (Volume II).

Stadel studied the perception of environmental and socioeconomic stress by
campesinos in the central Ecuadorian sierra explicitly.

Climate was most often mentioned as a problem. Other important problems
included the unavailability or high cost of transportation; the scarcity of land, labor,
and fuelwood; the deficiency or absence of rural infrastructure, such as potable
water, health centers, schools, roads, and sewers; and the high cost, inaccessibility,
or scarcity of credit, production inputs, and technical assistance. Erosion, although
a real problem, was not so perceived.


Strategic Planning

How can scarce government or development assistance funds for development
and management of natural resources be channeled to attain the greatest result?

Several authors deal with approaches to planning, design, and execution of
programs in the absence of data and institutional memory. These approaches rely on,
first, estimation of the missing data; second, use of the estimated data to target
areas, such as rapidly eroding subwatersheds, that contribute disproportionately to
degradation; and third, the designing of intervention activities that are flexible and
adaptable as the project gains experience.

SUSS practitioners concluded that strategic planning and the delivery of
interventions must rely on social and institutional lessons from past project activity.
Among these lessons are that meaningful local participation should be practiced, right
from the design stage, and that implementation should rely on the use of traditional
local institutions.

















xiii




Approaches in the use of local participation and local institutions have been
varied. They are necessarily tailored to specific areas in which sustainable practices
are advocated. In Peru, municipal conservation committees, composed of prestigious
local persons -- teachers, municipal officials, and leading farmers -- advocated
conservation practices. Leading farmers established demonstration plots on their own
farms and informed interested neighbors about what they were doing. Mothers' clubs
and the traditional minga system of labor exchange were also used. In Ecuador,
community-based land-use planning was used to increase the productivity of
commonly held pdramos pastures. In Ecuador and Honduras, indigenous workers were
recruited from within communities as extension paratechnicians and were trained, and
subsequently returned to live and work in their communities.


Incentives

A conflict between perceived benefits, or advantages, and perceived costs, or
disadvantages, has led to the use of incentives in the implementation of most
resource-oriented projects (Williams et al.; Comerma; Espinosa and Maldonaldo; Cruz;
Rivas -- Volume II).

No clear conclusions emerge from the discussion of incentives in past projects.
Incentives may stimulate the adoption of practices, greatly facilitate the extension
program, and make the high, front-end costs of mechanical practices easier to bear.
At the same time, they may become addictive or politicized, may promote
paternalism, and may cause the farmer's focus to shift to the incentive and away
from the goals of enhanced productivity and income. While there is a substantial
body of evidence to support the conclusion that conservation techniques do benefit
poor hillside farmers in the short run, and there is evidence to suggest that
campesinos are willing to bear significant costs to achieve sustainable land use, few
if any past natural resource management projects have been able to function without
the use of some form of incentives.









CHAPTER ONE


INTRODUCTION



"Sustainable Uses for Steep Slopes" sussS), a workshop for applied development
practitioners, was held in Quito and Salcedo, Ecuador, during the week of September
12-19, 1987. It was sponsored by the U.S. Agency for International Development --
the Science and Technology and the Latin America Bureaus, in Washington, and
USAID/Ecuador -- and organized by the Science Foundation of Ecuador, the
Ecuadorian Soil Science Society, and the Development Strategies for Fragile Lands
(DESFIL) Project.1

The workshop had two general purposes:

To report implementation and applied research experience on the development
and the intensified but sustainable uses of fragile, steeply sloped areas; and

To draw conclusions and lessons learned from past experience for the design
and management of future development on fragile steeply sloped areas.

A third purpose, particular to USAID/Ecuador, was to develop a body of social,
cultural, economic, technical, and scientific information that would be useful and
pertinent to Ecuador, in the event that a natural resources management project
becomes part of future Mission programs.

Presentations were made by persons and institutions that had attempted project
implementation or concluded applied research projects based on steep slopes, could
document what happened, and who drew lessons learned, policy implications, and
recommendations for the design and management of future projects from these
experiences.

Presentations focused on past project or applied research experience in land
capability use analysis, watershed management, sustainable irrigation techniques for
sloped areas, forestation, soil management for sustained productivity on sloped areas,
soil conservation, measuring the costs of degradation, downstream and off-site effects
of degradation, sustainable livestock and pasture production at altitudes higher than
3,000 meters, social and institutional barriers to sustained uses, competing interests
in land use, effects of alternative land use practices on yield and productivity, and
similar topics.

Analyses of institutional factors that affect project implementation, experience
with the sustainability of technologies applied in project implementation, the need for
incentives in the adoption of resource-conserving land use, experience with local
participation, methods to increase the general understanding and awareness of the
sustained-productivity problem and, in general, the link between sustainable use of


1 The DESFIL project is managed by Development Alternatives, Inc., in
association with Tropical Research and Development, Inc., the Earth Satellite
Corporation, and Social Consultants, Inc.

















resources and normal development goals -- such as greater crop and livestock yields
and increased rural incomes -- were expected to dominate the workshop, and they
did.

A copy of the workshop program follows in Annex I-1.

Persons who attended the conference, participated in the working groups,
presented papers, and facilitated the two field trips represented an impressive cross-
section of countries, institutions, technical disciplines, and past applied research and
project implementation experience on steeply sloped and fragile areas. As shown in
Table II-1 and Annex 1-2, workshop attendees represented some 17 professions and
had applied experience in 12 Western Hemisphere countries. Agronomy, soils,
watershed management, agricultural economics, geography, forestry, and biology-
ecology were the predominant professions represented, while 24 of the 28 papers
were based on work done in the Andean countries of Chile, Bolivia, Peru, Ecuador,
and Venezuela. Public or private sector institutions, universities and international
research centers, and USAID were represented by 10 or more persons each. Their
experience in applied research or implementation covered the full range of activity
that is encountered in the development of steep, problem-prone areas.

The DESFIL mandate is to develop a body of knowledge and experience around
five specific themes: awareness of the nature, magnitude, effects, and implications of
the fragile-lands problem in Latin American countries; strategies for dealing with this
problem; appropriate institutional arrangements; the incentives needed, if any, and
their effects and implications; and appropriate technologies. Five plenary sessions,
each followed by a 90-minute discussion in each of three working groups, were
organized loosely around five somewhat different themes: relations among
sustainability, :'ragility, and development; social and institutional factors in
sustainable development; sustainable management of watersheds, water, and irrigation;
case studies in development using sustainable applied technologies; and the
sustainable development of livestock, pastures, and forests at elevations higher than
3,000 meters.

The Proceedings are presented in two volumes. Volume I contains the 31 papers
from the workshop. In Volume II the recommendations from the three working
groups are presea'ed, with each recommendation set in the context of the problem it
addresses. Volume II also contains a discussion of themes, practices, and experiences
culled from the 3L workshop papers presented. Working group recommendations and
paper discussions are organized around the five DESFIL themes and the five
workshop plenary session themes cited in the preceding paragraph. A summary will
be found at the end of Volume II.








































ANNEXES


ANNEX I-1:


ANNEX 1-2:


PROGRAM FOR SUSTAINABLE USES FOR STEEP SLOPES
WORKSHOP

PERSONS, COUNTRIES, TECHNICAL DISCIPLINES,
INSTITUTIONS, AND PAST PROJECT EXPERIENCES
OF ATTENDEES









ANNEX I-1

WORKSHOP PROGRAM


Program


Domingo, Septiembre 13, 1987: Hotel Quito, Quito

14:00 18:00 hs Registraci6n, y Entrega de Materiales

18:30 19:30 hs Recepci6n

19.30 hs Banquete y Bienvenida al Taller


Lunes, Septiembre 14, 1987: Hosteria Rumipamba, Saicedo

08:00 hs Salida del Hotel Quito, por bus, y viaje
a Salcedo.
Escala intermedia: Centro Agricola
Santa Rosa
Locutor Jose Espinosa, MOA, Ecuador

12:00 ha Asignaci6n de los participants a los
grupos de trabajo.

12:30 14:00 hs Almuerzo

14:00 hs Sesi6a Plenari: Relaciones Entre La
Sustentabilidad, La Fragilidad, y el
Desarrollo.
14:00 14:30 hs Variables Determinantes en la
Identificaci6n de Areas Criticas en
Tierras de Ladern. Jorje Faustino,
CATIE, Turrialba, Costa Rica

14:30 15:00 hs Estimaciones de la Erosi6n Anual en la
Cuenca del Rio Ambato, Ecuador. Carol
Harden, Facultad de Geografia,
Universidad de Tennessee, Knoxville,
USA

15:00 15:30 hs Erosi6n y Sedimentaci6n en el Manejo
de Cuencas, la Conservacion de Suelos,
y la Detenci6n de Derumbes en el Peru.
Carlos LLerena, UNA, La Molina, Per*

15:30 16:00 hs Los Beneficios Fuera de la Finca de la
Conservaci6n de Suelos en la Cuenca
del Rio Nizao, Republica Dominicana.
Alberto Veloz, Asociaci6n de Bancos de
Desarrollo, Santo Domingo, Reptblica
Dominicana

16:00 16:20 hs T6

16:20 16:50 ha Aplicaeiones Recientes de la Tecnolog1l
de Sensores Remotos a Programas para
Tierras Frigiles. William Brooner y
James Durana, EARTHSAT Corporation,
Bethesda, Maryland


Martes, Septlembre 15, 1987: Hosteria Rumipamba, Salcedo

Dia de Campo: Visitas a proyectos de desarrollo, donde se
aplican t6cnicas sustentables en la producci6n de las
cosechas anuales y permanentes, las pastizales, y la
ganaderia sobre tierras alas en ladera (El almuerzo se
brinda en el local de uno de los proyectos)

Locutores:
Alfredo Cruz: CARE
Pedro Carillo: INERI Banco Mundial, Proyecto de
Desarrollo Integrado Tungurahua


Miercoles, Septlembre 16, 1987: Hosteria Rumipamba,
Salcedo

08:00 hs Sesl6r Flejaria: Factores Sociales e
Institrcionales en el Desarrollo
Sustentable

08:00 08:30 hs Percepciones Socio-Econ6micas y
Medio-Ambientales de los Campesinos de
la Sierra Ecuatoriana. Christoph Stadel,
Universidad de Brandon, Manitoba,
Canada

08:30 09:00 hs Conflictos de Uso de las Tierras el la
Cuenca Altn del Rio Pastaza. Wilson
Vivero, MAG, Quito, Ecuador

09:00 09.30 hs El Rol Institucional en el Uso del Suelo
en el None y Centro de la Sierra
Ecuatoriana. Luis Mejia, MAG -
PRONAREG, Quito, Ecuador

09.30 10:00 hs La Erosi6n en la Sierra Peruana y el
Sistema de Extensi6n del Programa
National de Conservaci6n de Suelos y
Aguas. Barbara de Achille, Diario El
Comercio, Lima, Peru

10:00 10:15 hs Caft

10:15 10:45 hs Participaci6n de la Mujer en el Manejo
de Recursos Naturales y Tecnologia
Agropecuaria. Yara Carafa, Fondo de
Desarrollo de las Naciones Unidas para
Ia Mujer [UNIFEM], La Paz, Bolivia

10.45 12:15 hs Grupos de Trabajo

12:30 14:00 hs Almuerzo

14-00 hs Sesl6a Pleaarla: Tecnologias Aptas y no
Aptas en la Explotacifn Humana de
Laderasm Experiencias

14.00 hs Parte 1. Manejo Sustentable de Aguas,
Riegos, y Cuencas


16:50 18:30 hs Grupos de Trabajo


14:00 14:30 hs


20-00 hs Cena


14:30 15:00 hs


Contradicci6n de Una Colonizaci6n
Dirigida en Tierras Frigiles del Alto
Beni de La Paz. Juan Carlos Quiroga,
CUMAT, La Paz, Bolivia

Manejo de Cuencas: Una Opci6n de
Desarrollo. Eduardo Figueroa, Instituto
National de Electrificaci6n, Unidad de
Manejo de Cuencas, Quito, Ecuador






6

ANNEX I-1 (Continued)


15:00 15:30 hs Aspectos de Conservaci6n de la Acequia
del Pueblo de Pimampiro, Ecuador.
Patricia Mothes, Instituto Geofisico,
Escuela Polyt6cnica Nacional, Quito,
Ecuador

15:30 16:00 hs Manejo de Aguas de Riego y ProducciOn
Agricola en las Tierras Alta Peruanas.
Carlos Nonone, Plan Meris y Proyecto
II Sintesis del Manejo de Aguas, Peru


16:00 16:30 hs


T6cnicas Econ6micas para la
Conservaci6n y Gesti6n del Agua en
Am6rica Latina. Carlos Fernindez,
Institute de Hidriulica a Hidrologia,
Universidad Mayor de San Andres, La
Paz, Bolivia


16:30 16:45 hs T6

16:45 18:15 hs Grupos de Trabajo

20.00 hs Cena


Jueves, Septlembre 17, 1987: Hosteria Rumimpamba,
Salcedo

07:45 hs Sesi6n Pleaaria: Tecnologias
[continuaci6n]

07:45 hs Partt 2. Estudios de Caso [continuaci6n]

07:45 08:10 hs Exitos y Fallas en la Conservacin de
Suelos en el Ecuador. Josa Espinosa y
Fausto Maldonado, INIAP y USAID,
Quito, Ecuador

08:10 08:35 hs La Conservaci6n de Suelos en Areas
Hortic61as de Una Cuenca Alta de la
Regi6n Central de Venezuela. Napole6n
Fernandez, Facultad de Agronomia,
Universidad Central de Venezuela,
Maracay


10:30 10:55 hs Experiencias de la Fundaci6n Natura en
el Proyecto de Reforestaci6a de
Tumbahua. Ruth Elena Ruiz, Fundaci6n
Natural, Quito, Ecuador


10:55 -

12:30 -


12:25 hs Grupos de

14:00 hs Almuerzo

14*00 hs Sesl6b Pie
[continuac


Trabajo


maria: Tecnologias
i6n]


14:00 hs Parte 3. Ganaderia, Pastizales, Bosques,
y Manejo Sustentable Sobre 3000 msnm

14:00 14:30 hs Avances de la Conservaci6n de Suelos y
Aguas en el Pert, y Las Practicas
Conservacionistas an Zonas de Pastos
Altoandinos. Francisco Espinoza, USAID,
Lima, Peru

14:30 15-00 hs Manejo de Alpacas en Cajas, Ecuador.
Stuart White, Cuencas, Ecuador

15*00 15:30 hs Usos Sostenidos para Tierras en Altura.
Jorje Machicado, Propietario del
Criadero de Ovinos 'Comanche' y
President, Camara Nacional
Agropecuaria, La Paz, Bolivia.

15:30 16:00 hs Usos Alternativos de los Piramos
Ecuatorianos: Los Casos de Cotopaxi,
Sincholagua, y Antisana. Juan Black,
Fundaci6n Charles Darwin, Quito,
Ecuador

16:00 16:30 hs Programas y Proyectos Forestales
Ejecutados en el Pasado y an la
Actualidad, con Posibles Soluciones en
el Manejo y Uso Racional de Estos
Recursos en el Futuro. Delfin Goitia,
FORAGRO, Cociabamnba, Bolivia.

16:30 hs T6


08:35 09:00 hs


Erosion en las Altas Tierras del
Ecuador, y Conservacifn con M6todos
Sencillos: Una Esperanza Para el
Future. G. Trujillo DNA ORSTOM,
MAG, Quito


16:45 17:15 hs


Manejo de Los Ecosistemas
Agropecuarios Andinos en Los Andes
del Peru. Mario E. Tapia, INIPA, Lima


17:15 18:30 hs Grupos de Trabajo


09:00 09:25 hs La Ejecuci6n del Proyecto Manejo de
Recursos Naturales en Honduras. Carlos
Rivas, Ministerio de Recursos Naturales,
Tegucigalpa

09-25 09:40 hs Caf6

09:40 10:05 hs Conservaci6n de Suelos en el
Munifundio Ecuatoriano. Alfredo Cruz y
John Mosher, CARE, Quito

10:05 10:30 hs La Cero Labranza en Siembras de Trigo
y Su Influencia en el Medio Edifico en
Suelos Erosionados de la Cordillera de
La Costa de Chile Central. Carlos
Croveto, Agricultor y Presidente,
Sociedad de Conservaci6n de Suelos de
Chile, Concepci6n


20:00 hs Cena


Viernes, Septiembre 18, 1987: Hosteria Rumimpamba,
Salcedo

08:00 09:30 hs Grupos de Trabajo: Formular y finalizar
las recomendaciones

09:30 10:00 hs Caf

10:00 11:45 hs Sesi6a Plenaria: Presentaci6n de las
recomendaciones de los grupos de
trabajo

11:45 12:00 hs Clausura

12:30 14:00 hs Almuerzo

14:30 hs Salida a Quito


a a








PERSONS, COUNTRIES,


ANNEX 1-2

TEIWICL DISCIPLIS, INSTITU IONS, NOl PAST PROJECT E)MERIENCES OF ATTEIMEES


Person

1. C. Stadel

2. B. Brooner



3. M. Hanrahan

4. J. Dickinson

5. C. Harden

6. C. Rivas

7. D. Southgate



8. N. Sands

9. R. Castro

10. C. Hunter

11. R. Nowbray

12. S. PLunkett



13. Juan Black


Ecuador


Biology


Countrya

Canada [Ecuador]

USA [Bolivia,
Jamaica]

USA

USA

USA [Ecuador]

Honduras

USA [Ecuador; D.R.]



USA

USA

USA

USA [Jamaica]

USA


a Country of project or applied research experience.
b Institution that sponsored the project or research.
cf This person worked for a centrally funded USAID project.


Discipline

Geography

Geography



A. Economics

Geography

Geography

HMS

A. Economics



Agronomy

A. Economics

Forestry

Forestry

Anthropology


Institutionb

University [EEC]

Private [USAID]



Private [SCA]

Private

University [UN]

Public [USAID]

University
[Fulbright]

Private [Rodale]

SAID

SAID

SAID

SAID



Private [Darwin
Foundation]


Past Project

Campesino perceptions of environmental stress

Remote sensing; Land use, potential



Economic value of soil, run-off, sediment [cf]

Environmental profiles; land use; coastal zones [cf]

Rates of soil loss; R-factor

Natural resources management--watersheds

Institutional factors in natural resources development;
off-site erosion effects

Low-intensity, Low-input agriculture

Farming systems [cf]

Forest sector support[cf]

Hillside agriculture [cf]

Development strategies for fragile Lands; water management
[cf]


Multiple use development on very high areas







ANNEX 1-2 (Continued)


Person

14. J. Nosher

15. W. Vivero

16. G. Trujitto

17. E. Figueroa

18. L. Nejia

19. P. Notes


20. S.

21. J.

22. R.


White

Espinosa

Alarcon


23. n. Viemot

24. P. Carilto

25. A. Cruz

26. F. Maldonado

27. B. Kernan

28. F. Ortiz



29. Y. Carafa

30. D. Goitia


Discipline n


Countrya

USA [Ecuador]

Ecuador

Ecuador

Ecuador

Ecuador

USA [Ecuador]



Ecuador

Ecuador

Ecuador



France [Ecuador]

Ecuador

Educator

Ecuador

USA [Ecuador]

Ecuador
[Costa Rica]

Bolivia

Bolivia


Agronomy

Soils

WMS-Engineering

Soils

Geography



Livestock

Soils

Biology



Agronomy

Agronomy

Ecuador

Soils

Forestry

Biology



Sociology

Forestry


Institutionb

Private [CARE]

Public [EEC]

Public [EEC]

Public [IDB]

Public [EEC]

University
[Esc. Poly.]

Private

Public [INIAP]

Private
[Fund. Natural]

Public [EEC]

Public [FAO]

Public [CARE]

Public [USAID]

SAID

IRC [CATIE]



Public [UNIFEM]

University


Past Project

Soil conservation on steep Ecuadorian minifundia

Land-use conflict in watershed management

Soil conservation

Watershed management--hydro project management

Institutional conflict in watershed management

On-farm water management



Alpaca rearing

Soil conservation on high minifundia

Reforestation, tourism, multiple use in national parks in
fragile areas

Soil conservation

Soil conservation on steep minifundia

Soil conservation on steep minifundia

Steep lands, coastal zones, soil conservation [CF]

Agroforestry on hunid lowlands

Watershed management



Women in development

Forestry and reforestation






ANNEX I-2 (Continued)


Person

31. J. Quiroga

32. C. Fernandez-J.

33. J. Machicado



34. D. Hess

35. N. Fernindez



36. J. Comerma

37. B. d'Achille



38. C. Llerena



39. C. Nonone



40. R. Waldron

41. H. Clark



42. F. Espinoza



43. C. Crovetto



44. J. Faustino

45. A. VeLoz


Country

Bolivia

Bolivia

Bolivia



USA [Bolivia]

Venezuela



Venezuela

Peru--



Peru



Peru



USA [Peru]

SAID
[Andean region]

Peru



Chile



Costa Rica [CATIE]

Dominican Republic


Discipline

Geography

Hydrology

Livestock



Anthropology

4MS



Soils

Journalism



WHS--Forestry



Agronomy



A. Economics

Biology



Accountant



Farmer



W4S

A. Economics


Institution

Private

University [UNESCO]

Private



SAID

University



Public

Private [Newspaper]



University



Public [INAF-WMS II]



SAID

SAID



SAID



[Chilean SCS]



IRC [CATIE]

Private [USAID]


Past Project

Colonization directed by land-use planning

Low-cost techniques for water conservation and management

Native pasture management for sheep, alpaca, and cattle
above 4,000 meters above sea level

Sustainable development for high valleys

Soil conservation on steeply sloped, high-intensity
vegetable production areas

Productivity effects of soil-conservation practices [cf]

Soil erosion and the extension services of the National
Soil and Water Conservation Service

Erosion-arresting potential of traditional highland and
piedmont conservation practices

Productivity effects of soil- and water-management
practices in the Peruvian highlands [cf]

Development of very humid piedmont lowlands

Environmental impacts of development projects



Soil conservation; productivity effects of practices
(terracing); pastures in very high zones

Land reclamation, zero tillage, productivity effects of
practices

Methodology for the targeting of high-erosion hazard areas

Off-site effects of degradation (dam siltation from
unprotected watershed)















ANNEX I-2 (Continued)


Country

Dominican RepubLic



Dominican Republic



Guatemala



Honduras

Ecuador

Honduras

Ecuador



Ecuador


Discipline

Agronomy



Agronomy



Agronomy






Agronomist

Soils

Agronomy



Agronomy


Institution


Private [USAID-
MARENA]

Private VUSAID-
MARENA]

SAID



SAID

Public [I.G.M.]

Public [USAID]

Public [Peace Corps]



IRC [CATIE]


Past Project

Natural resources management



Natural resources management



Highland agricultural development: soil conservation,
small-scale irrigation, terraces

Hillside agriculture--natural resources management

Land-use capability mapping

Natural resources management--watersheds

Agriculture, livestock, forestry, and resources programs
for PC/E

Rural Development Adninistration


Person

46. C.



47. R.



48. M.



49. P.

50. A.

51. L.

52. T.



53. J.


Boni l La



Baez



Aragon



Hearne

Gonza z

Alvarez

Guerrero



Soria











CHAPTER TWO

SYNTHESIS AND MAJOR FINDINGS
FROM THE WORKING GROUP DISCUSSIONS



Five discussion periods of 90 minutes each were built into the workshop
program. Participants were divided into three working groups. The groups included
one or two presenters from each of the five plenary sessions, and USAID participants
were divided evenly among the three groups. The intent was to secure, in each
group, a mix of professions, country experiences, and types of past project
experience. Composition of the working groups is shown in Table II-1.

Noteworthy in the groups was the preponderance of technical agriculturalists
and scientists: Among the 52 members of working groups were 19 agronomists, soils
scientists, or hydrologists; 5 watershed managers; 5 agricultural economists; 5
geographers; 4 foresters; and 5 biologist-ecologists. Other members included
practicing farmers and pastoralists. The experience in applied research or project
implementation experience covered most interventions that have been tried on steep,
easily degradable areas, where erosion hazards are high, and included activity in 12
Western Hemisphere countries.

A working group was held after every plenary session. The general mandate
was to focus on the theme and the papers of the preceding session: What could be
learned from the experiences described? What were the main problems illustrated?
What contributed to any successes or failures? What recommendations could be made
for the future design and management of development activity on steep, fragile
areas?

The working groups emphasized sociocultural themes and community
participation. Those present, most of whom were not social scientists, were
overwhelmingly of the opinion that effective technical measures for control of
degradation, such as terraces, windbreaks, living barriers, diversion or infiltration
ditches, mulching techniques, crop rotation, cross-slope farming, and so on, proved
under conditions on the farm, existed. Considerable support for this view is found
in the papers (see, for example, N. Fernandez; Espinosa and Maldonado; Comerma;
Croveto; Espinoza; Fernanadez-Jauregui). Farmers, however, and often personnel in
public-sector institutions and donor agencies, were unaware that degradation was a
problem, did not immediately perceive or pay for its effects, and were therefore
reluctant to apply or continue to apply the efficacious, available control measures.
Working group recommendations are found in Table 11-2.


SOCIOCULTURAL THEMES


The sociocultural deficiencies in development projects and programs for fragile
areas, as signaled by the three working groups, can be summarized as follows:
development efforts have failed to encourage local participation and have failed to
use the talent, leadership, and traditions that are available in both native
communities and the national-regional community of technicians. In addition,





TABLE II-1


COMPOSITION OF THE WORKING GROUPS


Countries Where
P0 #c UA I #.-A


Geography; Water
management synthesis, 2;
Agricultural economics, 2;
Anthropology, 3;
Agronomy, 6;
Biology, 2; other, 5.


Geography, 2;
Agricultural economics, 2;
Forestry;
Biology;
Agronomy, 4;
Water management
synthesis, 2; other, 3.


Agricultural economics;
Forestry, 3;
Agronomy, 9;
Geography, 2;
Biology;
Water management
synthesis; other, 1.


Ecuador, 8; Honduras, 2;
USA, 2; Bolivia,
Peru, Venezuela; Chile;
Costa Rice, 2; D.R., 2.


Bolivia; Jamaica, 2;
Ecuador, 4; D.R. 2;
Venezuela; Peru, 4;
Guatemala


USA, 3; Ecuador, 9; Bolivia, 3;
Venezuela; Peru; Honduras;


Natural resources management (watersheds) 5; farming systems;
development of fragile areas and water management; Land-use
conflict; institutional conflict; soil conservation on
minifundia, 2; women in development; livestock, pasture on high
areas; development in high valleys; environmental effects of
development projects; land reclamation, productivity effects of
practices; valuation of off-site effects; land-use capability;
rural development administration.


Remote Sensing; Land-use potential, 2; hillside agriculture, 3;
rates of soil loss; valuation of off-site effects, 2;
community soil conservation/upon steep slopes, 5; land-use
conflict, 2; hydro-project management; institutional conflict;
productivity effects of soil- and water-management practices, 2;
development of piedmont lowlands; pasture, livestock on very
high areas; management of natural resources (watersheds); soil
conservation, 4;


Valuation of topsoil and sediment; low-input agriculture;
forestry-sector support; soil conservation, 5; campesino
perceptions; pasture, livestock on high areas; reforestation,
multiple-use areas, 2; land use planning, 3; coastal zones;
agroforestry in humid zones; productivity effects of soil-
conservation practices; watersheds.


* Agronomy includes soils and hydrology


Professions
DanRant*


I. 20 persons


II. 15 persons


III. 18 persons


u I e n = roup epes ..-. -.. m .eo W )c


uNw b cA i C GII<


R l t E i t f






TABLE II-2


RECOMMENDATIONS OF WORKING GROUPS



Recommendation or Solution


Problem


1. Need for interdisciplinary approach to development; need to focus on
the full range of resources involved in conservation and sustainable
development.

a. Economic and social factors are commonly ignored in Land-use
planning.



b. Technicians tend to focus exclusively on their specialties, often
ignoring other relevant disciplines.

c. Water, trees, other vegetative cover are equal in importance to
soils in conservation and sustainable development.



2. Need for targeting, or focusing the development on areas where the
problem is greatest and the greatest effect on it can be made.


3. Regular failure to include the full range of effects in cost-benefit
analysis of a project or other project planning and management.


Group 1: Rural development should be integrated and be based principally
on needs and ideas expressed by the campesinos themselves.



Group 3: Land-use planning is a valuable planning and policy tool, but
it must incorporate local tradition and economic needs as well as
technical considerations of soils, slope, moisture, and so on.

Group 3: The approach to design and, especially, implementation should
be interdisciplinary and multidisciplinary.

Group 2: Water, trees, and vegetative cover should be given the same
importance as soils in conservation and sustainable development.



Group 3: Studies that indicate relative risk of erosion by micro areas
and basic field research that does the same aid in determining priorities
for targeting degradation-control activity and selecting geographic areas
for intervention.

Group 1: Methodologies to identify critical areas should be established,
and these areas should be weighted in development and conservation.

Group 3: Productivity and yield-loss effects and off-site costs from
uncontrolled degradation -- reservoir sedimentation, accelerated turbine
wear, loss of irrigable areas, flooding, highway damage, effects on
potable water, effects on fisheries, and so on -- must be recognized in
project planning and operation. These effects are paid for during
project operations, often at great cost to other state agencies,
throughout long periods.

Group 1: Any implemented activity for management of natural resources
should translate into a socioeconomic benefit for the farmers who
practice it. The full range of project or program effects should be
studied at watershed, farm, and parcel levels.









TABLE 11-2 -- CONTINUED


Problem

4. Failure to include Local participation, use Local talent, or provide
for postproject or program continuity.

a. In project design and execution, socioeconomic studies (field
research) are frequently not made, so the perceptions by
community beneficiaries of their problems and ways of solving
them are not taken into account.. Then, the project users --
members of the camunity -- do not identify with the purposes of
the project.


b. Likewise, outside agencies are nearly ignorant as to how to use
Local technicians and Leaders and traditions, institutions and
organizations of the local community in planning, execution, and
evaluation.


c. If design and management ignore local participation,
technologies, approaches, and solutions are imposed and are
regarded as imposed from outside the benefiting community.
Development measures are then not sustainable when the outside
intervention ceases -- that is, when the project ends.


Recommendation or Solution


Group 1 and Group 3: Local participation should be included in project
design, management, and evaluation. Technician and community criteria
must be taken into account from the beginning of the project. Allow
choices and alternatives to participants. Give greatest weight to needs
and ideas expressed by canpesinos, right from the design stage.

Group 2: Because campesinos often do not readily accept or identify with
conservation practices, they should, from the start, be included in the
design of conservation strategies, programs, and projects.

Group 1: Project planning and execution should be based on a diagnosis
of real needs, as expressed by the eventual beneficiaries of a project.

Group 3: Local leadership and tradition should be used in design and
management. Train outside technicians in how to work in traditional
communities.

Group 3 and Group 1: When community institutions, leaders, and
organizations are weak or lacking these should be fomented as a part of
development.

Group 2: Local leaders should be used in implementation and management
of a project

Group 1 and Group 3: Solutions must be derived from inside the
community; development measures must be understandable, manageable, and
sustainable by the community, without outside intervention, once the
project has ended. Withdrawal of outside intervention must be gradual,
so that the community has a breaking-in period to allow it to learn to
stand on its own.









TABLE 11-2 -- CONTINUED


Problem

d. Technicians from outside the region, who at times are less well
qualified and considerably less well aware of the full dimensions
of the problems they are called in to deal with, are sometimes
used.

e. Conservation and sustained development of resources, such as
reforestation, development of tourism, soil conservation, often
require more time than bilateral project agreements may permit.





5. Projects and development efforts are normally undertaken by women,
older men, and children, because these groups live more or less
permanently in the communities. But education, training, credit, and
incentive programs are directed at men, who sometimes leave the
communities for long periods. Training often takes place away from
the communities, where women -- who actually execute the program
activity -- are often unable to participate.

6. Project design ignores the full range of what village campesinos do:
agriculture, livestock, social obligations, and wage employment, often
off the farm and outside the community. This leads to unrealistic
programs, at times to the imposition of technologies inferior to
current or traditional practices.




7. The common failure to fully consider socioeconomic problems and
effects causes projects to fail, even though technical measures may
effectively control the degradation they are aimed at. Failure to
stimulate economic progress in communities, along with degradation
control, constitutes failure to effectively attack degradation.


Recommendation or Solution

Group 2: Technical assistance programs should contract with technicians
who best fulfill the technical requirements of the work -- design,
implementation, management, evaluation -- to be done, irrespective of
their nationalities [unanimous recommendation].

Group 2: Think programs, not projects, and design sustainable programs
that are able to continue after bilateral assistance has ceased.

Group 3 and Group 1: Nongovernment agencies should receive more emphasis
in program implementation, as this better facilitates program continuity
and better avoids political influences.

Group 3: Development programs should be directed toward those who
actually execute them -- women, older persons, and children -- and effect
training in the communities. Work with women. Use female extension
agents, paratechnicians, and technicians. Promote active participation
by the entire family unit in development programs.




Group 3: The ideas of campesinos about the project or development
activities to be done should be considered at design and management
stages. A project should be monitored and evaluated during
implementation. Practices should be tested at field Level before they
are imposed on communities. Intervention effects should be analyzed,
fully and collaterally from the campesinos' point of view. Monitoring of
intervention efforts and program progress should be continuous.

Group 2: There should be a major focus equal to or greater than the
technical focus on socioeconomic aspects of project implementation, of
control and abatement measures, and of collateral social effects.
Technicians should be trained in social aspects and ways of working in
communities, with campesinos. Credit, training, extension, road
improvement, and marketing should be included in degradation control
projects.






TABLE II-2 -- CONTINUED


Recommendation or Solution

Group 1: The inadequate use of fragile areas is determined by a
disjointed, poorly integrated community economy: A focus on the whole
range of community economic problems is also a focus on degradation of
resources.


8. Ignorance of and need for basic data.


a. The communication and diffusion of ideas, results of development
projects, and results of research projects is greatly lacking and
urgently needed. Mistaken ideas and failed past approaches are
repeated. Planning, execution, and evaluation are subjective and
based on appreciations, often short-term and short-sighted.





b. Communication among development practitioners and technicians in
the region is greatly lacking, especially multidisciplinary and
interdisciplinary research, among Andean scientists.


c. There is a great need to support regional and national research
institutions, universities, and their work on applied sustainable
development research.


Group 3: Professional meetings, journals, workshops, news Letters, and
other written means should be used to illustrate and report development
research and project results, particularly of national and (Andean)
regional scientists and development practitioners.

Group 2: The gathering, analysis, publication, and diffusion of basic
data and applied development research must be intensified. Relevant
thesis abstracts should be published.

Group 1: DESFIL should be charged with this function, the DESFIL
newsletter used for it.

Group 3: A regional, interdisciplinary newsletter, focused on applied
development research and signaling sources of additional information --
both persons and publications -- is needed.

Group 3: A regional Andean network of development scientists, with an
institutionalized communications network -- newsletter, journal, and
professional meetings -- should be established.

Group 3 and Group 2: Donors and national institutions must support
applied development research, based in national universities and regional
research institutions. Many subjects suggest themselves: native
pastures, trees, plants; development of high zones; multiple, sustainable
uses for fragile areas; yield cost and productivity effects of
conservation practices and soil conservation; production and market
potential of high-altitude camelids; indigenous botanical species of
potential use in soil conservation and energy generation; conservation
and profitable sustained management of fragile, very high areas.


Problem








TABLE 11-2 -- CONTINUED


Problem

9. While it is difficult to generalize, it is observed that incentives
frequently fail to achieve their aims but often engender undesirable
side effects.








10. Some steep and high areas are well suited to multiple, not-
agriculturally intense uses, (such as some combination of Livestock,
tourism, fishery, education, or recreation, e.g., on a volcano, or a
very high watershed). The development potentials of such areas are
overlooked. A lack of basic data and research on such areas and uses
is apparent.



11. The multitude of development institutions working in the same place,
on the same problem, at the same time, managing similar activities.


12. The most adequate geographic unit for water, forestry, or soils
projects is the watershed, but this is often not the unit on which
projects are based; they are based rather on political units, such as
municipalities or provinces.

13. A general lack of public awareness and perception of the cost and
productivity effects of degradation and the consequences of the loss
of biological diversity.


Recommendation or Solution

Group 3: Each case must be considered individually, but the use of
monetary and material incentives, such as payment for works constructed
or food for work, is suspect. These contrast with prizes, diplomas, and
similar nonmonetary incentives -- recognition, training -- that are
useful, nondestructive, and helpful in the implementation of degradation-
control programs. Monetary and material incentives usually defeat the
programs they are designed to aid, because they become political and lead
users to refuse the control practice unless payment is made.

Group 3: Multiple uses should be considered, and applied analysis of
multiple uses of this type of "special" area should be supported.
Multiple, sustainable uses for very high or fragile areas, such as
livestock, forestry, and tourism, should be studied.

Group 2: More research on camelids is needed.



Group 3, Group 2, and Group 1: Where projects are to be implemented,
prior diagnosis -- at community and municipal levels -- should be made of
what agency is working on what project, where, and when. An effort
should be made, in good faith, by donor and national agencies to work
together, coordinate, and cooperate. Consultations should be held in and
with the community to diagnose the most effective approaches, methods,
and technologies. The work of various development agencies should be
coordinated.

Group 3 and Group 2: For technical reasons, watersheds should be the
geographic unit on which many kinds of resource development projects are
defined, at least from a technical point of view and until a superior
geographic focus is discovered.

Group 3: Public education programs at all Levels should include an
environmental curriculum, whose objective is to raise public and
political awareness of the importance of sustainable management of
resources.











projects usually cover relatively short time spans, and so do not provide for the
postproject sustainability of degradation-control programs (see recommendations 4, 5,
6, and 7, Table 11-2). This is detailed below.


Need for Beneficiary Participation

When community leaders and program beneficiaries are not involved in the
design and execution of a project, perceptions and ideas from the community are
excluded from the design and management of the program, and users of the project
do not identify with the program's goals and methods. The problem is exacerbated
when, as is normally true, outside agencies do not know how to incorporate
community ideas, leaders, traditions, and beneficiaries in their planning and project
activity. The imposition of outside ideas and dependance on outside resources make
programs unsustainable, once the outside resources have been withdrawn -- that is,
when the project is at an end. In addition, development programs on easily
degradable areas usually last for much shorter periods than required to attack the
problems they attempt to solve efficiently, and they depend on expatriate technicians
who are often less well qualified, informed, or aware of problems and approaches
than available nationals and who leave with their acquired knowledge and experience
once external funding has ceased.


Recommendations

Local participation must be meaningful. Great weight should be placed on
the needs and ideas expressed by campesinos and their leaders, beginning
at the design stage. Participants should be offered choices. Local leaders
and community traditions should form the basis for intervention programs.
When community leaders and organizations are weak, they should be
developed as a part of the program. In addition, development technicians
-- both national and expatriate -- need training in working in traditional
communities.

Working groups unanimously recommended much greater reliance on
national and regional, or Andean, technicians. Technical assistance
programs should contract with technicians who best fulfill the technical
requirements of the work to be done, irrespective of their nationalities.
Finally, on the point of continuity of a program through the long periods
required for conservation of resources, development agencies are urged to
conceive and sponsor programs, not projects. Program activity should be
supported for long enough, and withdrawn gradually enough, to permit
continuation of sponsored activity after external development assistance
has ceased. Two groups recommended greater emphasis on nongovernment
agencies in program implementation as a means of achieving continuity and
longevity for programs.


Failure to Recognize What Farmers Do

The failure to involve beneficiaries right from the design stage leads to a
common failure to recognize the full range of what the beneficiaries do. For









example, agriculture, livestock, periodic off-farm and extracommunity wage labor, and
a complex set of social obligations -- funerals, weddings, saints' days, and so on --
are all important elements of community life that require significant amounts of time.
Yet assistance programs regularly concentrate on just one or two such activities.

The presumption that community resources are more readily available for the
activities promoted by the external development agency leads to unrealistic programs
and the imposition of unworkable technologies. These, in turn, cause programs to
fail and campesinos to lose confidence in external agencies.


Recommendations

Campesino ideas about programs and development activities to be sponsored
must be incorporated from the design stage onward. There must be full
analysis of the collateral and secondary effects -- as they are seen by the
beneficiaries -- of proposed programs, and recommended practices must be
tested in the field, particularly as they relate to monetary resources and
the available time of the beneficiaries. Programs should be regularly if
not continuously monitored and kept flexible and changeable through time.

There was a tendency among the three working groups to regard resource
degradation as a consequence of restricted economic opportunities and
poorly integrated economies at the village level. In this connection,
programs designed to stimulate economic progress in general -- programs
that incorporate such phases as marketing, transport, or credit, for
example -- were recommended as a means of attacking specific degradation
problems.


Programs Directed at Men

Seasonal migration and other part- or full-time, off-farm employment regularly
remove men from traditional communities, so normal work and much of the project
and development efforts sponsored by outside agencies are routinely done -- and
social obligations are fulfilled -- by the women and older and younger persons who
remain in the communities. Yet education, training, credit, extension, and other
programs for degradation control are directed at men, who are frequently absent
from the community. Similarly, programs such as training often take place outside
the community, where women are unable to attend because of their other daily
obligations.


Recommendations

Target development programs to the persons -- women, for the most part
-- who stay in the project area and actually do the work. Locate training
programs in the communities, where such persons are able to attend them.
Use a mix of male and female technicians and paratechnicians in
community extension work. Design programs to involve all members of the
family.









INTERDISCIPLINARY FOCUS REQUIRED


In the design and management of natural resources projects, the working groups
signaled a need for an interdisciplinary focus on the multiple phases and multiple
effects of the degradation problem. This is detailed in two parts (see
recommendations 1 and 3, Table 11-2).


Land-Use Planning Needs to Incorporate Social Factors

It was noted that conventional land-use planning ignores social and economic
factors. Water, trees, and vegetative cover often fail to receive the same weight as
soil conservation in natural resources programs. Yet they are equally important.
Finally, technicians too often focus narrowly on their own disciplines and so tend to
ignore the interactions between the natural and social variables that determine
degradation.


Recommendation

Natural resources degradation is determined by multiple interactions among
natural factors, such as slope, inherent soil strength, precipitation
patterns, and wind frequency and velocity, and social factors, such as
tillage practices, land-use type and intensity, and degradation control
practices. This means that effective programs require the integration of
several technical and social disciplines. Traditional land-use classification,
while valuable, must be augmented by incorporating social and economic
factors. The proper functions of trees and vegetative cover must be
recognized in sustainable soil and water use.


Need for Full-Cost Accounting

In several workshop papers, attention was called to the off-site and
intergenerational effects of erosion and land degradation. Through time, loss of land
productivity reduces yields. Augmented or differential amounts of sediment that are
the result of degrading, nonsustainable land use are associated with loss of fisheries,
faster turbine wear, augmented dredging of reservoirs, the poisoning of water
resources, increased dredging of stream channels, diminished command areas of
irrigation schemes, more frequent cleaning of roadside ditches, and other negative
off-site effects. Yet these effects are regularly ignored in project planning and
economic appraisal, and there is regularly no planning or provision for the mitigation
and abatement of them, such as by the incorporation of funds for watershed
conservation in the investment and recurrent cost budgets of a dam project.


Recommendations

Productivity and yield-loss effects and significant off-site costs, such as
those associated with the dredging and cleaning of sediment or with a loss
of fisheries from contamination by pesticides, must be recognized as













induced collateral effects of certain types of development activity. Such
costs and effects must be properly accounted for at the planning and
project-appraisal stages. Programs for the control and abatement of these
effects must be budgeted for and implemented at the same time that the
activities that provoke the effects are implemented. Development agencies
-- national and international -- must recognize that the dams, roadways,
technology transfer, colonization, and other programs they finance induce
degradation and its costly economic and social effects.


NEED TO TARGET PROGRAMS


Four workshop papers presented methodologies for or applications of the
targeting of control and abatement programs (Brooner; Faustino; Harden; Vivero).
These were discussed at length by the working groups, who regarded targeting
favorably (see recommendation 2, Table 11-2).

The coverage -- that is, the geographic focus -- of development programs is
often determined politically, so all parts of the program area, such as watersheds and
settlement zones, tend to be given equal emphasis. Yet there is much evidence from
research to show that relatively small subareas may contribute disproportionately
large portions of the problem, such as sediment (Figueroa found that 4 percent of
the Paute watershed delivered 12 percent of its reservoir's sediment).


Recommendations

Studies that divide project areas into higher and lower degradation risk
areas should be a part of project planning and management. Methodologies
that do so should be refined. Then problem areas must be targeted --
given greater emphasis in control and abatement programs. Targeting
offers the hope of controlling disproportionately large amounts of
degradation -- erosion, sedimentation, landslides, contamination of fisheries
-- by concentrating limited resources for abatement and control on
relatively small areas.


INFORMATION


Working groups signaled, in the strongest possible terms, the need for basic
information in project planning, management, monitoring, and evaluation. The
reluctance of national institutions and donor agencies to fund applied research was
denounced. There has been a nearly total lack of worthwhile monitoring and
evaluation of ongoing and past projects. When data have existed, applied research
has been done, or projects have been monitored, results have been neither analyzed
nor disseminated. As a result, mistaken approaches to development and past project
failures have been repeated again and again (see recommendation 8, Table 11-2).












Information Not Disseminated

Basic information is often lacking, and when it is available it is not
disseminated. Elementary data needed for planning, management, and evaluation are
not generated. Examples include the composition and amounts of run-off from areas
in alternative land uses; the amounts and rates of sediment deposition in streams,
impoundments, river channels, and deltas; the productivity effects of alternative land-
use practices; and many others. The need for such information is urgent, because
without it mistaken ideas are perpetuated and past approaches that failed are
repeated. Planning, management, and evaluation are subjective. Data do not exist to
refute politically motivated, subjective appreciations. The great reluctance of donors
and public institutions to fund even rudimentary applied research, and their
infrequent contact and cooperation with one another, seriously aggravate the
problem.


Recommendations

The gathering, analysis, publication, and diffusion of basic data, applied
research, and evaluations of applied projects must be intensified and
encouraged. This can be achieved by funding and publishing relevant
theses, funding applied research as an integral part of development
projects and by assuring that projects are monitored and evaluated on the
basis of the results of the ideas and practices they sponsor. Donors must
support research.


Lack of Memory

The scarcity of data, applied research, and memory signals a great need to
support regional and national research institutions and universities and their research
on sustainable development. Too often when such work is supported, the support
comes from remote, foreign institutions, so the knowledge that has been acquired is
not widely available. The experience of learning from and dealing with the problem
or subject is also acquired outside the region -- where it remains.


Recommendations

Donors and national institutions must support applied development research.
They must insist that the results be published and disseminated. The
research should be done by national and regional universities and research
institutions.


Need for Networks

Communication between development practitioners and regional technicians is
greatly lacking. Diffusion of research results is too often from within the region to
the outside instead of intraregional. This is especially true of work on
interdisciplinary programs.











Recommendations

Journals, workshops, newsletters, professional meetings, and other means of
fostering interregional and multidisciplinary communication should be
sponsored. A periodic newsletter, such as the DESFIL Newsletter, can be
most useful in publishing research abstracts and indicating where to write
for more information. The DESFIL Newsletter should be used for this
purpose. In addition, a regional network for Andean development
scientists, with an institutionalized communications procedure, should be
established.


INCENTIVES


Incentives were a topic of discussion in several working groups. It was noted
that incentives can be differentiated in several ways. Monetary incentives include
payment of wages, payment for works constructed, or food for work. Nonmonetary
incentives include training courses, diplomas, certificates, prizes, and community
recognition. Other ways of differentiating incentives include those imposed from
outside the community as opposed to those arising from within and whether they are
long-term or short-term.

In general, the development practitioners who were present -- including 52
technicians with research and implementation experience on dozens of projects in 12
Western Hemisphere countries -- considered nonmonetary incentives as necessary,
even desirable, in the adoption of programs. Prizes, certificates, training programs,
tours, community education, community recognition, and access to unsubsidized credit
and superior production inputs were included. Monetary incentives were considered
suspect, dangerous, and often ultimately destructive; these included payment of wages
or food for work and payment for works constructed -- so much money per foot of
terrace or ditch constructed, for example.

Among the advantages of incentives are that they can stimulate the adoption of
conservation practices and technologies -- the construction of terraces, diversion
ditches, windbreaks, and living barriers, the planting of trees, and so on -- that
might be very difficult to introduce without the incentives. Thus, incentives may
stimulate and facilitate the extension program, at least in its early stages.

The risk associated with incentives is that they may create an addiction to the
incentive on the part of the beneficiaries and a focus on the incentive -- food or
money -- as opposed to a commitment to the conservation program or practice or a
focus on the desired result, such as aware campesinos, living trees, or ditched
hillsides. This is especially true of monetary incentives, which tend to become
quickly politicized. Based on field implementation experience, working group
members noted a tendency to value or appreciate something when campesinos have to
pay for or contribute to that thing and the opposite tendency among campesinos
when payments or contributions are not made.

Working groups were reluctant to come to firm conclusions in favor of or
against incentives, feeling rather that cases should be judged individually. Monetary
incentives were considered suspect, distracting, and politically charged, however.














Nonmonetary incentives, particularly those suggested by the communities where work
takes place, were considered desirable and useful, especially in extension.


COORDINATION AND COOPERATION


Several speakers noted the proliferation of development agencies. Fifty or more
Ecuadorian agencies were directly involved with the management and control of
degradation programs (Vivero; Mejia; Fundaci6n Ciencia). More than 125 development
programs operated in the Bolivian Valles Altos (Quiroga). Frequently such agencies
and programs operated in the same geographic area, worked on the same problems at
the same time, and promoted similar programs. Conflict and lack of cooperation, not
collaboration and coordination, were the norm.


Recommendations

At the field level and at the early reconnaissance and project
identification stage, there should be a diagnosis of what agencies are
working on what programs -- at the community and municipal levels --
where, and when. Program planners should consult with community leaders
and project users at the community level, to learn which agencies,
interventions, and technologies are most effective. At the donor level,
there must be efforts in good faith to cooperate and to coordinate
programs.


VERY STEEP OR HIGH AREAS


Workshop participants noted the existence of certain problem-prone areas, such
as pdramos, dormant volcano craters, and very high cloud forests, which nevertheless
offer development potential. The key to the development of these areas is multiple,
unintensive uses not based on agriculture, such as a combination of forestry, tourism,
and public education programs or the unintensive exploitation of indigenous species.
Basic data on the identification and sustainable uses of these zones are lacking,
however.


Recommendations

Zones that offer this type of development potential need to be identified
systematically. Research on sustainable uses of such areas should be
sponsored. They may offer great potential for preservation, enhancement,
and income-generating uses, all at once.


























25



PUBLIC AWARENESS


Participants noted a general lack of awareness of the costs and the effects of
degradation on productivity, and of the potential consequences of the loss of
biological diversity. The link between degradation and crop yields, nutrition, family
incomes, and public expenditures was not understood.

Public education programs were recommended as a means of increasing
awareness of the interrelation between degradation and the other factors. The
environmental education program of Fundaci6n Natura was seen as an outstanding
example of such public programs. The importance of sustainable resource
management needs to be understood in relation to traditional development concerns,
such as nutrition, income, balance of payments, and levels of public expenditure.











CHAPTER THREE

SYNTHESIS AND FINDINGS FROM PROCEEDINGS PAPERS



THE EFFECTS OF TECHNOLOGY: EXPERIENCES WITH
DEGRADATION-CONTROL PRACTICES AND PROJECTS


Several workshop papers focus on experience with soil- and water-conservation
practices. Experience was gained through research and implementation of projects.
Chief among practices were various types of terraces, contour and infiltration
ditches, mulching and the use of crop residues, rock walls and living barriers, and
various combinations of these, especially terraces in combination with other
practices.1 Effects of the practices were analyzed on test and check plots, side by
side, in the same year or on the same plots through several years.

Degradation-control technologies, principally terracing, were shown to increase
crop yields, increase the value of output, and stimulate changes in the mix of crops
produced. As a result of the technologies, production intensified. More labor, more
capital, and more purchased inputs -- tools, fertilizer, seeds, pesticides -- were used.
The use of irrigation also increased. The greater demand for labor -- both in
construction and in intensified production of crops and livestock -- provided local
employment and reduced seasonal pressure to migrate in search of daily wage
employment outside project areas. From several experiences, however, it was learned
that technologies sometimes were not effective on small, individual land areas. There
were usually social causes, such as conflicts between adjacent landowners or the
reluctance of individual landowners to dedicate even small parts of their landholdings
to conservation, underlying such experiences.

Run-off, movement of sediment, and the associated losses of plant nutrients,
topsoil, organic matter, soil moisture, and applied inputs were greatly reduced or
eliminated in all reported experiences. At the same time, the surface areas of
treated fields changed. Terraces, contour ditches, barriers, and the like reduced the
area available for primary crop production because parts of the fields were converted
to conservation use. Gully control and the removal of surface stones and their use
to construct rock walls increased the area available for production of primary crops.
When surface area decreased, the increases in yields -- especially when low-intensity
production had been the norm -- usually led to significantly greater total output
from the same field. When surface area increased, either labor was hired or less
productive and more degradable fields were abandoned. Whether field surface area
increased or decreased, the typical net result was a significant increase in yields per
hectare and volume produced, from either the same or a reduced cultivated area.

Cost-benefit analysis was used by several authors to show the economic viability
of these practices.


1 Material in this section is drawn heavily from the papers by N. Fernandez;
Comerma et al.; Yahya et al.; Nonone; Croveto; J. Espinosa and Maldonado; Cruz;
Veloz et al.; and Figueroa.











These results were observed and summarized from highland areas in Venezuela,
Ecuador, Peru, Bolivia, and Chile, in projects and experiments that began as early as
1970 and continue to the present. Areas studied were typically of 10 to 50 percent
slope, with light, medium, and heavy textured soils. Annual precipitation varied from
300 to 800 millimeters or more. Elevations ranged from 1,500 to more than 4,000
meters. Crops included potatoes, maize, barley, wheat, corn, indigenous tubers such
as oca and olluco, lettuce, garlic, onions, carrots, some 20-odd other field and row
crops, and four tree species.

Comerma et al. analyzed the Conservation Subsidy, a Venezuelan soil
conservation program that paid land users to apply a schedule of conservation
practices. These included removal of stones, the construction of contour rock walls,
terraces, ditches, drainage structures, vegetative barriers of several types, and like
practices. Comerma assessed the effect of these practices, chiefly on areas cropped,
yields, labor uses, crop mixes, intensities of inputs applied, and returns on both crop
production -- gross margins or rents -- and the investments sunk in the practices
subsidized.

Three communities in the western Venezuelan Andes were studied. They ranged
in elevation from 1,500 to 2,400 meters above sea level, in annual rainfall from 700
to 900 millimeters, and in slope from 16 to 25 percent. The land area studied
totaled 158 hectares before the practices were applied and 106 hectares afterwards.
These were divided into many small fields, under use by dozens of farmers.

The overall objective was to demonstrate and quantify the changes in crop
production technology and land productivity effected by the conservation
improvements. On the 106 hectares studied, the main conservation techniques
consisted of removal of stones -- as much as 30 percent of the surface area of a
typical field was covered by stones before the subsidy was offered -- construction of
contour rock walls designed to produce bench terraces through natural filling, and
drainage.

Surveys made before and after the program covered periods of 10, 7, and 3
years in the three communities. The conservation improvements permitted and
stimulated the more intensive use of other production inputs and a switch from crops
of lower value to crops of higher value. Areas irrigated, fertilizer used, and the
application of insecticides, fungicides, and herbicides all increased. Areas planted in
crops of lesser value, such as wheat, corn, and some vegetables, decreased. Areas
planted in crops of greater value, mostly vegetables, increased. Total area cultivated
decreased because of the removal of stones -- which in effect increased the
cultivable area of a given field -- and the switch to more labor-intensive crops and
production practices.

With large variations among crops and communities, there were general
increases of 200 to 500 percent in yields per hectare, and these were attributable to
the increased use of irrigation and the intensification of production. Averaging
across some 18 crops, physical output per hectare rose from 1.96 metric tons to 7.53
metric tons, at the same time that the total area cultivated decreased from 158
hectares to 106 hectares. This combination of effects has been observed elsewhere
-- in the MAG-CARE community land use project in Ecuador, for example -- and is
attributable at least in part to the conservation practices, because they make the
other changes in land use possible.












Across the three communities and considering 7 of the 18 crops, production
costs after the improvements rose by a range of 10 percent in carrots to 650 percent
in garlic, while average income increased in the range of 66 percent in maize to
1,820 percent in lettuce. Economic rents (gross margins) across the three
communities, during a 10-year period, changed from negative to strongly positive.
What is more, these increases more than covered the costs of the subsidy program
and returned a positive net present value to society when the period of analysis was
50 years and the discount rate was 8 percent. More marginal areas went out of
production, while land values and rural wage rates rose.

Yahya et al. analyzed the National Program for Soil and Water Conservation in
Peru (PNCSACH). The program was designed to apply, develop, and evaluate soil-
and water-conservation techniques. Principal practices were absorption terraces --
terraces designed for maximum moisture retention -- contour ditches, and infiltration
ditches. These practices were applied on test plots, next to untreated check plots,
by highland Peruvian smallholders, on farms, using the tools and labor of the
farmers. Altogether there were 1,883 on-farm test plots on 1,164 fields in 10
departments along the length of the Peruvian Andes.

Ninety-five percent of the plots had .60 centimeters '(23.40 inches) or less of
topsoil, 88 percent had slopes that exceeded 20 percent, annual precipitation on 89
percent -ranged from 300 to 800 millimeters, and elevation of 82 percent ranged
between 2,500 and 4,000 meters. Altogether, 26 crops and 4 tree species were
produced on the plots, on which potatoes, barley, maize, and wheat were the
predominant crops.

All three practices greatly increased test plot yields -- usually more than 100
percent -- over those on check plots (see Table III-1). Yield data were collected for
26 crops on 577 absorption terrace test plots. Terracing increased the yields of all
crops, whether fertilized or not, the unfertilized plots showing the most dramatic
increases.

Terracing increased the surface area of a typical hectare with a 35 percent
slope from 10,000 to 12,000 square meters. The. terrace left 6,500 square meters
available for the principal crop and 6,180 square meters in terrace face and toe.
Total product per hectare increased, even though it was produced on an area a third
smaller. Together the practices stimulated the use of more irrigation water. Costs
per unit fell because yields rose.

Terrace construction required from 336 to 1,181 workdays of labor per hectare;
the average was 772 workdays. Ninety percent of construction costs were labor
costs, most of the rest were for hand tools. Sediment and run-off were not
measured, but the authors stated that "absorption terraces totally controlled erosion
and run-off."

Yahya states that the average profitability per hectare of crop production per
hectare rose 179 percent on the test plots over the controls and that the increases
were greater on fertilized plots than on unfertilized. Evidence is presented to show
that after imposition of the practices, annual net incomes per hectare were
considerably more than a seasonal migrant worker can make by migrating and selling
his labor for a daily wage. Their conclusion is that "absorption terraces are




30
TABLE III-1

AVERAGE CROP YIELDS OBTAINED ON ABSORPTION TERRACES
AND CHECK PLOTS IN THE PERUVIAN ANDES,
1984 CROP YEAR


Yield
Increase
Crop Use of Check Treated Area Number of
Fertilizer (ke./ha.) (kg./ha.) (kg./ha.) (%) Plots

Potatoes Fert. 12,206 17,436 5,230 43 71
No. Fert. 4,581 11,091 6,550 142 41

Maize Fert. 1,807 2,982 1,175 65 18
No Fert. 432 490 58 13 2

Wheat Fert. 2,442 3,603 1,161 48 8
No Fert. 723 1,113 390 54 25

Barley Fert. 1,333 1,910 577 43 56
Grain No Fert. 740 993 253 34 97

Alfalfa Fert. 5,675 11,563 5,888 104 8
No Fert. 567 6,345 5,778 1,019 2

Cabbage Fert. 26,087 37,013 10,926 42 3
No Fert. 7,100 8,870 1,770 25 1

Radish Fert. 9,890 18,700 8,810 89 15
No Fert. 3,471 10,404 6,938 200 14

Apples Fert. 13,500 14,700 1,200 9 1
No Fert. 1,500 1,666 166 11 1

Forrage Fert. 11,000 15,150 4,150 38 2
Oats No Fert. 5,625 7,675 2,050 36 4

Oca No Fert. 5,433 9,300 3,867 71 3

Olluco Fert. 10,850 12,683 1,833 17 4
No Fert. .2,700 5,000 2,300 85 1

Mashua No Fert. 5,400 7,043 1,643 30 3

Rye No Fert. 7,400 13,700 6,300 85 2

Caflillua No Fert. 558 948 390 70 5

Maca Fert. 9,000 19,300 10,300 114 2

Tarhui No Fert. 1,200 1,600 400 33 2
(Grain)

Quinua No Fert. 8,500 11,550 3,050 36 2
(Grain)


Source: Yahya et al.











effective for erosion control, and also increase output, under diverse conditions of
soil, slope, precipitation, geographic zones, and crops cultivated."

Fernandez studied the relative efficiency of bench terraces (platabandas), bench
terraces with living barriers, and bench terraces with crop residues against a bare
fallow check plot. Sediment loss and run-off were measured. The study was made
at an experiment station in the Venezuelan Andes, on plots either 10 meters long
with 21.5 percent slope, or 20 meters long with 16.5 percent slope.

Calibrating with the bare fallow check plot as a factor of 1.0, soil loss (of
91.48 metric tons per hectare per year on the check) was reduced to a factor of 0.36
(33.3 metric tons per hectare per year) on the steeper slopes with terraces alone.
On the shallow slopes, the loss was 0.20 (14.81 metric tons per hectare per year)
with terraces alone, 0.11 (10.10 metric tons per hectare per year) with terraces plus
crop residues, and 0.01 (0.76 metric tons per hectare per year -- that is, near zero)
with terraces plus living barriers.

Fernandez also measured surface run-off during 1984 and 1985, when these
experiments took place. Two-year average annual precipitation was 620 millimeters.
Of this, 65.3 percent (405 millimeters) ran off the bare fallow check plot, while only
30.3 percent (187 millimeters) ran off the steeper terraced plots. On the shallower
plots, 16.1 percent (100 millimeters) of average precipitation ran off the plot with
terrace alone, while 12.5 percent (78 millimeters) ran off the plot with terrace plus
residue, and 2.3 percent (14 millimeters) ran off the terrace with living barrier.

Similar order-of-magnitude reductions in run-off and soil loss under alternative
tillage practices were measured by Dowding et al. at Moscow, Idaho, between 1978
and 1984. The Moscow fields were untilled, rough-tilled, or smooth-tilled. In
addition to run-off and transport of sediment, Dowding also measured the total loss
of nitrogen and phosphorous in the run-off water and that adhering to the sediment.
Three to five times as much nitrogen, and four to six times as much phosphorous,
was lost from the smooth-tilled field as from fields tilled by the other two systems.
Espinosa and Maldonado greatly impressed campesinos at San Jose de los Rubios,
Ecuador, by showing them whole fertilizer granules and wheat seeds in a sediment
trap placed below a steeply sloped, clean-tilled, freshly planted wheat field the night
before a severe storm.

Lost sediment (topsoil) and moisture are significant both on the fields where
they occur and downstream. The consequences of uncontrolled degradation attendant
on the agricultural settlement of the Rio Paute hydroelectric project's watershed in
southern Ecuador were reported by Figueroa. An average soil loss rate of 33.3
metric tons per hectare per year for the whole Daniel Palacos watershed (5,186
square kilometers) was estimated- This rate resulted primarily from agricultural
settlement and deforestation around and above the newly constructed impoundment.
Figueroa estimated that 27 percent of the sediment reached the Paute reservoir,
where 70 percent of it was deposited. The useful power-generation life of this
project, which now supplies approximately 30 percent of Ecuador's electricity, has
thus been greatly shortened. Figueroa assisted in the design of a watershed
protection project that, by means of reforestation and the targeting of conservation
techniques on the watershed's fastest-eroding areas, is expected to reduce the
amount of sediment arriving at the impoundment by more than 3 million tons during
the next 50 years.











LIVESTOCK ABOVE 3,500 METERS


Livestock are important in the income and economy of high Andean areas.
Their function as capital stock and a store of wealth in traditional societies is well
known, and they provide an alternative to crop production in zones unsuited to
intensive agriculture.

The economic exploitation of resources at high altitude is associated with
serious potential degradation. An excellent synopsis of the natural limits to the
intensified uses of pdramos is provided by Black. These plains are characterized by
reduced volumes of oxygen and carbon dioxide in the air; low water-vapor pressure
and high solar radiation; poorly developed, steeply sloped soils, often deficient in
plant nutrients; and great variations between day and night temperatures, with a
potential for frost throughout the year. Black himself cites interesting case studies
of the development of three Ecuadorian pdramos for multiple and communal uses.
Other authors concentrate on livestock and pasture development at altitudes higher
than 3,500 meters in Bolivia, Peru, and Ecuador.

Overgrazing seriously affects the growth and regeneration of both native and
exotic high-altitude pasture species. Because different pasture species recover at
different rates, overgrazing also changes the mix of species. Machicado cites studies
showing that 50 or more native species may be present in a high-altitude native
pasture. After lengthy overgrazing, this number falls, and the species mix often
changes toward less palatable, less nutritious forage plants. The productive decline
of Andean pdramos has been accelerated by the introduction of cattle, sheep, and
horses, all exotic species in the Andes, and by a steady increase in the human
population living in and economically dependent on these areas. Overgrazing and
other intensive uses of very high areas are associated with the rapid deterioration of
soil structure and mechanical properties, its water-retention capacity, loss of
nutrients, and accelerated run-off and sediment transport. These effects combine to
greatly reduce yields of dry matter per hectare, thus reducing potential livestock
yields.

Machicado, Espinoza, and White cite measurements and project experience from
Bolivia, Peru, and Ecuador on pasture and animal productivity at 3,500 to 5,000
meters. Among numerous technologies aimed at sustainably enhancing the
productivity of pdramos, rotational grazing, natural regeneration -- or periodic rest-
and the application of irrigation water have shown the best results. Water may come
from either the capture of run-off and intermittent surface aquifers and their
diversion onto native pasture areas or from the construction of infiltration ditches.
The three authors cite research and case study measurements at Patacamaya, Bolivia
(4,000 meters); Hacienda Comanche, Bolivia (4,100 meters); San Jos6 de Quero, Junin,
Peru (4,000 meters); and Cafiar, Ecuador (3,500 meters).

Machicado cites both ecological and economic benefits from productive
management of pasture, sheep, and alpaca. Overgrazing, low soil fertility, lack of
water, and severe erosion of the topsoil layer greatly reduced potential dry matter
production of native pasture species at Patacamaya and Comanche. The division of a
1,000 hectare range into six areas for rotational grazing, periodic rest, and the
diversion onto pasture areas of surface run-off from surrounding hills increased
native pasture yields by 50 percent.












Espinoza discusses high-altitude Peruvian experiences with a series of
conservation practices including infiltration ditches, in situ nurseries, contour
ditches, absorption ditches, and gully control.2 At San Jos6 de Quero, a traditional
community with 500 families and 600 hectares, families sought greater output from
native communal pastures, which had traditionally been used indiscriminately. The
community agreed to reserve one hectare at each of two locations, construct
infiltration ditches, and allow natural regeneration of the pasture through rest.
After 30 months, the carrying capacity of these two hectares for sheep rose from
0.25 to 1.0 sheep per hectare per year. The yield of green forage was 12 times as
great as that on the check areas. According to Espinoza, the practices also greatly
accelerated the growth of two native tree species. Both Machicado and Espinoza
conclude that water and periodic rest increase yields of green and dry matter and
livestock-carrying capacities. At the same time, the increased presence of green
matter lushly covers the ground and traps available moisture and reduces run-off and
sediment transport.

All three authors, particularly White, compared the performance of alpacas to
that of cattle, sheep, or crops on high Andean areas. White succinctly summarizes
the disadvantages of overgrazing and plowing at 3,500 meters: An evident
deterioration of steep pdramo soils and vegetative cover -- the result of overgrazing,
regular burning, and plowing -- as evidenced by the destruction of a surface root
mat (the top five centimeters), exposure of soil, land slippage, and the accumulation
of sediment behind natural barriers. Alpacas are indigenous, are lighter in weight,
have less sharp hooves, graze less selectively and further from the soil surface, and
yield greater income than sheep or cattle. White provides detailed data on
production and income parameters to support his assertions of the benefits of
alpacas.3 Espinoza, in his paper, and Machicado, during workshop discussions, also
stated that alpacas outperformed cattle and sheep at Quero, Peru, and Comanche,
Bolivia.


INSTITUTIONS


Institutional factors were considered the principal contributors to the rapid
degradation of steep, agriculturally exploited areas. They can be divided broadly into
two categories: public sector, NGO, and donor institutional arrangements, or those
external to the hillside agricultural communities, and local institutions, organizations,
traditions, and practices internal to the hillside agricultural communities. These will
be discussed in turn.




2 An in situ nursery is an area where grazing is not allowed for a period long
enough to allow natural regeneration of the native species through their growth to
maturity, with natural reseeding from the mature plants.

3 Birth rates, lamb mortality, economically productive life span, wool
production, carrying capacity, prices, by-products, and net return to management and
fixed production factors.












External Institutions

The effects of external, project-implementing institutions were the principal
concern of at least eight authors.4 The institutions have rarely facilitated
sustainable land use. They have often been chief contributors to the degradation of
land and water resources. Significant findings concerning the performance of
external institutions in the development of steep, problem-prone areas include all of
the following:

There is a proliferation of institutions involved in resource management, with
a consequent dilution of authority among the many involved.

There is no sharp focus on sustainable land use, or testing and disseminating
solutions to the sustained-use problem.

Institutions act at cross-purposes: The activities and policies of some
institutions stimulate and foment land degradation, erosion, and
deforestation, even while other institutions are trying to control these
problems at the same time and in the same place.

Long-term continuity of programs, policies, staff, financing, and attention
has normally been absent from these institutions.

Such organizations are inflexible; they are slow to adapt or change approach
as project experience accumulates.

Monetary incentives, short courses, field days, and other extension programs
are directed toward men, rather than toward the women, children, and older
persons wLo continuously reside in project areas and implement recommended
practices.


Institutional Proliferation and Dilution of Authority

In a study cf social and water-management policies on the Rio Pastaza
watershed in Ecuador, Fundaci6n Ciencia outlines the authorities and portfolios of
seven public-sector agencies that deal with resource management and land use. The
Foundation notes that the Ecuadorian Ministry of Agriculture -- one of seven
ministries -- is itself divided into five direcciones and two institutes, each with
separate but often overlapping resource portfolios. The foundation also summarizes
the portfolios of six private-sector institutions and some five other soil-
conservation, watershed-management, and small-scale irrigation projects in the Rio
Pastaza watershed.

In his analysis of the effects of institutional activity on fragile hillside lands in
Ecuador, Mejia found 16 public-sector institutions with portfolios in natural resources
management. He cites numerous significant examples of conflicting activities of


4 See, for example, Mejia; Figueroa; Fundaci6n Ciencia; Espinosa and
Maldonado; Rivas; Vivero; Trujillo et al.; and d'Achille.











different divisions in the same institution, as well as conflicts and lack of
coordination among the 16 institutions.

Institutional proliferation and dilution of authority produce a lack of program
leadership and direction. Rather than coordinated efforts to deal with degradation
problems, no one person or institution has either the responsibility or the authority
to deal with them. Hence there is no accountability, no mechanism for the
resolution of conflict, and no central policy direction.

These problems are not confined to Ecuador, as will become clear in the
discussion that follows. Mejia states flatly that the problems of proliferation, lack
of coordination, and dilution of authority have had serious adverse effects on
Ecuador's resource base, and the Fundaci6n laments the absence of coordinated
planning, national norms and policies, and appropriate legislation.


Lack of Focus and Acting at Cross-Purposes

Institutional proliferation and the dilution of authority are exacerbated by a
lack of focus on long-term sustainable land use. This lack of focus has several
principal elements.

A lack of awareness of the nature, causes, consequences, and costs of the
degradation problem. The problem is therefore given less importance in
relation to other duties in the institutions that develop and manage
resources.

Lack of coordinated resource management programs, as well as norms and
standards for the mitigation, abatement, and control of the negative effects
of fragile areas development projects.

Inappropriate legislation and policies, or the absence of legislation and
policies.

Awareness and Importance. Figueroa has noted that INECEL, Ecuador's electric
and power authority, is charged both with power generation and supply and with
protection of the watersheds above its hydroelectric projects. Attention to the
generation and sale of electric power -- INECEL's reason for existence -- caused soil
erosion on the Paute watershed and siltation of the Daniel Palacos impoundment to
greatly accelerate and made dredging necessary, after only eight years of life.
Similar problems are encountered in mining and road construction, where the focus
may be on the production and sale of minerals or on completion of road construction
within limited budgets. Institutions tend to concentrate on production, construction,
or sales. Control of degradation may be seen as a costly and problematic side-
activity, a luxury that the developing country cannot afford.

National Programs, Norms, and Standards. In Ecuador, Fundaci6n Ciencia notes
no national program for the productive use, management, and conservation of the
country's natural resources. There is no general national law that poses specific
norms and standards for the development, use, management, and conservation of
natural resources. Nor is there a suprainstitutional coordinating or planning body
that would oversee the missing programs and legislation. Maldonado and Espinosa












describe PRONACOS, a soil conservation program of the Ecuadorian Ministry of
Agriculture, which had such a portfolio. PRONACOS is now defunct because it lacks
support in the Ministry. These two authors note the immediate need for a focus on
conservation in agricultural-mechanization, colonization, credit, and land-reform
programs of the Ministry of Agriculture (MINAG).

National environmental legislation has recently been enacted in Bolivia and
Costa Rica, but the Bolivian Codigo Ambiental still lacks enabling legislation.

Missing, Inappropriate or Conflicting Legislation and Policies. Rivas (Honduras);
d'Achille (Peru); and Mejia, Fundaci6n Ciencia, and Espinosa and Maldonado (Ecuador)
all cite examples of lacking or inappropriate legislation or policies and the way these
have contributed to land degradation.

Rivas states that policy of the Honduran Agricultural Extension Service excluded
small producers from its programs. Also, in Rivas's view, concentration on physical
measures of progress, such as feet of terrace constructed, thousands of trees planted,
or miles of ditches dug, is misguided. Physical works are important but do not
address the real source of the problem, the human beings who exploit and mine the
resource. The physical works can be expected to deteriorate if no attention is given
to their users, a view supported by the experience of the Soil and Water
Conservation Project (COMSA) in Ecuador. Mejia describes land reform and
colonization laws in Ecuador that intensify land use on hillsides through inheritance
laws that encourage minifundia and require that 80 percent of a forest area that is
to be colonized be cleared before title can be granted, thus stimulating tropical
deforestation. Mejia, and Espinosa and Maldonado, describe Ecuador's Agricultural
Mechanization Program. It subsidizes mechanized uphill and downhill plowing on
steep hillsides. D'Achille cites Peru's land-inheritance law as a chief cause of the
minifundia that provoke soil and water deterioration through intensified land use.


Continuity, Myopia, and Institutional Will

To develop social and individual perceptions of the benefits of sustainable land
use and to invest in and develop both the institutional and the physical
infrastructure to achieve long-term sustainable land use require vision, continuity in
funding, personnel, and programs, and sustained institutional will. Public-sector
institutions, some NGOs, and donors have rarely exhibited these qualities, at least in
the applied experiences reported at the workshop.

Espinosa and Maldonado describe two past MAG-donor soil-conservation efforts,
the Soil and Water Conservation and Management Project (COMSA) and MAG's
National Soil Conservation Program, (PRONACOS). COMSA functioned from 1981
until 1986. Despite problems, the project had stimulated the use of soil-conservation
practices in several highland communities. Some communities applied to have the
project continued and expanded. It closed when its funding ended. Trained
extension personnel were reassigned, and the physical works constructed under the
project quickly deteriorated. PRONACOS was intended as a national program to
protect soil. It died when Ministry priorities changed, donor funding ended, and
interested personnel were rotated to other positions.











Rivas states that the three-year life of the Choluteca Watershed Project
(Proyecto Manejo de Recursos Naturales, PMRN) allowed time for the development of
appropriate promotion and agricultural extension systems, for the training of
extension workers in community organization techniques, and for the evolution of
decentralized, bottom-up planning within the implementing agency.

Vivero outlines an exhaustive three-year, multitechnician effort that produced a
detailed series of maps useful for identifying the fastest degrading areas in the
Pastaza Watershed. This information is to be used in turn to plan and target
eventual long-term intervention intended to arrest degradation of soil and water on
the watershed. The point is that three years is enough time for the planning of the
long-range project. Implementation will probably require decades. Fundaci6n Ciencia
describes a soil-conservation research project of the Institute Nacional de
Investigaci6n Agropecuaria (INIAP) that was suspended for lack of funds. The same
fate halted Fernandez's run-off plot experiments described earlier.

Conclusion. To achieve long-term sustainable use of fragile hillside areas, all of
the following are essential: long periods of time, sustained funding, continuity in
policy and personnel, and sustained political will.


Misdirected Programs and Inflexibility

Many authors -- Rivas, Espinoza, Cruz and Mosher, d'Achille, Espinosa and
Maldonado, and Yahya et al., for example -- note the effects of increasing population
pressure on resources, particularly on hillside minifundia. To paraphrase Vivero, land
use, which should be conditioned on biophysical characteristics of soil, climate, slope,
and features of the natural environment, rather obeys social, economic, and cultural
patterns. This is particularly true on hillside smallholdings, where population
pressure is associated with small land parcels, continuous exploitation of agriculture
and livestock, and the seasonal migration of men seeking off-farm wage employment.

Nonetheless, training courses, field days, access to credit, special development
programs, extension service activities, and similar programs are routinely directed
toward mature men, who are regularly absent for long periods. Cruz describes
traditional training, teaching, and extension methods, and details the limited
usefulness of these in largely illiterate, often predominantly female rural populations.
Cruz proposes an approach that relies on community-based extensionists, who receive
training but continue to live in communities. The approach uses demonstration plots,
talks by farmers who participate in the program, small group discussions, social
dramas, and community recognition. Half of the extension staff (MAG-CARE) are
community-based female paratechnicians. Espinoza describes how the Peru PNCSACH
highland soil and water conservation project adapted its extension activities to
resemble traditional community institutions.


Local Institutions and Organizations

In the light of these intractable difficulties encountered when external
institutions attempt to implement sustainable land-use practices from the outside,
many practitioners have advocated working with and adapting traditional community
institutions and organizations.














Mayer describes a general framework for such an approach. Experiences are
cited by d'Achille, Espinoza, Fernandez-Jauregui, Rivas, Black, and, especially, Cruz.
Analyzing PNCSACH, Espinoza describes how the project worked with municipal
governments to form municipal conservation committees composed of prestigious local
persons, such as teachers, municipal officials, and leading farmers, all of whom
served voluntarily. The committees then advocated the conservation practices and
used the promotional techniques of PNCSACH to foster their acceptance. Within its
traditional farming communities, PNCSACH sought out leading farmers and enlisted
their aid. These farmers demonstrated PNCSACH practices on their own farms and
informed interested neighbors about what they were doing.

D'Achille describes how PNCSACH practices were promoted through traditional
mothers' clubs and applied through the traditional minga system of community labor.
The minga allowed practices to be applied over areas larger than individual farms.
In Ecuador, Black describes an astonishing increase in livestock-carrying capacity and
offtake attendant on the communal management for sustained use of a 1,769-hectare
community pdramo pasture and 360 hectares of agricultural ground at El Carmen,
Pichincha. Family incomes increased several times over, barley yields exceeded the
provincial average, wheat yields became the highest in the country, native-species
reforestation occurred on steep hillsides, and outmigration from the community
practically ceased. These improvements were achieved through interaction with the
Pichincha Provincial Council, which participated with the community in community
land-use planning.

Cruz and Rivas both stress the indispensable need to work within benefited
communities, seek out local institutions and values, and organize project activities
around indigenous behavior. Cruz proposes that any outside strategy designed to
rationalize land use must be perceived by the users as desirable, in that it increases
both yields and incomes, within traditional small-scale cultivation systems. Cruz
advocates the following four-part strategy to achieve community adoption of
sustainable land-use practices:

Maximize local participation and community responsibility -- that is, let the
community guide, orient, and adapt the program, rather than having it
imposed from outside;

Employ appropriate extension agents -- that is, paratechnicians chosen from
hillside communities and trained by the project, who will continue to live
and work in the community. Train mid-level extension agents, such as
peritos agronomos, in working with traditional communities;

Use an intensive extension program based on adequate educational methods,
training within the community those who actually use the land, using
paratechnicians, and using methods and rewards tailored to the smallholder,
often illiterate, beneficiary campesino constituency; and


* Use appropriate incentives.











Cruz details his recipe for successful extension work in hillside communities of
smallholders in Volume I, pages 131-135. His remarks are recommended as required
reading for any agency seeking to introduce sustainable land use practices into
traditional communities.


CAMPESINO PERCEPTIONS


For conservation practices to be accepted and widely adopted, the negative
effects on productivity of topsoil loss, overland sediment flow, run-off, deteriorating
soil structure, and the associated losses of plant nutrients and soil moisture must be
perceived as important to the welfare of campesinos. That perception, and the
effects of conservation practices on degradation control, enhanced productivity, and
subsequently on income and welfare, must be understood. According to d'Achille:

Social aspects are among the principal factors to take into account. . .
The campesino must realize, in the most rapid and graphic way possible,
that soil conservation results in a direct benefit to him, that is, in
increased production.

Although terracing and other conservation technologies are ancient in the
Andes, many writers cite project experience to show that the relation between
degradation control and enhanced productivity is not universally or widely perceived,
that the effects of some degradation-control practices on productivity are not widely
perceived, or that even when they are perceived, the pressure to increase output by
intensifying land use outweighs concerns over erosion and degradation.

In a 1987 study of Rio Pastaza soil and water management policies, Fundaci6n
Ciencia reviewed a series of institution and project experiences and concluded that
the benefits of conservation technologies are either unknown or of little importance
to Ecuadorian agriculturalists.

Analyzing 1981-85 experience with the COMSA project, Espinosa and Maldonado
state that campesinos perceived clearly that terraces, contours, diversion and
drainage ditches, and the like took land out of production by reducing the cultivable
surface area of the field. Campesinos expected enhanced productivity on improved
areas to compensate for product lost on areas diverted to conservation uses.
Because of campesino misgivings on this point,

The idea of providing solely technical assistance to control erosion was
not accepted in any project area or subarea.

Tools, seeds, fertilizers, and pesticides were provided to participating farmers,
because they were not willing to implement the practices without such incentives. In
some instances they also demanded food. According to Maldonado and Espinosa,
users eventually saw the benefits -- in greater yields -- from using the practices,
and even petitioned to have COMSA and a predecessor project extended beyond their
scheduled termination dates. However, once the projects terminated, and the
incentives with them, contours, ditches, and other works fell quickly into disuse and
disrepair. Lack of maintenance and the use of plows caused the conservation
improvements to disappear quickly.












Yahya et al. studied the Peru-PNCSACH project to determine the attitudes of
campesinos toward the 40-odd conservation practices it promoted. The analysis
showed that "the majority of agriculturalists were not knowledgeable about [them];
terraces and andenes were the best known." Eighty-nine percent of those
interviewed expressed a desire to continue PNCSACH practices. Of these, 46 percent
cited improved yields as the reason, while 54 percent cited a desire to conserve soils.
PNCSACH participants have not been surveyed recently to determine whether the
practices implemented by the project have persisted.

On the basis of the experience with PMRN in Honduras, Rivas counsels a slow
but steady approach. One, two, or -- at most -- three innovations should be made
at once, the aim of which should be to reach the campesino and his needs, not
physical goals. This approach allows the campesino to see the effect of each
innovation, and more important, it allows him to see how a given practice can be
used on his own land, in the absence of any external stimulus or aid.

Stadel conducted survey research on the upper Pastaza watershed in central
Ecuador during 1986 and 1987. He explicitly studied campesinos' perceptions of
environmental and socioeconomic stress in the central Ecuadorian sierra. Two
hundred forty-seven interviews were conducted in eight altitudinal zones between 900
meters (Puyo) and 4,300 meters (Chimborazo). Stadel first asked respondents to
mention their three chief agricultural problems, without mentioning any specific
problems to them beforehand. Problems so identified were said to be actively
perceived. After this he presented a list of 33 problems (stressors) for comment.
The campesino's own list and his ordering of his most important -- that is, his most
actively perceived -- problems is quite different from his list and order when
problems are suggested to him for comment, or passively perceived.

Climate was most often mentioned spontaneously by respondents as one of their
three chief problems. The main climactic problems were precipitation, excessive or
deficient available water supply, dryness, wetness, and periodic frosts, depending on
the altitude. Other important problems actively perceived included the availability
and cost of transportation; scarcities of land, labor, and fuelwood; deficient or
missing rural infrastructure, such as potable water, schools, health centers, roads,
sewers, and the high cost, inaccessibility, or scarcity of credit, production inputs,
and technical assistance. Stadel states: "Scant natural vegetation cover, combined
with frequent strong winds and occasional downpours, create serious water and wind
erosion problems. This, however, although a real problem, is not perceived as a
major stress factor by the population."


STRATEGIC PLANNING


How can scarce government or development assistance funds for natural
resources development and management be channeled to attain the greatest result?
Planning and the allocation of scarce funds should be based on an overall strategic
approach, which might begin with a country environmental profile, like those
prepared by the Environmental Planning and Management Project of USAID. Then
the larger categories of problems, problem geographic areas, and interventions
specific to the problems and areas would be identified, and priorities would be











assigned for the guidance of those planning future government programs and
development assistance.

So far, both donors and governments have been reluctant to develop such
comprehensive strategic approaches, relying instead on traditional programming
exercises, such as the preparation of country development strategies, action plans,
and sector assessments.

As summarized in Chapter Two, a startling lack of both data and institutional
memory was highlighted during SUSS working group discussions. Nowhere are the
consequences of these problems more severe than in the planning, design, and
execution of government and donor-assistance programs. Several authors deal with
approaches to the planning, design, and execution of programs in the absence of data
and institutional memory. These approaches rely, first, on methods to estimate the
missing data; second, on use of the estimates to direct scarce development resources
toward areas or problems, such as intensively farmed steep slopes or rapidly eroding
subwatersheds, that contribute disproportionately to degradation; and third, on
flexible designs for intervention activities, adaptable as the project develops.

Among the most important conclusions reached by SUSS practitioners who have
had experience in implementation was that strategic planning and the delivery of
technical conservation interventions must rely on social and institutional lessons
learned from past projects.


The Estimation of Technical Data and Targeting

Targeting refers to the concentration of degradation-control efforts on
geographic areas that contribute disproportionately large amounts of sediment and
run-off. A small part of a watershed may cause a large share of its erosion and run-
off. Through treatment of the small area, a large part of the problem can be
controlled.

In the absence of detailed data on climate, topography, soils, and land-use, how
are such areas to be identified? Four approaches to this problem were discussed at
SUSS (Harden; Faustino; Vivero; Brooner).

Harden conducted experiments with a rainfall simulator at Ecuadorian sites on
the Rio Ambato watershed. The simulator permitted estimation of the erosivity
factor in the Universal Soil Loss Equation (USLE). Harden used these estimates and
the available information on topography and vegetative cover to divide the watershed
into four slope classes and six erosion classes. These were converted to 14 erosion-
risk groups over the whole watershed. She was then able to construct a map
showing the location of the sites at greatest risk of erosion. The recommendation
would be that these sites should be assigned the highest priority for development
assistance (see Manrique).5



s Luis Manrique of the University of Hawaii presents a rapid appraisal
approach to the estimation of the USLE K (soil strength) factor. His estimates have
similar potential uses.











Faustino discusses a CATIE methodology to estimate variables that identify
critical erosion hazard hillside areas. To a given watershed, relevant natural and
resource variables are identified and assigned numerical indexes. Natural variables
include land capability; rainfall, run-off, and other hydrologic conditions; the
presence of protected areas; the degree of forest cover; and culture. These are
combined with indexes of causative, or resource, factors, such as overuse; erosivity
(USLE R-factor); precariousness; danger of landslides; danger of burning; degree of
deforestation; loss of biological potential, and other socioeconomic and causative
factors that may be present throughout an area.

Using this methodology, Faustino divided the Rio Grande Terraba watershed,
Costa Rica, into 11 subwatersheds. After field work and study, each of the natural
and causative variables was assigned a numerical value, and these values were used
in a predictive equation that ranked the subwatersheds. This permitted the priority
targeting of specific subwatersheds for conservation, together with recommendations
of specific land-use practices for them. In his paper, Faustino details experiences
with earlier attempts in Latin America to construct similar indexes, to identify
specific problem geographic areas, and to target development assistance.

Vivero uses the word "conflict" in land use to mean a discrepancy between the
intensity of prevailing uses of a given land area and that of potential uses. A series
of maps of the Rio Pastaza watershed was drawn. These gave information about
topography, climate, vegetation, slope, soils, and socioeconomic aspects. By
overlaying these maps, Vivero found that 37 percent of the watershed was
"appropriately or correctly used," in that prevailing and potential uses were not in
conflict. He found 28.9 percent of the area being degraded, or in conflicting use.
Of the remaining area, 17.8 percent was being underused, and 16.3 percent was in
natural parks or other reserved areas. The method was applied to subwatersheds
within the Pastaza. Those being subjected to disproportionately large amounts of
conflictirg uses were clearly identified.

Modern remote sensing techniques are useful in identifying both problem areas
and problem situations. Brooner showed how Earth Satellite Corporation
(EARTHSAT) imagery had been applied to assess the extent of forest clearing and
land use in Jamaica; to identify land-use regimes on small parcels in Bolivia; and to
identify geobotanical predictors of soil erodibility throughout a large settlement zone
in Ecuador. Brooner discussed the cost advantages of satellite imagery. They may
be as little as one-twentieth of aerial photography costs.

Two important policy decisions can be inferred from all the approaches. First,
the targeting of efforts to control degradation on superintensively used areas will
have a disproportionately large control effect. Second, underused areas should be
analyzed to determine their development possibilities, so that development assistance
can be targeted on promising development opportunities in these areas. The latter
step is widely recommended as a degradation-control measure. Providing economic
opportunity in areas with good potential for sustainable development may lessen the
pressure to intensively use areas with high degradation potential.

Veloz et al. and Figueroa used targeting techniques in applied policy analysis in
the Dominican Republic and in program design in Ecuador. Veloz et al. identified
areas of high sediment yield above the Rio Nizao impoundment. They computed costs
associated with different sediment yields and power outputs under alternate levels of











expenditure for watershed protection, and recommended the targeting of watershed
conservation programs on areas in which a cost-effective reduction in sediment flow
was most likely to be achieved. Figueroa used a USLE-based technique on a similar
problem, to design a program for watershed protection, education, and extension for
high erosion hazard areas on the Paute watershed. Figueroa calculated that 12
percent of the sediment reaching the Paute impoundment could be eliminated by
treating 4 percent of the watershed.


Social and Institutional Lessons in Technology Transfer

Just as technical data on soils, climate, precipitation, and land-use capability
are often lacking, so are accurate appreciations before the fact of the effects of
socioinstitutional variables in project implementation. Socioinstitutional
considerations, discussed at length elsewhere, are a chief concern of Fernandez-
Jauregui, Yahya et al., Espinoza, d'Achille, Cruz, Maldonado and Espinosa, Comerma,
and Rivas, all of whom analyze the performance of natural resource management
projects. An eloquent testimony to the importance of socioinstitutional
considerations is provided by Maldonado and Espinosa:

A complete lack of knowledge about campesino reactions toward
conservation techniques existed before the (COMSA) project started, and
daily work with campesinos showed that much remained to be learned. . .
The idea that technical assistance would suffice to initiate erosion control
works was not accepted in any sub-area.

Cruz, manager of Ecuador's MAG-CARE Community Land Use Project, delineates
four essential strategies for implementing soil- and water-conservation practices on
small hillside farms: (1) maximize local participation; (2) use appropriate
extensionists; (3) use an intensive extension program based on adequate education
methods, and (4) use appropriate -- that is, nonmonetary -- incentives.

Local participation means that project users of a project must be significantly
involved in the design, implementation, evaluation, and adaptation of the project
(Cruz; Rivas).

An appropriate extensionist may be from outside the community, hold a diploma
or degree, and have training in the importance and effects of conservation practices.
The extensionist must know how to listen to, learn from, and interact with user-
beneficiaries (farmers). He or she may be a paratechnician or a resident of the
community who has been given a short conservation training course, after which he
or she will continue to reside in the community and teach the conservation practices
on a daily basis (Cruz). Another type of local agent might be a leading farmer --
recognized as such by his peers -- who implements a practice on his farm where his
neighbor can see it (d'Achille; Espinoza; Rivas).

Rivas lists the main achievements of the Choluteca NRMP as, first, shifting the
focus of the project away from attention to physical measures, such as feet of
ditches constructed or thousands of trees planted, and toward the users of the
project; second, decentralizing the planning process, to adapt the project to the
suggestions of its users and extensionists, and to reduce the authority of
Tegucigalpa-based bureaucrats; third, training the project's own extensionists both in










the effects of conservation practices and in working with small farmers; and finally,
changing the extension focus of the Ministry so that it includes farmers who hold
less than fifteen hectares of land.

Figueroa (personal communication) expects to recommend that half the funding
of the future Paute Watershed Management Project be dedicated to community and
extension activity. Veloz et al. make a similar recommendation concerning the Rio
Nizao impoundment.

Adequate extension and education methods take place in communities and are
directed at the persons who use and manage the land on a daily basis. On small
hillside farms, this often means women, children, and older persons (Carafa; Cruz).6


INCENTIVES


Discussion in Chapter Two and elsewhere in these proceedings indicates that the
users of soil and water conservation technology must clearly perceive that
conservation techniques are of direct and immediate benefit to them. Users do not
always perceive these benefits, however. They do perceive a need to expand output,
usually by intensifying land use. And they perceive certain disadvantages that are
associated with conservation practices, such as the loss of arable field area, the high
costs of labor and materials associated with such mechanical techniques as terracing


6 D. W. Saunders, Chief of the Soil Resources, Management, and Conservation
Service of the FAO, summarized four days of discussions at the World Soil
Conservation Workshop, "Soil and Water Conservation on Steep Lands," held 22-27
March 1987 at San Juan, Puerto Rico. According to Saunders,

The prime efforts of the soil and water conservationist should therefore be
channelled into assisting the farmer to increase and manage the vegetation
which he produces on his land.

After summarizing the criteria for success offered in many workshop papers,
Saunders states that failure is likely to result if soil and water conservation
programs:

Do not adequately'consult the farming community;
The short-term needs of the farmers are not taken into consideration;
Maintenance and follow-up to conservation works is inadequate;
An attempt is made to expand the programme too rapidly;
The project is inflexible; and
The project creates political antagonism.

Although most, if not all, the criteria needed for a successful project may
appear obvious it was clear from the discussions that very few projects do
in practice start with a design that meets all these requirements. On the
other hand, most projects appear to contain at least one of those factors
which make success difficult.











or the building of diversion and entrapment structures, and the user's own lack of
familiarity with some of the practices. In addition, there is normally a lack of
awareness, on the part of both land users and public institutions, of the link
between erosive land use and high downstream costs, such as those associated with
municipal flooding, reservoir dredging, and the loss of irrigation and hydropower
potential (see the discussion in Chapter Two, and the papers of Veloz et al.,
Figueroa, and d'Achille).

This conflict between perceived benefits, or advantages, and perceived costs, or
disadvantages, has led to the use of incentives in the implementation of most
resource-oriented projects (Williams et al.; Comerma; Espinosa and Maldonado; Cruz;
Rivas). Incentives were used, for example, in the Peru-PNCSACH, Ecuador-MAG-
CARE and COMSA, Venezuela-Conservation Subsidy, and Honduras-NRMP projects
reported in Volume I, and in many other earlier projects for the management of
natural resources, such as Jamaica-Hillside Agriculture.


Types of Incentives

Incentives may be monetary, quasi-monetary, or nonmonetary. Monetary
incentives include the payment of wages or payment per unit of works constructed.
Quasi-monetary incentives include the giving of food, fertilizer, superior seeds, or
tools in return for works constructed. These are called quasi because they tend to
influence the expenditures of campesinos in the same way that cash payments do
(Franklin et al.). Nonmonetary incentives include eligibility for credit, training
courses, certificates, diplomas, field days, site visits, tours, demonstrations,
community recognition, purchase of superior inputs, and the like.


Discussion

Saunders states that food aid and subsidized credit schemes have produced
variable, often disappointing, results. They induce dependence on the subsidy and
may lead users to require the subsidy if they are to carry out mechanical works.
Credit schemes have proved to be expensive and inefficient. Despite the
disadvantages, subsidies do Culfill a function, but their planning and administration
must be thorough.

Espinosa and Maldonado note the campesino's need to produce for subsistence
and the necessity of securing agreement among several landowners before long
ditches, terraces, or drains may be constructed across several landholdings. This
made incentives, in the form of seeds, fertilizer, tools, and food, the chief means of
inducing farmers to accept a program. Once the incentives had begun, some
communities in the COMSA project in Ecuador participated only to receive them.

Rivas argues that incentives greatly facilitated the Honduras NRMP when used
as a complement to training and intensive community extension to stimulate the
adoption of NRMP practices. Rivas warns against "addiction" to the incentives.
They become politicized. He argues that incentives cannot be the chief tool in
project implementation. A balance, difficult to achieve, is needed between the
incentive and training, extension, and promotion of awareness of the benefits of the
activity stimulated.


















Cruz lists the use of appropriate incentives as one of four cornerstones under
the Ecuador MAG-CARE Community Land Use Project. In Cruz's view, the long-run
prospect of maintained and enhanced productivity, reflected in increasing yields and
lower unit costs, is the only real incentive. But in the short run, the new
conservation techniques imply real risk, and appropriate incentives are needed to gain
the cooperation and active participation of the individual farmer. The MAG-CARE
program uses training courses, site visits, demonstrations, certificates and diplomas,
and eligibility for commercial credit; it does not give food, wages, or payments for
mechanical control structures built.

In analyzing terracing projects in Venezuela, Guatemala, and Peru [PNCSACH],
Williams et al. note that many farmers have built terraces without subsidies, and that
when subsidies have been offered, they have rarely been large enough to cover even
the cost of the labor required to build the terrace. Farmers do accept the
substantial costs of building terraces, so they must perceive benefits from doing so.
The subsidy poses two risks: Some farmers who would otherwise build terraces may
wait to do so until they receive the payment, and the subsidy induces a paternalistic
relation between the extension agent and the farmer.

Walter notes that most terracing under the Venezuela Conservation Subsidy was
accomplished before significant gains in living standards were realized in the project
area. Early subsidy payments were modest. Road construction, more irrigation, a
shift toward horticultural crops, expanding employment, and steady increases in
income all came about at the same time as the program. In these circumstances,
ever greater subsidies were required to motivate farmers to participate. Eventually,
the size of the original subsidy tripled, and even so, farmers had to be attracted to
the program through eligibility for other infrastructure, such as access roads and
water development.

No clear conclusions emerge from the discussion of incentives. It is clear that
incentives may stimulate the adoption of practices, greatly facilitate the extension
program, and make the high front-end costs of mechanical practices easier to bear.
At the same time, however, they may become addictive or politicized, may promote
paternalism, and may cause the farmer to shift his focus to the incentive and away
from the goal of enhanced productivity and income. A substantial Lody of evidence
supports the conclusion that conservation technologies benefit poor hillside farmers
in the short run and suggests that farmers are willing to bear significant costs of
using the technologies. Still, few if any past natural resources management projects
have been able to function 'without the use of some form of incentives.












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