sanrem crsp annual report 2001- 2002...crsp (2003-2008). power point presentations and pa-pers...

SANREM CRSP

Annual Report 2001- 2002

On the Path Towards Sustainability

Annual Report 2001- 2002

Julie A. March and Kristen R. MillerCo-Editors

Sustainable Agriculture and Natural Resource Management

Collaborative Research Support Program

1422 Experiment Station Road

Watkinsville, Georgia, 30677, USA

Cover Photograph by Todd Crane

The SANREM CRSP is supported by the United States Agency for International Development CooperativeAgreement Number PCE-A-00-98-00019-00, and is managed through the Office of International Agriculture,

College of Agricultural and Environmental Sciences at the University of Georgia, Athens, GA, USA.

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ContentsContentsContentsContentsContents

Introduction ................................................................................................ 5

SANREM Andes ......................................................................................... 8

SANREM Southeast Asia ..........................................................................37

SANREM West Africa ..............................................................................90

Decision Support Systems ....................................................................... 111

SANREM Global Impacts and Information Exchange ..........................142

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The 2001-2002 fiscal year that we are reporting in thisdocument was very productive. Work continued in ourseven sites (Ecuador, Peru, the Philippines, Vietnam,Mali, Kenya and the US) with a strong emphasis onsynthesizing research, deriving lessons learned anddocumenting our accomplishments and shortcomings.

We organized one Research Synthesis Conference onNovember 28 to 30, 2001, in Athens, GA. Researchersfrom Ecuador, Peru, the Philippines, Vietnam, Mali,Kenya and the US shared research results, methods,training achievements and impacts sponsored under theSANREM program. Topics covered during the confer-ence targeted issues of relevance to the program's au-dience, i.e. researchers, policy makers and developmentworkers. SANREM researchers also discussed lessons

learned while developing tools and methods, and carry-ing out institutional strengthening efforts and policyanalysis related to sustainable agriculture and naturalresource management. The conference papers and dis-cussions allowed SANREM to underscore promisingnew or on-going research areas that should be includedwhile planning for the next phase of the SANREMCRSP (2003-2008). Power point presentations and pa-pers submitted for this Conference are available online.1

SANREM researchers summarized years of work inthe Andes and Africa respectively, in two books.2 Theyalso provided state-of-the-art papers in another bookon conservation and development projects around pro-tected areas in Latin America.3 In addition, twelve sci-entific journal papers were published or approved forpublication during this period. Two synthesis studieswere tasked to distill SANREM's experience. In thePhilippines, a study was carried out on SANREM's ex-perience in linking participatory local-level researchwith policy making at local, provincial and nationallevels. Another study was implemented to compare andcontrast the citizen-based water quality monitoring ef-forts in Ecuador and the Philippines.

Communications with broad audiences in the sustain-able agriculture and natural resource management com-munity were strengthened through the dynamic and pro-active use of electronic media. SANREM's website wascompletely revamped and provided the structure forstoring and accessing news, documents, photographsand maps of SANREM activities worldwide. Welaunched a "Research Brief" series to scale-outSANREM's reach and make the results of SANREMresearch available to audiences usually not in directcontact with SANREM researchers.

SANREM CRSP ANNUALSANREM CRSP ANNUALSANREM CRSP ANNUALSANREM CRSP ANNUALSANREM CRSP ANNUALREPORT 2001- 2002REPORT 2001- 2002REPORT 2001- 2002REPORT 2001- 2002REPORT 2001- 2002

On the path towards sustainability

Sustainable Agriculture & Natural ResourceManagement Collaborative Research Support

Program

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Twelve "Research Briefs" were completed in the pe-riod we report and distributed widely. In cooperationwith the Philippine Institute for Development Studies(PIDS), the SANREM South East Asia project alsolaunched several Policy Notes specifically designed totarget national legislation and policy makers in the Phil-ippines. Copies of the "Research Briefs"and "PolicyNotes" can be downloaded from SANREM's website.4

In January 2002, SANREM and the Soils ManagementCRSP jointly launched a "Carbon from Communities"project supported with NASA (National Aeronauticsand Space Administration) funds (2001-2003). Theproject presents a unique opportunity tosimultaneously address agricultural pro-ductivity, natural resource conservationand carbon sequestration in Mali. NASAdata will be used to provide an efficientand rapid means to inferentially assesscarbon stock changes attributable to com-munity-based agriculture and natural re-source management (NRM) decisions.Specifically, the project will seek to dem-onstrate remote sensing technology's po-tential for assessing local and regionalcarbon stocks by monitoring communityland management practices and their sub-sequent carbon storage capacity, and thenscaling up. The project will contribute toincrease the precision of identification ofcarbon sequestration capacities of agro-pastoral managed systems and ridge-till

age systems with differential carbon sequestrationcapacities using remote sensing.

Project reporting and monitoring was streamlinedsubstantially reducing the time researchers spend inreport preparation while increasing the effectivenessof their communication with donors and otherstakeholders. Reporting was carried out totallythrough a Web-based database specifically developedfor this purpose. The system considerably reducedthe time in report submission and powerfully in-creased the flexibility in report design for specificaudiences and topics.

Conservation farming and land useplanning are two of SANREM's majorproject areas

Carbon from Communities in Mali

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On January 15, 2002 a Request for Pre-Proposal(RFP) was issued as part of the process of preparingSANREM's third phase (2003-2008). The RFP soughtproposals to support SANREM's focus on the threepriority themes selected for SANREM's Phase III,namely:

1. Community-based water and watershedmanagement

2. Agriculture and biodiversity use and conservationlinkages

3. Local responses to global climate variation

Within the framework of those priority themes, re-searchers were asked to tailor proposals addressingthe following methodological issues: 1) Ecological-ag-riculture land use systems and methods; 2) Optimumapproaches to local landscape planning and manage-ment; 3) Innovative local organizational structures andmanagement for sustainable agriculture and naturalresource management; 4) Methods and approachesto link local research to national levels; and 5) Meth-ods to integrate landscape analysis up and down theecosystem hierarchy.

Our priority in Phase III preparation was to set theconditions to enhance SANREM's overall capacityto carry out high quality research quality and produceextensive benefits. To that effect, we widely openedthe request for proposals to allow researchers fromuniversities affiliated or not to SANREM to submitresearch proposals, and for SANREM to be able toprepare a Phase III proposal on the basis of the bestindividual research proposals. It was deemed criticalto balance to the extent possible the input from socialand biophysical sciences, and the focus on sustain-able agriculture, on one hand, and management ofnatural resources, on the other. We also emphasizedthe need to considerthose proposals thatare more promisingin terms of actualcontributions topeople and the envi-ronment, and theadvancement of sci-entific knowledge inspecific fields.

We received more than 60 pre-proposals, which were re-viewed by a panel of six external reviewers. The Exter-nal Advisory Group chose 20 of those submitted pre-pro-posals, and the principal investigators of those pre-pro-posals were invited to submit full proposals. In order toremove the potential for a conflict of interest the Man-agement Entity at UGA did not vote in the selection ofpre-proposals. On July 15, 2002 16 out of the 20 full pro-posals received were approved to be included as part ofSANREM's Phase III proposal. A SANREM CRSP pro-posal for Phase III, which incorporates all those propos-als, is slated to be completed in late September 2002, andwill be submitted to USAID for a review in Novemberthis year.

In the following pages we present a report on individualactivities within the different SANREM projects. Accom-plishments are described for each activity in terms of sci-entific advances, as well as contributions to capacity build-ing, scaling up, policy impact and improvements in thelife of people and natural resource management. At thesame time, each project section is prefaced by a sum-mary of SANREM's outcomes over the last four years.The resulting report indeed confirms that the activities atSANREM during the last fiscal year and the precedingyears have indeed been very fruitful.

Footnotes

1 http://www.sanrem.uga.edu/sanrem/conferences/nov2801/default.cfm

2 Rhoades, R. (Ed.). 2001. Bridging Human and EcologicalLandscapes: Participatory Research and SustainableDevelopment in an Andean Region. Dubuque, IA: Kendall/Hunt Publishing Company.; Vitale, J., J. Stuth, T. Butt, P.Dyke, and J. Angerer. (in press). Implications ofExtensification and Intensification for Food Security in2015: Farm Level Analysis Decision Support Systems forWest Africa: An Examination Of Issues, Policies, andAlternatives for Food Security and Natural ResourceManagement in the Sikasso Region of Mali.

3 Rhoades, R. and J. Stallings. (Eds.). 2001. IntegratedConservation and Development in Tropical America:Lessons Learned in Linking Communities, Projects, andPolicies. Athens, GA: SANREM-CRSP and CARE-SUBIR.

4 http://www.sanrem.uga.edu/index.cfm?pageID=20

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SANREM AndesSANREM AndesSANREM AndesSANREM AndesSANREM AndesProject OverviewProject OverviewProject OverviewProject OverviewProject Overview

1. Introduction

The central accomplishment of the SANREM-Andesproject (Phase II) has been the development of anapplied research and decision support process calledthe "sustainable mountain futures methodology" -whereby diverse stakeholder groups in mountainousregions jointly create sustainable land, water, andbiodiversity management systems. The research keepsan eye on a globalizing economy in the context ofdecentralizing community governance. Ouraccomplishments are directly relevant for a muchneeded re-thinking of a pervasive global flat-landpolicy mentality which has worked in negative waystoward mountain environments. The pilot research todevelop this process took place in two sites in Ecuador:Nanegal Parish of Pichincha Province and CotacachiMunicipality of Imbarura Province. These sites werechosen since stakeholders (local, national, andinternational) are faced with unique challenges ofmanaging diverse resources across jurisdictionalboundaries, across extremes in topographic relief andpoorly accessible terrain, and within a setting of highstakeholder conflict. The research addresses challengesset out in Agenda 21, Chapter 13 (Managing FragileEcosystems: Sustainable Mountain Development). Theproject is actively embedded in the global inter-agencynetwork of organization working on the globalmountain agenda, including the 2002 UN InternationalYear of the Mountain. The interdisciplinary researchteam, involving US scientists and Ecuadorian scientistsand NGO's, participated with local communities inaddressing both "human drivers" and "environmentalimpacts" of natural resources and agriculture. Two

projects (AND-02: ethnoecology and AND-03:institutions) examined the role of sociocultural/demographics factors and social organization driverswhile two biological science projects (AND-05: waterresources and AND-08: soils) examined directenvironmental impacts. The central linking projectAND-07 (sustainable mountain future) pulled togetherdata from all projects, filled data gaps such economicsand biodiversity, and provided a platform for the creationof scientifically valid future scenarios for community-based planning and action. AND-01 (coordination) andAND-09 (Scaling-up and Training) facilitated andcarried out the extension of the methodology to local,national, and international audiences. Year 5 projectedaccomplishments are clearly stated in the Year 5 workplans found on the SANREM website. The products ofeach project, which operated both within a team contextand individually in its execution of research and transferactivities, are listed below.

2. Highlights of Accomplishments

2a. Publications (June, 1998 - May 2002):

The SANREM-Andes has been most prolific inscientific publication output. Published to date are 10books and monographs, several by top-rated universityand trade presses (e.g., University of Arizona Press,Kendall/Hunt Publishing, and Abya Yala Press). Fiveof these books were published in both English andSpanish, three in only English, and one in Spanish only.Ten refereed articles have been published in highranking journals (e.g., Human Organization, ClimateResearch, Mountain Research and Development). Inaddition, 21 book chapters and seven SANREM

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2b. Professional Presentations:

SANREM-Andes researchers have presented paperson SANREM in over three dozen international andnational meetings. In several instances, the SANREM-Andes PI was the keynote speaker (e.g., Rhoadesbefore Cornell's international conference onCommunities Watersheds) thereby reaching diversedecision-maker audiences. Project PI's organized threeE-conferences and satellite presentations. The mostrecent (2002) on "Rural Municipalities and ParticipatoryLocal Management in Mountain Areas" with MountainForum-Andes/Condesan involved over 350participants. In 1999, the project organized jointly withCARE (Cooperative for American Relief Everywhere)and USAID-Ecuador an international gathering of 200individuals throughout Latin America on the topic of"Integrated Conservation and Development: LessonsLearned in Linking Projects and People". SANREMwas also a co-sponsor of a 1999 conference "ThirdInternational Symposium on Sustainable MountainDevelopment" held in Quito, Ecuador, and attended byseveral hundred international participants. In addition,nine smaller workshops and coordination meetings wereheld in Ecuador and the US.

2c. Methods, Data, Information-Knowledge:

Several innovative methods for sustainable agricultureand natural resource management have been generatedby the project. Memory banking, although originallydeveloped in the Philippines with UPWARD/CIP, wasrefined in Ecuador through the SANREM-Andesproject. This method of rescuing both genetic resourcesand indigenous knowledge of culturally significantplants has been adopted by international organizations(IPGRI, CIP) and national groups (e.g., Native SeedSearch, USDA Vietnamese germplasm project, In Situagrobiodiversity project in Peru). Future visioning, thecentral team method of SANREM-Andes II, has beensuccessfully applied in the Nanegal site, Quilcas inPeru, as well as in land use planning for the Georgia(USA) Piedmont. The institutions team AND-03 hasrefined and adapted the advocacy coalition approachto conflict and natural resource management. A step-by-step methodology for summarizing information ontools needed by institutional actors, as well as desired

future states and mental causal models by institutionand by coalitions, has been developed on three keyissues in Cotacachi. SANREM-Andes has collaboratedwith the International Centre for Integrated MountainDevelopment in the creation of an extrapolation toolwhereby regions of similar techno-environmental needscan be identified for technology transfer and training.

A combined integrated data-visual database has beenestablished at three project nodes (UGA, Catholic-Quito, and Cotacachi). This massive database currentlyincludes GIS-based soil, topographic, politicalboundaries, climate, hydrology, demographic, andproject-specific information on both Nanegal andCotacachi. The database includes, for example, a 10%sample of migrants in three SANREM study areas(N=771) as well as a 10% participatory census ofNanegal Parish. In addition, over 75 cognitivelandscape maps, 50 environmentally relevant folktales,and dozens of culturally relevant plants and theiraccompanying indigenous knowledge have beencollected. Two advocacy coalition databases in N-Vivo(text analysis program) have been completed along withtwo nested data bases consisting of 20 interviews atthe Secondary Level Organization level and 100interviews at the community level on social capital andorganizational capacity in 4 indigenous SLO's in Ecuador.A Global Water Quality Database has been developedwith links community-based, water quality monitoringprograms in various parts of the work, including Ecuador.A series of 3,258 bacterial samples have been takenfrom water sources in Cotacachi at 222 sites andanalyzed. Detailed characterization and geo-referencingof soils with respect to soil development, soil fertility,and erodibility has been completed. Land use changemodels projecting future scenarios based on 30 yearsof trend data have been completed for Nanegal whilesimilar historic land use trends for Cotacachi have beencompleted. Land use trend data over 30 years forQuilcas, Peru, has been collected and analyzed inparticipatory scenario building workshops.

2d. Training:

Twelve Ph.D. (Doctor of Philosophy) and eight Mastersstudents received full or partial dissertation support (9US, 7 Ecuadorian, 2 Peruvian, 1 Philipino, 1 European)for SANREM-Andes research. Over 300 individualsreceived training and information in SANREM-Andescourses, training workshops, and biodiversity fairs.Seventy-six citizens in Ecuador and 11 in Peru havebecome certified water quality monitors. Twelve

research briefs have been generated by the project.The books and articles published in more prestigiousoutlets have been extensively reviewed in the scientificliterature.

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community leaders and project staff have been trainedin various skills, including advocacy coalition andyouth-led memory banking. Scholarship support hasbeen given to 16 indigenous children for participationin memory banking. One indigenous project staff wasprovided assistance for matriculation at a localtechnical university.

Four Ecuadorian scientists provided on-site trainingin the US and at CIAT (Centro Internacional deAgricultura Tropical) in GIS and other spatial-information tools for NRM research.

3. Impacts

3a. Impacts at Local, Regional, and Gobal Levels:

Local: Impact study at the Nanegal site showed thatthree-fourths of participants used SANREMinformation and that 84% of those passed on thisinformation to neighbors. Sustainable cropping systems(bean and sugar cane) gave adopters a net increase infamily income of 11% leading to a doubling of areaplanted. Two Nanegal communities obtained legalstatus due to SANREM which stimulated betterconservation practices. Over a dozen endangeredculturally relevant plants as well as associatedindigenous cultural practices identified and rescued.Creation of awareness of water quality importance tohuman health leading to improvement of communitywater systems by citizens. Water monitoring helpedleverage German financial assistance to build waterdistribution systems in sixCotacachi communities. Watermonitoring data was vital toelection of SANREM projectindigenous collaborators topolitical office who areimplementing plans to dischargecity water with minimumenvironmental and health impactson approximately 20,000inhabitants. Agronomic and soilsresearch in Cotacachi hasdemonstrated means to improvesoil fertility and increase yields.Future visioning in Nanegal andQuilcas, Peru, has led to localinitiatives to push for infrastructureimprovements and compensationfor disenfranchise lands. Theadvocacy coalition research in

Ecuador and Peru has led to increased awareness andeffective action of local decision makers in terms oftheir rights and laws affecting land use, land ownership,and water regulations.

Regional: Project biodiversity data and land use mapswere utilized to design and execute the Choco-Andeanbiodiversity corridor stretching from Nanegal intoColombia (Global Biodiversity Hotspot). Throughparticipation in e-conferences, publishing, andpresentations, the research results of SANREM-Andeshas stimulated discussion, and hopefully impact on policy,of participatory research and natural resourcemanagement in the Andean region. The joint conferenceon integrated conservation and development reachedover 200 practitioners and policy makers while the e-conference on local institutions had over 350participants.

International: Project has directly influenced globalpolicies on mountain areas, especially the Andes - byincorporating ideas, plans, and laws which are sensitiveto mountain realities. Participation in the global inter-agency initiative on mountains and the International Yearof the Mountain has brought SANREM decision supporttools to mountain policy makers globally. RobertRhoades participated in the Mountain Forum, anetworking organization that reaches policy makersaround the world. Through participation of SANREMresearchers in the US Genetic Resources Council(advisory to the U.S. Secretary of Agriculture) newpolicies on intellectual property rights developed. Novel

approaches to legally protectingindigenous knowledge impactedEcuadorian external trade policynegotiations. Drs. Jan and CorneliaFlora's work on social capital andadvocacy coalitions impacted thinkingwithin the Poverty Section of the WorldBank. Global water monitoring databaseand methods have been adopted in Asia,U.S., and Latin America.

3b. Return to the United States:

All of the SANREM US PI's haveparallel projects in the U.S. in which

An impact study at the Nanegal siteshowed that three-fourths of participantsused SANREM information - 84% ofthose passed this information on toneighbors.

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the lessons learned, technologies, andmethods have beenapplied to improve the livelihoods or protect theenvironment in the U.S. Water monitoring equipmentand supplies are purchased from 2 U.S. companies, inone case to our project specifications. Discussions withthese companies have spearheaded establishment ofdistributorships in several countries where SANREMhas worked.

The advocacy coalition focus group methodology hasbeen applied to the planning process of four RegionalSustainable Development Partnerships in Minnesota,including training for a citizen-led watershedorganization in Iowa. In rural Iowa, the SANREM workhas informed a leadership program for new Hispanicimmigrants. Knowledge of fertility and erosion ofvolcanic ash soils can be useful to similar situations inthe U.S. Methodologies for low-tech assessment ofhydrologic processes, such as climate monitoringinvolving local collaborators, may be used in the US.Low-tech stream flow monitoring devices and runoffand sediment collectors may be used in domesticcommunity-based watershed monitoring activities. Thememory banking methodology has been adopted andapplied in saving endangered landraces and wildspecies among southwestern Native American groups(Arizona) and in the south with various ethnic groups(Southern Seed Legacy). The USDA is now asking thatthe memory banking method be applied to a study ofgermplasm acquisition among Vietnamese immigrantsand refugees. The memory banking method's originator,Dr. Virginia Nazarea, received the national PraxisAward in anthropology for her work. The futurevisioning methodology has been applied to the landuse planning process of Oglethorpe County, Georgia.Finally, the SANREM-Andes project has contributedto the international curriculum and programs at threeUS universities: Iowa State University, AuburnUniversity, and University of Georgia. In the case ofGeorgia, it has led to the signing of memorandum ofagreement between two Ecuadorian universities andUGA (University of Georgia).

3b. Tracking Impact:

In Ecuador an independent evaluation was made of thelocal impacts at the Nanegal site (103 participantssurveyed). In the US, each PI keeps a record of theirinvolvement of parallel projects in water, biodiversity,advocacy coalitions. Also, we have an integrateddatabase at three nodes (Athens, Quito, and Cotacachi)

in which all information, including impact information,is available.

4. Dissemination

SANREM-Andes disseminates its findings and outputsthrough publications, presentations, e-conferences,research briefs, participatory hand-on workshops,professional organizations, formal and informaltraining and PI involvement with internationalorganizations, boards, as well as in the classroom inthe US and abroad. SANREM PI's are in high demandas keynote speakers. The long list of critically reviewedpublications listed above testify to the tremendousoutreach of the SANREM team. The significant numberof research briefs written about the Andean project isempirical evidence of interest. Other groups, such asthe Asian Watershed Network, reprinted R. Rhoades"lessons learned"l article about participatory watershedresearch and distributed to 7000 readers. Novelapproaches have been developed. For example, futurevisioning and advocacy coalition was part of a graduatecourse at the National Agrarian University conductedjointly with the Grupo Yanapai and the Association ofLivestock Raisers of Quilcas, Peru, and attended bynational NGO's and policy makers. We developed ourown bilingual website which has now been taken overby the ME (Management Entity). The numerousconferences (including electronic) reach hundreds ofinterested individuals. An article in Southern LivingMagazine about the Southern Seed Legacy, the USparallel project to memory banking, reached over 2million US readers. Evidence of the effectiveness ofthe Andean outreach is the high number of requestsfor publication and invitation to keynote addresses.SANREM-Andes co-sponsorship of biodiversity fairs,women's days, visioning workshops, and so on guaranteea local spread of results.

5. Training and Institutional Strengthening

The SANREM-Andes has been one of the mostaggressive CRSP projects in training of graduatestudents, both from the US and host countries (seefigures above). Former US students are now employedby Heifer Project International, USAID, and CGIAR(Consultative Group on International AgricultureResearch) centers. One Peruvian student at ISU (IowaState University) is being groomed for a possible positionat the University of La Molina. Ecuadorian studentshave taken up posts with international NGO's, Ministryof Agriculture, and Ministry of Environment. Local

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indigenous participants have moved into higher positionsof political decision making. Ecologist Auki Tituana,recipient of an international prize for making Cotacachian ecological canton, is now respected as a potentialcandidate for the Presidency of Ecuador. RafaelGuitarra, co-PI in the ethnoecology project, is thePresident of UNORCAC (Union of Organizations ofthe Peasants of Cotacachi ). Galo Ramon and SegundoAndrango headed up a major World Bank project forindigenous people throughout Ecuador (over 2 millionparticipants) in which SANREM methods andapproaches were used. Magdalena Fueres, Co-PI onthe up-scaling project AND-09 is now council womanin Cotacachi, the first indigenous woman ever electedto the Canton Council.

Regarding institutional strengthening, the project hasimpacted community-level organization in Nanegal andCotacachi. Nanegal, a frontier, is a difficult place toinstitutionalize but legalization is one example of howSANREM-Andes helped. Cotacachi, however, is opento the need for second degree organizations(UNORCAC) articulating between the internationaland national levels in terms of development. In thiscase, SANREM's impact has been tremendous andmight well be the seed from which a new participatorydevelopment paradigm springs in the Andes. FourEcuadorian universities, 5 NGO's, 3 ministries, and 48communities have been engaged by SANREM in somecapacity. At the international level, R. Rhoades hascontributed to the development of the Mountain Forum.The Floras (AND-03) have been particularly effectivein building research capacity among NGO's. Workingwith Grupo Yanapai, Heifer International-Ecuador, andTerranueva, they have deepened the NGO's relationshipwith the grassroots organizations with which they workand trained the personnel in research methods. Contactsarising from the SANREM project have contributed toan exchange program between University of La Molinaand ISU that will substantially strengthen graduateprograms in Sustainable Agriculture at both institutions.The GIS work on future visioning and land use changehas benefitted from a close collaboration with theDireccion de Informacion sobre Recursos Naturales yOrdenamiento Rural (DINAREN) of the Minsterio deAgricultura y Ganaderia (MAG) in Quito, Ecuador.

6. Collaborative Relationships

i. Role of US-based scientists and HC scientists: Morethan 50 researchers (NO, universities, ministries, localcommunities) have participated as PI's, Co-PI's, and

collaborators. Approximately, 20% have been U.S.citizens while the remainder are Ecuadorians (majority)or Peruvians. All Andean activities are jointly planned,written, and executed. For management and budgetingpurposes, the main PIs are U.S.-based (ISU, Auburn,and UA). More than half of the budget has been spenton behalf of the host country. Research carried out inthe communities of Cotacachi must pass through a localapproval process. All proposals must be presented tothe communities in an assembly and the communitydecides on the relevance and approval of the project.The project participates with both UNORCAC whichhas 45 communities in its secondary level organization.The indigenous secondary organization in Ecuador isa para-statal organization which carries outdevelopment in their regions. At the same time, wehave a strong working relationship with the Mayor ofCotacachi who is the official government representativein the region. The SANREM-Andes project has beenstrong on NGO's, especially HPI (Heifer ProjectInternational), Terra Nueva, Communidec, EcoCiencia,CARE, Grupo Yanapai, and others. The NGO's havemainly been in charge of extension and application oftechnologies, research findings, and information withinthe communities. We have had a strong linkage withthree International Agricultural Research Centers(IARC's): CIP (International Potato Center), CIAT, andICIMOD. These international centers have helped intraining (CIAT in GIS and modeling), germplasm andmethods (CIP in Andean tubers), and methodsdevelopment (ICIMOD (International Center forIntegrated Mountain Development) in ecoregionalapproaches). Joint activities have been planned and arebeing planned with all three. As mentioned above thewater team works with monitoring suppliers to marketmaterials in the area where SANREM works. InEcuador, a private producer of quinoa has workedthrough SANREM to start farmers in the productionof organic quinoa for niche markets in the US.SANREM has assisted with a private agro-tourismcompany (linked to UNORCAC) in attracting touriststo the area.

7. Leveraged Funding External to USAID

Several recent grants should assist in the process. Theseare separate and complementary funds and are not fundsgoing to the SANREM project per se (an importantdistinction for government funding and the Contractsand Grants office of UA). R. Rhoades received aFulbright grant valued at $13,000 for research inEcuador (Spring 2003). The University of Georgia will

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provide salary support for research for both VirginiaNazarea and Robert Rhoades during their spring, 2003,research leave in Ecuador. R. Rhoades is a co-PI onan international Ecoregional grant (Dutch funded) of$500,000 to ICIMOD for methods development. Janand Cornelia Flora received a grant through theAssociation Liaison Office from USAID-Peru for anexchange program between ISU and the NationalAgrarian University. The Assembly of Cotacachi hasprovided funds for publication of citizens guides.

8. Accomplishments Related to Original "FiveYear Indicators" and Notes on Year 5 Plans

The EEP requested that all SANREM programsdevelop Five-Year Indicators as specific markers withwhich to measure progress. Although not requested aspart of this report, the SANREM-Andes team is proudto indicate that we have more than addressed the 12original indicators.

8a. Scientific and Indigenous Multimedia DecisionSupport Platforms:

Among the many decision support tools developed are:1) models (USLE, EPIC, LUC model, and futurevisioning); 2) social science approaches such asadvocacy coalition, social capital, and mental causalmodels; 3) ethnoecological methods such ascomparative mapping, participatory mapping; 4) Photo-simulation tools using digital cameras and Photoshop;5) Canton Atlas for natural resource planning will befinished in year 5. Most of these methods or productshave already been written up or are being written upfor general application. A final SANREM-Andesconference of all scientists and participants will be heldwith the local communities in March, 2003. Year 5 willalso be dedicated to final publication efforts.

8b. Case Studies of Landscape Level DecisionSupport Tools and Experiences:

Two major books published in both English and Spanishon the SANREM field experience (Nanegal and ICDPbook with CARE). Seven research briefs on SANREM-Andes produced and distributed by SANREM Memorybanking protocol published in Spanish by Abya YalaPress. Also, see full publication list of SANREM-Andes.

8c. Landuse Change/Hydrology Model (See indicator8a. above):

Three models near completion or in progress are FutureVisioning LUC model for Nanegal and Cotacachi, EPICmodel in AND-08 and USLE model in AND-07 as amaster's thesis at Catholic University. Social sciencemodels include advocacy coalition/mental causal modelsin AND-03 A book on soils and soil fertility gearedtoward local uses in Cotacachi by Dr. William Millerand Franz Zehetner in Spanish will be released in year5. Mr. Zehetner will also receive his Ph.D. in soils fromUA in 2003 based on his research in Ecuador.

8d. On-site Databases Established:

Databases are 75% complete and stored in threedatabase nodes at Catholic-Quito, Cotacachi (JambiMascaric) and UA. Database management led byCatholic University-Quito (Monsarrath Mejia) who isalso producing a decision makers Atlas for Cotacachi.Longitudinal data on both Nanegal and Cotacachiinclude 40 years of landuse and biodiversity change inaddition to socio-cultural and historical information.The databases represent unique information sources forlong-term analysis of environmental change.

The long-term study of Cotacachi biodiversity by MarciaPenafiel and her students will be published in 2002 aswell as a series of smaller reports. A policy brief will beprepared for the managers of the Cotacachi EcologicalReserve.

Students learn about plant diversity

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8e. Interactive Searchable Database Warehousingof SANREM-Andes Data:

The bilingual website established by SANREM-Andeshas been moved to the ME and is under managementof Robert Phares, information manager for SANREM.

8f. Case Study:

Ethno-Geomatics and Ethnoecological Methods-Comparative analysis of stakeholder interpretations of17 images of the Nanegal and Cotacachi Landscapescompleted. Mapping of sacred areas with environmentalsignificance completed for Cotacachi and linked todynamic indigenous cosmological interpretation.Working documents on use of future visioning forNanegal and Oglethorpe County, Georgia completed.

8g. NGO and Scientific Personnel Trained in FutureVisioning Methodology:

SANREM-Andes has worked intensely with 6 LatinAmerican NGO's (HPI, Terranueva, Communidec,EcoCiencia, Yanapai, and CDC (Centro de Dalos parala Conservacion (Ecuador)) training over a dozen hostcountry nationals. In addition, many host country andUS students have received opportunity for field trainingleading to higher degrees (Masters and Ph.D.'s.). Thedata is more complete in the above section on training.Training of indigenous technicians has been a centralpart of the work in Cotacachi.

8h. Community Training in Water Quality/Quantity:

Seventy-six citizens in Ecuador and 11 in Peru havebecome certified water monitors. In Cotacachi, a timeseries of 3,258 bacterial samples have been taken at222 sites in almost all of the 45 communities. A globalwater quality database is being developed and, finally,a synthesis monograph entitled "Laying the Foundationfor a Global Network of Citizen Volunteer, WaterMonitors: A Decade of Community-based WatershedAssessments," 1992-2002 will be produced in year 5. APh.D. economics thesis by an Ecuadorian student atOhio State University has begun and should becomplete in 2003.

8i. Training Manual on DSS Tools for Mountains:

During Year 5 the joint project with ICIMOD will cometo an end and a series of publications are planned basedon this joint activity.

8j. Case Study of Future Visions Scenarios:

In addition to the 4 articles already written, anadditional series in various formats will be producedin Year 5. Final testing will take place in Cotacachiduring the fall, 2002, and spring, 2003.

8k. Memory Banking Methodology:

This methodology has been translated and will bepublished in Spanish for Latin American distributionby Abya Yala Press of Quito. The method will beapplied on a wider scale in the Andes in Year 5 throughthe in situ project of the Peruvian government.

8l. UN Year of the Mountain:

SANREM-Andes participated (R. Rhoades, V. Nazarea,and 3 members of Cotacachi) participated in theinternational conference on mountains sponsored bythe government of Peru (June, 2002). We will play amajor role in the Mountain People Conference (one of3 official world conference for UN Year of theMountain) to be held at end of September, 2002, inQuito. We have also been a part of the Mountain Forum,including sponsoring an e-conference for the Andes.

SANREM Andes played a major role in theMountain People Conference,September 2002, Quito.

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Finally, the SANREM-Andes team will publish a bookon Cotacachi similar to the well received Nanegal book.This book will close out Phase II for the SANREM-Andes and the longer-term research in both sites.

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SANREM CRSPSustainable Agriculture and Natural Resource Management June 2002

Collaborative Research Support Program Annual ReportFunded by the U.S. Agency for International Development (USAID) AND-01

PrincipalInvestigatorRobert Rhoades

Co-PrincipalInvestigatorJuan HidalgoRafael Guitarra

OBJECTIVE 1Provide timely administration and coordina-tion support to Principal Investigators ofAndean projects; link with Management En-tity and other regional projects.

Annual AchievementsIn May, 2001, a full-time Field Coordinator(Natalia Parra) was hired and stationed inCotacachi, Ecuador, to oversee and coordi-nate SANREM-Andes activities. Natalia, aUS citizen and fully bilingual in English andSpanish, performed her duties with profes-sional excellence and dedication. ThroughUNORCAC, our Cotacachi host institution,a field vehicle dedicated strictly forSANREM field activity was arranged. Thevehicle will remain under SANREM controluntil May, 2003, when Phase II ends. Eachactivity project using the vehicle must pro-vide minimum upkeep funds of $300 whichcover costs of maintenance and fees associ-ated with the vehicle. Recent changes inSANREM reporting mechanisms (e.g., onlinesemiannual progress reporting) has reducedtremendously administrative transactioncosts. The SANREM-Andean team has metas a group 4 times in "coordination tables"since June, 2001.

All aspects of coordination, administration, andfinancial management have improved signifi-cantly during year 4 (2001-2002). These ad-vances are due to better knowledge of inter-national requirements by the Institute for Be-havioral Research (IBR) at UGA, strongercoordination between the subcontracting uni-versities (Auburn, ISU, and UGA's Anthro-pology and Crop and Soils). In addition, flowof funds and support to field projects has beenenhanced by increasing sophistication on the

Andes Coordination and Networkingpart of UNORCAC in management andreporting of field expenditures. The UN-ORCAC vehicle assigned to SANREMhas been a major improvement in theproject since researchers can easily get tothe field instead of having to wait on otherUNORCAC vehicles which are often notavailable.

OBJECTIVE 2Manage an organized central database andfacilitate communication and informationexchange among Andean SANREM re-searchers as well as among other partnersand collaborators in the Andean region.

Annual AchievementsOn July 16, 2001, a coordination meetingwas held at Catholic University-Quitowhere a set of guidelines was developedas to the responsibilities and roles in de-veloping the "databank" for the SANREM-Andes project. The "databank" is main-tained at Catholic University by the De-partment of Geography under the direc-tion of Juan Hidaldo (advisor), NelsonGomez (Head), and Monsarrath Mejia(database manager). It was agreed that aseparate computer would be obtained andmaintained by Ms. Mejia for quality in-put and distribution. All P.I.'s are requiredto submit research results for data entry.Assuming sufficient data entry, we agreedthat every six months a CD (CompactDisc) will be prepared for distributionamong researchers. The plan to sendRakesh Malhotra for future GIS trainingat Catholic did not occur due to changesin Mr. Malhotra's career plans. Follow-upto the SANREM-Andes data coordinationmeeting at Catholic University-Quito hasbeen excellent. All projects have directly

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supplied to Monsarrath Mejia (Catholic University SAN-REM database manager) relevant data from their projectand more is in the preparation stage. A beta-version ofthe database CD has been distributed.

During February, 2002, Monsarrath Mejia presented toDrs. Nelson Gomez and Juan Hidlago (Professors ofGeography) a progress report outlining the frameworkof the database as well as the content of the NaturalResource Atlas being prepared for Cotacachi. She pre-sented 10 finished maps (base map, administrative/po-litical, physical, geomorphological, geological, water-shed, soils, landuse, climate and irrigation). Additionalinformation for the Atlas is being sought for 32 otherrelevant categories ranging from human demographicsto flora and fauna. Health and women have been addedas important themes based on feedback fromUNORCAC and the mayor's office. A decision wasreached that the Atlas should be geared for local use/decision making and not for scientific or highly sophis-ticated analysis purposes.

A paper was presented by Monsarrath at the confer-ence "Symposium on Integrated Management of Wa-tersheds and Human Settlements" organized by IN-STRUCT (sister project at Catholic University) inOtavalo, Ecuador, during May 28-31, 2002.

OBJECTIVE 3Link the SANREM Andean project with the global in-teragency initiative for Chapter 13, Agenda 21 (Sus-tainable Mountain Development).

Annual AchievementsSANREM-Andes has continued to play a visible rolein the UN International Year of the Mountain and infostering the objectives of Chapter 13 (SustainableMountain Development) of Agenda 21.

Although 9/11 disrupted Robert Rhoades planned travelto the Mountain Forum Board meeting (R. Rhoadesrepresents North American) and World Mountain Con-ference in Switzerland, other opportunities were capi-talized on during the year. Fausto Sarmiento of UGAgeography organized a conference on montology com-paring Andes and Appalachia. "Montology", or the studyof mountains, was accepted by the Oxford dictionaryas a new word in 2001 thanks to the efforts of RobertRhoades.

In addition, a seminar in celebration of the Year of theMountain was organized by R. Rhoades and M.Shrestha in March, 2002, during the 62nd Annual Meet-

ing of the Society of Applied Anthropology, Atlanta, Geor-gia. Plans are being developed to have SANREM-Andesplay a significant role in the upcoming international Yearof the Mountain meetings in Huaraz, Peru (June 10-15)and Quito, Ecuador (September 17-22).

Advancesin Research - As witnessed by update achievementsof the three objectives (see this annual report), it is clearthat coordination and management of the integrated da-tabase is on target. Full-time coordination is in place,the database is organized and progressing, and - finally- SANREM Andes continues to play a visible role inadvancing the objectives of Chapter 13 (SustainableMountain Development), Agenda 21.

in Capacity Buildup - In the host country, capacitybuilding in research and database management atUNORCAC and Catholic University is progressing.Students have been trained on SANREM data at Catho-lic through classes, field visits, data retrieval, and build-ing of the Atlas. At UNORCAC, our field assistantshave been trained as well as indigenous youth in theprocess of research and data entry.

in Scaling Up - The lessons learned from SANREMhave been scaled-up through publications (see individualprojects) and participation in e-conferences and inter-national events organized under the International Yearof the Mountain. Evidence of scaling up can be seen innumber of request for information and guidance fromother integrated watershed projects.

in Policy Impact - While this project is primarily coor-dination, it is widely known that SANREM-Andes da-tabases have been applied in the ongoing process ofconstructing the Choco-Andean Corridor (funded byGEF) as well as other projects in the Nanegal area.

in Improved Environment and Natural ResourceManagement - By providing case studies, publications,technologies, and methodologies on sustainable moun-tain development, the SANREM-Andes project playsa concrete role in advancing improved highland envi-ronment and natural resource management on a local,national, and global scale.

Other Major Outputs in this Period* This is primarily a coordination project. See indi-vidual activities for specific research outputs.

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Theses and Dissertations

Jones, E. 2002. The Role of Wealth and CulturalHeterogeneity in the Emergence of Social Networksand Agricultural Cooperatives in an EcuadorianColonization Zone. PhD Dissertation (Department ofAnthropology) submitted to the Graduate School,University of Georgia, Athens, GA.

Training Degree

Name, Level, Start Date, Completion DateKarla Vasquez, Ph.D, 2000Aurelio Vicuna, M.S., 2001Shiloh Moats, Ph.D., 2001Lincoln Novilos, Ph.D., 2001Carlos Guitarra, M.S., 2001

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Ethnoecology: Stakeholder Perceptions and Use of AndeanLandscape Maps and Models

Principal InvestigatorVirginia Nazarea

Co-PrincipalInvestigatorRocio AlarconMagdelana Fueres

CollaboratorsCommunities of Nanegal& Cotacachi

OBJECTIVE 1To map local realities and stakeholder per-ceptions as input to "future scenarios" plan-ning exercise.

Annual AchievementsAs a general introduction to the annual re-port of achievements and progress towardsobjectives, it needs to be stated that theSeptember 11 terrorist attack on the UnitedStates upset much of our plans and con-siderably slowed down our progress. Thatsaid, a number of accomplishments canstill be reported. The first part of the yearunder review was devoted to investigat-ing the intimate-animate landscape fromthe perspective of the local people. Thisinitial research highlighted a dynamismthat we did not anticipate, with meaningsand attributions of sacredness constantlyshifting, and practical considerations andstrategic alliances often heavily weighingin on people's conceptions of the landscapeand their decision making pertaining toland use. We also noted the interplay ofethnicity, class, and religion in shapingpeople's stakes and positions, via the land,in global trends and movements. One suchnotable trend is ecotourism based on tra-ditional agriculture and cuisine. InCotacachi, the motto that has been adoptedis "rural tourism with indigenous identity".We have documented that, whether prin-cipally motivated by ecotourism or by adeeper search for this identity, there hasbeen a resurgence in the practice of tradi-tional rituals such as; 1) "burying thechicha", a ceremony of "giving back to theearth" the fruits of its generosity, includinga sample of all grains produced and a ves-

sel of the traditional fermented drink, 2)"calling the rain", an activity that can beparticipated in exclusively by innocentchildren to ask mother rain for relief fromdrought, and 3) making an offering tothe waterhole, a ritual of thanks for thecontinuous provision of one of the mostvital elements in people's lives. Olderpeople see this recuperation of their tra-ditional beliefs as key to the persistenceand transmission of their indigenous iden-tity.

With renewed interest, and in keepingwith local priorities, we have pursuedthe collection of local representations ofcharacters of folktales, mainly by schoolchildren. Maricel Piniero, RafaelGuitarra and Rocio Alarcon, have as-sembled a collection of these represen-tations of spirits, heroes, and trickstersthat animate the Cotacachi landscape.Natalia Parra, with our field assistants,has documented the ritual calendars ofboth the indigenous and mestizo popu-lations of Cotacachi.

OBJECTIVE 2To "groundtruth" scientific models, rules,and predictions regarding land usechange.

Annual AchievementsThe Ethnoecology/Biodiversity Labora-tory co-sponsored the book launchingfor Bridging Human and EcologicalLandscapes. A synopsis of research find-ings in Nanegal was presented by Rob-ert Rhoades, Virginia Nazarea, MaricelPiniero, and Eric Jones.

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In her dissertation on Women and Biodiversity inNanegal and Cotacachi, Piniero compared research-ers' maps and local maps at a much more micro levelthan previously investigated by focusing on women'shomegardens. She also added a diachronic dimensionby looking at women's representations of theirhomegardens in the past, present, and future.

A paper on "cultural envisioning" based on story comple-tion tests for both past and future scenarios will be sub-mitted to Human Organization. The Journal of HumanBiology has invited Nazarea to review a relevant newly-published book entitled Human Ecology in the NewMillenium.

SANREM research experiences and ideas have in-vaded the classroom and inspired student research.Based on work comparing scientific and folk models ofland use change in Ecuador, Nazarea developed andtaught a seminar on Landscapes and Memories wherestudents did firsthand research examining the different"lenses" through which the landscape is viewed. Un-dergraduate and graduate students in another course,Anthropology of Development, applied principles of par-ticipatory research to construct in-depth "profiles of de-velopment" that contributed insights to how develop-ment is perceived and responded to at a personal level.Much of the research analyzed changing patterns ofresource management and urban and rural land usechange from varying perspectives.

In addition, a special component focused on SANREMresearch participants and came up with interesting re-sults, evaluations, and recommendations (research out-put provided to SANREM ME).

OBJECTIVE 3To put Decision Support Information to use by sup-porting local initiatives in biodiversity conservation em-phasizing the role of local youth and of women

Annual AchievementsWe claim at least partial credit for the resurgence ofinterest in traditional plants, farming practices, foodpreparation, and rituals in Cotacachi. The 'becarios', oryoung memory bankers, have contributed to the"memory bank" and seed accessions in Jambi Mascaricand along with their parents have expanded the com-munal in situ garden.

The women, supported by the indigenous leaders, arecontinuing the tradition of the annual Biodiversity Fairand plans for 2002 were discussed by the PI and Co-PI

with Magdalena Fueres and Rafael Guitarra in Huaraz,Peru during the Year of the Mountain Conference.

In terms of scaling up, Nazarea and Rhoades also metwith Maria Scurrah (CIP plant breeder and NGO presi-dent) and Miguel Hole (CIP Horticulturist and ProgramLeader for In Situ Conservation of Andean Crops) inAthens, GA to plan for a research project on in situconservation that spans Bolivia, Peru, and Ecuador.

Two book manuscripts are in preparation. One is onthe role of seed savers in biodiversity conservation,Marginalities of the Mind: Countermemory in the Per-sistence Of Biodiversity, is being considered for inclu-sion in the Duke University Press series co-edited byDiane Rochealou and Arturo Escobar. An article on thesubject was recently submitted by Nazarea to Ameri-can Anthropologist for review. The second is on thecultural/legal interface of intellectual property rightsand plant genetic resources, entitled Culture and Lawin Biodiversity Conservation and Use: An Uneasy In-terface. Nazarea's commentary on Ronald Nigh's ar-ticle on bioprospecting was published in the June issueof Current Anthropology.

Publications

Rhoades, R. V. Nazarea, M. Piniero. 2001. Contrast-ing scientific and local valuations of land use change:The future visioning methodology. Pp. 333- 349 in R.Rhoades, editor. Bridging Human and EcologicalLandscapes: Participatory Research and SustainableDevelopment in an Andean Frontier. Dubuque, Iowa:Kendall/Hunt Publishing Company.

Other Major Outputs in this PeriodConference Presentations

Nazarea, V. 2001. Seedsavers and Jumping Genes:Blessed are the Unseen. Annual Meetings of theAmerican Society of Agronomy, Crop and SoilScience of America, and Soil Science of America.Charlotte, NC.

Nazarea, V. 2001. Tenuous Times and TransientGardens in a Globalizing World. In-situConservation of Agrobiodiversity. Biodiversity andGenetic Resources Workshop. Lima, Peru.

Nazarea, V. 2001. Women and Homegardens inEcuador: The Forgotten Question. ConferencePaper. Society of Ethnobiology Conference.Durango, CO.

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Thesis and Dissertations

Piniero, M. 2002. Biodiversity and Marginality:Dilemma of Economic Development Ethnoecology/Biodiversity Laboratory, SANREM CRSP ANDESProject, Department of Anthropology, University ofGeorgia, Athens, GA.

Tools

Nazarea, V., R. Alarcon, E. Tison, and M. Piniero.2001. Costumbres del Ayer, Tesoros de Manana.Quito, Ecuador: Abya-Yala. Memory bankingprotocol and teaching packet in Spanish for localstudents.

Training Degree

Name, Level, Start Date-Completion DateMaricel Piniero, Ph.D. 9/1995- 5/2002

Training Non DegreeWorkshopInternational Day of Women: Indigenous People andBiodiversity was attended by 30 person(s) and lasted 1day(s).

Women's Health, Tourism, and Folklore was attendedby 40 person(s) and lasted 7 day(s).

Biodiversity and Water Training Given to Children wasattended by 258 person(s) and lasted 7 day(s).

Biodiversity Fair and Workshop was attended by 415person(s) and lasted 2 day(s).

Biodiversity Gardens for Children was attended by 16person(s) and lasted 2 day(s).

Planting Field Day of Mashua was attended by 16person(s) and lasted 1 day(s).

Research Methods and Computer Database Manage-ment was atteneded by 2 person(s) and lasted 7 day(s).

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Integrated Institutional Management:Social Capital, Institutional Capacity andEnvironmental Capital in the Andes



Principal InvestigatorJan Flora

Co-PrincipalInvestigatorCornelia Flora

OBJECTIVE 1Identify and analyze Sustainable NaturalResource Management (SNRM) issues anddecision points within local regional, na-tional and international context

Annual Achievements

Completed two advocacy coalition databases in N-Vivo (text analysis program).Edith Fernandez-Baca then developed astep-by-step methodology for summarizinginformation on tools needed by institutionalactors, as well as desired future states andmental causal models by institution and bycoalition for the three issues studied. InEcuador, data base with 27 interviews and5 focus group interviews was transcribed,coded and entered in program. In Peru, ateam of community members and of GrupoYanapai (NGO) completed 17 individualinterviews and 1 focus group interview,transcribed, coded, and entered them in N-Vivo data base. [Three or four interviewsat the national level remain to be done inyear 5.]

OBJECTIVE 2Develop Decision Support tools for encour-aging sustainable natural resource manage-ment (SNRM) that are appropriate for dif-ferent institutional levels and different in-stitutional actors.

Annual AchievementsRegional Level - Peru:

In Peru, the active participation of commu-nity leaders in the advocacy coalition in-

terviews and their reporting back to com-munity assemblies on a regular basis re-sulted in their becoming aware ofCONACAMI (Consorcio de ComunidadesAfectadas Por la Mineria; the Consortiumof Communities Affected by Mining), par-ticipating in their meetings, and applyingfor membership in the Consortium. Theyalso learned about the Defensoria delPueblo, the National Government's ombuds-man office, by interviewing the head of theirregional office. They were able to call uponthat organization when the mining companyexecutives failed to show up for a sched-uled meeting with the Community ofQuilcas and other communities.

Further, the land study carried out by GrupoYanapai along with community members,provided a sound knowledge base for theCommunity President to negotiate with ad-jacent communities regarding boundarydisputes. Although neither the boundary is-sue nor the mining issue has been resolved,community members and leaders have ac-quired a feeling of efficacy.

Local Level - Ecuador:

Regarding work in the Pitzambitze sub-wa-tershed, the inventory of cultural resourcesin the watershed that was carried out bythe young people was related to the devel-opment of a committee of stakeholders todeal with the obstruction of the river bankand pollution of the water by animals andhumans in violation of the laws regulatingstream bank protection.

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OBJECTIVE 3Disseminate SNRM Decision Support tools and publi-cations to appropriate actors at appropriate levelsthroughout the Andes and beyond; train people to imple-ment and evaluate efficiency and effectiveness of De-cision Support (DS) tools.

Annual AchievementsPapers have been given at conferences sponsored bythe United Nations' Economic Commission for LatinAmerica and the Caribbean and at the Inauguration ofRobert A. and Ruth E. Polson Institute for Global De-velopment at Cornell University.

Publications

Book Chapters

Flora, C. 2001. The creation of social incentivesfor the conservation of biodiversity. Pp. 135-144 inR. Rhoades and J. Stallings (Eds.) IntegratedConservation and Development in Tropical America:Experiences and Lessons in Linking Communities,Projects, and Policies. Athens, Georgia: SANREMCRSP and CARE-SUBIR.

Flora, C., F. Larrea, M. Ordonez, S. Chancay, S.Baez, F. Guerrero. 2001. Production strategytypology for sustainable agriculture and naturalresource management. Pp. 193-213 in R. Rhoades(Ed.) Bridging Human and Ecological Landscapes:Participatory Research and Eco-Development in anAndean Region. Dubuque, IA: Kendall/HuntPublishing Company.

Flora, J. 2001. Creating local and nationalcapacity for the integration of conservation anddevelopment projects. Pp. 193-206 in R. Rhoadesand J. (Eds.) Integrated Conservation andDevelopment in Tropical America: Experiences andLessons in Linking Communities, Projects andPolicies. Athens, GA: SANREM CRSP and CARE-SUBIR.

Flora, J., M. Bravo, C. Flora and S. Andrango. 2001.Community sustainability in an Ecuadorianlandscape: the role of economic, human,environmental and social capital. Pp. 291-313 inR. Rhoades (Ed.) Bridging Human and EcologicalLandscapes: Participatory Research and SustainableDevelopment in an Andean Agricultural Frontier.Dubuque, IA: Kendall/Hunt. Publishing Company.

Gasteyer, S. and C. Flora. 2001. A Common Source:Comparing Community Water Quality ProtectionInitiatives. Pp. 10-25 in Rising Tide: CommunityDevelopment Tools, Models, and Processes.Sackville, NB: Rural and Small Town ProgrammePress.

Larrea, F., C. Flora, M. Ordonez, S. Chancay, S.B·ez and F. Guerrero. 2001. A typology of familyproduction strategies for sustainable agricultureand natural resource management. In: RobertRhoades (Ed.) Bridging Landscapes and Lifescapes:Participatory Research and Sustainability in anAndean Region. Dubuque, IA: Kendall HuntPublishing Company.

Ordonez, M. and C. Flora. 2001. Productionstrategies and gender. Pp. 215-230 in R. Rhoades(Ed.) Bridging Human and Ecological Landscapes:Participatory Research and Eco-Development in anAndean Region. Dubuque, IA: Kendall/HuntPublishing Company.

Books

Flora, C. (Ed.). 2001. Between Agroecosystems andRural Communities. Boca Raton, FL: CRC Press.

Journal Articles

Gasteyer, S., C. Flora, E. Fernandez-Baca, D.Banerji, S. Bastian, S. Aleman, M. Kroma, and A.Mears. 2002. Community participation forconservation and development of naturalresources: A summary of literature and report ofresearch findings. Delta Development Journal. 1(2):57-84.

Other Major Outputs in this PeriodBriefs

Flora, C. 2002. Typologies of Production andPower: Household Livelihood Strategies andGender Roles in an Andean Frontier Economy.SANREM CRSP Research Brief No. 8.

Flora, J. 2002. Capital, Community and CollectiveAction: Social Foundations of Sustainability in anAndean Buffer Zone (Ecuador). SANREM CRSPResearch Brief No. 9.

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Conference Presentations

Flora, J. 2001. Advocacy Coalitions and NaturalResource Management at the LocalLevel:Examples from the Andes. Invitedpresentation at Global Developments in the 21stCentury, Inauguration of Robert A. and Ruth E.Polson Institute for Global Development, CornellUniversity, Ithaca, NY. September 21-22.

Flora, J. and C. Flora. 2001. ConstruyendoComunidad en Zonas Rurales de los Andes y delos Estados Unidos. Presentation at InternationalInvitational Conference entitled "Social Capital andPoverty Reduction in Latin America and theCaribbean: Toward a New Paradigm." MichiganState University and the Economic Commission forLatin America and the Caribbean (ECLAC):Santiago, Chile. Sept. 24-26.

Research Reports

Nunez M., E. Olivera, R. Canto, and M.M. deScurrah. 2001. Estudio de Uso de la Tierra en laComunidad Campesina de Quilcas. Grupo Yanapai,Huancayo, Peru.

Training Degree

Name, Level, Start Date-Completion DateEdith Fernandez-Baca, Ph.D. 1999-

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Water Resources and Environmental Education in TwoAndean Watersheds

Principal InvestigatorBryan Duncan

Co-PrincipalInvestigatorWilliam Deutsch

OBJECTIVE 1Provide technical support to citizen monitor-ing groups for collection of data on waterquantity and quality at Nanegal andCotacachi sites.

Annual AchievementsMr. Ruiz Cordova conducted 3 bacteriologi-cal surveys of surface and drinking waterwith members of UNORCAC communitiesin Cotacachi Canton. Sampling was con-ducted with the help of volunteers andUNORCAC Water Monitoring CoordinatorNicolas Gomez. About 1275 bacterialsamples were collected from about 200 sitesin 50 communities. Most communities wereaffiliated with UNORCAC in CantonCotacachi, and the cities of Imantag, Quirogaand Cotacachi. Analysis of those samples in-dicated the presence of coliform bacteria in69% with 34% indicating presence of E. coli.Analyses of water from the cities of Quirogaand Cotacachi indicated no coliforms.

One hundred and seventeen records of physi-cal-chemical data from 83 sites were col-lected from June 2001 to May 2002. Forty-three percent of these records come fromstreams, 24% from springs, 13% from irri-gation canals and 20% from reservoirs, LakeCuicocha and other surface sources. Mostphysical-chemical analyses were within de-sired limits.

Bacterial and physical-chemical data wereentered into the computer database at PUCE-Q (Pontifica Universidad Catolica del Ecua-dor-Quito) and the SANREM computer atJambi Mascaric in Cotacachi. The munici-pality of Cotacachi last year had requested

SANREM to introduce an inexpensivemethod for BOD (Biological OxygenDemand) testing. The tests would beused to monitor stream water quality at24 sites where the municipality dis-charged waste. This activity was put onhold due to municipality financial con-straints.

Substantial progress has been made de-veloping the Global Water Quality Da-tabase that will link Ecuador, Philip-pines, Alabama Water Watch, and otherdeveloping community-based waterquality-monitoring projects. A conserva-tive goal is for the database to be func-tioning for online data entry well beforethe end of Year 5.

OBJECTIVE 2Establish partnerships and linkages forresearch, outreach & training/educationactivities in Andean region

Annual AchievementsTwo certification Workshops on WaterQuality Monitoring were conducted, inEcuador, with participation of 16 vol-unteers. Environmental education talkshave been extended to several schoolsand communities by UNORCAC after asuccessful beginning with elementaryschool children in La Calera. On Janu-ary 24th, 2002 Rafael Guitarra Presidentof UNORCAC and Auki Tituana, mayorof Cotacachi, signed a cooperationagreement to conduct water qualitymonitoring in the watersheds of the Can-ton as part of a general plan for naturalresources management.

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Strengthening institutional partnerships and linkages wasdone through joint activities, including training, work-shops, technical support, and database development. TheDirector of Eco-Development for the Ecuadorian Ama-zon Region (ECORAE) has approached SANREM part-ners to explore the possibility of starting water qualitymonitoring activities in this region that covers 50% ofthe country and from where 90% of Ecuador oil is ex-tracted. Over the past decade poverty and environmen-tal degradation have worsened. ECORAE is seekingSANREM assistance for water quality monitoring andenvironmental management. The presence of headwa-ters of the Amazon river system give this region consid-erable importance. Auburn University personnel par-ticipated in a two-day tour of the region by ECORAE,and the director has made plans to travel to AuburnUniversity for discussions. Leveraging of oil companyfunding is a possible source of support.

OBJECTIVE 3Assist Andean program leader with overall coordina-tion of Andean project as well as backstop efforts atassessing the impact of water monitoring research.

Annual AchievementsA well-qualified social scientist and development spe-cialist has been engaged to conduct a research activityon institutional change related to community-based wa-ter quality monitoring. This activity will be conductedin Year five.

OBJECTIVE 4Write a monograph on the topic of developing commu-nity capacity for bacteriological assessment of water,and protection and restoration of aquatic resources.

Annual Achievements

This objective has been strengthed and broadened. Adetailed outline for the synthesis document (Laying theFoundation...) was finalized at a second meeting of thewriting team, and writing of sections initiated.Bacteriological assessment of water will be writtenseparately. A major revision of the technical manualfor bacteriological monitoring has not yet beencompleted.

Advancesin Research - Two training courses (Basic Certifica-tion Workshops) were conducted, kit refills provided,and data submission formats completed in associationwith development of the Global Water Quality Monitor-

ing Database. A multiple-country Training-of-Trainerscourse was planned for this year, but due to difficultiesin obtaining visas among others, the course was can-celled.

in Capacity Buildup - Several individuals of theAndean region continue to monitor, train and developskills. However, upon reassessment institutionalizationand the ability of partners to take over monitoring anddata management has come into question. It is suspectedthat lack of financial resources on the part of our prin-cipal partner, and a low priority for water activities arein part responsible. An assessment will be conductedby a collaborating social scientist in year 5.

in Scaling Up - No further assistance to Peru this year.Scaling-up to communities in the Intag River Water-shed was accomplished. These communities, which arenot affiliated with UNORCAC, had requested trainingand assistance establishing water-monitoring groups.SANREM was invited to assist with community-basedwater quality monitoring and environmental manage-ment in the Amazon region of Ecuador. Discussionsare taking place with the Director of Eco-Developmentfor the Ecuadorian Amazon Region (ECORAE) to de-fine possible relationships.

in Policy Impact - With SANREM participation anagreement was developed and signed betweenCotacachi Municipality and UNORCAC to conductwater quality monitoring in the watersheds of the Can-ton as part of a general plan for natural resources man-agement. In interviews with the mayor of Cotacachi hehas declared his intentions to use this information toelaborate water policy for the municipality. A memberof the Cantonal Assembly has a strong interest in waterquality monitoring. He has provided entry into severalcommunities, transportation for the UNORCAC moni-tor, and funds to print a manual. It is hoped that thisrelationship will lead to stronger partnering by localgovernment.

in Improved Environment and Natural ResourceManagement - Bacterial surveys identified problemswith surface and drinking water in several communi-ties. Results were presented to leaders in each commu-nity who are taking actions to solve the problems. As aresult of water monitoring in the Cambugan Systemthat provides water to six large communities affiliatedwith UNORCAC, a distribution tank is being con-structed with funds leveraged from Germanassistance.Fencing is also being erected to exclude ani-mals from critical points in the system.

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Other Major Outputs in this Period* Training was conducted in Ecuador for basic certifi-cation of water quality monitors. Sixteen persons, in-cluding two women, received this training.

* Water quality data was moved from Excel to Accesssoftware in preparation for inclusion in the Global Wa-ter Quality Database.

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Sustainable Mountain Futures: Linking People andInformation for Effective Landscape Decision-Making in

the Andes


Co-PrincipalInvestigatorMarcia Penafiel CevallosMonsarrath MejiaHernan VelasquezJose Iqucio Sanz Juan Hidalgo

CollaboratorsCommunities ofNanegal andCotacachi

OBJECTIVE 1Integrate data from the SANREM-Andesactivities (land use/biodiversity, hydrology,ethnoecology, institutions) into a "FuturesScenario" modeling process at two Ecuador-ian test sites (Nanegal and Cotacachi).

Annual AchievementsDuring 2001-2002, the SANREM-Andesteam identified data requirements for comple-tion of testing of the future visioning meth-odology at the Nanegal site while simulta-neously advancing data integration forCotacachi.

By completing the Nanegal exercise, andpublishing and/or presenting the results inseveral venues, we were able to identifyweakness and strengths in the process andattempt to overcome them in Cotacachiwhere we expect richer data. Central to dataintegration is the multi-temporal landusechange study of the Ministry of Agriculture(Hernan Velasquez) and central databasebank directed by Catholic University(Monsarrath Mejia). The thirty year trendstudy of landuse change has been completed(see AND-08) and approximately 75% of thedata gathered in the SANREM-Andes projectis now in the central database with Catholic.The team is now identifying missing com-ponents of the modelling process.

One addition to the database has been thecommencement of the economics Ph.D. dis-sertation of Fabian Rodriquez at Ohio StateUniversity ("Local Resolution of the localnatural management issues: The case of wa-

ter allocation and management in Cotacachi,Ecuador").

Three biodiversity reports written by MarciaPenafiel of Jatun Sacha/CDC-Ecuador andher students were completed in 2001-2002and submitted for publication. These reportsare: (1) Flora and Vegetation of Cuicocha;(2) Multitemporal study of vegetation changein the Canton Cotacachi and Surroundings;and (3) Ecological Diversity of the CantonCotacachi.

These studies, which are the most detailedof those conducted in the region, provide sci-entific data on distribution and change of floraand fauna of the region. The results are be-ing published in a forthcoming book by AbyaYala Press sponsored by SANREM. Finally,the results are being used by the governmentauthorities of the Cotacachi Cayapas Eco-logical Reserve for establishment of newmanagement policies and practices. Biblio-graphic research on future visioning meth-odology has been complete and theSANREM-Andes is prepared to cooperatewith the ME in its preparation of a "whitepaper".

OBJECTIVE 2Test and refine the participatory future sce-narios modeling exercise with a hierarchy ofdecision-makers (internal and external) con-nected with the landscapes around Cotacachiand Nanegal.

Annual AchievementsIn July, 2001, the first formal "future vision-ing" activity was conducted with the com-

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munity of Palmitopamba, Nanegal Parish, Ecuador.Twenty-five key community members participated (15males and 10 women). Scientific generated images ofpast, present, and future photo-simulated landscapes(1950-2030) were presented and debated by the fullcommunity. Community-generated future 2030 imagesof the same landscape were then created based on ageand gender categories. In the months following theNanegal testing, significant progress has been made onrefining the methodology tested first in Nanegal. Wedesigned a method to capture quantitative indicators ofdifferent stakeholder groups visions of the future. Fur-ther testing of landscape presentation verified that thephotographic panorama was still the most useful instru-ment and ways of improving both the scale, detail, andreadability of the changing panorama has been sought.Digital cameras and improved Photoshop manipulationhas aided improvement in the process. In testing themethod with "outside" stakeholders (foreign conserva-tionists, government officials, scientists unfamiliar withthe area) we have found they tend to interpret the chang-ing landscape as a result of deforestation and land deg-radation. This contrasts sharply to local people who en-vision landuse change as a progressive community drivenprocess.

This drives home the point that there are significantdifferences in the way the different stakeholders (plan-ners/scientists and local people) understand landusechange. We have also learned that it is not necessary todo future visioning with computers and cameras butthat group interaction and historic drawings and projectscan serve just as well. The best evidence from thiscomes from the test case of Quilcas in the MantaroValley, Peru, where SANREM-Andes has funded fu-ture visioning work as community planning and policyformation process (see AND-03).

Facilitated by Maria Scurrah (President of Yanapai),different groups of community members conducted alanduse study and constructed 6 maps during 8 work-shops. Using a map (1:25000) of the Peruvian Minis-try of Agriculture, locally generated information wassuperimposed. For historic data, aerial photographsfrom 1960 were used to stimulate memory as were oldersoil maps, community documents, and other data. GIS,computers, and other modern instruments were notused. The community gleaned that it has lost over halfof its land through privatization and illegal land claims.The traditional agriculture systems of "turnos" had beendisrupted and losses in biodiversity and animals hadoccurred in all production areas as well as loss of irri-

gated areas. The community is using the future vision-ing study to negotiate with the mining industry and thegovernment to get compensation for lost land as wellas reclaim as much as possible.

The important point is that future visioning is potentiallya methodology which can take many forms as long as ithelps community understand the past and potential sce-narios in the future.

OBJECTIVE 3Extrapolate the Future Scenarios methodology to otherglobal mountainous landscape/watershed projects as acontribution to Agenda 21, Chapter 13.

Annual AchievementsBased on future visioning activity in year 4, three ar-ticles and two reports have been published and fourconference presentations were made. These publica-tions and presentations have fostered a demand by de-velopment organizations for information on the futurevisioning methodology.

One example of potential scaling up comes through theinterest of the Cornell International Institute for Food,Agriculture, and Development (CIIFAD) which hasprograms in Central America, the Andes, Indonesia,Philippines, Southwest China, Madagascar and Ghana.R. Rhoades was invited to give a keynote presentationin an "International Workshop on Watersheds and Com-munities" (May 5-14, 2002) to an experienced group ofresearchers and practitioners from many of these coun-tries. Other invitations were received from North Caro-lina State University and within the state of Georgia.The programed conference with CIAT continues in aplanning stage. Progress was made through an e-conferencing chat room but stronger effort needs to beforthcoming if the envisioning workshop is to becomea reality in 2002. Changes in leadership and staffing aCIAT has not been conducive to accomplishment ofthis joint activity although funding was provided di-rectly to CIAT to make the collaboration happen.

Advancesin Research - 1. Integrated database 75% completewith 10 maps ready for the hard copy and computer-ized Atlas; 2. Multi-temporal landuse change study(1963-1990) completed with thematic overlays and ef-forts are underway to extrapolate to 2030; 3. Ph.D.dissertation on economics on efficient water allocationand rights continues with a 2003 completion date; 4.Call for papers for the SANREM-Andes monographon Cotacachi sent to PI's and other researchers; 5.

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Three biodiversity reports completed and the Abya Yalabook on the "Flora and Vegetation of Cuicocha" is nowin press. 6/7. Three methods papers completed on thefuture visioning methodology; papers being prepared asacademic journal articles to be submitted in 2002-2003.

in Capacity Buildup - 1. One US SANREM Ph.D.graduated in May, 2002 (Eric Jones on colonization andnatural resources); three masters in Ecuador completed(Marco Tipan, Karla Vasquez, and Lincoln Nolivos) atCentral University; four undergraduate research projectssupported and one indigenous researcher (CarlosGuitarra) completed one year of technical agriculturecollege. 2. One conference and training session on da-tabase management provided by Catholic University toUNORCAC and Municipality of Cotacachi as part ofthe Atlas building process.

in Scaling Up - 1. "Ten Lessons Learned" based on theNanegal experience is the concluding chapter of thebook by Kendall/Hunt Publishers (R. Rhoades, editor)and an expanded version will be developed during Year5 of SANREM; 2. The joint workshop with CIAT con-tinues on the planning calendar but, since CIAT controlsthe funds, SANREM can do little to guarantee that thishappens. 3. During the year, SANREM-Andes set theground work to sponsor a international e-conferencewith the Mountain Forum (Andes-Condesan), an inter-national conference in Huaraz, Peru, with the foreignministry of Peru, and in September, 2002, one of themain international conferences of the Year of the Moun-tain in Quito, Ecuador. Cotacachi will be showcased inthis conference. 4. The documentary film is in the plan-ning stage for Year 5.

in Policy Impact - Reports of the biodiversity work ofMarcia Penafiel has impacted the new policies of theCotacachi Cayapas Ecological Reserve by identifyingareas and species endangered. The economics researchis still in an early stage to have impact. The series ofenvisioning exercises planned for Year 5 will help de-fine the policies of UNORCAC as well as the munici-pality of Cotacachi.

in Improved Environment and Natural ResourceManagement - 1. Development agency demands forthe future visioning methodology is increasing due to itsinnovative qualities; 2. The Nanegal and Cotacachi caseswill serve as beacons or models which can be repli-cated in other cases; 3. Actual management plan forthe Pitzimbizi in Cotacachi will lead to improved NRM.

PublicationsBooks

Rhoades, R. 2001. Tendiendo Puentes Entre LosPaisajes Humanos y Naturales. Abya-Yala, Quito.

Other Major Outputs in this PeriodBriefs

Diamond, B. 2002. Pasture Preferences: TheEcology and Economics of Andean Farmers'Decisions. SANREM CRSP Research Brief No. 10.

Nazarea, V. 2001. Looking at the LandscapeThrough Local Lenses: Integrating CommunityValues and Variation in Indicators of Sustain-ability. SANREM CRSP Research Brief No. 6.


Nazarea, V. and R. Rhoades. 2001. CulturalInvisioning of Land Use Change in Nanegal,Ecuador.

Training Degree

Name, Level, Start Date-Completion DateLincoln Nolivos, Ph.D. 9/1/99- 5/15/02Karla Vasquez, M.S. 9/15/99- 5/15/02Brian Campbell, Ph.D. 2000-Eric Jones, Ph.D. 1999-

Training Non Degree

WorkshopDatabase Management was attended by 38person(s) and lasted 1 day(s).

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Effects of Land Use Change on Long-term Soil Fertility,Crop Productivity and Water Quality in Cotacachi

Principal InvestigatorWilliam (Bill) Miller

Co-PrincipalInvestigatorFranz ZehetnerOBJECTIVE 1

Select with local community guidance a rep-resentative first-order watershed to which themodel developed in this activity will beimplemented

OBJECTIVE 2On a field-scale, assess long-term changesin soil fertility, crop productivity, as well asnutrient export by erosion and runoff usingan erosion / nutrient cycling / crop growthmodel (EPIC = Erosion-Productivity ImpactCalculator).

Annual AchievementsThe samples of the soil fertility monitoringactivity have been analyzed for pH, organicmatter content, soil test values for micro andmacro nutrients, cation exchange capacityand base saturation, electrolytic conductiv-ity, soil texture and water holding capacity.

A geo-referenced soil database was created,and the areas between the sampling locationswere spatially interpolated in a GIS. Mapscovering the entire Andean study area weregenerated for each soil parameter, and soilfertility characteristics were statistically ana-lyzed as a function of soil parent material,elevation, and land management. The ob-tained soil database and maps will serve as abasis to extrapolate model predictions fromthe communities studied in depth to the en-tire area pertaining to UNORCAC.

The crop growth modeling will be conductedusing the DSSAT crop growth models ratherthan the EPIC model. The DSSAT modelsare more mechanistic and have been used innorthern Ecuador by our collaborators from

CIP. They have studied the crop specificDSSAT input parameters for the local cropvarieties, which will be utilized in this ac-tivity and thus improve the quality of themodel predictions. All soil and climate re-lated model input parameters collected forthe EPIC model will be used, with minoradjustments, as inputs for the DSSATmodels. The input databases have beencompleted, and first DSSAT model runsare being performed.

OBJECTIVE 3Evaluate the impact of land use and landmanagement on biodiversity of flora andfauna in the study area.

Annual AchievementsThe analysis of past land use change andthe elaboration of future land use changescenarios conducted under Objective 4 ofAND-08 is being linked to the biodiversitystudy performed under AND-07.

OBJECTIVE 4Scale up the field-scale modeling outputsto the watershed level using raster GIS.

Annual AchievementsRainfall-runoff studies using a rainfallsimulator, infiltration tests to estimatesaturated hydraulic conductivity and othersoil analyses showed that the soils in thestudy area are generally very stable andthus not very susceptible to sheet erosion.However, in the presence of amorphousvolcanic minerals, the soils tend to get su-persaturated, and in many parts of thestudy area, the recent soils are underlainby very compacted paleosols with re-

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stricted water infiltration. This favors mass-wasting, thedownhill flow (solifluction) or slide of soil material onsteep slopes. Evidence of this type of soil erosion isfound throughout the study area. In light of these find-ings, the work under Objective 4 has been adapted tocapture the impact of land use change on mass-wast-ing phenomena rather than on sheet erosion. For thesecond study area in the subtropical part of Cotacachi(see Year 5 workplan), aerial photographs from the years1966, 1977, 1990, and a satellite image from the year2000 have been interpreted, on the basis of which multi-temporal land use maps will be prepared. For both theAndean and the subtropical study area, past and presentmass-wasting phenomena will be identified and quan-tified using aerial photography, and correlated with landuse history.

OBJECTIVE 5Route sediment and runoff through the landscape andevaluate nutrient export and water quality changes. Planfor this period: This objective will be achieved by theactivities proposed under the modified Objective 4.

OBJECTIVE 6Incorporate the model into the "Future Visioning Meth-odology" and case study as well as show local peoplehow to interpret and use the model results as a decisionsupport tool.

Annual AchievementsDue to changes in both the field-scale crop growthmodeling as well as the watershed-scale analysis of landuse impacts on soil degradation, the seminar originallyplanned for the second half of year 4 was postponed toYear 5.

Advancesin Research - 1. Multi-temporal land use maps are readyfor the Andean study area, and under construction forthe subtropical area; 2. The soil fertility database cov-ering all the UNORCAC communities is ready; 3. Onemanuscript (soil formation) is written and will soon besubmitted to a peer-reviewed journal.

in Capacity Buildup - 1. Nicolas Gomez, our localactivity coordinator, has been trained in the interpreta-tion of soil testing results with respect to land manage-ment and fertilizer recommendations. Further trainingis planned for Year 5; 2. The workshops as well as thepublication of the book are planned for Year 5.

in Scaling Up - 1. The geo-referenced soil databaseand GIS coverages of individual soil properties, whichare the basis for the extrapolation of modeling results tothe entire Andean region of UNORCAC, are completed;2. The expansion of the land use change analysis to thesubtropical region of Cotacachi is in progress (photointerpretation is already completed); 3. Collaborationwith our Belgian colleagues is planned to be initiated atan international geomorphology conference in Dec. 2002in Quito, Ecuador, which is organized by the Belgianresearchers.

in Policy Impact - These results are expected towardsthe end of Year 5, after the outputs of this activity willhave been disseminated to local decision makersthrough workshops.

in Improved Environment and Natural ResourceManagement - These results are expected towards theend of Year 5, after the outputs of this activity will havebeen disseminated to local and regional decision mak-ers and the general public through workshops and thepublication of a book.

PublicationsJournal ArticlesZehetner, F., W. Miller, and L. West. 2002.Pedogenesis of volcanic ash soils in AndeanEcuador. Soil Science Society of American Journal.

Zehetner, F., L. West, and W. Miller 2002. The effectof sample grinding on the estimation of allophanecontents in volcanic ash soils. European Journal ofSoil Science.

Other Major Outputs in this PeriodConference PresentationsZehetner, F., W. Miller, and L. West. 2002.Weathering and soil formation on the slopes ofvolcano Cotacachi in Northern Ecuador. AnnualMeeting of the Soil Science Society of American inIndianapolis, IN.

Working Paper

Zehetner, F. and W. Miller. 2002. Soil fertililty andcrop growth in Andean communities of northernEcuador. Manuscript in preparation.

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Zehetner, F. and W. Miller 2002. Erodibility ofvolcanic ash in the Andes of northern Eduador.Manuscript in preparation.

Zehetner, F. and W. Miller. 2002. Suelos Volcanicosen la Sierra Norte del Ecudaor. Manuscript inpreparation. Abya Yala, Quito, Ecudaor.

Training Degree

Name, Level, Start Date-Completion DateFranz Zehetner, Ph.D. 06/2000-

Training Non Degree

On the job trainingStream flow monitoring, runoff monitoring, inter-pretation of soil test results was attended by 1person(s) and lasted ? day(s).

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Regional Node for Training and Upscaling ofCommunity-Based Natural Resource Decision-Making


Co-PrincipalInvestigatorMagdalena Fueres

OBJECTIVE 1Establish a training and up-scaling node withinJambi Masc·ric (UNORCAC) which willserve as the center of scaling up activitiesfor landscape level work (especially the sus-tainable futures visioning methodology,memory banking, water quality and quantity,leadership training in NRM) within theAndean region and for other mountainousareas.

Annual AchievementsThe training and up-scaling node in Jambiascaric has continued to serve as the centralfield office of the SANREM project. Sincethe center is already established no newequipment or facilities have been added in2001-2002, although the memory bankinggarden (see AND-02 continues to serve itstraining and educational function. Increas-ingly, geotourists have visited the garden tolearn bout indigenous plants. SANREM hasthree indigenous research assistants who con-tinue to learn how to do research and man-age data.

One assistant, Carlos Guitarra, is attendingagricultural college with SANREM supportin nearby Ibarra. Exchange visits betweenAndean communities (e.g., Vicos in Peru andCotacachi, Ecuador) have continued withpositive outcomes in the transfer ofSANREM methodologies.

The Atlas project of Catholic University willbe finalized in the Jambi node with a train-ing course on its use.

OBJECTIVE 2Establish a functional data center at JambiMascaric headquarters with dynamic linkagesto comparable facilities at UGA (USA) andCatholic university (Quito) to house case stud-ies and summaries of Phase I/II findings foruse at Cotacachi and other sites in the Andes.

Annual AchievementsResearch on the Pitzimbizi watershed plan iswell advanced (see AND-03 ) and data fromthe water, soils, biodiversity, andethnoecology projects have been integral tothis effort.

Two planning meetings were held with keystakeholders in Cotacachi (including with thenew president of UNORCAC, RafaelGuitarra) to determine locally relevant geo-graphical areas of interest, key natural re-source issues, and data requirements for vari-ous planning activities.

In 2002-2003 there will be a stepped up planof action in the implementation of thePitzimbizi plan. UNORCAC, along with themunicipality, hopes to integrate better its vari-ous development activities and is asking forSANREM assistance. One aspect will be in-tegration of the agrotourism enterprise intothe watershed and biodiversity work (SeeAND-02) Catholic University will install theinteractive Atlas by October, 2002, and testits usefulness with the communities.

OBJECTIVE 3Conduct training on site in methodologies,technologies, land use and water systems forinterested individuals and organizations that

35

have the ability to further scale up the findings of SAN-REM.

Annual AchievementsIn conjunction with UNORCAC, SANREM led or par-ticipated in nine training workshops on biodiversity,water, and gender. The office supported the researchactivities of 7 graduate students (3 Ecuadorian, 4 US)by providing space, transportation, computer facilitiesand communications. The Nanegal book in English andSpanish (Bridging Human and Ecological Landscapes),along with a series of reports, have outlined very clearlythe methodologies being developed.

Three leaders from Cotacachi were invited to partici-pate in an Andean International Year of the Mountainmeeting in Huaraz, Peru, in early June, 2002. At thesame time, UNORCAC is preparing to serve as one ofthe model field sites for visitors participating in theofficial International Year of the Mountain meeting tobe held in late September, 2002 (Second Global En-counter of Mountain Peoples). SANREM will assistUNORCAC and the municipality demonstrate the re-sults of the project to visitors from all over the world.

To facilitate this process and finalization of SANREMPhase II, Robert Rhoades and Virginia Nazarea will beliving in Cotacachi during the fall, 2002. Rhoades willbe officially affiliated with Catholic University andUNORCAC under a Fulbright Scholars program.

Advancesin Research - This project does not conduct researchper se. It is a support and outreach project of the localindigenous communities. The project houses and fa-cilitates the efforts of Ecuadorian and US-basedSANREM researchers. The field coordinator is head-quartered in the Jambi SANREM office. The researchassistants, computers, and information files are foundhere. All training occurs in the Jambi Mascaric com-pound under this project.

in Capacity Buildup - During the year, 9 training work-shops on biodiversity, water, and women were held. Theoffice supported the research activities of 7 graduatestudents (3 Ecuadorian, 4 US).

in Scaling Up - Cotacachi is an ideal laboratory forscaling up of SANREM research. It has gained inter-national acclaim for its participatory approaches to natu-ral resource planning. The indigenous leaders who areinvolved in SANREM are widely respected in the Andes.Mayor Auki Tituana is a possible presidential candidate

in Ecuador's upcoming elections. He has adopted sev-eral SANREM projects as his own and promoted themthroughout the Canton (e.g., memory banking). Finally,with one of the three official International Year of theMountain Conferences coming to Quito (with an offi-cial trip to Nanegal and Cotacachi) SANREM will beglobally highlighted.

in Policy Impact - With the addition of an economicsproject on water rights in the zone, we can expect theformulation of policy briefs which can foster more ra-tional water and landuse planning in the zone. One ex-pected impact of the International Year of the Moun-tain will be the integration of mountain perspectivesinto national policies of countries such as Ecuador.

in Improved Environment and Natural ResourceManagement - The formation and implementation ofthe Pitzimbizi watershed plan will lead to improvedenvironment and MRM. More significantly, however,will be the utilization of both Nanegal and Cotacachias case studies and inspiration for other communitiesand project engaged in NRM planning.

PublicationsBook Chapters

Rhoades, R. 2001. Bringing sustainability down-to-earth: reflections and guidelines for policymakers and practitioners. Pp. 353-368 in RobertRhoades (Ed.) Bridging Human and EcologicalLandscapes. Participatory Research and sustainableDevelopment in an Andean Agricultural Frontier.Dubuque, IA: Kendall/Hunt Publishing Company.

Rhoades, R. and A. Martinez. 2001. Environmentalhistory of the Nanegal area during the first fiftyyears of the Twentieth Century. Pp. 57-83 in RobertRhoades (Ed.) Bridging Human and EcologicalLandscapes. Participatory Research and sustainableDevelopment in an Andean Agricultural Frontier.Dubuque, IA: Kendall/Hunt Publishing Company.

Rhoades, R. and N. Vedwan. 2001. Breaking newground: Linking research, participation, andsustainable development. Pp. 3-21 in RobertRhoades (Ed.) Bridging Human and EcologicalLandscapes. Participatory Research and sustainableDevelopment in an Andean Agricultural Frontier.Dubuque, IA: Kendall/Hunt Publishing Company.

Rhoades, R., A. Martinez and E. Jones 2001.Migration and the landscape of Nanegal. Pp. 353-

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368 in Robert Rhoades (Ed.) Bridging Human andEcological Landscapes. Participatory Research andsustainable Development in an Andean AgriculturalFrontier. Dubuque, IA: Kendall/Hunt PublishingCompany.

Rhoades, R., V. Nazarea, and M. Piniero. 2001.Contrasting scientific and local valuations ofland use change: The future visioningmethodology. Pp 333-349 in R. Rhoades (Ed.)Bridging Human and Ecological Landscapes.Participatory Research and Sustainable Developmentin an Andean Agricultural Frontier. Dubuque, IA:Kendall/Hunt Publishing Company.

Books

Rhoades, R. (Ed.). 2001. Bridging Human andEcological Landscapes: Participatory Researchand Sustainable Development in an AndeanAgricultural Frontier. Dubuque, IA: Kendall/HuntPublishing Company.

Rhoades, R. and J. Stallings (Eds.). 2001. IntegratedConservation and Development in TropicalAmerica: Lessons Learned in LinkingCommunities, Projects, and Policies. SANREMCRSP and CARE-SUBIR, Athens, GA.

Other Major Outputs in this PeriodProceeding

CONDESAN. 2002. Mulicipios Rurales yGestation Local Participativa en Zonas deMontana. E-conference supported by SDC,SANREM-Andes and Conmision Internministerial deEmpleo, Comite Aesor Ecuador.

Training DegreeName, Level, Start Date-Completion DateEric Jones, Ph.D.Aurelio Vicuna, M.A.Shiloh Moats, M.A.

Training Non Degree

WorkshopBiodiversity Fair and Workshop was attended by 303person(s) and lasted 2 day(s).

Children's Camp was attended by 250 person(s) andlasted 7 day(s).

Children Scholars Workshops and Training was at-tended by 16 person(s) and lasted 3 day(s).

Children's Scholars Workshop on Andean Tuberswas attended by 16 person(s) and lasted 1 day(s).

EcoTourism Workshop was attended by 5 person(s)and lasted 2 day(s).

World Water Day was attended by 256 person(s) andlasted 1 day(s).

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1. Introduction

In Phase II, the SANREM Southeast Asia project setitself the ambitious goal of "enabling better natural re-source management decisions by upland communities".This was to be achieved through collaborative partner-ships among researchers, government organizations andcivil society in research, information dissemination, ca-pacity-building and policy advocacy as means to sup-port natural resource management for sustainable de-velopment by communities, local administrations, agen-cies of national government.

Within rural areas of Southeast Asia, concerns aboutunsustainable development are keenest "at the margin"- that is, in areas close to the cultivated frontier, wherepoor households farm sloping lands that are frequentlypoorly suited to intensive cultivation. The "margin" thusrepresents a constellation of ecological, economic andpolitical conditions in which stress is endemic and thesecurity of human welfare, soil and water resources,and biological diversity is under constant threat.

In the recent past, settlement and cultivation at the fron-tier was driven primarily by demographic change - rapidpopulation growth and internal migration - in poor agrar-ian economies. Upland populations relied almost ex-clusively on agricultural production and gathering offorest products, and were largely subsistence-oriented.The influences of government and markets were rela-tively weak and indirect. Deforestation, land use deci-sions, and agricultural technology were, therefore, largelydriven by local demographic, economic and biophysicalconditions.

SANREM Southeast AsiaSANREM Southeast AsiaSANREM Southeast AsiaSANREM Southeast AsiaSANREM Southeast AsiaProject OverviewProject OverviewProject OverviewProject OverviewProject Overview

In very many areas of Southeast Asia these conditionshave changed fundamentally within just two decades.The region as a whole is experiencing economic growthat an unprecedented pace. In addition to raising averageincome, growth has been accompanied by improvementand expansion of infrastructure, financial systems,educational opportunities, and the power ofgovernment. Internal and international labor mobilityis increasing. 'Globalization', or the opening tointernational trade and capital flows, is transformingthe structure of production and consumption, and thevaluation of domestic endowments of labor, land andnatural resources.

In the course of this change, upland communities findthemselves increasingly closely integrated into rapidlyexpanding and developing national and global markets,through which resource managers receive signals thatplay major roles in determining land use, technologyadoption, and investment. Markets thus exert apowerful influence over long-term environmentalhealth and economic welfare. In Southeast Asia,deforestation and land use change is now driven muchmore by globalization and the transformation ofdomestic governance systems than by 'traditional'influences, namely population growth and poverty.

Unfortunately, economic growth alone does not resolvethe problem of unsustainable upland land managementpractices in developing countries. The new forms ofagricultural development place relatively fragile uplandecosystems under great stress. Land-degrading patternsof agricultural growth are promoted by adverseeconomic incentives and institutional failures. Tenure

38

insecurity and failures of property rights are primaryamong these problems, and introduce an incentive biasin favor of short-term land uses. Rates of return tolong-term investments in perennial crops and soil-conserving structures are also reduced by high capitalcosts in 'thin' local credit markets. For these and relatedreasons, farmers in steeply sloping upland areas arefrequently observed to engage in land-degradingagricultural practices, even when they are clearly awareof the long-term consequences of their actions.

The expansion and intensification of upland agriculturealso has important policy 'drivers'. Most Southeast Asiangovernments support domestic cereal production byspecial policy measures, and the expansion of temperateclimate vegetable crops in steep lands is similarlystimulated by import restrictions, input subsidies andspecial R&D allocations (all of these policies areespecially prominent in the Philippines). Accumulatedevidence suggests that while overall economic growthrates are important predictors of declines in poverty-related migration and land degradation, crop-specificand sector-specific policies (or policy failures) exertsubstantial influence over land resource allocation andsoil management, even in apparently remote uplandareas.

Importantly, the policy aspect of environmentaldegradation is not limited to those agencies ofgovernment with direct responsibility for themanagement of agriculture or natural resources. In'globalized' economies, trade and investment policies in

particular are important determinants of the input andoutput prices that influence land use decisions. Andincreasingly, the devolution of fiscal and administrativeresponsibilities to local governments, rendering themsimultaneously dependent on transfers from centralgovernment and on the participation of communities, isintroducing new complexities to environmental policy-making and implementation. Thus every economicpolicy or administrative regulation that affects resourceallocation in the uplands, whether directly or not, is ade facto environmental policy, and the creation of asupportive policy environment for sustainabledevelopment requires engagement and collaborationwith all agencies whose actions have such effects.

SANREM's main Southeast Asia research site is themunicipality of Lantapan, located in the province ofBukidnon in the southern Philippines. Our continuouspresence in Lantapan since the inception of the projectin 1993 has enabled researchers to make long termobservations on the dynamic interaction of economy,environment and policy, to accumulate a vast amountof information, and to establish and developpartnerships with community-based groups, localgovernment, and other key actors in environmental andnatural resource management. With Lantapan as our'laboratory' we have been able to scale up and out toother municipalities and provinces in the Philippines,and to comparable research sites in Vietnam, therebyextending the research base and potential impacts ofthe project far beyond the boundaries of our initialresearch site. Similarities with Lantapan are definednot merely by common geographic characteristics, butthe fact that economies in the region share certainexperiences that are instrumental in shaping thedirection of resource use and the logic of local naturalresource management strategies. These experiencesinclude dynamic economic growth, which tends to slowthe rate of net migration to upland areas; expansion ofcommercial opportunities for local upland farmers,including intensive vegetable cultivation for urbanmarkets; increased presence of highly capitalizedagribusiness ventures in previously remote rural areas;and above all, rapid devolution of powers to sub-national jurisdictions.

In Phase II, we designed a project that brought togetherlocal and outside experts to combine community-leveldata gathering and analysis and local governmentcapacity-building with the search for policies, at localas well as national level, that would achieveenvironmental targets through incentive-compatible

39

means rather than through the application of regulatoryformulae; through participation rather than command-and-control; and through local design rather than 'onesize fits all' central plans. The methods adopted, andmodels developed, took account of the prevailingeconomic, social and institutional context, in particularon-going rapid economic growth, the presence ofeconomic policies affecting agriculture, and thedecentralization of administrative and some policyresponsibilities from central to local government.

Our outputs included decisions support tools(methodologies, technologies, research findings andsimulation models) to enable the formulation andanswering of questions that link economic and socialdevelopment goals with the long-term viability of theenvironment and natural resource base. We helpedbuild analytical and decision-making capacity at locallevels; and to promote structured discussion of NRMand sustainable development through informationexchange and policy advocacy across levels (local, sub-national and national) and among institutions at eachlevel. Capacity building activities supported ourresearch by helping ensure that decision support toolscould be used efficiently in NRM planning bycommunities, provincial and national governments andother local organizations. Information exchange andpolicy advocacy activities followed through onSANREM research with the aim that research findingsand their implications should reach the right influencemakers and decision-makers, take appropriate formsfor different audiences, and ultimately contribute tobroader debates on the question of sustainabledevelopment.


The project has enjoyed substantial success in meetingits Phase II objectives. Our own quantitative self-assessments have indicated tangible links from theprojects to community-level and household-levelchanges in environmental awareness, attitudes andactions.1 And an external review in 1999 describedthe project as "one of the few research programs witha rich base of data and experience . . . [it] mobilizesinformation, research and participatory processes toachieve well-conceived and implementable plans thatcontribute to economic development as well as naturalresource conservation"2.

The following are some of our accomplishmenthighlights, selected to emphasize the range as well as

the depth of SANREM activities. More completedocumentation of our activities is available from http://www.aae.wisc.edu/SANREM-sea.

2a. Tools for sustainable agriculture and NRMpolicy planning and implementationThe project's partners have developed and adapted asuite of tools for NRM. These range from data intensiveeconomic and environmental models, to participatorymonitoring of environmental quality and methodologiesfor the design and implementation of NRM strategies,to on-farm technologies produced through collaborativeresearch at the project site (24, 25, 34, 42, 443). Thesuccessful development of these tools supports our goalof enabling better natural resource managementdecisions by upland communities. By making thesetools available to a wide range of users, we steer awayfrom making decisions for natural resource managers.Instead we work with them to develop and test an arrayof options to evaluate choices, develop a plan toconserve community resources, monitor the health ofthe environment, and select agricultural livelihood andNRM technologies which best fit their needs andcapacity.

Our achievements in economy-environment modelinginclude the following. (A) Insights about the operationof markets, and about farmers' land use responses toprices and policies, based on monitoring of farmdecisions and market trends in the site since 1994. Thisinformation contributes to a deeper and more detailedunderstanding of the dynamics of the upland economy.(B) The 'Manupali model', a user-friendly, intuitive,flexible, and highly portable computer-based tool forunderstanding the important linkages between economicpolicies, agricultural resource use decisions, andenvironmental outcomes. This computer model is basedon data gathered at the research site and collaborative

1 Buenavista, G., I. Coxhead, and K. Kim. 2001. AssessingSANREM's Impacts in Lantapan: Results of a Survey. Pp.232-257 in Coxhead, I. and G. Buenavista (Eds.) SeekingSustainability: Challenges of Natural Resource Managementin a Philippine Watershed. Los Banos, Philippine Councilon Agricultural Research, Natural Resources andDevelopment.2 Scherr, S. 1999. Report of the EEP visit to Sanrem-Southeast Asia. (http://www.aae.wisc.edu/sanrem-sea/DocumentArchive/EEP99.doc).3 These numbers refer to the project's component work plansas provided in SANREM workplans, Year 5, 2002-2003.

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research with host country university researchers, hostcountry NARS, and IARC's. To date, the Manupalimodel has been 'road-tested' with local government,agencies of the national government, representativesof NGO's, and university research groups. It has gonethrough several stages of development and has beenpresented at international research conferences in thePhilippines and Thailand, and at offices of theDepartment of Agriculture and the Department ofEnvironment and Natural Resources of the Philippines.The Manupali model is a substantive improvement overexisting watershed model in that it incorporates arealistic representation of farmer decision-making inresponse to economic and environmental information.It is being now adapted for further use in SANREMPhase III, both at the Lantapan site and in Vietnam,and is guiding methodological work on watershedmodeling in the US. The model has been widelydisseminated on CD-ROM (Compact Disc - Read OnlyMemory) and the world-wide-web at http://www.agecon.purdue.edu/staff/shively/manupali .

Participatory environmental monitoring is spearheadedby our collaboration on water quality monitoring withthe Tigbantay Wahig, a local NGO in whose formationthe project was a catalytic force. The TW undertakeswater quality and quantity monitoring in Lantapan, andits documentation of environmental trends over six yearsof continuous monitoring has generated a comprehensiveand unique database. This is a unique accomplishmentalso in that the data have been collected (andincreasingly analyzed) by a community-based groupwith minimal supervision foreign or external scientists;and that the activity is a collaboration between US andPhilippine universities, an international NGO, and acommunity-based organization. The rich informationfrom water monitoring has enabled us to drawconnections on the effects of population and economyon the environment and to study the role of localorganizations and institutions in sustainable naturalresource management. The TW (Tigbantay Wahig),meanwhile, are increasing the list of their ownaccomplishments by providing training and advisoryservices to other community-based water qualitymonitoring efforts in several locations in the southernPhilippines.

Another important 'process' accomplishment has beenthe development and application of methodologies forparticipatory natural resource management (NRM)planning. There have been several of these in theproject, differing slightly in approach and outcome. The

ICRAF (International Center for Research inAgroforestry)-led NRM planning process worked withmunicipal level governments to articulate theirenvironmental visions and develop action plans. In aseparate activity, SEARCA led a collaboration withCMU-BIDANI (Central Mindanao University, ThePhilippines - Birangay Integrated DevelopmentApproach for Nutrition Improvement) working directlywith village level (barangay) governments in NRMand sustainable land use planning. Both approachesinvolved capacity building, used local level datagenerated by community members themselves (or incollaboration with other groups) and requiredstakeholders, especially municipal and villagegovernments, to commit time, human and financialresources to support the planning process.

Finally, our accomplishments in the area of agronomicresearch and experimentation have been significant,whether measured by conventional indicators such asacademic output, or by influence on local practices.Our vegetable and agroforestry research initiatives testand evaluate alternative land management options; theagroforestry initiatives in particular have led to theformation of a financially and organizationally stronglocal tree seed producers' group. Data from the fieldexperiments have also been incorporated into thewatershed modeling efforts described above.

IBC 13 TV crew interviewing Mr. Alfonso Sagayan,a member of the Agroforestry, Trees, Seeds Associa-tion of Lantapan (ATSAL), an NGO that was bornout of ICRAF-SANREM partnership in the imple-mentation of the tree domestication work plan.(Photo by: Vel J. Suminguit)

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2b. Capacity for NRM Planning and PolicyAnalysis:Building capacity for analysis, action and evaluation isan essential component of any effort to promote betternatural resource management decisions in uplandcommunities . The project has been very active in thisarea, and our accomplishments extend from trainingand analysis for farmers and natural resource managersto communities, local policy makers, community basedorganizations, and researchers. All are aimed at buildingcapacity to analyze NRM challenges and opportunities,the conduct of policy analysis, and the use of specializedinformation to support policy action and advocacy(SEA-23, -24, -25, -32, -34, -42, -44). It is significantthat our capacity building activities, initially aimed atsupporting the implementation of specific researchactivities, led to the establishment of viable communityorganizations, such as the Tigbantay Wahig, theAgroforestry Tree Seeds Association of Lantapan(ATSAL), and Landcare groups, all at the communitylevel. These groups are increasingly recognized inmainstream local and national environmental forumsand by development-oriented projects. In somemunicipalities in the Philippines, parallel organizationshave been formed locally to undertake similar activities.

Strengthened capacity for NRM planning and policyanalysis is a key component in the Philippine transitionto decentralized environmental and natural resourcemanagement. As such we focused our efforts not onlyon strengthening capacity within civil society, but moreimportantly enhanced local government NRM capacitythrough the acquisition of skills in NRM planning andpolicy analysis (SEA-23, -34, -42). This has been amajor thrust of the project, and has paid off in diverseways: in facilitating civil society participation with localgovernment, inter-agency collaboration, appreciationfor the value of research, and recognition of localinitiatives. These improvements in the policy makingenvironment are notable in the Municipality ofLantapan, where many have achieved concreteexpression in the project-supported municipal NaturalResource and Development Plan.

2c. Research to Support Policy Advocacy at Local andNational Levels:Local and national policies have been shown to exertsignificant influence over natural resource managementdecisions in upland areas. Projects aiming to achieve

sustainable development in such areas must not onlyprovide support for building local policy making capac-ity, but also engage in policy analysis and advocacy tomaximize their chances of success. Policy studies andadvisory activities have been conducted by the projectto assist the local government address emerging NRMissues in the municipality (SEA-23). As an example,we conducted a study to evaluate residents' willing-ness to pay for clean water, as an input to future legis-lation aimed at preventing further degradation of localwater resources. Assistance was provided to the localgovernment in preparing several ordinances, includinga ban of aerial spraying by banana plantations, and thesetting of user charges for water used by agro-basedindustries. The first of these has been approved, thesecond is awaiting further evaluation by the local offi-cials of the provisions of the Water Code of the Philip-pines. Advocacy activities at the local level have alsobeen conducted by other work plans and have producedconcrete results such as the creation of Lantapan Wa-ter Task Force, legislation supporting NRM planningand implementation and ordinance for adoption of sus-tainable farming practices. Furthermore, the local gov-ernment has provided financial resources to fully imple-ment these legislations. In other municipalities wherethe project sponsored capacity building activities forNRM planning, legislation was passed to support boththe planning process and implementation.

Our policy advocacy activity has also reached thenational level. In previous years, this was done throughattendance of researchers in national level forums.More recently, we strategically included the PhilippineInstitute of Development Studies (PIDS) as aninstitutional partner to enable us to reach national levelpolicy makers (SEA-53). PIDS leads in the preparationand dissemination of policy briefs and research notes,featuring results of our research in the Manupaliwatershed. These documents are distributed in keypolicy making branches and agencies of nationalgovernment. PIDS also heads the organization of anational level policy forum on watershed and watermanagement. This forum, which will be held in August2002, will feature research papers by national leadersin their fields on competing uses of water,environmental governance and water resourcemanagement, watershed development programs andpolicies, and the role of grassroots organizations inwater resource and watershed management. Nationallevel policy makers and their advisors are expected toattend this activity.

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2d. Information Exchange at Various Scales:

Information exchange has been facilitated at the locallevel through site visits, training programs and workshopsas well as a wide range of less formal programs. Atthe national and international level the exchange ofinformation has been achieved through participation bySANREM researchers in a range of conferences andworkshops. We have also sponsored an internationalworkshop on NRM (in Chiang Mai, Thailand, in 1999,and an international conference on Sustaining UplandDevelopment in Southeast Asia. Held in Manila in May2001, the latter conference showcased the breadth anddepth of SANREM activities, established the projectas one with Southeast Asia-wide relevance andcemented its position as a key resource of researchand policy advice on the management of naturalresources in the upland agricultural areas of thePhilippines.

Three publications released at the conference providefurther documentation of SANREM-SEA progress.These are the research monograph SeekingSustainability edited by I. Coxhead and G. Buenavistaand published by PCARRD; the SANREM-SEAmultimedia CD-ROM; and a SANREM-sponsoredIIRR publication, Enhancing Participation in LocalGovernance: Experiences from the Philippines.

Through an institutional relationship with thePhilippine Institute for Development Studies, a nationalgovernment economic think-tank, SANREMresearchers now contribute to the publication anddissemination of policy-relevant research tools andfindings on environment and natural resourcemanagement. We are also poised, in late 2002, toembark on a similar venture with a counterpart nationalagency in Vietnam, the Information Center forAgricultural and Rural Development in the Ministryof Agriculture.

Complementing our information disseminationstrategy, we maintain and regularly update a web sitecontaining research activities, publications, and otherpertinent documents. The site is linked into by leadingSoutheast Asian NRM research networks, such asMekonginfo (www.mekonginfo.org). In the final 12months of the project we will be drawing on theexpertise of communication specialists to assist intranslating research papers into popular media for widerdissemination of research outputs beyond the Philippinescientific community. At the site level, PCARRD in

collaboration with the local government providesleadership in the organization of a technical workinggroup to coordinate research and outreach activitiesimplemented by various projects (other than SANREM)in the Municipality of Lantapan.

2e. External Linkages Through Environmental Re-search Grants:

Beginning our fourth year, we implemented acompetition for small research projects designed toaddress issues related to promoting sustainableagriculture and natural resource management in theregion (SEA-50). Funded research in 2001-2002 includeactivities testing environmental models at the Manupaliwatershed, institutional analysis, testing of theLantapan watershed model in Vietnam, and enhancingresearch and policy linkages in Vietnam. For thecurrent year (2002-2003), we have provided fundsthrough the environmental grant scheme to translateresearch outputs in popular format; review researchon the linkages between forest resources and povertyalleviation in Vietnam; and examine the role of socialcapital and natural resource management in Bukidnon.Also in Year 4, the project added a GIS research activityto update site maps that were generated during Phase Iand to use related outputs for integrated watershedanalysis (SEA-52).

Our work in Philippines and Vietnam clearly shows thetransferability of the tools we have developed in theManupali Watershed to other areas undergoing similareconomic transformations. As an example of the strongresearch contributions being made by SANREMresearchers, Dr. Gerald Shively, a member of theSANREM SE Asia team, recently won a three-yearNSF grant to continue his research on economy-environment interactions in the Philippines. Hisresearch uses household survey data to study howtechnical change in agriculture affects rates of tropicaldeforestation. This theme has been an important onefor SANREM researchers in the Philippines, andShively's research provides an opportunity to study thedirect and indirect effects of irrigation developmenton agricultural production and labor allocation, whilecontrolling for a number of agronomic features of thesample farms and important social factors such astenure security. His results will provide an empiricalfoundation for assessing competing theories regardingpoverty and the environment, and will also informbroader debates regarding the distributional effects ofgrowth and development and their implications forimportant aspects of household behavior. Results should

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have implications for a range of social andenvironmental outcomes including economicdevelopment, poverty reduction, biodiversity protectionand carbon sequestration.

3. Impacts

SANREM is a research project, and as such its impactsare considerably more difficult to identify than is thecase with projects having explicit development ortechnology transfer components. Moreover, becausewe lack a laboratory 'control', it is very difficult to drawprecise causal links from project initiatives to impacts.In addition, the impacts of a research project of thiskind are often frustratingly intangible, consisting in themain of changes in awareness and attitudes, perhapsleading to changes in actions, whose physical effects(in terms of environmental indicators) may not beobservable for years or even decades. Nevertheless,our sustained presence in the Lantapan site has helpedgenerate a number of local impacts that we feelconfident in claiming to have caused. These in turnare generating increasing momentum for impacts atnational and even regional (Southeast Asian) levels.

3a. Sustained NRM Planning and Implementation andAtrengthened Institutional Capacity:

SANREM's NRM planning activity in Lantapan hasaltered governance in the municipality, withenvironmental concerns now high on the legislativeagenda, and consultation with the community anaccepted procedural mode, as demonstrated by theproject-sponsored natural resource management anddevelopment (NRMD) planning process.

The same process has since been implementedsuccessfully in four more of the municipalitiesbordering the Mt. Kitanglad Range Nature Park. There,local governments have sustained NRM planningactivities over a year after its initiation, even with nodirect technical assistance from SANREM. A follow-up survey conducted by project researchers in 2002revealed 5 critical elements key to ensuring the NRMplans are put into action: the presence of localchampions; continued budgetary allocations; a balanceof power and responsibility; integration of the NRMplan with municipal environment and economicdevelopment plans; and a cohesive NRM council. Thespread of NRMD planning has clearly led to immediateimpacts in local governance. Local governments havebecome responsive in providing support to environmentrelated projects in the community, such as those

pertaining to soil conservation and protection of waterresources. In the long-term, we expect that sustainedNRM planning and implementation will lead to a bettermanaged natural resource base in Bukidnon province.

3b. Improved Human and Organizational Capac-ity:

Our research and capacity-building activities haveundoubtedly enriched local skills in the application oftools for natural resource management. The communitygroups that have become partners of the project haveno less become advocates, trainers, and resourcepersons. The spread of their work is notable nationallyand even internationally. Increased awareness andknowledge of local environmental issues have inspiredthese community groups to advocate for soundenvironmental projects and to participate in local policydialogues. This also comes with their ability and easeto use information based on research. The TigbantayWahig members, for example, used data that theythemselves collected to warn municipal officials of thegradual degradation of the river systems.

Improved human capacity has led to the creation orstrengthening of local organizations and institutions.In the case of Lantapan and other municipalities in thecountry, members involved in water quality monitoring,agroforestry research and other NRM related activitieshave organized themselves as formal groups. We haveobserved the institutionalization of SANREMmethodologies (by which we mean adoption of toolsand principles as part of an organization's regularactivities) among the various local organizations andinstitutions with which the project works. The BIDANI(Birangay Integrated Development Approach forNutrition Improvement) group at Central MindanaoUniversity, for example, has incorporated NRM as partof its research and extension agenda in promotingintegrated development at the village level. Localgovernments in and around the project site haveestablished multi-stakeholder natural resourcemanagement councils in their respective municipalitiesto ensure the continuation of NRM planning activities.

3c. Diversified Land Management Practices and In-creased Incomes:

The introduction, through the project, of alternative landmanagement practices in Lantapan, including low-costconservation structures and integrated vegetable andagroforestry systems, has resulted in agriculturaldiversification and the conservation of soil resources.

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In Lantapan, for example, one can now observe greaterdiversity of tree species across the landscape than adecade ago. With the guidance and support ofagroforestry experts, there has been a shift away fromplantation-type establishments using single tree species,as introduced by previous projects. Diversifying treespecies provides farmers with a hedge against diseaseand price risks associated with monoculture, and enablesthem to respond to market demands for specific species.There is now widespread appreciation for tree farmingas an income-generating activity. Information obtainedfrom the agroforestry association (an organizationcreated with SANREM assistance) revealed thatmembers made substantial additional earnings from saleof tree seeds. Income opportunities of local farmerscould be enhanced even further with better knowledgeof the timber and tree seed market.

3d. Better Policy Environment:

Increased capacity for policy analysis among municipalofficials has improved the environment for local policyanalysis, design and implementation. This isdemonstrated by increased consultation andtransparency in decision-making (especially as policyformulation depends increasingly on data fromcommunity-based research), adoption of consultativeprocesses, and the increased reliance on relativelyformal tools for evaluating and deciding on policyalternatives.

At the national level, inputs to policy debates bySANREM researchers through our partnership with thePhilippine Institute for Development Studies are payingearly dividends. Our policy briefs distributed throughPIDS have been documented to be the catalysts for areview of policies and procedures at the National WaterResources Board (and we expect more progressfollowing the August 2002 national water policyforum). Also through PIDS, SANREM research is nowreaching legislators in the national parliament throughthe PIDS' legislative monitoring data base, whichprovides lawmakers and their staff with information(including background research) pertaining to currentlegislative initiatives.

Finally, SANREM has also helped national researchersto package and present research results for policymakers. In the Philippines, this has been an importantimpact of our partnership with PIDS. In Vietnam, thesame process has just begun, with two workshops in2001-2002 bringing researchers together with

communications experts and senior officials of theMinistry of Agriculture and Rural Development for thepurpose of refining and targeting the policy implicationsof academic research.

4. Dissemination

SANREM is first and foremost a research project, andthe primary means for dissemination of findings arethe standard outlets for such research: peer-reviewedjournal articles, books, acceptance of papers forpresentation at national and international conferences,and publication of findings in numerous less formaland more popular outlets. Our achievements in theseareas are documented in our annual reports and on theproject web site.

The project has also made good on its promise to feedback research results to the Lantapan community.Numerous informal gatherings, called kapihan ('coffeemeetings') and pulong-pulong (dialogues), have beenorganized to facilitate local level reporting and sharingof research results and to provide a venue forresearchers to interact with a municipal level audience,including many participants not directly involved inproject activities. The kapihan were also held at theprovincial level, bringing in a geographically andpolitically broader audience, such as municipalplanners and other provincial and in some casesregional (sub-national) level policy makers. SANREMresearchers, including community members, have alsoparticipated in government-sponsored conferences andtechnical working groups addressing provincialenvironmental issues. These face-to-face strategies forinformation dissemination and exchange not onlyfacilitated understanding on the project's mission, butmore importantly have helped create awareness onpressing local environmental issues. The successfulspread of SANREM research outputs are documentedin an impact study conducted at the research site, inwhich Lantapan local government officials rankedSANREM as primary source of information onenvironmental and natural resource issues.4

Clear and systematic presentation of research outputsat the community level has made it easier for theLantapan government and SANREM to defineenvironmental issues affecting the municipality. Thispaved the way for the proactive utilization of research-based information in the formulation of the municipalnatural resource management plan ñ a concrete policyaction undertaken by the local government.

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Policy advocacy at the national level is led by nationallevel institutions such as the ISPPS, the Philippine Coun-cil for Agriculture, Forestry and Natural ResourcesResearch and Development (PCARRD), and the Phil-ippine Institute of Development Studies (PIDS) - eachof which has its own established networks within thecentral government. Activities include disseminationof policy briefs to the executive and legislativebranches, and presentation of research results in na-tional level dialogues. To cite an example, a recentSANREM policy brief on water management has beenforwarded to the National Economic DevelopmentAuthority (NEDA) to be used as an input for the forth-coming national water summit. Recommendations pre-sented in this policy brief are also being used as inputin a paper prepared by NEDA for the president of thePhilippines. A more direct approach undertaken by theproject through PIDS and ISPPS (Institute for Strate-gic Policy and Planning Studies) is the organization ofa water policy forum, which brings together key policyresearch experts in water and watershed management.Participants to the forum will include representativesfrom national line agencies and policy makers.

The strategies that we have employed help ensure thatour findings and their implications reach the rightaudience, in particular influence-makers and decision-makers, and provide opportunities for replication ofSANREM-like activities in other parts of the countryand region.

5. Training and Institutional Atrengthening

5a. Contributions to Human Capacity Development:

Our capacity building activities cover a wide range oftopics, but have one thematic focus: to enable betternatural resource management decision in uplandcommunities in Southeast Asia. Topics includeapplication of integrated watershed model for policysimulations, water quality monitoring, natural resourcemanagement planning, land use planning, policyanalysis, agroforestry management practices andparticipatory landscape/lifescape appraisal. Theproject site office has also hosted study tours for groupsfrom as far away as Ethiopia, and with the provincialgovernment has jointly sponsored a regional watershedworkshop and symposium. Capacity building has beenprovided to community-based organizations on groupstrengthening, and organizational administration andmanagement.

The project also sponsored researchers and staff toparticipate in national and international conferences,training programs, and workshops. These activitiespresent opportunities for the participants to share projectexperiences, research methodologies and findings aswell as to learn from other researchers. A number ofgraduate students in the U.S. and the Philippines werealso funded by SANREM through research/projectassistant ships. Inclusive of graduate students in theU.S. funded in Phase I, they now occupy research andteaching positions in U.S. universities or are employedin the private sector.

Those in the teaching and research position in the U.S.are still involved in SANREM research and havepublished widely the results of their research. A sampleprofile of former U.S. based students is presented inAppendix 2.

Two Philippine-based students are actively involved inSANREM research and pursuing their doctoral degreeat the University of the Philippines in Los Banos.

5b. Institutional Strengthening:

Our institutional strengthening efforts have beenfocused on enabling local governments undertake theirdevolved functions in environment and natural resourcemanagement. Governmental units both at municipalityand provincial levels comprise our main capacity buildingclients.


6a. Research Administration and Management:

At the University of Wisconsin, Ian Coxhead, JohnRowe and Gladys Buenavista (postdoctoral) take chargeof research administration and management. BothBuenavista and Coxhead also have researchresponsibilities. Our counterpart host institution in thePhilippines is represented by the PCARRD (PhilippineCouncil for Agriculture, Forestry, and Natural ResourcesResearch and Development). PCARRD is responsiblefor administration and site coordination. PCARRD-based staff includes Dr. Rogelio Serrano (SANREMSEA Co-Principal Investigator). A staff of three assistshim. Dr. Vel Suminguit is our Site Coordinator and isassisted by a staff of two (one is site-based and alsoserves as research assistant for the policy analysis work

1 Buenavista et al., op. cit.

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plan). The Site Coordination Office is located inMalaybalay, Bukidnon. The Philippine Agriculture andResources Research Foundation, Inc. (PARFFI) handlesour financial administration. PARFFI is housed atPCARRD.

7. Leveraged Funding External to USAID

Leveraged funding as a result of SANREM program-ming in Southeast Asia continued to grow during Years4 and 5 of the project. The funds are estimated at$151,596 and $182,660 for Years 4 and 5, respectively.Specifically, the funding came from the followingsources and is being used for the reported purposes:

* PCARRD contributes approximately $10,000 per yearin staff salaries, transportation and other in-kind ben-efits in support of the SANREM administration inSoutheast Asia.

* The International Fund for Agricultural Development(IFAD) is providing complementary support to workplan SEA-34 by implementing a countywide case studyon the eleven Local Government Units that have intro-duce NRM plans. Estimated leveraged funds equal$10,000.

* For work plan SEA-42, the BIDANI Institute has aMOA for this project with the city of Valencia andMunicipality of Lantapan. BIDANI and CentralMindanao University have provided approximately$11,000 over the two years for capability building, mi-cro-finance and community based enterprise activitiesin these localities.

* ICRAF continues to build the Landcare program inthe Lantapan and Calveria municipalities. Total sup-port from ICRAF, the Australian Center for Interna-tional Agricultural Research (ACIAR) and the AgenciaEspanola de Cooperacion Internacional (AECI) nowtotals approximately $50,000 per year.

* The Swedish International Development Coopera-tion Agency (SIDA) is funding a study through theSoutheast Asian Network for Agroforestry Education(SEANAFE) and ICRAF-Philippines Agroforestry The-sis Research Support Program for the Philippines atthe cost of approximately $15,000.

* Gerald Shively received a $40,000 grant from theNational Science Foundation to support a postdoctoralstudents' research on Southeast Asian natural resourcemanagement issues.

* The Australian National University has supportedIan Coxhead's SANREM activities while he has beenthere on sabbatical ($5,600). The UW-Madison Gradu-ate School has also provided Coxhead a grant of$18,500 to work on decentralization and natural re-source management ideas arising from SANREM re-search.

* Heifer Project International continues it strong sup-port of the water quality monitoring work in Lantapanand other municipalities at the rate of approximately$12,000 per year.

* Victoria Espaldon and Agnes Rola received grantsof $7,000 each to attend the Sustainable Environmen-tal Management course at UC-(University of Califor-nia) Berkeley. Espaldon also received a grant of $2,500to attend the International Human Dimension Programin Brazil.

* University of Philippines-Los Banos, SEARCA, Cen-tral Queensland University, Auburn University, PurdueUniversity and UW-Madison contribute leveragedfunds each year in support of the SANREM research-ers based on their campuses. The annual value of thissupport for 2001-2002 is estimated as follows: UPLB(Institute of Strategic Planning and Policy Studies)($2,500), SEARCA ($4,960), Central Queensland Uni-versity ($5,000), Auburn University ($7,500), PurdueUniversity ($1,500), and UW-Madison ($27,600).

8. Complementarity with Bilateral Programs andBenefits to the U.S.

The work of SANREM CRSP-Southeast Asia addressesthe strategic objectives of USAID's bilateral programin the Philippines, and also has benefits to the USdirectly.

The goals and methods of the project over the past 5years have address strategic objectives of the ManilaUSAID mission on governance, natural resourcemanagement, trade liberalization and food security, aswell as some of its specific programs such as therecently completed Growth with Equity in Mindanao(GEM) project (for the mission's current SOS, visit theirsite at http://www.usaid-ph.gov/).

* The core of SANREM's Philippine activities in PhaseII was a partnership with municipal and provincialgovernments to engage in natural resource management(NRM) planning. This was carried out in a way thatdeliberately integrated NRM planning into the broader

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strategy of building local government capacity for fiscaland development policy formation in the wake of thedevolution mandated by the revised Local GovernmentCode of 1992.

* The integration of environmental and economic-socialanalysis in Phase II directly addressed both growth andequity for a key province in Northern Mindanao. Ourwork with commercial corn and vegetable growerscomplements the small-business orientation of GEM.

* The project's close research attention to NRM andbiodiversity conservation issues at the margin ofagricultural cultivation in the buffer zone of the Mt.Kitanglad Range National Park addresses crucialproblems raised by continuing economic anddemographic pressures for the conversion of forestedlands to commercial agricultural production.

* SANREM research has demonstrated and quantifiedthe linkages between Philippine agricultural tradepolicies and the use of natural resources in uplandagriculture. These operate both directly - through importrestrictions on corn and certain temperate-climatevegetable crops' - and indirectly, through the effects oftrade and exchange rate policies on overall economicgrowth, rural poverty and the generation of non-agricultural employment.

* Finally, it hardly needs to be emphasized that ourresearch on the NRM activities of a relatively poorupland population in control of a fragile resource basehas direct implications for the understanding of foodsecurity issues, both at the local level and - through thedistillation of local and national policy implications ñ forthe broader Philippine agricultural economy.SANREM's Philippine counterparts include nationallyprominent researchers and policy advisors concernedwith the integration of environmental policies andeconomic development strategies.

SANREM's work in Southeast Asia also continues tostrengthen links between U.S. research institutions andtheir counterparts and clients in the region. This ben-efits the U.S. institutions through student training, fac-ulty involvement in international experiences and op-portunities for policy-relevant applied research. Theresearch site serves as a research laboratory for U.S.based graduate students to gain experience in environ-ment and natural resource management. Graduate stu-dents conduct on-site research or work on research ac-tivities led by U.S. and Philippine-based researchers

affiliated with the project. They gain valuable knowl-edge and skills in addressing environmental issues inthe U.S. and abroad through the development of inno-vative research methodologies.

In addition to graduate training, we have enhanced ca-pacity for conducting multi-disciplinary research us-ing the landscape as a unit of analysis. The dynamicsimulation modeling method, for example, is applicableto a wide range of topics.

U.S. based project researchers have served as resourcepersons in various international research and develop-ment courses and programs.

We keep track of our progress and impacts throughour annual reporting process and mid-year meetingsconducted on site. These meetings offer researchersthe opportunity to interact and share research outcomesand outputs. We also use these meetings to addressmanagement issues. Towards the end of Phase I, theproject conducted an impact evaluation. A similar ac-tivity will be conducted before the conclusion of PhaseII.

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Administration and Research Management forSANREM-Southeast Asia

Principal InvestigatorIan Coxhead

Co-PrincipalInvestigatorJohn Rowe


Collaborative Research Support Program Annual ReportFunded by the U.S. Agency for International Development (USAID) SEA-01

OBJECTIVE 1To manage and coordinate research and re-lated activities conducted by PI's and workplan holders of the Southeast Asia project.

Annual AchievementsProject annual planning meeting held inBaguio City, Philippines. Work plan princi-pal investigators reported progress of researchand outreach activities. ERGP (EnvironmentResearch Grants Program) grantees were alsoinvited to present their research and progressto date. The workshop portion of the meetingidentified issues and set of activities that theproject need to address before the end of PhaseII. These include institutionalization, impactevaluation, and strategies for information dis-semination to various audiences: community,host country, extension agency, and interna-tional organizations. A timeline was set fordelivery of outputs.

OBJECTIVE 2To provide administrative guidance for the re-search programs of the Southeast Asia project.

Annual AchievementsAdministration procedures were discussed atthe meetings in Makati (May 2001) andBaguio (May 2002). John Rowe visitedMalaybalay and Los Banos during May 2001to discuss administrative procedures for Year4 with SCO (Site Coordination Office (of-ficer)), PCARRD and PARRFI officials. Dur-ing Year 4, monthly financial reports were pre-pared by PARRFI and reviewed by PCARRDand UW. Rowe also reviewed PARRFI andPCARRD procedures at Los Banos in May2002 and found all activities and procedures

to in order. Throughout Year 4 invoiceswere received, reviewed and reimbursedfor the other SEA subcontractors

OBJECTIVE 3To coordinate documentation and commu-nication of SANREM-SEA proceduresand results.

Annual AchievementsSANREM SEA project website is regu-larly updated. Research outputs arearchived in the project's website and CD-ROM. During our annual planning workplan holders developed a list of commu-nication materials that they plan to pro-duce for distribution to various audiences.To facilitate in the preparation of thesematerials, a short-term communicationspecialist will be hired by PCARRD tolead in the design of communication strat-egy and publications. Briefings on theproject and distribution project documentswere also done this year at the Universityof Wisconsin and in the Philippines. Fol-low up visit to institutions that participatedin SANREM capacity building activitiesand/or cross site visits was also conducted.

OBJECTIVE 4To facilitate project monitoring and evalu-ation

Annual AchievementsAnnual planning meeting conducted inBaguio City last May 2002. Visits with in-stitutional partners have also been con-ducted to monitor progress and providemanagement support as needed. Synthe-sis study completed in Year 4. Output re-

49

ported separately. GIS, national level policy advocacyand ERGP are in place and implemented on schedule.

Advancesin Research - For FY 2002-2003, ERGP proposal com-petition was announced through international channels.A total of 35 proposals from various countries in Asiawere received. Small grants were awarded to four pro-posals which met among others the following evalua-tion criteria: relevance to SANREM goals and researchneeds, ability to complete research project by May 2003,and clarity of research methodology. These were:

1. Translation of SANREM technology briefs into Ta-galog and Cebuano comics format Principal investiga-tor: Eliseo M. Baltazar Technology Development Di-vision Ecosystems Research and Development BureauCollege, Laguna 4031, Philippines

2. Packaging streamflow and soil erosion predictiontechnology based on the WEPP model for the Manupalisubwatersheds Principal investigator: Victor B. EllaUniversity of the Philippines Los Banos College, La-guna 4031, Philippines

3. Social capital and natural resource management: Astudy of communities with varying levels of economicdevelopment in Bukidnon, Philippines Principal inves-tigators: Merlyne M. Paunlagui and Miriam R. NguyenInstitute of Strategic Planning and Policy Studies Col-lege of Public Affairs University of the Philippines LosBanos College, Laguna 4031, Philippines

4. A literature review and bibliography on the link be-tween forest resources and poverty alleviation in Viet-nam Principal investigator: William Sunderlin Centerfor International Forestry Research P.O. Box 6596 JK-PWB Jakarta 10065, Indonesia

in Scaling Up - National level water policy advocacycontinued to second year. Implementation of this workplan is aimed at enhancing local-national policy dia-logues on key NRM issues, such as water resource man-agement.

in Policy Impact - Collaboration with community-based institutions, in particular the local government,has been maintained to strengthen policy linkage at thelocal level. Outcomes and lessons of local level link-age are reported in the revised synthesis paper byBuenavista and Sumbalan. Likewise, the project hasestablished alliances with national level institutions,such as the Philippine Institute of Development Stud-

ies, the Institute of Strategic Planning and Policy Stud-ies and PCARRD to facilitate local-national policy dia-logues on natural resource management. It is envisionedthat these strategic alliances with policy making insti-tutions will enhance the uptake of research informa-tion.

Other Major Ouputs in this Period* Participation and paper presentation by SANREMSoutheast Asia researchers at the SANREM SynthesisConference in Athens, Georgia.

* GIS research activity is in progress. This is led byDr. Steve Ventura, UW professor, and Mr. Gregg Clark,UW graduate student in remote sensing.

* Activities for the national level policy activity havebeen initiated and led by the (UPLB, Philippine Insti-tute of Development Studies and the University of Wis-consin. These activities are designed to make availableSANREM's research outputs to national policy mak-ers.

Conference PresentationsBuenavista, G. 2002. Participatory Approach toResearch and Development: The SANREM CRSPSoutheast Asia Experience. Paper presented at theWorkshop on Biodiversity Conservation andSustainable Development. Kunming,Yunnan, China.August 8-18.

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Administration and Coordination of the SANREMCRSP Southeast Asian Program (PCARRD)

PrincipalInvestigatorRogelio Serrano

Co-PrincipalInvestigatorVel Suminguit



OBJECTIVE 1To provide timely administrative and coor-dination support to regional principal inves-tigators and work plan holders.

Annual AchievementsThe SCO coordinated and assisted datacollection efforts of two ERGP grantees,Dr. Ed Paningbatan who is working onPCARES (Predicting Catchment Runoffand Soil Erosion) and Dr. Victor Ella whois working on WEPP (Water Erosion Pre-diction Project). Likewise, Mr. GreggClark from the University of Wisconsinwas also assisted in his collection of dataon GPS positions in the Manupali water-shed. The SCO provided logistic supportto two policy analysis workshops con-ducted by Dr. Agnes Rola and her teammembers. The first workshop entitled:"Natural Resource Management Aware-ness and Workshop in Support to Mt. Ki-tanglad Management Plan" was conductedon September 11-13, 2001 at CannosaYouth Formation Center, Malaybalay City.This was followed by a second workshopconducted on May 2-3, 2002 at HausMalibu.

OBJECTIVE 2To build linkages with other agencies andinstitutions that are implementing similarprograms.

Annual AchievementsOn 27-28 May 2002, SANREM SCO con-ducted a meeting with the Provincial Plan-ning and Development Officials of Bohol

and with the officials of Ramon AboitizFoundation, Inc. (RAFI), Cebu City con-cerning their application and adoption ofwater quality and quantity monitoring andevaluation learned from the Water Moni-toring workplan of SANREM.

OBJECTIVE 3To support scaling and outreach activitiesat the community, provincial, national andregional levels.

Annual AchievementsOn February 21, 2002, SANREM spon-sored the forum entitled "Lantapan Farm-ers' Technology Forum" held at the Mt.Kitanglad Agri-Venture, Inc. (MKAVI),Lantapan, Bukidnon. Five technologieswere presented to farmers by different in-stitutions that include the CMU, ATSAL,ICRAF, KIN (Kitanglad Integrated Non-Governmental Organizations) andMKAVI. About 110 people attended theforum. This included 54 farmers, 20 gov-ernment officials and 36 researchers andresearch administrators. The forum servedas a venue for constructive dialogue be-tween farmers and scientists for harmoni-ous collaboration in the R&D process andfor dissemination of mature sustainableagriculture and NRM technologies tofarmers.

OBJECTIVE 4To support program capacity building ac-tivities, especially for community-basedpartners

51

Annual AchievementsDuring this period, SANREM co-sponsored a work-shop on policy formulation entitled "The 1st Policy Fo-rum on NRM". The activity was held on November 8-9, 2001 at Valencia City, Bukidnon. Participants to theForum were different LGU's coming from various mu-nicipalities in Bukidnon, Saranggani, Zamboanga, Ba-guio and Jolo. Also a training on AWS operation andmaintenance was conducted for PAGASA (PhilippineAtmospheric, Geophysical and Astronomical ServicesAdministration) staff in Bukidnon.

OBJECTIVE 5To organize and coordinate the annual conference ofSANREM CRSP-Southeast Asia partners

Annual AchievementsThe Year 5 planning workshop was held on May 7-10,2002 at The Golden Pines Hotel, Baguio City. It wasattended by the SANREM CRSP/SEA workplan hold-ers, ERGP principal investigators, ME members, UW-Madison and PCARRD. All in all, there were 26 par-ticipants. The workshop tackled the planned activities,targets and output for year 5 as well as the final assess-ment of impacts. The publications to be produced werealso identified. Plans for acceptance and screening ofERGP Proposals were also explained including guide-lines for financial and administrative closing of the pro-gram.

On June 5-6, 2002, the Technical Working Group of allLantapan-based R&D projects conducted a field visitto different SANREM workplan sites and other R&Dand community-based projects/partners in Lantapan,Bukidnon. Among the sites/institutions visited wereMSEC's soil erosion monitoring site, Abarques Farm,Alfonso Sagayan Farm, Binahon Farm, KIN's Non-Destructive Livelihood Project, SANREM soil erosionmonitoring site, ATSAL seedbank, SANREM Auto-matic Weather Station (AWS) and MAKAVI.

Presentations were also held at the MKAVI by the LGUon Natural Resource Management and DevelopmentPlan (NRMDP) formulation and implementation in theprovince of Bukidnon, NRMDP replication in munici-palities surrounding Mt. Kitanglad and NRMDP imple-mentation at the Barangay level back to back with thefield visit was the conduct of all SANREM CRSP/SEAworkplan finance officers meeting with PCARRD-PARRFI for the financial audit and physical inventoryof all SANREM-purchased equipment.

OBJECTIVE 6To improve public dissemination of research outputs.

Annual AchievementsDigitized SANREM video entitled "Verdant Hills."Twelve high resolutions video clips in MPEG formatare now integrated in the CD-ROM. The SANREMCRSP/SEA Update Newsletter Vol. 2 No. 1 and 2 werereleased and distributed to partners and LGU's aroundBukidnon while Vol. 2 No. 3 is in press. The next issue(Vol. 3 No. 1) is currently in its writing stage and willcome out in July 2002. The draft proceedings for theFirst Bukidnon NRM Policy Forum will come out inAugust 2002. SANREM CRSP Research Brief No. 1and No. 6 were already printed and ready for distribu-tion. Four are in press. Updated and distributed a newversion of the SANREM CRSP/SEA Multimedia CD-rom. SANREM CRSP/SEA was also featured in localnewspaper "Central Mindanao Newswatch" dated April9, 2002 during the SANREM presentation on mediacompanies (Manila Bulletin, We Forum and PhilippineDaily Inquirer). A Press release entitled "Agroforestryexperiment changing landscape, lifescape in UplandBukidnon" was published by Today newspaper on April25, 2002. To date, The SCO and PCARRD multipliedand distributed 22 SANREM and SANREM derivedresearch reports to concerned institutions and librariesin Bukidnon and Luzon.

OBJECTIVE 7To facilitate access and sharing of primary data.

Annual AchievementsFour SCO and SANREM-PCARRD personnel weretrained on "Relational Database and Modeling Design"and "Microsoft SQL" last September 2001 inMandaluyong City. The SCO had also shared the AWS(Automatic Weather Stations) data to LGU - Lanta-pan, Dr. Paningbatan and Dr. Ella; and soil data to Dr.Conrado Duque of MSEC. The Site Coordinator at-tended a two week training on GIS, GPS, and remotesensing.

Advancesin Research - 1. Sponsored a forum entitled "Lanta-pan Farmers' Technology Forum" on February 21, 2002at the Mt. Kitanglad Agri-Venture, Inc. The activity wasdesigned to support the promotion and application oftechnologies generated from SANREM CRSP and otherLantapan-based R&D projects.

52

in Capacity Buildup - 1. The SCO sponsored and par-ticipated a training on AWS Data Analysis, Consolida-tion and Processing on August 2001 at the ComputerLaboratory of Central Mindanao University, Bukidnon;2. SCO organized and participated a symposium onCommunity Organization for Sustainable Developmenton September 7, 2001 at ICRAF office in Lantapan,Bukidnon; 3. Four SCO and SANREM-PCARRD per-sonnel were trained on "Relational Database and Mod-eling Design" and "Microsoft SQL" (industry-standardlanguage for creating, updating and, querying relationaldatabase management systems) last September 2001 inMandaluyong City.

in Scaling Up - 1. SCO presented and a paper on An-cestral Domain Recognition and Management in Mt.Kitanglad Range Natural Park on November 12-14, 2001at Davao City; 2. Conducted meeting on May 27-28,2002 with the Provincial Planning and Development Of-ficials of Bohol and officials of Ramon Aboitiz Foun-dation, Inc. (RAFI) on how they applied and adoptedSANREM's water quantity and quality monitoring andevaluation; 3. The Regional Program Co-Director par-ticipated the International Conference on SustainableLand Use Mosaic last 12-17 November, 2001 in ChiangMai, Thailand. He presented the paper on the SANREMCRSP/SEA experience on Landscape-Lifescape Ap-proach to Natural Resources Management and the im-pacts of said approach.

in Policy Impact - 4. Provided logistic support to policyanalysis workshops entitled "Natural Resource Manage-ment Awareness" and "Workshop in Support to Mt.Kitanglad Management Plan" conducted by Dr. AgnesRola on September 11-13, 2001. SANREM co-orga-nized the 5th Multi-sectoral Forum on Watershed Man-agement with the Forestry Development Center, thePhilippine House of Representatives Committee onNatural Resources, and Bureau of Soils and Water Man-agement among others. The forum was held on Novem-ber 15-16, 2001 at the Congressional Building in QuezonCity.

in Improved Environment and Natural ResourceManagement - 1. A press release entitled "Agrofor-estry experiment changing landscape, lifescape in Up-land Bukidnon" was published by Today Newspaper onApril 25, 2001. SANREM CRSP/SEA was featured inlocal newspaper "Central Mindanao Newswatch" onApril 9, 2002 during the SANREM presentation formedia companies (Manila Bulletin, We Forum and Phil-ippine Daily Inquirer).

Other Major Outputs in this Period

* Relational Database Modeling and Design

* Database Development using SQL 7.0 Sept. 17-21,2001, Shangri-La Plaza, Mandaluyong City Participants:Dr. Vel Suminguit, Mr. Edgar Romuar, Mr. Jefrey Caidic,Mr. Sherwin R. delos Reyes 1st Philippine Workshopon Ecological Rainwater Harvesting, Nov 7-8, 2001,Punta Villa Resort, Sto. NiÒo Sur, Arevalo, Iloilo CityParticipant: Mr. Edgar S. Romuar

* Regional Workshop on Managing Tensions and Con-flicts in Natural Resource Management in Indonesia,Thailand, and the Philippines, Nov 26-28, 2001, CebuMidtown Hotel, Cebu City Participant: Mr. Edgar S.Romuar

* Production of SEA Multimedia CD-ROM SANREMCRSP for Southeast Asia

* Production of videocassette Verdant Hills: HealingNature, Sustaining Life. 1998.

Popular Media

Serrano, R. and R. Baltazar. (Eds.). 2002. SANREMCRSP SEA Update Vol. 3, No. 1. SANREM CRSP/SEA Workplans.

Serrano, R. and R. Baltazar. (Eds.). 2001. SANREMCRSP SEA Update Vol. 2, Nos. 1, 2 & 3. SANREMCRSP/SEA Workplans.

Training Non DegreeOn the job trainingDatabase Modeling and Database Development was at-tended by 4 person(s) and lasted 5 day(s).

WorkshopEcological Rainwater Harvesting was attended by 1person(s) and lasted 2 day(s).

Managing Tensions and Conflicts in Natural ResourceManagement was attended by 1 person(s) and lasted 3day(s).

53



Policy Analysis for Environmental ManagementPlanning


Co-PrincipalInvestigatorAgnes RolaOBJECTIVE 1

To develop a monitoring and evaluation sys-tem for NRMDP impacts and other nationalpolicy impacts on farm households and thecommunity's natural resource endowments.

Annual Achievements1. Temporal analysis of land use data asinfluenced by the changing local policy en-vironment. Report is in form of an ISPPS(UPLB) working paper; 2. Weekly pricedata (1995-2001) trends analysis to deter-mine the impact of Philippines' complianceto WTO agreements. Rough drafts of casestudies done for corn (yellow and white),cabbage, potatoes, tomatoes, selected fer-tilizers and selected pesticides are avail-able; 3. Initial analysis of effect of farm,off farm and non farm wages as they influ-ence farmers' decisions on soil conserva-tion practices; 4. Draft of a paper that is anupdate of the book chapter (Rola and Cox-head 2001) available.

OBJECTIVE 2To strengthen policy analysis and policy ad-vocacy skills at the municipal and the pro-vincial levels

Annual Achievements1. Policy analysis workshop attended bynewly elected provincial board membersand selected municipal vice mayors; andthe CMU faculty (May 2-3, 2002). Kapihansa Malaybalay (May 2, 2002) with the re-gional representative of the Department ofInterior and Local Governments (DILG) as

resource person; 2. Policy Research Pre-sentation to Bukidnon Provincial Board(Sept. 9, 2001); 3.Workshop on theOperationalization of the Mt. KitangladManagement Plan (MKMP) attended bybarangay captains in the buffer zone areas(Sept. 10-12, 2002); 4. Three case studieshave been prepared to understand constrain-ing and facilitating factors towards LGU'sresponses to interventions by SANREM.These are:

* a case study of the responses of thebarangay captains on their commitments toimplement doable programs in support of theMt. Kitanglad Management Plan

* a case study on the progress of the Lan-tapan Task Force on Watershed Manage-ment and Development, as a response tothe policy advocacy done by the HPI part-ner

* a case study on the progress of the ac-tivities of the Bukidnon Watershed Council,in response to the policy advocacy done bythe SANREM CRSP SEA policy group dur-ing a presentation of study results to the pro-vincial board. A fourth case study deter-mined the pattern of IRA expenditures andthe proportion of these expenditures de-voted to environmental management, by theBukidnon municipal LGU's.

OBJECTIVE 3To distill lessons learned from Lantapan atthe national level

54

Annual Achievements

The proposed policy advocacy activities with the DILGwere not pushed through because there were changesin the leadership of the Bureau of Local Governmentand Development. The retirement of the Director meantthat we need to acquiant ourselves with the new lead-ership again. We tried to invite the retired head in ameeting in Malaybalay, due to ill health, the regionalrepresentative came over. It was learned that there areno initiatives yet to propose some provisions in the lo-cal government code, for environmental management.It was also learned that an endorsement by the regionaloffice of the DILG could help in the advocacy activi-ties. In the meantime, the third item of the proposedamendment as written in our policy brief, which is togive a share of the revenues of water related industriesto host communities,will be tackled in a national waterpolicy forum this coming July 2002. Other activitiesfor this objective are the following: *Visit with four na-tional agencies to introduce the SANREM project; par-ticipated in national meetings on water.The nationalagencies included the National Economic and Devel-opment Authority (NEDA); the National Water Re-sources Board (NWRB), the water regulatory agencyunder the Dept. of Public Works and HIghways, theDILG's Local Government Academy and the DILG'sBureau of Local Government and Development. *Fromthe policy briefs in year 3, we prepared (with PIDS)two Policy Notes and two Economic Issues of the Dayall related to water. An article in the MARIDAgribusiness digest was also published.

Advances

in Research - These policy discussion papers will beavailable by the middle of July for a policy forum inJuly 31, 2002. The four policy briefs will be preparedfrom the 4 policy discussion papers. A book of pro-ceedings will also be ready by the end of year 5. The 4discussion papers and the 4 policy briefs are now com-plete and in the process of being edited for publication.Contents of the book of proceedings are now with thereviewers.

in Capacity Buildup - Policy analysis training of 10barangay captains; and also policy analysis training ofprovincial, municipal, elective and appointiveofficials.forum with the NGO sector in Malaybalay.

in Scaling Up - We have published with PIDS twopolicy notes and two economic issue of the day articles.

We also sent out SANREM publications and other briefsto two other national agencies.

in Policy Impact - 1. Five out of 28 barangays in thebuffer zone of Mt. Kitanglad passed ordinances in sup-port of the Mt. Kitanglad Plan. About 60% of the baran-gays planted the river banks with bamboos; 5 baran-gays established nurseries; 2. BENRO and other insti-tutions concerned with the province's water supply aredoing its best to prevent water disaster. It was alsoreported in the case study that as long as the peopleand the multi-sectoral institutions and agencies will lendtheir full cooperation to the endeavor, Bukidnon willcontinue to enjoy life, because water is life; 3. Currentprograms in Lantapan includes planting of 2000 bam-boo seedlings along Kulasihan, Alanib, Tugasan riverbanks last Feb. 2002; and planting of 500 mahoganyseedlings along the Maagnao river. Lantapan LGU al-lotted 200,000 pesos for the establishment of nurser-ies.


Buenavista, G. and I. Coxhead. 2001. Conclusions.In Coxhead, I. and G. Buenavista (Eds.) SeekingSustainability: Challenges of AgriculturalDevelopment and Environmental Management in aPhilippine Watershed. Los Banos, Laguna,Philippines: PCARRD.

Buenavista, G., I. Coxhead and K. Kim. 2001.Assessing the impact of a participatory, research-oriented project: Results of a survey. In Coxhead,I. and G. Buenavista (Eds.) Seeking Sustainability:Challenges of Agricultural Development andEnvironmental Management in a PhilippineWatershed. Los Banos, Laguna, Philippines:PCARRD.

Coxhead, I. and G. Buenavista. 2001. Implementinga participatory natural resoources researchprogram. In Coxhead, I. and G. Buenavista (Eds.)Seeking Sustainability: Challenges of AgriculturalDevelopment and Environmental Management in aPhilippine Watershed. Los Banos, Laguna,Philippines: PCARRD.

Coxhead, I. and G. Buenavista. 2001. Seekingsustainability. In Coxhead, I. and G. Buenavista(Eds.) Seeking Sustainability: Challenges ofAgricultural Development and Environmental

55

Management in a Philippine Watershed. Los Banos,Laguna, Philippines: PCARRD.

Paunlagui, M. and V. Suminguit. 2001. Demographicdevelopment of Lantapan. In Coxhead, I. and G.Buenavista (Eds.) Seeking Sustainability: Challengesof Agricultural Development and EnvironmentalManagement in a Philippine Watershed. Los Banos,Laguna, Philippines: PCARRD.

Serrano, R. and B. del Rosario. 2001. Impact ofSANREM CRSP/Southeast Asia on PCARRD andthe Philippine NARRS. In Coxhead, I. and G.Buenavista (Eds.) Seeking Sustainability: Challengesof Agricultural Development and EnvironmentalManagement in a Philippine Watershed. Los Banos,Laguna, Philippines: PCARRD.

Books

Coxhead, I. and G. Buenavista. 2001. SeekingSustainability: Challenges of AgriculturalDevelopment and Environmental Management ina Philippine Watershed. Los Banos, Laguna,Philippines: PCARRD. 267 pp.

Journal Articles

Coxhead, I., A. Rola and K. Kim. 2001. How donational markets and price policies affect landuse at the forest margin? Evidence from thePhilippines. Land Economics. 77(2): 250-267.


Briefs

Buenavista, G. 2001. From Awareness to Attitude toAction: An Iterative Approach to EvaluatingImpacts of NRM Projects. SANREM CRSPResearch Brief No. 2.

Coxhead, I. and A. Rola. 2001. ReconcilingLivelihoods and Landscapes: Trade Policies,Labor Markets, and Land Use in the Philippines.SANREM CRSP Research Brief No. 3.

Elazegui, D. 2002. Setting Quality Standards forEnvironmental Management Policy: HowEffective Is It? PIDS Policy Notes, No. 2002-3.

Elazegui, D. 2002. A "Law of Nature": TheCommand and Control Approach. PIDS EconomicIssue of the Day. 3(1).


Bayacag, P. 2001. Economic and EnvironmentalImpacts of Market Incentives Among UplandCorn Farms of Manupali Sub-Watershed inBukidnon, Philippines.

Working Paper

Buenavista, G., A. Sumbalan, and I. Coxhead. 2002.How do research projects inform the design oflocal policies for environment and naturalresource management?

Training Degree

Name, Level, Start Date-Completion DateHaidy Ear Depuy, Ph.D. 2000-Gregg Clark, M.S. 2001-Brian Wiley, Ph.D. 2001-Demeke Bayou, Ph.D. 2001-

Training Non Degree

WorkshopPolicy Analysis was attended by 14 person(s) andlasted 2.5 day(s).

Policy Analysis was attended by 20 person(s) andlasted 2 day(s).

56

Integrated Watershed Modeling for DecisionSupport and Policy Planning

PrincipalInvestigatorGerald Shively



OBJECTIVE 1To disseminate a computer-based tool forpolicy research and planning at the watershedscale to serve researchers, government agen-cies, and NGO's for whom natural resourcesmanagement is a programming priority.

Annual AchievementsNew achievements include the modeling ofcarbon uptake in forest systems consisting ofpure stands of P. Falcataria and agroforestrysystems consisting of P. Falcataria and veg-etable intercrops. Results have been presentedin conferences and workshops and are cur-rently in review in a professional journal.New results on labor allocation at forest mar-gins have also been prepared as part ofSANREM-related research in Palawan (Phil-ippines) and Southern Malawi. These find-ings have been reported and are in peer-re-view. One of the difficulties faced in the lat-est visit to the site in Lantapan is the reluc-tance by our cooperators to allow us to har-vest some of the trees to determine allomet-ric relationships, and timber density, neces-sary for accurate calculations of timber yieldand C sequestration. We have instructed ourstaff to make measurements on timber of thesame species known to have been felled else-where in the watershed.

OBJECTIVE 2Relate rate of eroded soil and decline in soilfertility to loss of yield potential in annualcrops.

Annual AchievementsA third experiment with Cabbage as the plantedspecies will follow re-liming of the plots thatwere assigned the liming treatment. A fourth ex-periment will be undertaken in the Autumn sea-son of 2002, and that will finalize this set of ex-periments.

Pesticide sampling has been undertaken in eachof the major rivers in the watershed, on threeoccasions, and will continue in year 5.

Some data are presented in Table I (next page),and suggest that spikes of pesticide may bepresent in the waterways, due to spray activitiesor to washing of application apparatus/disposalof containers. Produce purchased in the marketwas also contaminated with pesticides.

Although in the first season after removal oftopsoil - the tomato crop - there was an apparentresponse to the treatment, with greater removalleading to lower yield and liming raising yield(Table II), such an effect was not observed inthe following Chinese cabbage crop. In neitherseason were the treatment differences significantat p=0.05. Soil parameters measured at thebeginning of the trial did not pick up majortrends between treatments.

Table II. Effects of removing soil, and or lim-ing, on tomato and Chinese cabbage yields(kg/plot) and some soil propertiesTreatment Tomato Chinese Total N pH Ca cabbage

No Lime 2.62 16.3 0.75 5.36 6.4With lime 3.35 16.4 0.60 5.47 7.1Non-removal l3.27 17.6 0.67 ab 5.45 7.43 cm removal 2.96 14.0 0.54 b 5.34 6.26 cm removal 2.73 17.3 0.81 a 5.45 6.7

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Table I. Pesticide test results from sampling in rivers, runoff and vegetable produce,August 2001Sample No. Cholinesterase Synthetic Pyrethroid Cyclodiene

S 1 (Kulasihan river) ( - ) ( - ) ( - )

2 ( - ) ( - ) ( - )

3 ( - ) ( - )

S 4 (Alanib river) ( - ) ( - )

5 ( + ) ( - ) ( - )

6 ( + ) ( - )

S 7 (Maagnao river) ( + ) ( - )

8 ( + ) ( - ) 1.2 ppb

9 ( + ) 1.1 ppb

S 10 (Tugasan river) ( + ) ( - ) 1.9 ppb

11 ( + ) 1.5 ppb

12 ( + ) 1.4 ppb

S 13 (canal) ( + ) 5.1 ppb 2.5 ppb

S 14 (canal) ( + ) 6.2 ppb 2.5 ppb

S 15 (highland cabbage) ( + ) ( - ) ( - )

S 16 (lowland cabbage) (+ ) 2.6 ppb ( - )

S 17 (Chinese cabbage) ( - ) ( - )

S 18 (pechay) ( - ) ( - ) ( - )

S 19 (tomato, surface) ( + ) 1.9 ppb 1.0 ; 2.9 ppb

S 20 (tomato, juice) 2.0 ppb

S 21 (chili) ( - )

S 22 (runoff plot) 5.2 ppb 0.9 ppb

S 23 (plot 2) ( - )

S 24 (tomato leaf) 4.6 ppb

S 25 (beans) 2.9 ppb

Note: 1) ( + ) indicates presence of pesticide. No quantification was made, as interpretation procedure for cholinesterase isnot clear. Page 5 of handout (Pesticide Control) states, "These controls are not intended to be used in the analysis of sampleextracts. In order to properly analyze sample extracts, pesticide standards, both negative and positive must be preparedusing negative extracts of the matrix to be tested". Also, except for Tomato, Low cabbage, Sample 7 & 9, the other sampleshave CV greater than 15%. 2) For synthetic pyrethroid, in the first run, only rep. 2 was considered as rep. 1 has an overvalue. 3) For cyclodiene, in the second set/run, only 1.737 of rep. 2 (NC) was considered, as rep. 1 value of 1.324 is too low.Value of 1 ppb in rep. 1 is 1.459.

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Our efforts to acquire data on the costs associated withthe harvesting of trees for timber in the watershed werewithout reward, for the cooperators are keen to keeptheir trees growing, believing that they are still in thelogarithmic phase of growth (compound interestreturns!).

Our approach to the development of a multivariateanalysis to explain the relative contributions of the manyfactors that explain variation in yields over time,including changes in soil parameters, was strengthenedby a visit by David Midmore to Durga Poudel, to putall of the available data into a large spreadsheet. Thiswas completed, and the overall analysis will soon beforthcoming.

A visit to the USA by David Midmore in May 2001(funded by non-SANREM sources) also allowed for ameeting between Todd Nissen, Jerry Shively and DavidMidmore, to discuss further cooperative activities foryear 5.

OBJECTIVE 3To evaluate and measure the potential economic andenvironmental impacts of changes in economic policyvariables and corresponding changes in land use in aprototype watershed economy.

Annual Achievements

Achievements on this objective include the specifica-tion of conceptual linkages between land use changesand environmental outcomes. Data from field experi-ments on vegetable and agroforestry systems have beenincorporated in systems models to measure the on-farmeconomic impacts of the systems and the potential car-bon uptake of these systems. Policy simulations havebeen conducted and reported to the scientific commu-nity and national-level stakeholders.

OBJECTIVE 4Provide evidence for or against the thesis that full and/or partial conversion of vegetable farms to agroforestrywill lead to sustainable use of soil and water resources,and satisfy the income demand by upland farming fami-lies.

Annual AchievementsThe data from two seasons of vegetable production fol-lowing incorporation of wild sunflower have been col-lected (Table III), as have data on the effects of the sun-flower on soil physical and chemical properties (TableIV).

Yields were favored in most treatment combinations bythe fallow period with sunflower, and erosion was mar-ginally better in the fallowed plots too. The least benefi-cial effects of the sunflower were on the up-down cul-tivated plots, a result that requires more confirmation inthe following two seasons of data collection before thetrial is terminated.

Table III. Effect of previous and current manage-ment on CS-15 tomato yields (kg/plot) and erosion(t/ha) and CS-16 unshelled maize (kg/plot)

Treatment Yield Erosion Maize

Contour (new) 78.8 0.41 62.7Contour (contin.) 66.4 6.10 29.2Hedgerow (new) 80.1 4.92 53.9Hedgerow (contin.) 17.6 4.19 2.8Strip (new) 14.3 9.58 23.7Strip (contin.) 6.9 14.26 11.8Up-down (new) 89.9 17.75 34.1Up-down (contin.) 95.7 14.96 36.9

____________________________________________________________________

The major differences between the soil properties fol-lowing fallow or continuous cultivation were in rela-tion to pH (less acid after fallow), K (more in the con-tinuous plots due to routine application to each crop),and C and MG ((both increased with fallow). We alsohave data on infiltration, and will compare these withthose collected seven seasons prior to the data collectedin May 2001.

Table IV. Some effects of three years fallow withwild sunflower on soil properties in the Victory plots

Treatment pH N(%) Kppm C(%) Mg meq/100g

bott top top bott. bott.Contour 5.01 0.496 5.48 5.48a 0.976Hedgerow 4.99 0.569 4.59 4.59b 1.178Strip 5.00 0.372 5.12 5.12ab 0.823Up-down 4.84 0.604 4.76 4.76b 0.668Contin. 4.72a 0.399a 280 4.32x 0.447aNew 5.20b 0.621b 175 5.61y 0.376b

OBJECTIVE 5Further incorporate biophysical parameters into thewatershed model.

Annual AchievementsThis is an ongoing activity. Considerable progress hasbeen made, especially in the area of forestry andagroforestry.

59

Model parameters have been updated based on newknowledge regarding pest control and erosion runoff.

OBJECTIVE 6Quantify pesticide loading on eroded soil, runoff andstream flow.

Annual AchievementsBased on water sampling undertaken in 2001 and 2002we have been able to identify specific groups of pesti-cides, including organochlorines, organocarbonates, andsynthetic pyrethroids in some of the water samplestested.

OBJECTIVE 7To assess the potential transferability of the computermodeling strategy to other sites in the Philippines andelsewhere in Southeast Asia.

Annual AchievementsWe have enjoyed excellent progress and several im-portant research achievements as a result of Dr. Ha'svisit to Purdue and Dr. Shively's exchange visit to UAFin March/April 2002. Staff training of scientists at theUniversity of Agriculture and Forestry (Ho Chi MinhCity) was undertaken for one week with amultidisciplinary group (agronomy, economics, forestry,hydrology, fisheries) of 12 individuals. Solid groundworkfor Phase III activities in Vietnam has been established.A strategy for transferring economy-environment mod-eling activities from the Philippines to Vietnam havebeen completed.

OBJECTIVE 8Provide model parameters for inclusion of such evi-dence into a watershed model.

Annual AchievementsTree growth has not been favored by the intercroppingwith vegetables (Table V). No benefit had been re-corded since the start of the experiment, and possiblereasons for this were speculated upon in the previousannual report.

We have taken soil samples from under the trees, andwill compare with samples from the continuouslycropped plots, to determine whether the trees have re-cycled nutrients from lower in the soil profile and un-available to sole vegetable plots.

Table V. Some effects of original and new treat-ment on tree (E. robusta) growth in Victory plots(measured three years after planting trees)

Treatment Diameter at breast height (cm)

Contour 12.02Hedgerow 11.60Strip 11.57Up-down 11.21Trees only 11.27Trees + vegetables 11.93

We continue to monitor the growth on a biannual ba-sis of trees planted in 1995, and have related the per-formance of Paraserianthes falcataria to that predictedin a published simulation model. The correspondenceis excellent, and our research on this topic has beenpublished extensively. We note (Table VI) that the ben-efits of very high population noted in earlier years isless marked now, and that correctly pruned trees outperform control trees and those planted at a higherpopulation and then with the poorer trees culled out.The benefits of higher populations over the range 500to 2000 trees per hectare is still notable (Table VII).

Table VI. Effects of planting density (trees/ha)and management on 5.5 years growth of E.torreliana at Minas'

Treatment Stand basal area (m2ha-1)

1331 34.94b2604 49.35a5101 49.36aPruning 50.75aThinning 38.35cControl 44.55b

Table VII. Effects of planting density (trees/ha)and management on 5.5 year growth of E.deglupta at Ricacho's

Treatment Stand basal area (m2ha-1)

500 13.70a1000 23.79b2000 30.78cShort crop 21.14Tall crop 24.38ns

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OBJECTIVE 9

Understand harvest and associated costs of tree pro-duction, and effects of trees and sunflower on soil prop-erties and subsequent annual crop performance.

Annual Achievements

New information and knowledge were generated re-garding the functioning of the wholesale and retail tim-ber market in the study area, and price data from ear-lier sample periods were confirmed. These data pro-vide an opportunity to strengthen our analysis and pre-diction of economic forces operating in the area withrespect to market incentives for forest and agroforestproduction in the area.

Prices monitored, but no realistic harvest data acquired.A visit in September/October may allow for the col-lection of some data.

OBJECTIVE 10To monitor the changes in the practice of vegetableproduction, and the adoption of participatory-led re-search-substantiated innovations.

Annual AchievementsResponses from 40 persons to 200 questions aresummariszed as follows:

* Yields and soil quality are getting worse, pest anddisease not so

* Standard of living of best farmers going down

* Irrigation quantity not going down (pre-MKAVI?)

* 37% using powdered lime

* 18% with sole tree plots, 6% with intercrop treesand 76% with trees on field edges

* Although tree planting is mainly around the field edge,respondents indicated a preference for the close 3m x3m spacing over wider spacings

* 60% will sell 5-10 years old, rest older

* 89% say apply organic manure to improve soil fertil-ity,

* 11% say burn

* Less than 10% know about natural parasites to controldiamondback moth

* Contour farming was more favoured than other prac-tices for erosion control

* 50% with non-farm activity

Close analysis comparing responses to those collected in1994 will take place in year 5. Additionally, we will dif-ferentiate between the responses given the degree ofinvolvement with SANREM or not.

OBJECTIVE 11

Interpret relationships between off-plot and in-streamsediment loadings.

Annual Achievements

Conceptual linkages between off-plot and in-streamsediment loadings have been outlined. Empiricalconfirmation awaits future data analysis.

OBJECTIVE 12

To provide a robust model for prediction of impacts dueto changes in upland vegetable production practices onfarm scale income generation and resource management(in year 3/4).

Annual AchievementsWe have developed a computer (spreadsheet-based) op-timization model to predict short-run and long-run changesin incomes and land uses in response to changes in veg-etable prices and production practices.

Advancesin Research - Results as expected. New findings incor-porated in the model with respect to carbon sequestra-tion in forest and agroforest systems. Meeting with bio-physical team at the Univeristy of Illinois in May 2002resulted in a number of new insights that have been in-corporated in version II of the Manupali model. The newmodel includes an interface for user-defined input of upto four general agricultural or non-agricultural activitiesfor purposes of simulation.

in Capacity Buildup - Progress better than expected.Solid participation by a multidisciplinary group (12) UAFresearchers at a week-long training held at UAF in April2002. This was a follow-up to training of Prof. Ha atPurdue in December 2001.

61

in Scaling Up - Progress better than expected. Stronglinkages established in Vietnam at UAF and also at Min-istry of Agriuculture and Forestry and the NGO Terredes Hommes. Multidisciplanary group established forPhase III SANREM research.

in Policy Impact - Progress as expected. Policy Briefbased on results from modeling carbon sequestration inforestry and agroforestry (in progress, expected comple-tion in 3rd quarter of 2002).

in Improved Environment and Natural ResourceManagement - Progress as expected. New modelingtools made available for the policy research communityin the Philippines.

PublicationsJournal Articles

Coxhead, I., G. Shively, and X. Shuai. 2002.Development policies, resource constraints, andagricultural expansion on the Philippine landfrontier. Environment and Development Economics.7(2): 341-364 .

Hogset, H., W. Masters, G. Shively. 2002. PolicyChanges, input supply liberalization, and missingmarkets: evidence from smallholder farms inMalawi. Journal of Policy Modeling/EconModels.com.

Nissen, T. and D. Midmore. 2002. Stand basal areaas an index of competitiveness in timberintercropping. Agroforestry Systems. 54(1): 51-60.

Nissen, T. and D. Midmore. 2002. A bioeconomicrationale for the expansion of tree planting byupland farmers in the Philippines. PhilippineJournal of Development. 34.

Shively, G. 2001. Price Thresholds, Price Volatility,and the Private Costs of Investment in aDeveloping Country Grain Market. EconomicModeling. 18(3): 399-414.

Shively, G. and I. Coxhead. 2002. Conductingeconomic policy analysis at the landscape scale:examples from a dynamic model of a Philippinewatershed. Agriculture, Ecosystems, and theEnvironment.

Shively, G. and C. Zelek. 2002. Economic policiesand environmental outcomes at a watershed scale.

Philippine Journal of Development.

Shively, G., and I. Coxhead. 2003. (in press).Conducting economic policy analysis at alandscape scale: examples from a Philippinewatershed. Agriculture, Ecosystems and theEnvironment.

Shively, G. and S. Pagiola. 2003. (in press). TheMicroeconomic Dynamics of AgriculturalDevelopment and Deforestation: Evidence from aFrontier Region of the Philippines. Environmentand Development Economics.

Shively, G., E. Martinez, and W. Masters. 2002.Testing the link between public intervention andfood price variability: evidence from rice marketsin the Philippines. Pacific Economic Review. 7(2):545-554.

Shively, G., C. Zelek, D. Midmore, and T. Nissen.2002. Carbon sequestration in a tropicalagroforestry system. Agroforestry Systems.

Zelek, C. and G. Shively. 2003. Measuring theOpportunity Cost of Carbon Sequestration inTropical Agriculture. Land Economics.

Other Major Outputs in this Period* A new version of the Manupali simulation model wasreleased (on disk and on the web atwww.agecon.purdue.edu/staff/shively/manupali). Thenew version incorporates new biophysical findings fromthe watershed and also adds a new user interface thatallows up to four user-defined agricultural or non-agri-cultural packages to be used in the simulation.

Briefs

Midmore, D. 2001. Saving Soil: IntegratingErosion Control in Upland Agricultural Systems(Mindanao Island, Philippines). SANREM CRSPResearch Brief No. 5.


Shively, G. and S. Pagiola. 2001. Poverty,Agricultural Development, and the Environment:Evidence from a Frontier Region of thePhillippines. Paper Prepared for selected papersession of the AAEA. Chicago, IL. August 5-8.

Zelek, C. and G. Shively. 2001. Technical Change,Factor Bias, and Input Adjustments: Panel Data

62

Evidence from the Philippines. Paper prepared forselected paper session of the AAEA. Chicago, IL.Augusut 5-8.

Research Reports

Fisher, M., G. Shively, and S. Buccola. 2002. Anempirical investigation of activity choice, laborallocation, and forest use in southern Malawi.Dept. of Agricultural Economics. Purdue UniversityStaff Paper #02-01. Midmore, D., D. Poudel, T.Nissen, and G. Shively. 2001. Searching for least-cost methods of erosion control: policy changesversus technological options in SE Asia.

Mwakabolo, A. and G. Shively. 2001. Food Securityand Natural Resource Management in DevelopingCountries. Purdue University Department ofAgricultural Economics, Staff Paper No 01-12.

Shively, G. E. 2001. Conducting economic policyanalysis at a landscape scale: A Stella-basedapproach to dynamic simulation with examplesfrom the agricultural economy of a Philippinewatershed. Draft manuscript. Purdue Universtiy,West Lafayette, IN. 70 pp.


Zelek, C. 2002. Measuring the Opportunity Cost ofCarbon Sequestration in Tropical Agriculture.PhD dissertation, Department of AgriculturalEconomics, Purdue University, West Lafayette, IN.

Training Degree

Name, Level, Start Date-Completion DateCharles Zelek, Ph.D. 9/1997-

Training Non Degree

WorkshopEconomy-Environment Modeling was attended by 11person(s) and lasted 5 day(s).

Modeling was attended by 1 person(s) and lasted 5day(s).

63

Water Resource Management and Education Work Plan



PrincipalInvestigatorWilliam Deutsch

Co-PrincipalInvestigatorJim Orprecio

CollaboratorsEstella CequiÒaVincent Molina

OBJECTIVE 1To support the growth and capability of theTigbantay Wahig as a viable and sustainablepeople's organization in Lantapan, and extendcommunity-based monitoring to other parts ofMindanao (Saranggani Province).

Annual Achievements* Sarangani Province, Southern Mindanao: Toassist Munong El in their organizational devel-opment, HPI conducted two trainings on orga-nizational management last November 27-29,2001 and December 11-13, 2001, In Maitum,Sarangani. The two trainings were entitled"Structural and Organizational Management"and "Human Value Formation Training". Bothtraining were participated by 23 participants (15male & 8 female).

* Bohol Province, in the Visayas: Last Decem-ber 8-19, 2001, a series of reconnaissance sur-veys and trainings in TSS (Total SuspendedSolids) and Water Chemistry monitoring wasconducted in Bohol. During the reconnaissancesurveys, rivers and tributaries of the six mu-nicipalities of Bohol were visited to select thesample sites for the water monitoring. Threeseries of trainings then followed held inAntequera, Catigbian and Sevilla. A total of 49graduates (42 male and 7 female) became wa-ter monitors in the six municipalities of Bohol.These monitors started collecting TSS and wa-ter chemistry samples last February 2002.

* Asia/South Pacific Region of HPI: On April22 to 26, 2002, Mr. Jim L. Orprecio along withkey staffs of the HPI/Thailand office, conducteda series of reconnaissance surveys of rivers inChiang Rai province. The survey was to selectsample sites that will be used in the water moni-toring activities.

The reconnaissance survey was followedby a water monitoring training in ChiangRai, Thailand. This was conducted lastMay 14-19, 2002 by Mr. Jim L. Orprecioand Dr. Bill Deutsch.

Other related activities during the re-porting period:

January 15 - 7, 2002 - Water MonitoringTraining: HPI and Tigbantay Wahig hosted22 people from Davao City for a 3-day ex-posure trip cum water monitoring trainingin Lantapan, Bukidnon. The activity wassponsored by DRCCC (Davao River Con-servation Coordinating Committee) orDavao River Conservation CoordinatingCommittee, an LGU sponsored organiza-tion. The participants of the training wererepresentatives from the Upland Develop-ment Programme in Southern Mindanao,City Planning and Development Office,Barangay Officials, City Health Office,CENRO (Community Environment andNatural Resource Office), DENR (Depart-ment of Environment and Natural Re-sources), Holy Cross College, VSO and theMovement for Clean and Green MountainForest, Inc.

February 15, 2002 - A Training of TrainerWorkshop for Basic Trainers This TOT(Training of Trainers) workshop was con-ducted in Lantapan, Bukidnon by Dr. BillDeutsch and Mr. Jim L. Orprecio for mem-bers of water monitors from Bohol, Saran-gani and Lantapan. The trainers trainingwas conducted in preparation for the ex-pansion of the water monitoring program.The TOT graduates will help in the con-duct of basic certification trainings in theexpansion areas.

64

February 16 & 18, 2002 - Bacteriological MonitoringWorkshop and Survey Headed by the Tigbantay Wahigmembers, the Bohol and Sarangani water monitors havean exposure and training on bacteriological monitor-ing and survey for two days. This was being supervisedby Dr. Bill Deutsch.

February 19, 2002 - Workshop on Use of colorimeters.Twelve Tigbantay Wahig members have undergone aworkshop on identifying the presence of phosphate, ni-trite and nitrate in water. The group has started moni-toring the four main rivers in Lantapan last March 2002with these additional parameters.

February 20, 2002 - Symposium on "Community-BasedEnvironmental Monitoring." The symposium was con-ducted through the request of the Vice Mayor ofValencia City in Bukidnon. About 100 people came toparticipate in the symposium. Participants were Sci-ence teachers of the National High School of Valencia,members of the Bikers Association of Bukidnon, Mili-tary reserves, representatives from the Governors of-fice, the City Mayor, Vice Mayor, SANREM/PCARRDrepresentatives, Dr. Bill Deutsch, Mr. Jim L. Orprecio,HPI staffs and Tigbantay Wahig members.

April 4, 2002 - HPI and Tigbantay presented the ac-complishments of the workplan to media persons com-ing from Manila and Malaybalay.

April 26, 2002 - Water Monitoring presentation to theLocal Government of Baungon. The presentation washeaded by Mr. Jim L. Orprecio, and assisted by JanethB. Labis, Jhonie Sumampong and Vincent Molina. Thepresentation stirred interest and support from the LGUofficials. Water monitoring activity will soon start inBaungon, Bukidnon, hopefully by September 2002.

May 2, 2002 ñ Water monitoring data presentation atMalaybalay City. The presentation was attended by theSangguniang Panlalawigan Members (Provincial BoardMembers) and five Municipal Vice Mayors from thedifferent towns of Bukidnon province.

OBJECTIVE 2To collect water quality and quantity data for additionto a six-year database. This information will be usefulfor local water management and as model for othercommunities.

Annual AchievementsUpdated number of collected samples for the period(June 2001 to June 2002)

Tigbantay Wahig - Lantapan, Bukidnon Province

* Total Suspended Solids - 276 samples (June 2001 toApril 2002)

* Water Chemistry - 52 samples (June 2001 to June2002)

* Stream Discharge/Soil Export - 90 (June 2001 toJune 2002)

* Bacteriological Survey - 90 samples (February 2002)

Munong El ñ Maitum, Sarangani Province

* Total Suspended Solids - 81 samples (June 2001 toJan 2002)

* Water Chemistry - 21 samples (June 2001 to Jan2002)

* Stream Discharge/Soil Export - 12 samples (June2001 to Jan 2002)

* Bacteriological Survey - 50 samples

Bohol Water Monitoring - Province of Bohol

* Total Suspended Solids - 57 samples (February 2002to April 2002)

* Water Chemistry - 31 samples (Jan 2002 to April2002)

* Total TSS (Lantapan, Sarangani & Bohol) - 414

* Total Water Chemistry Samples (Lantapan, Sarangani& Bohol) - 104

* Total Stream Discharge Samples (Lantapan,Sarangani & Bohol) - 102

* Total Bacteriological Survey (Lantapan & Sarangani)- 104

* Total Samples = 760

OBJECTIVE 3To organize the water database for use in watershedmodel to be developed by the SANREM Southeast AsiaProgram.

Advancesin Research - 1) Last August 23, 2001, the TigbantayWahig members and HPI met with governmental offi-

65

cials and representatives of other community sectors topresent a data set that indicated probable degradationof water quality in all subwatersheds over the last fewyears. The quantitative data of the monitors was takenseriously by the group and was also substantiated byothers' observations about deforestation and develop-ment along streams. The data presentation and resultedin the creation of the Lantapan Watershed Manage-ment Council; 2) Part of the HPI/Tigbantay Wahig'srole in the Lantapan Watershed Management Councilis Information Education Campaign. This includes vis-its to schools where the Tigbantay Wahig will speakwith school children ages 7 to 12 years old about envi-ronmental degradation, preservation and management.From September 2001 to December 2001, a series ofIEC's were conducted by the Tigbantay Wahig mem-bers. Seven schools (elementary schools) were visited;they were attended by an estimated 3,649 people com-prised of children, teachers and municipal officials ofLantapan. The workplan results and data gathered fromthe water monitoring activities in Lantapan are also nowbeing used by the following: a) Rosemary Morales Fern-holz - Working on a research project with a grant fromSANREM entitled "Innovations from the Long-Term:Institutional Support for Sustaining SANREM Technolo-gies in the Philippines"; b) Dr. Victor B. Ella - Workingon a SANREM ERDP Project on Soil Erosion Model-ling of the Manupali River Subwatersheds; c) MaureenM. Cuevas - working on her thesis entitled "Assess-ment of the Impacts of Extreme Climate Events on SoilErosion at Lantapan, Bukidnon using Modified Water-shed Model"; d) Mr. Gaudencio Ramos, Sr. Superinten-dent, National Irrigation Administration (NIA is usingthe water monitoring data for NIA project proposals)

in Capacity Buildup - To assist Munong El in theirorganizational development, HPI conducted twotrainings on organizational management last Novem-ber 27-29, 2001 and December 11-13, 2001, In Maitum,Sarangani. The two trainings were entitled "Structuraland Organizational Management" and "Human ValueFormation Training". Both training were participated by23 participants (15 male & 8 female). Also, on Febru-ary 15, 2002 - A Training of Trainer Workshop for Ba-sic Trainers. This TOT workshop was conducted inLantapan, Bukidnon by Dr. Bill Deutsch and Mr. Jim L.Orprecio for members of water monitors from Bohol,Sarangani and Lantapan. The trainers training was con-ducted in preparation for the expansion of the watermonitoring program. The TOT graduates will help inthe conduct of basic certification trainings in the expan-sion areas.

in Scaling Up - 1) Last December 8-19, 2001, a seriesof reconnaissance surveys and trainings in TSS and Wa-ter Chemistry monitoring was conducted in Bohol. Dur-ing the reconnaissance surveys, rivers and tributariesof the six municipalities of Bohol were visited to se-lect the sample sites for the water monitoring. Threeseries of trainings then followed held in Antequera,Catigbian and Sevilla. A total of 49 graduates (42 maleand 7 female) became water monitors in the six mu-nicipalities of Bohol. These monitors started collect-ing TSS and water chemistry samples last February2002; 2) April 26, 2002, Water Monitoring presentationto the Local Government of Baungon. The presenta-tion was headed by Mr. Jim L. Orprecio, and assistedby Janeth B. Labis, Jhonie Sumampong and VincentMolina. The presentation stirred interest and supportfrom the LGU officials. Water monitoring activity willsoon start in Baungon, Bukidnon, hopefully by Sep-tember 2002. 3) Asia/South Pacific Region of HPI OnApril 22 to 26, 2002, Mr. Jim L. Orprecio along withkey staffs of the HPI/Thailand office, conducted a se-ries of reconnaissance surveys of rivers in Chiang Raiprovince. The survey was to select sample sites thatwill be used in the water monitoring activities. The re-connaissance survey was followed by a water monitor-ing training in Chiang Rai, Thailand. This was con-ducted last May 14-19, 2002 by Mr. Jim L. Orprecioand Dr. Bill Deutsch.

in Policy Impact - A Memorandum Order was issuedto all Barangay Captains to initiate a streambank resto-ration project under the Lantapan Watershed Manage-ment Council. A prominent member of the TigbantayWahig and associate of HPI was designated to overseethe planting of 2,100 bamboo seedlings to protect theriparian zone and reduce erosion. The Council is cur-rently considering the expansion of the riparian zonefrom 20 to 40 meters as a Municipal ordinance. Such ariparian zone would be larger than most that are cre-ated by ordinance in the U.S. and would probably pro-vide significantly more protection for streams.


* Emily Mills and Allison Busby of Auburn Universityhave worked out with Mr. Jim L. Orprecio in gettingsome TSS and bacteriology sampling supplies to thePhilippines

* Dr. Bill Deutsch attended a two-day planning ses-sion in Watkinsville for compiling a water monitoringbook/manual. He also attended the Annual Meeting and

66

Research Conference of SANREM in Athens, GA onNov 28-30 and gave a talk which entitled, "Watersheddata from the Grassroots...Is it enough to Capture theTrends and Turn the Tide?"

* Last August 23, 2001, the Tigbantay Wahig membersand HPI met with governmental officials and represen-tatives of other community sectors to present a data setthat indicated probable degradation of water quality inall subwatersheds over the last few years. The quanti-tative data of the monitors was taken seriously by thegroup and was also substantiated by others' observa-tions about deforestation and development alongstreams. The data presentation, resulted to the creationof the Lantapan Watershed Management Council. AMemorandum Order was issued to all Barangay Cap-tains to initiate a streambank restoration project underthe Lantapan Watershed Management Council (seebelow). A prominent member of the Tigbantay Wahigand associate of HPI was designated to oversee theplanting of 2,100 bamboo seedlings to protect the ripar-ian zone and reduce erosion. The Council is currentlyconsidering the expansion of the riparian zone from 20to 40 meters as a Municipal ordinance. Such a riparianzone would be larger than most that are created byordinance in the U.S. and would probably provide sig-nificantly more protection for streams.

Briefs

Deutsch, W. 2001. Water Spirits and CitizensíAction: Community-Based Water QualityMonitoring in the Philippines. SANREM CRSPResearch Brief No. 1.

Popular Media

Deutsch, W. 2001. Role of Citizen in WatershedManagement.

Deutsch, W. 2001. Sinatia ang Imong Watershed.(Know your Watershed).

Gambe, R. 2001. Bukidnon Water Quality Projectgets Heifer-USAID Support.

Gambe, R. 2001. Bukidnon Town Tries to Save itsFour Rivers. Manila Standard.

Gambe, Rey 2002. Expansion of Bukidnon WaterMonitoring Project On. Manila Standard.

Research Reports

Deutsch, W. 2001. Citizen Volunteer Water QualityMonitoring on Alabamaís Coasts Weeks Bay.

Training Non DegreeWorkshopOrganizational Management was attended by 23person(s) and lasted 3 day(s).

Organizational Management was attended by 23person(s) and lasted 3 day(s).

Training of Trainers on water monitoring and teachingwas attended by 0 person(s) and lasted 1 day(s).

Community-Based Environmental Monitoring was at-tended by 100 person(s) and lasted 1 day(s).

On the job trainingWater Monitoring was attended by 22 person(s) andlasted 3 day(s).

TrainingTSS and Water Chemistry Monitoring was attended by49 person(s) and lasted 12 day(s).

67

Adapting and Transferring Lessons Learned fromManupali Watershed to Other Critical Watersheds in

Southeast Asia

Principal InvestigatorVictoria O. Espaldon

Co-Principal InvestigatorAnnielyn MagsinoDang Thanh HaOBJECTIVE 1

Determine suitability of the SANREM Phase1 tools and processes in a different socioeco-nomic and political context.

Annual AchievementsIn Year 4, a policy workshop on sustainableagriculture and natural resource managementwas conducted on October 23-26, 2001 atUniversity of Agriculture and Forestry (UAF)in order to link research and policy on SAand NRM. This was aimed to strengthen thecapacity of the Vietnam collaborators in pre-paring policy papers and briefs based on theagricultural research activities/findings underthe SANREM project. This activity servedas an avenue for exchanging experiences be-tween Philippines and Vietnam on how re-search is being linked with policy making pro-cesses. This workshop highlighted the com-plex notion of research and policy making.Linking them thus becomes a doubly diffi-cult and complicated process. Participantsagreed that it is important to find and initiateways by which the process can be facilitated.One of the agreed solutions is through com-munication process via repacking of agricul-tural research results into consumable formlike policy briefs and policy papers. Throughthis, research findings can be brought to thelevel of policy making bodies and can be usedas a basis in policy formulation on NRM andSA (Sustainable Agriculture).

This consensus also opened an opportunityfor UAF, Vietnam collaborator, to dissemi-nate other agricultural research findings thatthey have, which are relevant to the promo-



tion of sustainable agriculture for the up-lands. The Philippine Institute for De-velopment Studies (PIDS) was tappedto assist in this activity.

It also drew about 15 UAF researchers,including SANREM Vietnam team,from different units of the university thatshared highlights of their research workand potential policy implications. High-light of the workshop was a hands-onexercise on policy/research notes writ-ing. The participants agreed that throughthis, research findings can be broughtto the level of policy making bodies andcan be used as a basis in policy formu-lation on NRM and SA.

As a results of these undertakings, thereare different types of draft policy notes/briefs being developed. These are devel-oped from out of the research results/findings. Policy notes/brief being devel-oped will be distributed to all concernspublic or private institutions, policy-making bodies, researchers and otherconcerned groups.

OBJECTIVE 2

Examine the dynamics of resourcesmanagement in the uplands of SouthVietnam using a case study approach.

Annual AchievementsTwo papers were developed from outof the previous research activities con-ducted in the upland of Vietnam and pre-sented in international conferences. The

68

first paper is "Changes In Policy And Market Condi-tions and Land Use, Land Management And LivelihoodAmong Upland Farmers In Central Highlands Of Viet-nam: Integration of Macro-Micro Processes" This waspresented during 2001 Open Meeting of the HumanDimensions of Global Environmental Change ResearchCommunity at the Hotel Gloria in Rio de Janeiro, Bra-zil on October 6-8, 2001. The other paper is entitled"Land use changes, environmental consequences andthe need for improving policy and institutional frame-work for sustainable agriculture and natural resourcemanagement in the Central highland of Vietnam" pre-sented during SANREM Research Synthesis Confer-ence on November 28-30, 2001 held in Georgia, U.S.A.

At the last quarter of the workplan implementation, themain focus of this research is to come up with a mono-graph from out of the full Participatory LandscapeLifescape Appraisal (PLLA) results. Assistance fromSANREM CRSP SEA or SANREM/Global editors wasplanned to tap, however, there are many comments andsuggestions that need to be considered that contributedin the delay of completing the monograph. Consider-ations from different comments and suggestion needsadequate time to complete the monograph. In Year 5,completion of this monograph will be one of the mainfoci of this research. In spite of that, this research wasable to come up with three papers that were presentedat the SANREM International Conference in May 2001and were included in the monograph entitled "Sustain-ing Natural Resource Management in Southeast Asia"published by SEARCA on August 2001. Acknowledg-ment to SANREM was included.

OBJECTIVE 3Examine the interlocking influences of economic, cul-tural and biophysical factors as they influence uplandagriculture and its environment

Annual AchievementsOne paper was developed and presented in SANREMResearch Synthesis Conference on held in Georgia,U.S.A. on November 28-30, 2001. The title of the pa-per is "Land use changes, environmental consequencesand the need for improving policy and institutional frame-work for sustainable agriculture and natural resourcemanagement in the Central highland of Vietnam." Thiswas presented by Dr. Dang Than Ha of University ofAgriculture and Forestry (UAF) from Vietnam.

This paper summarized the results of a case study ofthe SANREM's research project and two other UAF

case studies in the Central Highland of Vietnam. Thispaper discussed the approaches used to generate em-pirical evidences to patterns of land use change as theseare influenced by multidimensional factors. Environ-mental consequences associated with these landchanges were also reported. It showed that changes ineconomic policies, institutions and market access ledto a large transformation of forestland into agriculture.The rapid expansion and intensification of agriculturalproduction, driven in part by expanding population,places high pressure on the natural resource base andcauses high negative externalities in the uplands, par-ticularly in marginal lands. In all case studies presented,rates of degradation of forests, soils, and water remainhigh and threaten agricultural sustainability. Recently,national and local government took some efforts toovercome negative environmental consequences ofagricultural development in the uplands, but their im-pacts are still limited. Balancing agricultural develop-ment and environmental protection is currently a ma-jor challenge for upland development. For meeting thischallenge, the paper emphasized the need for settingenabling policies and institutional framework that bet-ter promote sustainable agriculture and natural resourcemanagement practices in the uplands.

OBJECTIVE 4Determine policy implications of the changing agricul-tural practices among farmers in Southern Vietnam.

Annual AchievementsA policy workshop on sustainable agriculture and natu-ral resource management was conducted in order to linkresearch and policy on SA and NRM last October 2001.Assistance of a policy expert, Ms. Jennifer P.T. Ligutonof the Philippine Institute for Development Studies(PIDS), was tapped. This activity served as an avenuefor exchanging experiences between Philippines andVietnam on how research is being linked with policymaking processes.

This workshop provided an opportunity to view in de-tail the relationship between research and policy andto identify entry points for establishing the links be-tween the two. It presented various approaches that mayhelp set up and strengthen said links, including a num-ber of communication instruments like the policy notes/briefs.

Based on the output of the workshop conducted, it wassuggested that a small meeting with MRD people canbe organized. This will facilitate the identification of what

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they already have and what are their needs in relationto sustainable agriculture and natural resources man-agement. UAF, as collaborator, agreed to assess theiragricultural researches, determine the policy implica-tions, and seek commitment and support from the ad-ministration regarding these undertakings. The re-sources of each institution that have been identifiedwill serve as a take off point for a more productiveendeavors that will lead to better accomplishment ofthe target goals. This can be done through series ofmeetings or policy workshops and constant communi-cation with those concerned people/institution. Throughthis, work plan policy activities will link to the level ofpolicy makers - local, district, and national level.

Dr. Tam, a new member of SANREM-Vietnam, hasinitiated discussion with policy makers of the Ministryof Agriculture and Forestry based in Hanoi. A meetingwas set in Ho Chi Minh to discuss in detail some ac-tivities related to strengthening link between policymakers and research community based in UAF.

With the aim of linking agricultural research institu-tion like UAF with policy-making bodies like MARD,meeting of SANREM members from SEARCA andUAF and SANREM CRSP SEA Program Director withDr. Son of the Ministry of Agriculture and Rural De-velopment (MARD) based in Hanoi was initiated onApril 12, 2002 in Hanoi, Vietnam. This was an initialstep to start the discussion between MARD and UAFand to strengthening link between policy makers andresearch community based in UAF.

OBJECTIVE 5Promote a community-based and research-based natu-ral resource planning and management at the farm andcommunity level

Annual AchievementsAt the first quarter of the workplan implementation,preparation for the conduct of a short orientation onparticipatory natural resources management was done.This was an expressed need by the collaborators. Tar-get participants of the said orientation are from aca-demes, researchers and extension workers. The localexperts aimed to conduct training at the farmer/com-munity level but this training, Farm/Community leveltraining cannot be done within Year 4 and this will formpart of Year 5 activities.

During the orientation on PLLA, the Vietnam collabo-rators also expressed interest in the "Participatory Pro-

cess in Natural Resource Management: Politics ofEmpowerment", an article published in "Sustaining Natu-ral Resources Management in Southeast Asia" and isbased on the SANREM CRSP SEA 0042 Workplan"Capability Building for NRM at the Local Level." As aresult of the discussion during the orientation workshop,a draft proposal for Vietnam focused on environmentalrehabilitation using Philippine SANREM Model wasdeveloped and was submitted to other local fundingagency. This is considered by the team as an offshootof Philippine-Vietnam SANREM collaborations.

Another activity was a planning meeting conducted onApril 7-11, 2002 at University of Agriculture and For-estry (UAF), Ho Chi Minh City, Vietnam. This meet-ing was attended by SANREM team. The objectives ofthis meeting are to: a) update the researchers onSANREM activities and progress; and b) review andprepare for the policy meeting with Ministry of Agri-culture and Rural Development.

OBJECTIVE 6Determine a range of sustainable land managementoptions locally found in the area as models for farm-ers, resource managers and concerned policy makers.

Annual AchievementsInitial identification of sustainable land managementoptions was done, but no detailed documentation yet.Identification of socioeconomic data to be collected wasdone for each Sustainable Agriculture options. Asidefrom administrative problems, difficulties in enteringthe research sites is the another problems being encoun-tered by the workplan due to political issues. This ham-pered the conduct of activities in the research site. Wejust completed the SEARCA-UAF administrative ar-rangement this December, so resources were not fullymobilized and the political problems/issues has just nor-malized early this year. This objective is expected tobe fully accomplished before the end of Year 5 workplanimplementation.

Advancesin Research - 1. Workplan provided an avenue foragricultural research results to be used and linked topolicy formulation and other policy related activities atdifferent levels.

in Capacity buildup - 1. Workplan helped to devel-oped a core of trainers for SA/NRM, and helped in thepromotion of tools such as PLLA. This also providedthe collaborating institutions such as UAF, MARD an

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opportunity to developed a core of academics andextensionists that is committed to link research resultswith policy making activies at various levels. It alsoserved as foundation of SA/NRM policy group at thecollaborating institutions. Based on the results it showsassurance that there will be continuity of the activitieseven without the support of SANREM in the future.

in Scaling Up - 1. This work plan was sucessful inscaling up of experiences in the Manupali Watershed,Philippines in Vietnam with similar environmental prob-lems. This workplan was able to promote participatoryapproaches to SA/NRM planning. This is parallel tothe activities being conducted at CMU/BIDANI in thePhilippines. Policy analysis capacity is also being con-ducted, parallel to another workplan with UPLB/LGUpartnership in Lantapan, Bukidnon.

in Policy Impact - 1. Workplan was able to develop apolicy notes/briefs from out of the research results thatcan be used and discussed in meetings with policy mak-ers at the national level.

in Improved Environment and Natural ResourceManagement - 1. Promote SA/NRM to different sec-tors such as farmers, researhers, decision/policy-mak-ers at various levels.


Garcia, A. 2001. Sustaining Natural Resources Man-agement in Southest Asia. SEARCA.

Ha, D.T. and V. Espaldon. 2001. Changes In PolicyAnd Market Conditions and Land Use, Land Man-agement And Livelihood Among Upland Farmers InCentral Highlands Of Vietnam: Integration ofMacro-Micro Processes. SEARCA.

Ha, D. and V. Espaldon. 2001. Land Use Changes,Environmental Consequences and the Need for Im-proving Policy and Institutional Framework for Sus-tainable Agriculture and Natural Resource Manage-ment in the Central Highland of Vietnam. SEARCA.

Training Non DegreeWorkshopSustainable Environmental Management was at-tended by 2 person(s) and lasted 23 day(s).

Open Meeting of the Human Dimensions of Envi-ronmental Change Program was attended by 1person(s) and lasted 6 day(s).

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Replicating Models of Institutional Innovation forDevolved, Participatory Watershed Management

Principal Investigator Eduardo Queblatin

Co-Principal Investigator Antonio T. Sumbalan

OBJECTIVE 1

Scale-up the Lantapan model to other mu-nicipalities surrounding MKRNP in Bukidnon.This means directly assisting and coachingLGUs in developing their own NRM plans.

Annual Achievements

Local Governance and NRM:The Local Governments of Manolo Fortich,Libona, Baungon and Impasug-ong are in theprocess of finalizing the Implementing Rulesand Regulations (IRR) of their respectiveNRMDPs. One institutional innovation stipu-lated in the IRR is the creation of a ProjectManagement Office (PMO), which will serveas the "defacto" Municipal Environment andNatural Resources Office (MENRO) for theimplementation of the Plan. A team approachwill be used involving key staff from localagencies: Agriculture, Planning and Environ-ment Office.

In the case of Baungon, a Non-GovernmentOrganization-based farmer-manager will beheading the PMO supported by key local lineoffices. This structure, and the strategic in-fluence at the grassroots level of the non-par-tisan farmer-manager are expected to ensuresuccessful implementation of the LGU's Plan.Legitimization of the Baungon Plan will bedone through public hearings in all villagesafterthe July 15 Barangay elections.

In Manolo Fortich, the MENRO shall be es-tablished as soon as the implementation of

NRMDP shall be put into a municipalordinance. The proposed MENROstructure is guided by the Plan's IRR.On the other hand, the IRRs of Libonaand Impasug-ong are being deliberatedon at at the Legislative Councils. More-over, Manolo Fortich and Impasug-ongrecently concluded their Investment Fo-rums and were able to draw investmentpledges for the implementations of theirNRMDPs.

Despite the delays in finalizing munici-pal ordinances that would give legalframework for NRMDPs, some of theactivities identified in the Plans were al-ready executed incrementally. For in-stance, Manolo Fortich started itsLandcare Program shortly after thecompletion of its NRM plan. Just re-cently, initial Landcare activities startedin Libona with a training on upland tech-nologies in a pilot barangay. Plans forinitial activities in Impasug-ong in Julyhave already been finalized. These ac-tivities are in support to the ProvinceGovernment's irrigation systems projectin buffer zone communities through theADB-funded Bukidnon Integrated AreaDevelopment Project (BIADP).

For its part, Baungon has started a Live-stock Project as well as tree plantingactivities in identified denuded water-sheds. These developments demonstratethe nature of LGU interest in implement-ing doable activities even in the absenceof a local ordinance. The NRMDPs

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have already served as guides in implementing environ-mental projects and programs.

Although the Plans went through a hiatus for a certainperiod of time following the May 2001 elections, theymaintained a strong stand at the legislative level afterhaving been adopted by the previous Legislative Coun-cils. The virtue gained from this planning experienceis that of overcoming institutional and financial con-straints in initiating local NRM. The assisted LGUswere able to harness their own financial and humanresources for this purpose. This demonstrated that alocally driven process can work, without having to fol-low certain bureaucratic orders.

Local NRM Supportive to BWPDC's WatershedProject:

The Province recently availed of a grant from the LGSP-CIDA for a Capacity-Building Program forWatershed Management, building on the innovationsstarted by the USAID-GOLD Project, as well as theinitial experiences of the NRM planning activities inthe SANREM-ICRAF assisted LGUs. The BukidnonWatershed Protection and Development Council(BWPDC), which carries the provincial program, hasrecognized the completed NRMDPs and the planningteams as foundation blocks for accelerated work onlocal watershed management planning.

All Technical Working Groups (TWGs) of LGUs inBukidnon are undergoing the 6 seminar modules onWatershed Management. The expected outputs aremunicipal Watershed Management Plans, which will befurther integrated into an inter-local Watershed Man-agement Plan (where several LGUs fall in one water-shed boundary). The training courses, particularly theTechnology of Participations I and II on Facilitation andTraining Designs, respectively, further enhanced thetechnical and managerial skills of TWG members. LGUswith completed NRMDPs have used these in furtheridentifying doable activities towards complementing theWatershed Management Plans.

OBJECTIVE 2

Analyze, evaluate and compare the performance of theNRM model in these different municipalities, and de-velop this knowledge into modules/decision-supportguidelines to local governments for NRM planning andimplementation

Annual AchievementsFactors Influencing Sustainable Local NRM:

An initial review of the experience on local NRM initia-tives in 4 municipalities in northern Bukidnon revealedthat there are at least 4 important factors forsustainability as perceived by these LGUs to wit: clearlocal financial investment, enhanced local technicalcapacity, sound political culture conducive to NRM,and a supporting national mandate.

The conditions to which local NRM sustainability is pre-disposed are firmed from these factors namely: a) Lo-cal governments must ensure a continuous flow of NRMfunds, and should be incorporated in the Annual Invest-ment Plan; b) Local governments must install an insti-tutional infrastructure, that is ENRO; c) Local govern-ments must endeavor to create a political culture that isproactive, catalytic and inclusive of paradigm shifts indevelopment and government systems; d) Local gov-ernments must be clarified with 'conflict-generating'national policies.

The first draft report was developed into a paperentitled "Governance and NRM: Key SustainabilityFactors and Policy Implications, Emerging Lessonsfrom ICRAF-SANREM Collaboration in the Philip-pines," and was presented in the First Bukidnon NRMPolicy Forum and in the SANREM-CRSP ResearchSynthesis Conference in UGA.

Synthesis Report of 11 Practicing Local Govern-ment Units on NRM:

A countrywide case study of 11 practicing local gov-ernments in the area of NRM was conducted to deter-mine if the four sustainability factors cited above weretrue in other places represented by 11 LGUs in variousparts of the country. The synthesis revealed substantialsimilarity as to the sustainability factors identified in studysites in Bukidnon, which are: a) Successful local gov-ernments are those that have allocated local funds forNRM programs, as part of Annual Investment Plans;b) These local governments have created their localENROs as regular division with staffing support andannual budget allocation; c) Local policies were pro-mulgated to support local implementation of environ-mental programs; d) The main driver of NRM ema-nates from strong political will and leadership of localleaders, usually the municipal/city mayors and provin-cial governors.

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This implies that LGUs recognized that their own fi-nancial and human resource investments within a soundpolitical culture and supported by a clear national man-date sustains the success of local NRM. The crosscut-ting factor is the leadership and political will of localleaders. A case-study report was developed and circu-lated as a working document to the participants duringthe NRM Policy Forum. Three of these LGUs partici-pated in the forum and shared their respective experi-ences.

NRM Policy Forum:

The First Bukidnon Policy Forum on NRM was con-vened on November 8-9, 2001 in Valencia City. Thiswas jointly organized with SANREM-SCO, the Pro-vincial Government of Bukidnon through the BukidnonEnvironment and Natural Resources Office (BENRO),and International Fund for Agricultural Development(IFAD), co-organized by the Provincial Office of theDepartment of the Interior and Local Government(DILG), BWPDC-Technical Advisory Committee(TAC) and the Institute of Strategic Planning and PolicyStudies (ISPPS), University of the Philippines LosBanos (UPLB). Participants coming primarily fromLGUs within Bukidnon and Western Mindanao attendedit. The forum resulted in the identification of policy rec-ommendations namely: Advocacy Program and Capac-ity-Building for NRM implementers at the local level. Italso became the venue for sharing research results topolicymakers and future environmental policy directionsof the provincial and municipal governments.

Participants signified interest on a continuous dialogueto facilitate knowledge-exchange. The policy recom-mendations are presently developed into policy briefs.The Proceedings of the Forum is currently in progress,and is aimed for circulation in July. This activity will beconcluded by translating the sustainability indicators iden-tified earlier and the policy issues into policy statements.These will be communicated to the policy-makers atthe national level for wider impact and possible input inthe revision of the Philippine Local Government Code.

NRM Planning and Implementation Comparative As-sessment:

Process documentation is currently done, collating andintegrating of data and documents on the planning pro-cess, and so with the results of the completed Self-Assessment Workshops in each of the Municipality. Ini-tial points of comparison were identified to include:Levelof Participation and Innovations during the

planning process, LGUs' Financial Support, Human Re-source Support and indirect effects on inter-local initia-tives such as protected area management. A surveyform will be circulated to determine first generationimpacts of the Plans' implementation at the LGU level.

OBJECTIVE 3

Communicate significant results of the work plan throughthe production of popular print media such as the quar-terly NRM Notes that we've started to produce, paperpresentations in related conferences and self-sponsoredworkshops or fora.

Annual Achievements

For scaling-up/out the outputs, the Project employedtwo strategies. First, the indirect strategy that in-volved networking and building collaborativerelationship with the Provincial Government'sBWPDC by being a member to its Technical Advi-sory Committee. The Committee served as thedecision-making body for the direction of the Coun-cil. The BWPDC provided regular guidance andtechnical assistance to municipal NRM initiatives thatmay be partly based on the experience of ICRAF-SANREM's participating LGUs.

Second is the direct strategy, which is the productionand circulation of laymanized NRM Notes for widercommunication and knowledge sharing, as well as or-ganizing and hosting site visits with government func-tionaries and their constituents.

For this year, the Project has produced the 4th issueentitled "Factors affecting NRM at the municipal level."NRM Notes is a technical paper that comes in a news-letter format released quarterly. This is made to popu-larize strategies, approaches and lessons learned fromthe Project.

The Project has also produced booklet on "The Pre-ventive Systems Approach (PSA) to Protected AreaManagement: The Case of Mt. Kitanglad Range Na-ture Park, Bukidnon, Philippines," which was jointlypublished with the Integrated Protected Area Systems(IPAS)-Mt. Kitanglad. The PSA booklet features themodel of protected area management that unifies theefforts of different management regimes encompassing the protected area to the buffer zone down to theprivately held agricultural land in an integrated ecosys-tem. Another booklet was produced entitled, "Manag-ing Natural Resources Locally: An Overview of Inno-

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vations and Ten Initial Steps for Local Governments"co-published by IFAD. It features the Lantapan expe-rience on NRM planning process and implementation,as well as some nationally recognized best local NRMpractices in the country.

Circulations of these have already been expanded, par-ticularly to the 11 LGUs involved in the conduct ofthis research and those that are requesting for informa-tion network to the new publications. A series of Re-search Feedback Sessions in the four municipalitieswere also conducted to communicate study results andgain useful insights from our research respondents onimproving research processes and the results itself. Is-sues and constraints on localized environmental pro-tection and management were discussed, and possiblesolutions were discussed, hence improving the under-standing on the dynamics of local NRM. The sessionsalso served as a follow up feedbacking action planningfor the recently concluded NRM planning activities withinformation feedbacking and planning for future ac-tions focused on the final take-off for the implementa-tion of the NRMDPs.

Advances

in Research - Submitted and presented a research re-port on the sustainability factors affecting local NRM,which will further be developed as ICRAF-SANREMworking paper - Developed and presented a synthesisreport of the 11 practicing LGUs in the area of NRM inthe Philippines - Research results shared to NRMCsthrough Research Feedback Sessions

in Capacity Buildup - Guided LGUs in developing theirIRRs that included creation of PMOs, institutionaliza-tion of NRMCs and budget allocations. IRRs' are beingsubjected to deliberations at the Legislative Councilsand Public hearings at the community level, and afterwhich implementation of the plans will follow. - Facili-tated the implementation of some activities identified inthe plans even without IRRs (e.g. Landcare Program)- Local planning teams underwent 6 courses on Water-shed Management provided by the Provincial Govern-ment of Bukidnon (with ICRAF staff and LGU stafftrained on NRMDP serving as on-call resource per-sons)

in Scaling Up - Produced and circulated 4th issue ofNRM Notes - Produced and Circulated PSA booklet -Produced and circulated NRM caselet - SubmittedNRM 5-Year Accomplishment Report - Organized the

First Bukidnon Policy on NRM where research resultswere communicated to participants

in Policy Impact - Development of NRM Policy Briefsin progress

in Improved Environment and Natural ResourceManagement - LGUs have developed and completedtheir NRMDPs utilizing local financial and human re-sources - LGUs identified environment and NRM asone of the basic social services that have to be deliv-ered effectively and efficiently - LGUs have becomemore appreciative of the need to create PMOs/ENROsthat would spearhead the implementation of their envi-ronmental programs - LGUs created PMOs/ENROsutilizing available human and financial resources, evenbuilding partnership with private partners to move onwith the plan's implementation

Publications

Book Chapters

Sumbalan, A. 2001. Conservation and managementof watershed and natural resources: Issues in thePhilippines, the Bukidnon experience. In Coxhead,I. and G. Buenavista (Eds.) Seeking Sustainability:Challenges of Agricultural Development andEnvironmental Management in a PhilippineWatershed. PCARRD. Los Banos, Laguna,Philippines.

Journal Articles

Catacutan, D. A. Mercado and M. Patindol. 2001.Scaling up the Landcare and NRM planningprocess in Mindanao, Philippines. In "Lessons inscaling-up," Low External Input and SustainableAgriculture Magagine. Netherlands. 17(3): 31-34.

Garrity, D., V. Amoroso, S. Koffa, D. Catacutan, G.Buenavista, C. Fay and W. Dar. 2002. Landcare onthe Poverty-Protection Interface in an AsianWatershed. Conservation Ecology Journal No. 6.Special Feature on Integrated Natural ResourcesManagement.

Briefs

Garrity, D. 2001. A Social Contract forBiodiversity: Institutional Solutions toEnvironmental Conservation in the Philippines.SANREM CRSP Research Brief No. 4.

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Catacutan, D. 2001. Modalities of Scaling-upLandcare and NRM in the Philippines: Creatingspace for private-public partnerships at the locallevel. Case study presented to the TechnicalWorkshop on Methodologies, Organizations andManagement of Global Partnership Programmes.Rome, Italy.

Catacutan, D., C. Duque and D. Garrity. 2001.Replicating Models of Institutional Innovationsfor Devolved, Participatory WatershedManagement. Paper presented to the R&D Reviewof Lantapan-based Activities. NOMCARRD-PCARRD and SANREM CRSP/SEA, Lantapan,Bukidnon. March 25.

Catacutan, D., D. Garrity and C. Duque. 2001. LocalNatural Resources Management: SustainingFactors and Policy Imperatives, A synthesis ofcountrywide case studies of eleven practicingLGUs in local natural resources management.Paper presented to the First Bukidnon Policy Forumon Natural Resources Management, Valencia City,Bukidnon. November 8-9.

Catacutan, D., D. Garrity and C. Duque. 2001.Governance and Natural Resources Management:Key Factors and Policy Implications, EmergingLessons from ICRAF-SANREM Collaboration inthe Philippines. Paper presented to the FirstBukidnon Policy Forum on NRM, Valencia City.November 8-9.; and to the SANREM CRSPResearch Synthesis Conference, Athens, GA.November 28-30.

Garrity, D., et. al. 2001. Integrated NaturalResources Management on the Poverty-Protectionin an Asian Watershed. Paper presented to theIntegrated Natural Resources ManagementWorkshop, Cali, Colombia.

Popular Media

ICRAF. 2002. Managing Natural ResourcecsLocally: An Overview of Innovations and TenInitial Steps for Local Governments. Bukidnon,Philippines: ICRAF.

Research Reports

Catacutan, D. and C. Duque. 2001. Factorsaffecting Natural Resources Managementimplementation at the local level. NRM TechnicalNotes (4th issue). Bukidnon, Philippines: ICRAF.

Catacutan, D., D. Garrity and C. Duque. 2001.Governance and Natural Resources Management:Key Factors and Policy Implications. Bukidnon,Philippines: ICRAF.

Tools

Catacutan, D., C. Duque, D. Garrity and F. Mirasol.2001. The Preventive Systems Approach toProtected Area Management: The case of Mt.Kitanglad Range Natural Park, Bukidnon,Philippines. ICRAF and IPAS-Mt. Kitanglad.

Queblatin, E., D. Catacutan and D. Garrity. 2002.Managing Natural Resources Locally: AnOverview of Innovations and Ten Initial Steps forLocal Governments. NRM booklet. ICRAF andIFAD.

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Capability Building for Natural ResourceManagement at the Local Level

Principal InvestigatorVictoria O. Espaldon

Co-PrincipalInvestigatorJose ArancesAnnielyn Magsino

OBJECTIVE 1

Develop and strengthen the skills of trainerson Participatory Landscape-Lifescape Ap-praisal (PLLA).

Annual Achievements

During the first quarter, a Training of Train-ers on PLLA was conducted. Four partici-pants were from Central Mindanao Univer-sity (CMU) while nine represented thebarangays and the Municipal Technical Work-ing Group. A total of 13 participants attendedthe said training.

The skills of PLLA trainers specifically thestaff of the CMU-BIDANI Institute werestrengthened by: 1) reading about natural re-source management in collected materialsfound in the university; 2) attended lectureson experiential learning and on farm planning;3) attended seminar sponserd by other agen-cies like the Policy Analysis Workshop onNRM in SANREM; 4) developed modulesusing the experiential learning approach; 5)conducted on-site trainings for PLLA teamin six barangays; and 6) assited the PLLAteams in the six barangays to prepare abarangay profile using PLLA data.

OBJECTIVE 2

To develop the ability of the community forparticipatory planning.

Annual Achievements

Training on the PLLA was conducted infive barangays. These barangays con-ducted their PLLA and validated theirfindings. Of these five barangays two hadtheir Initial Training using the BIDANIapproach where the findings of the PLLAwere used in the preparation of theirbarangay development/supplementalplans.

Another Training on PLLA was con-ducted in additional barangays namely:Barangay Lourdes, Mt. Nebo andGuinoyoran in Valencia and BarangaysBaclayon, Basac and Victory inLantapan. All these barangays conductedthe PLLA and validated their findings.

The initial training on the BIDANI Pro-gram was conducted in all barangaysexcept Mt. Nebo. In this initial trainingthe findings of the PLLA were used inthe preparation of a Barangay IntergratedDevelopment Plan (BIDP). Mt. Nebowas a BIDANI covered baraganay be-fore this workplan was implemented. Assuch, a Reinforcement Training (RT) wasconducted in order that NRM activitiescould be incorporated in the barangay'ssupplemental plan.

The BIDP was legitimized at theBarangay Council and the BarangayDevelopment Committee (BDC) andvalidated by the people in a General As-sembly.

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The three barangays in Lantapan together withBarangays Kulasihan, Songco and Alanib which werecovered in Year 3 presented their BIDPs to the Munici-pal Technical Working Group (MTWG) for commitment-setting and investment consideration. For Lantapan, theMTWG suggested that plans should be classified ac-cording to what households could do on their own, whatthe barangays could implement on their own and whatthe barangays could implement with LGU assistance.Each of the barangays was instrurcted by the MTWGto prioritized projects which could be implemented withLGU assistance. Each had to choose three projectswhich would be funded in the last quarter of CY 2002.If there will be funding constraints in the last quarter,these priorities will be for CY 2003.

Meanwhile, the BIDANI has to backstop technicallythese six barangays in Lantapan as they prioritize theprojects. This has to finish before the date of Barangayelections.

Each line agency in Valencia City gave its financial com-mitment to activities in the plans presented by BarangaysColonia, Lilingayon and Lurugan in Year 3 and BarangaysMt. Nebo, Guinoyoran and Lourdes in Year 4 as long asthe needed budget is within the released allocation orbudget savings.

There are Barangay plans which cannot be implementedat once due to funding constraints. However, a house-hold on its own and it level can make and implementplans related to natural resource management. Thus,the BIDANI Institute has gone a step further from thebarangay level. It continues to assist households to frameindividual farm plans which they can implement on theirown.

The BIDANI Foundation, Inc. (BFI), the NGO-arm ofthe Institute started to conduct training on business plan-ning as part of its commitment to the barangays. Thetotal number of trainers is 298, 135 in Valencia and 163in Lantapan.

OBJECTIVE 3

To establish a mechanism for collaboration with otherwork plans/organizations in the area in the planning andimplementation of activities.

Annual Achievements

The BIDANI Institute has a MOA for this project withthe city of Valencia and Municipality of Lantapan. Ex-penses for the training in the barangays are cost-sharedby the barangays, the LGUs and the BIDANI withfunds from SANREM and CMU.

The municipality of Lantapan has set aside P50,000 forcapability building while the city of Valencia has fundsfor capability building (P50,000), micro-finance(P200,000) and community based enterprise activities(P250,000) for every barangay. The BIDANI Instituteis still preparing proposals and guidelines on how fundsfor micro-finance and community-based enterprise ac-tivities will be tapped.

The CMU BIDANI Foundation, Inc. conducted a"Training in Enterpreneurship for Agri-Business andMicro-Finance Project in the Upland Communities" inBarangay Baclayon. Trainers include staff from BFIand BIDANI Institute. This training will be conductedin other barangays along the Manupali watershed dur-ing the Year 5 workplan implementation.

OBJECTIVE 4

To publish a manual on Participatory Landscape-Lifescape Appraisal (PLLA).

Annual Achievements

The NRM team of the BIDANI Institute has preparedsecond draft of a training manual using the experientiallearning approach based on the PLLA manual. Mean-while, a farm planning manual is still undergoing revi-sions.

Advances

in Research - The experiential learning approach wasused by faculty members involved to be able to writeand teach modules on NRM for adult learners and trans-late the PLLA manual to local dialect.

The training on organizing and participatory planningenable the barangays to incorporate SA/NRM priciplesand translated these into projects in their respectivesupplemental plans with all other prioritized componentsof Barangay development

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in Capacity Buildup - Trained people are now ca-pable of conducting the PLLA in their local area. Theyfound PLLA interesting and easy to learn and imple-ment. Moreover, they found that the data generatedwere very important in their future activities.

in Scaling Up - The community plans developed fromout the results of the PLLA per barangays are beingused to develop the municipal development plans.

in Policy Impact - The community plans developedfrom out the results of the PLLA per barangays arebeing used to develop the municipal development plans.

in Improved Environment and Natural ResourceManagement - Implementation of community plansthat integrates environmental considerations, improvedenvironmental consciousness among local communitymembers.


Please take note of the following changes: PrincipalInvestigator: Dr. Jose B. Arances; Co-Principal Inves-tigator: Dr. Victoria O. Espaldon, Ms. Annielyn O.Magsino

79



Technical and Institutional Innovations to EvolveAgroforestry Systems for Sustainable Agricultureand the Management of Protected Ecosystems in

the Framework of a Watershed Model

Principal InvestigatorJames Rochetko

Co-Principal InvestigatorGliceto O. Dagondon

OBJECTIVE 1Design, test and scale up community-oper-ated agroforestry seed collection/production,processing and management systems in twomunicipalities in Bukidnon.

Annual AchievementsActivities in support of this objective includeda series of capacity building events includingseed technology and nursery managementtraining for ATSAL, as well as other nurserygroups in Lantapan and other municipalitiesManolo Fortich and Malaybalay City. Thesemunicipalities benefited most from the vari-ous sharing events.

Facilitation of ATSAL's strengthening andknowledge-sharing:

Members of ATSAL participated in the fol-lowing training: Farmers' Training of Train-ers (Cagayan de Oro City, October 2001) andTraining on Epicotyl and Hypocotyl of FruitTrees (Bunawan, Agusan del Sur, October2001). A field visit was also facilitated amongtree farm-cooperators in ICRAF-ClaveriaSite in Misamis Oriental to learn the value oftree thinning (December 2001). These ac-tivities broadened the knowledge base of themembers on modern and indigenous seedtechnology practices. They enhanced theirperspective based on their learning experi-ence and aspirations in the management oftrees on farms. With their enhanced capa-bilities, they have been invited as resourcespeakers in a number of training on nursery

establishment and management, as wellas on seed collection and asexual propa-gation for fellow farmers within andoutside Lantapan, covering areas inBukidnon. Their training engagementsextended to the provinces of MisamisOriental, Bohol, Leyte, and Antique. Justrecently, ATSAL members shared theirexpertise on seed propagation during thevisit in Lantapan of farmer-leaders andAgricultural Technicians (ATs) repre-senting four LGUs of Iloilo Province.Alongside, they were also able to sellseeds and seedlings, and more impor-tantly, established new linkages for fu-ture collaborations related to tree farm-ing.

Three ATSAL and Landcare represen-tatives have been identified to partici-pate in the 2nd National Tree farmers'Congress which will be held in ButuanCity on July 11-13, 2002. Concerns andissues on tree farming, including mar-keting will be discussed during the con-gress. The participation of the threemembers will be funded by AECI.

Two meetings of the Association wereconducted this month (June) to discussissues concerning group strengthening.The issues included training needs, seedproduction areas, and registration withthe Security and Exchange Commission.

A survey form was initially developedto document the Association's organi-

80

zational, physical and financial growth, and its contribu-tions to the environment since its establishment in 1998.A more detailed survey form was developed jointly andpre-tested by SANREM and ICRAF. The survey willbe conducted during the next meeting of the Associa-tion.

Linking Farmers to Market:

Tree farmers joined a field trip to wood processing plantsand in Tagoloan, Misamis Oriental and Cagayan de OroCity in December 2001, primarily to determine poten-tial markets for their timber. As an offshoot of the fieldtrip, representatives of VICMAR Development Cor-poration and Resin-Philippines visited Lantapan in Mayand surveyed potential species that can be tested forveneer production, particularly on their peelability andrecovery qualities. Discussions with ATSAL officersand members led to the initial testing of three speciesnamely: Eucalyptus torelliana (Torelliana), Mesopsiseminii (Musizi) and Eucalyptus robusta (Robusta) byVICMAR. Results of the test showed that all threespecies passed the quality requirements with M. eminiiemerging as the most outstanding. This June, arrange-ments were made with Vision Manufacturing Enter-prise and Asiatic Wood Industries, Inc. in Cagayan deOro City for the initial testing of species for the qualityrequirements of wood furniture manufacturers.

With these initial activities, market networks and/or weakmarket information were incrementally addressed. In-dications for high demand for these species encour-aged the farmers, who witnessed the actual testing oftheir trees, to plant more of them. Testing of other spe-cies included in the species trials will follow as soon asthey reach the minimum size required for veneer test-ing.

OBJECTIVE 2Build and nurture an enabling environment for the es-tablishment development, and management of small-holder tree-based production systems as viable enter-prises and as a vehicle for rehabilitating deforested up-per watersheds and to utilize idle and marginal lands.

Annual AchievementsScaling-up of agroforestry activities to CBFM ar-eas:

This objective was not fully met since the BukidnonEnvironment and Natural Resources Office (BENRO),ICRAF's partner, was affected by the change of politi-

cal leadership in the Province. The situation has stabi-lized recently and the BENRO has resumed proactiveleadership of technical support actions for municipali-ties in the arena of watershed management and agro-forestry practices.

The Site hosted a series of cross visits (5) with theDepartment of Environment and Natural Resources -Community-Based Forest Management (DENR-CBFM) partners all over Bukidnon to Lantapan. How-ever, some usual DENR problems impeded the progressof the partnership.

With the on going watershed management project ofthe Province, it is hoped that agroforestry technologieswill be scaled-up to CBFM areas in partnership withBENRO.

Maintaining on-farm species diversity trials:

Species trial evaluations were established during PhaseI of SANREM on sites across altitudes of 400-1400meters above sea level (masl) to test adaptability andgrowth performance of 14 promising agroforestry treespecies. Data on its growth performance were collectedin June, July and August (2001) for the annual mea-surement.

During SANREM's Phase II, another set of trials wasestablished involving five species, namely: Acacia aula-cocarpa, A. crassicarpa, Eucalyptus grandis, E. pellitaand Grevillea robusta). Growth performance is mea-sured semi-annually. The latest was conducted March(2002).

Statistical data have been gathered from both sets oftrials and will be analyzed, specifically those collectedduring Phase II. The upcoming hiring of an agrofor-estry specialist is expected to facilitate the analysis andinterpretation of results.

Supporting projects from ICRAF's Tree Domestica-tion Program in the Philippines:

ICRAF and its partners continue to expand researchactivities in support to the Tree Domestication and Tech-nical Innovations Program for agroforestry systems de-velopment.

Through fund leveraging with other funding agencies,ICRAF was able to implement the following activities:

Knowledge Base of Indigenous Tree Species inNorthern Mindanao:

81

A survey was conducted with the Environmental Re-search and Development Services (ERDS) of DENRX to provide basic information regarding indigenous treespecies in Northern Mindanao. A total of 193 tree spe-cies under 51 families were identified with Meliaceaeand Euphorbiaceae families having the most number ofspecies. Identified constraints on adopting indigenoustree plantations as agroforestry species included longmaturity period (harvest), policy issues involved in mar-keting wood products, insufficient information on growth,yield and technologies on production and management,and information on the not-so-known indigenous spe-cies. Survey results were shared through a seminar-workshop held June 2001 in Malaybalay City. Discus-sions were initiated to initiate a subsequent activity, whichis a short study to be conducted by ERDS. This studywill determine the feasibility of extrapolating and veri-fying the results of the species evaluation trials inLantapan in the Province focusing at existing tree plan-tations and/or agroforestry practices in differentagroecological zones, elevations and local conditions.Further discussions on this proposal are still going on.

Weeding Management Research:

ICRAF is presently implementing a research on differ-ent weeding management regimes of an indigenous spe-cies (Pterocarpus indicus) and an exotic species(Eucalytus robusta). This study, which is managed bythe Central Mindanao University, aims to provide infor-mation on weeding regimes and planting density in rela-tion to growth performance. The research is supportedby EURU.

Marketing of Eucalyptus wood products :

The thesis of an MS in Agricultural Economics studentfrom Leyte State University is for implementation thisJune and is expected to be completed in December ofthis year. It aims to study the marketing of Eucalyptustrees and its products in selected municipalities in Bukid-non.

In the absence of a well-established marketing struc-ture specifically for Eucalyptus, the study shall also ana-lyze established systems and structures for other spe-cies and use the resulting information to identify poten-tial marketing structures that are most efficient and mostrewarding for Eucalyptus tree growers. The study issupported by SEANAFE.

OBJECTIVE 3

Establish and foster the adoption of a range of agrofor-estry systems and component technologies in CBFMand other land areas, using the Landcare approach.

Annual AchievementsSoil and Water Conservation:

As of May 2002, 62 Landcare groups with 830 mem-bers were operating in 12 barangays of Lantapan. Atotal of 86 IEC activities were conducted by LandcareFacilitators for various audiences. Seventeen cross-visitswere facilitated, exposing farmers to Landcare groupactivities such as nursery establishment and manage-ment, and adoption of agroforestryand soil and waterconservation (SWC) technologies. As a result, adop-tion of agroforestry component technologies and SWCpractices by 849 farmers was reported. This includesthe adoption of the Natural Vegetative Strips (NVS) by404 farmers.

Concurrent training implementation of nursery es-tablishment and management:

There were 64 training conducted on nursery establish-ment and management resulting to the establishment of65 communal and individual nurseries in Lantapan. Allin all, the nurseries propagated a combined total of160,000 seedlings of various tree species. A total of156,020 were planted in farmers' fields and in open ar-eas of Lantapan. Of the total number, 152,532 weretimber trees, while 3,488 were fruit trees. The rangesof timber species continue to grow from exotic (Euca-lyptus, Acacia, etc.) to endemic and indigenous pre-mium wood species such as lauan, narra and mahogany.Fruit trees planted include durian, lanzones, rambutan,jackfruit and other orange species. This was the resultof a survey conducted earlier to identify the kinds oftrees that farmers are willing to test and grow in theirfarms.

Two private high schools and three public schools havealready put up their own nurseries. The other publicelementary schools in Lantapan are still to put up theirnurseries as agreed upon with the Department of Edu-cation public school system in Lantapan. Agroforestryactivities in Lantapan have been scaled-up in the mu-nicipality of Manolo Fortich and Malaybalay City. Thetraining on nursery establishment for Manolo FortichLandcare yielded 15 nurseries, mostly at the barangaylevel. These nurseries have already propagated 9,687seedlings of various species. On the other hand,

82

Malaybalay Landcare has already established five nurs-eries (trees propagated and planted still to be monitored).A funding of PhP 250,000 from the City Governmentwas allocated for Upland Development with the Mu-nicipal Agriculture Office and Landcare at the fore-front.

Advances

in Research - 6 years data of the first generation trialsin - Phase I, and the 3 years of the second generationtrials in Phase are encoded ready for performancegrowth analysis - Indigenous species in Region X sur-veyed with the production of the Knowledge-base ofIndigenous Tree Species in Northern Mindanao docu-ment

in Capacity Buildup - Training Manual developed andtested in CBFM sites in Claveria, Misamis Oriental.Part of the training manual was also used to orient 5batches of DENR-CBFM groups on agroforestry inno-vations. Actual training in watershed project areas ofBENRO will be implemented hopefully during the imple-mentation of cluster watershed management plans inBukidnon

in Scaling Up - Farming guides produced and updated.Farming guides for the propagation of indigenous treespecies will be produced based on existing literatures.

in Improved Environment and Natural ResourceManagement - Identified ATSAL's SPA's for both fruitand timber tree species - Established network with pro-cessing plants (VICMAR). 3 species (E. torillana, E.robusta & M. eminii) were initially tested. - Marketingstudy on Eucalyptus trees and products on-going.

Publications

Book Chapters

Garrity, D., V. Amoroso, S. Koffa and D. Catacutan.2001. Innovations in Participatory WatershedResource Management to Conserve TropicalBiodiveristy. Pp. 112-137 In Coxhead, I and G.Buenavista (Eds.) Seeking Sustainability: Callengesof Agricultural Development and EnvironmentalManagement in a Philippine Watershed. PCARRD:Laguna, Philippines.

Journal Articles

Garrity, D., S. Koffa, D. Catacutan, G. Buenavista, P.Fay and W. Dar. 2002. Landcare on the Poverty-

Protection Interface in an Asian Watershed.Conservation Ecology Journal, No. 6. Special Featureon Integrated Natural Resources Management.

Other Major Outputs in this Period* 65 decentralized nurseries facilitated and monitoredmonthly

* 3 major training facilitated for ATSAL members

* 3 field visits facilitated for ATSAL members (thin-ning management & 2 visits to processing plants)

* 156 020 seedlings outplanted on field in Lantapanalone

* Linkage with VICMAR Development Corporation,Resins-Philippines, and Vision Manufacturing Enter-prises/Asiatic Wood Industries, Inc.


Catacutan, D., L. Arbes and G. Boy. 2001.Enhancing Farmer Adoption of SimpleConservation Practices: Landcare in thePhilippines. Paper presented to the R&D Review ofLantapan-Based Activities. NOMCARRD-PCARRD & SANREM CRSP/SEA, Lantapan,Bukidnon. March 25.

Garrity, D., et.al. 2001. Integrated NaturalResources Management on the Poverty-Protectionin an Asian Watershed. Paper presented to theIntegrated Natural Resources ManagementWorkshop, Cali, Colombia.

Scherr, S., J. Amornsanguansin, M. Chiong-Javier, D.Garrity, S. Sunito and Saharudding. 2001. LocalOrganizations in Natural Resources Managementin the Uplands of Southeast Asia: Policy contextand institutional landscape. Paper presented to theSustaining Upland Development in Southeast Asia:issues, tools and institutions for local naturalresources management, Makati City, Philippines.May 27-30.

Popular Media

ICRAF. 2002. ATSAL, Seed is Life. Bukidnon,Philippines: ICRAF.

83

Tools

Ngugi, M., S. Koffa, and D. Garrity. 2001. A Guidefor Agroforestry Tree Species Selection forLandcare. Bukidnon, Philippines: ICRAF.

84



SANREM-SEA Environmental Research GrantsProgram


Co-Principal InvestigatorGladys BuenavistaJohn RoweRogelio Serrano

OBJECTIVE 1To provide opportunities to exportSANREM methodologies, import method-ologies from non-SANREM projects, orcapitalize on synergies and collaborationswith high potential productivity in terms ofthe overall goals of SANREM SEA.

Annual AchievementsSubstantial progress is made in all activitiesunder the 2001-2002 Environmental GrantsResearch Projects. Grantees attended theproject's annual meeting in May 2002 andgave an update of their individual research.Cross linkages between ERGP activitiesand on-going SANREM work plans in theregion were also identified. ERGP progressto date include the following:

On-site data collected and secondary dataanalysis conducted to examine institutionalfactors that impact on the sustainability ofthe water monitoring work plan. Prepara-tion of final report in progress.

Research in progress to use the WaterErosion Prediction Project(WEPP) modelto simulate soil erosion and sediment yieldat the SANREM project site in Lantapan,Bukidnon, Philippines. Activitiescompleted included selection of test sub-watersheds (Kulasihan, Alanib, Maagnaoand Tugasan). Secondary data fromSANREM sources and geographic mapsfrom relevant Philippine agenciesretrieved and evaluated. WEPP modelfrom the National Soil Erosion ResearchLaboratory of the USDA-ARS and otherrelevant programs for inclusion in the

model accessed. Test run of WEPPmodel using trial data conducted.

Research in progress for testing of thePredicting Catchment Runoff and SoilErosion (PCARES) model. Coordinatedwith existing SANREM work plans forretrieval of maps and ground truthing.

Consultation with researchers from theUniversity of Agriculture and Forestry inViet Nam conducted to organize three-day training workshop. The purpose ofthis workshop was introduce researchersat UAF to theoretical concepts for build-ing models of economy-environment link-ages within a watershed, and to present aset of modeling tools, including ExcelSolver, Stella 6, and the Manupali modeldeveloped by the project for the Philip-pine site. Data needs were identified tosupport the economy-environment modelthat will be developed for Vietnam.

Preparations are underway for the con-duct of a policy workshop in Vietnam. Thepurpose of this workshop is to dissemi-nate research findings and create a venuefor policy dialogue between researchersand policy makers on issues related to sus-tainable natural resource management.(Individual mid-year reports of the re-search projects are found in the SANREMSoutheast Asia website: http://aae.wisc.edu/sanrem-sea)

Advancesin Research - Collaboration among U.S.,Philippine and Vietnamese researchers inthe creation of decision support tools for

85

integrated watershed management is underway. Twomodels, WEPP and PCARES, are currently being testedin the Manupali watershed. The economy and environ-ment model developed by SANREM in the Manupaliwatershed will be adapted for use in Vietnam. Comple-menting our model development activities are sets ofresearch and consultation activities to understand insti-tutional arrangements needed to sustain participatoryaction research projects, e.g., water monitoring anddevelop strategies linking research and policy.

in Capacity Buildup - Training workshop conductedto introduce researchers at UAF to theoretical conceptsfor building models of economy-environment linkageswithin a watershed, and to present a set of modelingtools, including Excel Solver, Stella 6, and the Manupalimodel developed by the project for the Philippine site.Twelve participants, representing multidisciplinary fieldsof specialization attended the training workshop. Work-shop lays the groundwork for adapting the Manupalimodel to Vietnamese context.

in Scaling Up - Complementing research and capacitybuilding activities, consultations were conducted withhost country institutions, in particular the Ministry ofAgriculture and Rural Development (MARD) in Viet-nam, to map out strategies to enhance the uptake ofresearch information for policy making and action. Anoutcome of these consultations is the organization of apolicy workshop that will be jointly sponsored bySANREM and UAF together with MARD. Part of theworkshop will highlight research results from extensiveresearch conducted in the Philippines that could be ap-plied in Vietnam.


Training Non Degree

WorkshopEconomic and Environmental Modeling was attendedby 12 person(s) and lasted 3 day(s).

86

From Research to Policy in NRM: Synthesis ActivityPrincipalInvestigatorGladysBuenavista



OBJECTIVE 1

Synthesize SANREM's experience in bringingNRM research results into the developmentpolicy arena in all of SANREM's three regionalsites.

Annual AchievementsField work conducted in Bukidnon as part ofdocumentation and analysis of strategies under-taken by project researchers to link researchwith policy. Secondary literature review wasalso conducted to study how research resultsare being used to inform policy dialogues on en-vironmental management and conservation ofsimilar experiences projects in Asia. First draftof final report is written and currently peer re-viewed.

Link established with SEA-23 to complementour research activities. Buenavista andSumbalan will expand synthesis research to in-clude an in-depth analysis of local governmentexpenditures on environment and natural re-source management and if these investmentssupport earlier activities jointly undertaking bythe local government and SANREM work plans.Such analysis will enable us to obtain lessonson sustaining research and policy linkage/part-nership.

Advances

in Research - 1. policy papers presented ina national policy forum on water; 2.Arguments about a watershed based waterpolicy in the Philippines is now inserted in thedraft of the Clean Water Act; 3. 4 policybriefs are also now available.

Other Major Outputs in thisPeriod

Training Degree

Name, Level, Start Date-Comple-tion DateJoanna Becker , Ph.D. 1998-

87

Development of a Spatial Information ManagementSystem



PrincipalInvestigatorSteven Ventura

Co-Principal InvestigatorGregg Clark

OBJECTIVE 1Identify and locate data series that can beused to create GIS layers that will supportnatural resource management decision-mak-ing in the Manupali watershed

Annual AchievementsA comprehensive list of paper and digital spa-tial data has been compiled. This list is onpaper and is being transferred to theSANREM/SEA website. Digital data that isheld by SANREM-SEA is being placed ontoan ftp server with links to the website. Themetadata for these files is currently beingcreated or updated.

OBJECTIVE 2Create a spatial information managementsystem (SIMS) with an interactive websiteto facilitate data sharing among SANREMpersonnel and its partners

Annual AchievementsLimited data connectivity is the largest ob-stacle regarding the development of an inter-active GIS website. Recently the PhilippineInstitute for Development (PIDS) replaceda test interactive GIS website with a staticGIS website due to problems with connec-tion rates. The GIS division at the Interna-tional Rice Research Institute, Los Banos,Philippines is currently investigating an inter-active GIS website. SANREM-SEA data willbe available to partners through the SAN-REM/SEA website and through a mirror siteat the Site Coordination Office in Malaybalay,Philippines.

OBJECTIVE 3Develop protocols to create a land suit-ability index for the Manupali watershedand create the land cover classification.Provide training during this process to pro-mote capacity building and the sustainabil-ity of GIS in the region.

Annual Achievements

Protocols for the land cover classificationare being completed. They will be testedand updated accordingly during a visit tothe site in July, 2002. A Memorandum ofAgreement between SANREM-SEA andBukidnon Environment and Natural Re-sources Office to work together to com-plete the land cover classification has beendrafted and is waiting to be signed by lo-cal officials. The remote sensing imageshave been obtained and an updated andmore detailed digital elevation model is inthe process of being completed.

Advances

in Research - SANREM/SEA is com-pleting the process to create a base mapand digital elevation model that will useDGPS ground control points to improveaccuracy. The increased accuracy will en-hance the incorporation of data from otherresearch being conducted in the studyarea.

in Scaling Up - Working on MOA withBENRO. Will conduct training on the useof spatial information with BENRO andother interested agencies within theManupali watershed.

88

in Policy Impact - Development of data into a use-ful form is still in progress

in Improved Environment and Natural Re-source Management - Development of data intoa useful form is still in progress

89

Water Policy Research



OBJECTIVE 1Contribute to the understanding of policy is-sues in the area of water resources manage-ment in the Philippines and conduct policy ad-vocacy at the national level

Annual AchievementsCommissioned four papers for presentation atthe water policy forum July 30, 2002. Thesepapers are:

Malayang III, B.S. A Model of Water Re-source Governance in the Philippines.

Tabios III, G.Q. Competing Water Uses:Cases of Laguna Lake, Angat Reservoirand Batangas City Groundwater System.

Francisco, H. and R. Acosta. Watershed-based Water Management Approach: HowCan We Explore its Potential in the Philip-pines?

Coxhead, I., B. Deutsch, A.C. Rola, and A.Sumbalan. Economic Development and theUse of Water Resources: Lessons fromLantapan, Bukidnon, Philippines.

Advancesin Research - Four papers are now ready forpresentation in a policy forum

in Policy Impact - Lower house (of the Phil-ippines legislative branch) secretary generalhas instructed the chair of House Committeeon Public Works and Highways to act uponrecommendations contained in the Policy Notesregarding institutional issues on water. Othermedia contacted SANREM researchers re-garding outputs of project.

PrincipalInvestigatorChristina David

Co-Principal InvestigatorAgnew RolaIan Coxhead


Briefs

Elazegui, D. 2002. Setting QualityStandards for EnvironmentalManagement Policy: How Effective IsIt?. SANREM CRSP SEA Policy BriefNo. 2002-3.

Elazegui, D. 2002. Law of Nature: TheCommand and Control Approach.SANREM CRSP SEA Policy Brief No.2002-2.

Popular Media

Elazegui D. and J. Liguton. 2002. SettingQuality Standards for EnvironmentalManagement Policy: How Effective IsIt?. The Philippine Star. 1: 13.

Elazegui, D. and J. Liguton. 2002. Law ofNature: The Command and ControlApproach. The Philippine Star. 23: 9.

Tools

De Guzman, P. 2001. "Polluter Pays"Principle. PIDS Economic Issue of theDay. 11(5).

Working Paper

Rola, A., I. Coxhead, W. Deutsch, and A.Sumbalan. 2002. Economic developmentand the use of water resources: lessonsfrom Lantapan. Manuscript. University ofthe Philippines, Los Banos.

90

SANREM West AfricaSANREM West AfricaSANREM West AfricaSANREM West AfricaSANREM West AfricaProject OverviewProject OverviewProject OverviewProject OverviewProject Overview

1. Introduction

Northern Mali and the Inland Delta Region of the NigerRiver, like many natural resource systems throughoutthe world, are in transition to more intensified agricul-ture and animal husbandry systems. Although openrange, opportunistic grazing management by transhu-mant herders has been a sustainable way of life forcenturies in this region, increasing population pressure,declining and erratic rainfall, and degrading natural re-sources have forced both agricultural and livestockcommunities to transform their production systems andthe social relations on which they are based.

Unfortunately, this transformation has historically comeabout through conflicting processes and serious naturalresource-based conflicts have become increasinglycommon over the last decades. Furthermore, theseconflicts and related natural resource degradation areoccurring simultaneously with far-reaching transforma-tions in governance in the region. Decentralization,while holding out the potential for improving natural re-source management (NRM), has created a new classof local level decision makers who have little experi-ence, training, or access to NRM decision-support in-frastructure.

In 1998, the SANREM CRSP-West Africa (WA)Project was asked to develop a research-basedapproach to assist in managing these transformationsand associated conflicts in northern Mali. In response,the SANREM CRSP-WA Research Project began aparticipatory program to build science-based solutionswhile promoting a holistic approach for sustainable

agriculture and NRM in the Madiama Commune in theMopti Region of Northern Mali. This approach consistsof institution building activities supported by anintegrated package of databases and decision supportsystems. SANREM CRSP-WA databases include dataon the socioeconomic characteristics of the populations,soil, land use, cropping systems, and water points thatprovide the basis for an integrating geographicinformation system (GIS) for the commune. SANREMCRSP-WA decision support systems form a holisticframework which local, regional and national decisionmakers can use to sustainably address complexagronomic, livestock, economic, and institutionalproblems.

The SANREM CRSP-WA process being used inMadiama is replicable in other communes of Mali andthroughout West Africa. A schematic presentation ofthe process is presented below.

1a. Overview of Project Coordination:

The SANREM WA Project is organized simply aroundsix integrated work plans. WAF-06 (Creation andSupport of a Commune-Level NRM AdvisoryCommittee) is the heart of the project with all otherwork plans contributing to and receiving direction fromthe target of this work plan: the NRMAC. The NRMACis the NRM decision support institutional infrastructureestablished by SANREM at the newly decentralizedcommune level in Mali. WAF-06 provides the NRMACwith institution-building support (literacy, numeracy, andinstitution management training through Care-Mali) andNRM planning support (holistic management and

91

1

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92

conflict management training from trainers associatedwith the Center for Holistic Management). TheNRMAC provides an organizational and coordinationbridge for the project to the 10 villages of the commune,where village level NRMAC's function.

The NRMAC uses the training and planning toolsprovided to implement, monitor, and evaluate projectactivities for improving soil fertility (WAF-08) andimproving pasture management (WAF-09) within thecommune. The subjects of these two work plans wereidentified as priorities during the PLLA in 1999. Theinformation provided by the biophysical andsocioeconomic tools work plan (WAF-07) is used inthe first instance by the NRMAC to inform theirdecisions regarding WAF-08 and -09. Data andmethods developed in WAF-07 are also shared withthe Texas A&M SANREM project, which targetsdecision makers at higher levels.

The significant results of all work plans are scaled-upto, and informed by, regional stakeholders throughparticipation in regional meetings through WAF-05(workshops on conflict and NRM). These meetingsinvolve regional project partners INSAH (Institut duSahel) and the NRM Research Pole. Researchers ofthe Institut d'Economie Rurale (IER) are fully integratedinto all work plans. Finally, management andcoordination of the overall project is assured throughWAF-01.


SANREM CRSP-WA has developed a researchprogram to address both the NRM conflict issues andthe need for more accurate data and tools foragricultural and natural resource management and policydialog. The project has established a multi-year, geo-referenced database of weather, soil, cropping system,land use, and water point data. This database is usedfor the construction of maps and modeling at thecommune level. Agronomic decision-making can nowbe informed by the calibrated CropSyst Model thatsimulates the long-run viability of potential newtechnologies. The Social Accounting Matrix (SAM)developed for the Madiama Commune provides furtherguidance to researchers and the commune concerningthe potential impact of new technologies and how theseimpacts are distributed between different groups withinthe community.

Recognizing that technical problems are not divorcedfrom day-to-day community life, SANREM CRSP-WA

has introduced a new community-based institutionalstructure: the Natural Resource Management AdvisoryCommittee (NRMAC). The entry of the SANREMCRSP-WA coincided with the devolution of authorityfor NRM to the newly decentralized governmentstructures, the Rural Communes, which have therebybecome the focal unit for project interventions. TheNRMAC bridges the rural knowledge divide by linkingcivil society with local government. Local leaders havebeen trained and in turn have become trainers inlivestock and soil management decision making throughthe introduction of Holistic Management as a farmer/herder diagnostic and management tool, and theadaptive research approach. On the basis of thistraining, the NRMAC has defined a holistic vision fordevelopment of their community. They have also beentrained in conflict resolution and community consensusbuilding to assist in managing transformations of theproduction systems and mobilizing community actionfor an improved environment and NRM. We hope tosoon demonstrate a method for community controlledopen range rotational grazing. The NRMAC alsobridges the gap between technical specialists and thecommunity and serves as a mechanism for communityconsensus building, conflict resolution, mobilization, andinformation exchange. Technical insights gainedthrough data collection and modeling efforts are sharedwith the community through the NRMAC.

3. Impacts

Despite its short history, SANREM-WA can point withpride to significant project impacts. Impacts are moni-tored during routine visits to the Commune of Madiamaas well as through follow-up household and leadershipsurveys at the end of Phase II. The most importantimpacts of SANREM-WA have been social and institu-tional. The NRMAC is building social capital withinthe community and the region. In one of its first initia-tives, the committee organized and implemented theMayor's campaign for protection of the acacia albida,a nitrogen-fixing tree native to the Sahel, thereby di-rectly impacting soil fertility and productivity. Moreimportantly, the NRMAC has improved social relationsbetween villages and ethnic groups within the commune.There have been no conflicts in the commune since thecommittee has been established and on the one occa-sion where a herd entered the commune before theprearranged date, a flare up was averted through anextensive negotiation process learned in the project train-ing and workshop sessions. The Sous-Prefet, respon-sible for several communes in the region is quite pleased

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adapt to them. The broader result is that they are moreinformed citizens themselves and better able to educateothers back home, particularly in the classroom. Themore specific outcome is that the researchers' technicalknowledge and experience becomes stronger when alsoapplied to solving problems outside the U.S., therebymaintaining the high level of professional capacity forwhich U.S. universities are known.

4. Dissemination

There are several mechanisms by which SANREMCRSP-WA research accomplishments are shared withhost country partners and beyond. The primarymechanism is the NRMAC which is composed ofrepresentatives from all 10 villages of Madiama.Meetings and workshops held with the NRMAC tocommunicate and discuss findings, transfer skills, orplan interventions are retransmitted to each village inthe commune. Results from adaptive research in thecommunity are quickly disseminated among villagerslong before findings are fully analyzed and documentedby researchers. Committee members have also sharedtheir experiences with the wider region throughparticipation in local radio programs that discuss naturalresource management issues. The use of the NRMACas both implementing partner and disseminator ofresearch accomplishments is the surest and mosteffective mechanism for disseminating SANREMCRSP-WA information. This mechanism ensuresinformation gets to those who need it and is presentedin a language that is fully understood and trusted by theuser.

Our collaborators at the Institut d'economie Rurale(IER) transfer our research accomplishments to thebroader host country user community through annualregional and national user group meetings (involvingother government services, NGO's and farmerrepresentatives) where research activities are reportedand discussed. CARE/Djenne also shares our researchaccomplishments within their office as well as with otherCARE/Mali sites around the country.

During routine visits to Mali and Madiama, U.S.scientists meet with local authorities, IER, the Institutdu Sahel (INSAH) and USAID to share SANREMCRSP-WA research accomplishments as well as learnabout what they have heard of the project. In addition,each year, SANREM CRSP-WA collaboratorsparticipate in a regional workshop to share research

that he no longer has to concern himself with problemsin Madiama because the community appears to havedeveloped the skills necessary to resolve their own con-flicts. The NRMAC is also orchestrating the establish-ment of inter-village accords for management of wet-lands (bourgoutiere) and for open-range rotational graz-ing.

The database and modeling efforts have also been veryimportant to the success of the project. The CropSystModel and the Social Accounting Matrix (SAM) areproviding decision-making information to researchers atthe regional level as well as local leaders at the com-mune level. For example, the results of the SAM haveindicated the relatively disadvantaged nature of the tran-shumant group, and the need to consider their welfareseparately in policy planning and economic developmentactivities.

There are several benefits to the U.S. from this project.Most generally, the increase in nutrition and income levelsand the reduction in conflict that this project is designedto bring about, will contribute to a more prosperous andpeaceful world that will benefit every nation - the U.S.,not least among them. More directly, the HolisticManagement and conflict management trainers whowork in West Africa also work toward the same endshere in the United States, among ranchers and NativeAmericans, for example. There are important commonelements in natural resource and conflict managementaround the world and as the trainers refine theirtechniques in Mali, they also become more effective inthe U.S. Professionally, the U.S. based researchersare learning about social and environmental conditionsin other parts of the world and the ways in which people

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accomplishments with counterparts throughout WestAfrica.


Perhaps the most significant contribution to human ca-pacity development during Phase II has been the de-velopment of conflict management skills among NR-MAC members, IER researchers, and CARE/Mali col-laborators. This has certainly been the showcased com-ponent of the institutional strengthening of the NRMAC,but committee members have also benefited from train-ing in functional literacy and numeracy, financial man-agement, democratization and decentralization, andNRM legislation. This training has developed a cadreof confident community leaders prepared to addressNRM issues affecting the commune. NRMAC andcommunity members, local officials, and service pro-viders have been trained in Holistic Management whichhas helped them to diagnose NRM problems and planfor changes in management practices. This traininghas targeted the development of management principlesand skills for conducting a community-wide program ofopen range rotational grazing.

Our long-term training program has contributed to thepool of trained African agriculture and NRM research-ers. We have placed an agricultural economist with aMasters' Degree (Virginia Tech, 2000) in Burkina Faso'snational agricultural research institute (INERA). He iscurrently applying to a Ph.D. program at the Universityof Wageningen in The Netherlands where he plans tocontinue his work in Madiama. In addition, we cur-rently have a North African Ph.D. student engaged inpasture management research within the commune. Theagro-economist at IER is enrolling in a Ph.D. programat the University of Mali and SANREM CRSP-WAagricultural economists are helping him develop his re-search program. Through our links with the NASA

carbon-sequestration project, IER personnel are alsoreceiving training in GIS methods and applications atAgrhymet. SANREM CRSP-WA has also helped inthe reinforcement of the CRRA (Regional AgricultureResearch Center)/Mopti in the transparent managementof a complex, inter-institutional collaborative researchprojects. This has been assisted by the introduction ofemail connectivity for center researchers.


The SANREM CRSP-WA Project is a collaborativeeffort between U.S. based scientists, Malianresearchers and NGO staff, and the Commune ofMadiama. After a regional level survey of NRM andconflict resolution stakeholders led by Virginia Tech.These collaborative relationships developed followingthe PLLA that was conducted in early 1999 byresearchers from Virginia Tech and Washington Statewith assistance from SANREM colleagues at theUniversity of Georgia. The PLLA Teams included 4U.S. scientists, 5 Malian scientists from IER, a USAIDrepresentative and a representative of the NGOcommunity.

By October 1999, the newly elected Mayor of MadiamaCommune and his staff, and the newly formed NRMACjoined in these collaborative relations. IER scientistsplayed a major role in facilitating the formation of theNRMAC. Once the NRMAC was formed, trainersfrom the U.S. based Center for Holistic Managementbecame collaborators and assisted U.S. scientists, IERresearchers, CARE/Djenne staff, local officials andservice providers in developing a holistic vision fornatural resource management and decision tools toachieve this vision. This led to the formulation andapprobation by the NRMAC of a holistic goal for naturalresource management in the Commune of Madiama.

The detailed research agenda addressing technologytesting and transfer was initiated by the NRMAC (atthe request of IER and VT (Virginia Polytechnic andState University)) through their prioritization of villagelevel concerns. All collaborating partners joined inJanuary 2000 to define the SANREM CRSP-WAresearch program and institutional developmentprogram. CARE/Mali, through its local office in Djenne,joined the team in May 2000 as the lead partner in the

SANREM PI Dr. Ozzie Abaye discusses grazingexperiment with collaborators

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provision of training for the institutional development ofthe NRMAC.

Annual project planning is initiated by IER and CARE/Djenne in collaboration with the NRMAC. U.S. scien-tists then translate these plans and ransform them intoa finalized Annual Work Plan. Activity mplementationoccurs most often in joint activities between U.S. andMalian scientists, with IER scientists and techniciansconducting the monitoring and follow-up. After designwork is completed, surveys are implemented by IERscientists. Initial data analyses and report drafts areprepared by IER scientists and then reviewed and re-vised in collaboration with U.S. scientists. Detailedmodel construction and testing has been initiated by U.S.based scientists and shared with Malian researchersthrough hands-on working sessions. Malian scientistsand US scientists jointly present research results to theNRMAC.

Links between the NRMAC and regional governmentare also maintained through SANREM-WA. The newlyelected Mayor and Madiama Commune Council havenot only been an important target and beneficiary ofSANREM CRSP-WA activities, but intimately involvedin the development and evolution of the NRMAC. TheNRMAC has kept them duly informed of their activitiesand been assigned a leadership role in the NRMinitiatives by the Mayor and Council.

INSAH and ICRISAT (International Crops ResearchInstitute for the Semi-Arid Tropics) have followedSANREM CRSP-WA activities with interest, as haveresearchers and NGO's from other West African

countries through annual reporting at NRM Inter-CRSPmeetings and other regional venues.

7. Leveraged funding external to USAID

SANREM CRSP-WA has leveraged additional fundingfor research at the Madiama site through the NASACarbon from Communities Project which has supportedadditional research in Years 4 and 5 and will extendinto

Phase III. The Carbon from Communities Project willexamine the potential of holistic management ofrangeland strategies to sequester carbon in the soils ofWest Africa.

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Coordination and Management of West Africa RegionalSANREM Project

PrincipalInvestigatorS. K. DeDatta

Co-PrincipalInvestigatorMichael Bertelsen

OBJECTIVE 1Provide leadership for regional project devel-opment and implementation.

Annual AchievementsThe study tour of 4 NRMAC members and 2CRRA/Mopti researchers to Chad in Septem-ber has resulted in PPPOA training activitiesin October and March in preparation for theopen-range rotational grazing program to be-gin during the coming year. This activity inte-grates NRMAC appropriation of the HolisticManagement with applied research on villageand inter-village level management of theiropen-range resources.

In addition, we drafted and shared withUSAID and our partners in Mali a briefingpaper on expanding decentralized participa-tory NRM decision making. Data exchangeswith Texas A&M are being arranged. TheSANREM CRSP-West Africa Project Co-Manager has made three site visits to Mali(June, October, March) assuring the fully in-tegrated development and implementation ofproject activities.

The complementary NASA-funded Carbonfor Communities project in collaboration withthe Soil Management CRSP has been initi-ated and will monitor the open-range grazingrotational study.

OBJECTIVE 2Coordinate program development among U.S.and international collaborators.

Annual AchievementsProgram activities are being increasinglyintegrated. Data on water points throughthe Commune of Madiama have been col-lected and geo-referenced in conjunctionwith research on soil fertility perceptions.

Pasture use studies of herding practicesare being integrated with geo-referencedland use/cover mapping and improved for-age experimentation. Soil fertility mappingis being integrated with climatic models.Much of this work was presented duringthe SANREM Research Synthesis Con-ference. Program activities are increas-ingly integrated across activities and a re-budgeting of program funds is being madeto streamline implementation.

OBJECTIVE 3Coordinate financial and programmaticreporting of regional activities.

Annual AchievementsThe SANREM CRSP-West AfricaProject Manager and Co-Manager haveprovided leadership and routinebackstopping as well as conducted threesite visits to SANREM CRSP-West Af-rica partners in Mali during June, October,and March. During these visits, Moore metwith USAID officials to apprise them ofproject progress and provide SANREMCRSP-West Africa inputs for the devel-opment of USAID/Mali's Country Strate-gic Plan for 2003-2012.


Collaborative Research Support Program Annual ReportFunded by the U.S. Agency for International Development (USAID) WAF-01

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Stress on timely and complete financial reporting is im-proving the timeliness of programmed activities.

The SANREM CRSP-West Africa bibliographic database has been updated and its web site promoted to awide clientele of West African development special-ists and researchers. All reports have been submittedin a timely fashion.

Advancesin Capacity Buildup - Through the study tour to visitthe PPPOA site in Chad and subsequent training ses-sions on open- range rotational grazing, NRMAC mem-bers, CRRA/Mopti researchers, and village level moni-tors are learning more about their resources and theirmutually supportive roles in the sustainable manage-ment of their natural resources.

in Scaling Up - NRMAC members have been spread-ing the word about Holistic Management and their rolesat the Commune level to improve NRM through re-gion-wide radio emissions.

in Improved Environment and Natural ResourceManagement - Increased local knowledge and un-derstanding of biophysical and socioeconomic processesare assisting the NRMAC to provide leadership through-out the commune in promoting NRM activities.


Working PaperAmpagoomian, C. and K. Moore. Linking withSANREM CRSP-West Africa Annotated Biblio-graphic Database Users. Office of InternationalResearch and Development, Virginia Polytechnic In-stitute and State University. Working Paper No. 01-05.

ToolsBertelsen, M., P. Wyeth, and K. Moore. 2002. Sus-tainable Agriculture and Natural Resource Man-agement (SANREM) at the Commune Level: A Brief-ing Paper for Expanding Decentralized Participa-tory Natural Resource Management Decision Mak-ing. Briefing Paper.

Training DegreeName, Level, Start Date-Completion Date

Todd Crane, Ph.D. 2001-

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Workshop on Conflict and NRM: Emerging Lessons andDirections from West Africa

PrincipalInvestigatorMichael Bertelsen

Co-PrincipalInvestigatorKeith Moore

OBJECTIVE 1Review the present (annual) state andprogress of strategies to deal with conflictand NRM in agro-pastoral systems in orderto coordinate research with other relatedongoing activities in the region.

Annual AchievementsDuring the past year, two presentations onSANREM-West Africa progress were madeto the NRM Research Pole CoordinatingCommittee. An August meeting was held inBanjul, The Gambia, and a March meetingin Nouakchott, Mauritania. The meetings in-cluded national NRM coordinators from allnine Sahelian countries, CIRAD (Centre decooperation internationale en rechercheagronomique pour le developement), ICRI-SAT, ICRAF, and INSAH.

Advancesin Research - We are maintaining contactwith research partners in the West AfricaRegion and will take the opportunity to as-sure maximum exposure for SANREMCRSP West Africa research and policyachievements at all convenient fora in theregion.

in Scaling Up - The carbon sequestrationfocus of the project in the next phase hasgenerated a great deal of interest among thePole countries. In particular, the synergybetween the pasture management compo-nent of the SANREM WAF/NASA carbonproject and a potentially new Pole thematicthrust in carbon sequestration in parklandsagriculture was discussed. It was decided

to form a study group to investigate thepossibility of supporting such a new the-matic program under the regional coor-dination of the Pole.

in Policy Impact - Although each coun-try in the Sahel has its own particular plat-form to facilitate NRM policy dialog withnational decision makers, the individualNARS play a crucial role in every coun-try. Because the NRM Research Polereports directly to the regional organiza-tion of the NARS Directors General andits representatives are national NRMcoordinators, the Pole is well placed tosupport policy dialog at both the nationaland regional levels.

Other Major Outputs this Period

Publications

Book Chapters

Cisse, S. 2002. Apercu sur lessystemes de production du deltainterieur du Niger. Gestion desressources et amenagement du fleuveNiger: Des connaissances scientifiquespour la decisions publiques. IRD, Paris.


Bingham, S. 2001. HolisticManagement: The Promise andPrejudice of a Paradigm. In Proc.Research Synthesis Conference,SANREM CRSP, Athens, GA.



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Cisse, S. 2002. Le Joros: une institution de gestionde ressources naturelles renouvelables: histoire,status et role.

Cisse, S., A. Toure, and K. Moore 2001. VillageDialogues in the Process of Planning for theManagement of Bourgoutiere Regeneration:Lessons and Challenges. In Proc. ResearchSynthesis Conference, SANREM CRSP, Athens,GA.

Goebel, J. 2001. From Conflict to Consensus: ACatalyst for Healthy Human, Economic andEcologic Conditions. In Proc. Research SynthesisConference, SANREM CRSP, Athens, GA.

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Creation and Support of a Commune-Level NRM AdvisoryCommittee

PrincipalInvestigatorSalmana Cisse

Co-PrincipalInvestigatorAbdoulaye Toure

OBJECTIVE 1Reinforcement of the institutional capacityof the NRMAC through training in functionalliteracy and numeracy, financial managementand strategic planning.

Annual AchievementsThe NRMAC has drafted and approved itsby-laws and obtained administrative recog-nition of the Governmental Delegate (Prefet)for the Cercle of Djenne. CARE/Djenne hasprovided training to the committee membersin the codes, laws, and practices necessaryto implement decentralization in Mali. Thismaterial has had a particular emphasis onNRM codes and laws. The NRMAC has alsobegun mobilizing internal resources throughmembership cards and fees, and external re-sources through project design and prepara-tion assistance targeting the new PASAOP(World Bank). On the basis of CARE's De-mocracy and Governance scale of indicators,the NRMAC has made marked improvementsince last year, particularly concerningwomen's leadership, partnership develop-ment, and self-governance.

OBJECTIVE 2Reinforcement of the NRMAC capacities inHolistic Management of natural resources.

Annual AchievementsLocal agreements on the principles and prac-tices necessary for bourgoutiere regenera-tion, conservation and management were es-tablished for two bourgoutieres. Bourgou re-generation did not progress as well as planneddue to the force of the initial rains whichwashed the seeds into the depths of theponds. Sprouting was weak. Replanting will

be necessary, possibly using animal impact. Soilfertility monitoring and evaluation has been ad-vanced with the research on local soil fertilityperceptions. NRMAC members have commu-nicated with their constituents not only throughvillage meetings, but also through radio pro-grams where men and women members dis-cussed NRM, Holistic Management, the for-mation and role of the NRMAC, conflict reso-lution, and the experience of the team who vis-ited the PPPOA range management site inChad.

OBJECTIVE 3Increasing member's capacities to manage con-flict situations involving natural resources.

Annual AchievementsAdditional training in conflict management hasincreased and disseminated skills in the man-agement of conflict situations. One trainingworkshop focused on the management of powertargeting NRMAC members and some of theMayor's staff. More importantly, committeemembers organized and conducted a trainingprogram in conflict resolution pertaining tobourgoutiere management in one of the targetedvillages under the supervision of the conflictmanagement and holistic management trainingexperts. To date a total of 4 villages have re-ceived a training module in conflict resolution.In addition, a potential conflict due to the earlyentry of herds into Madiama pasturelands wasaverted through intervention of NRMAC mem-bers.

Advancesin Research - Few results have been formallydocumented to date. The NRMAC is still earlyin its learning curve and survey data to mea-

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sure skills and impact will not be collected until the com-ing year.

in Capacity Buildup - NRMAC members and villag-ers with whom they work have applied their skills inconsensus building through the negotiation of twobourgoutiere management agreements. Several mem-bers also helped avert a conflict due to the early entryof herds into Madiama pasturelands. NRMAC leadersare developing skills as conflict resolution trainers andhave conducted conflict resolution training workshopsin four villages.

in Scaling Up - Work still needs to be done to furtherimprove the inclusion of transhumant stakeholders inbourgoutiere and open-range management. Neverthe-less, NRMAC members are communicating with amulti-commune audience during their radio emissionsand promoting the lessons they have learned throughHolistic Management and Conflict Resolution trainingand the negotiation of local agreements concerning themanagement of specific resources.

in Policy Impact - The NRMAC has drafted and ap-proved its by-laws and obtained administrative recogni-tion of the Governmental Delegate (Prefet) for theCercle of Djenne.

in Improved Environment and Natural ResourceManagement - The partnership between the NRMACand the Rural Council has re-dynamized and strength-ened protection for the acacia albida. The knowledgeof NRM codes and laws and their network of membersthroughout the villages has allowed the NRMAC to in-crease information flow and to monitor the protectionof the acacia albida. Locals have remarked about thelower levels of NRM conflict during the past year.


Cisse, S. 2002. Apercu sur les systemes deproduction du delta interieur du Niger. Gestion desressources et amenagement du fleuve Niger: Desconnaissances scientifiques pour la decisionspubliques. IRD, Paris.


Bingham, S. 2001. Holistic Management: ThePromise and Prejudice of a Paradigm. Proc.

Research Synthesis Conference, SANREM CRSP,Athens, GA. November 28-30.

Cisse, S. 2002. Le Joros: une institution de gestionde ressources naturelles renouvelables: histoire,status et role.

Cisse, S., A. Toure, and K. Moore 2001. VillageDialogues in the Process of Planning for theManagement of Bourgoutiere Regeneration:Lessons and Challenges. Proc. Research SynthesisConference, SANREM CRSP, Athens, GA. Noveber28-30.

Goebel, J. 2001. From Conflict to Consensus: ACatalyst for Healthy Human, Economic andEcologic Conditions. Proc. Research SynthesisConference, SANREM CRSP, Athens, GA.November 28-30.

Training Non Degree

WorkshopDecentralization was attended by 22 person(s) andlasted 5 days day(s).

Managing Power was attended by 20 person(s) andlasted 2 days day(s).

Conflict Resolution was attended by 44 person(s) andlasted 3 days day(s).

NRM Legislation was attended by 28 person(s) andlasted 2 day(s).

Open-Range Rotational Grazing was attended by 24person(s) and lasted 8 day(s).

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Development of Methods and Tools forEvaluation and Decision Making



Principal InvestigatorOumarou Badini

Co-Principal InvestigatorCharlene Brewster

OBJECTIVE 1Establish a multi-year database for crops,soils, weather and management technologiesfor modeling and evaluating the impacts ofNRM practices on productivity and the envi-ronmental sustainability.

Annual AchievementsData entry for the 2001-02 rainy season hasbeen completed and integrated in the multi-year database (1999-00 & 2000-0). For thepast year data were collected at 55 sites (in-cluding 18 soil fertility management testssites). The database covers 2 millet local cul-tivars (Boanin growth cycle about 120 daysand Tassoumani with a cycle of about 70days), 3 sorghum cultivars (N'guegne-fin about95 days, N'guegne-blen about 120 days, andTassoumani with a cycle of about 70 days). Atotal of 5 rice cultivars are cultivated. Theyare Kaou (160 days), DM-16 and BG (140days), Gambiaka (120 days) and Aliba (90days).

Parameters were derived for biophysical mod-eling and characterization activities. Also, areport on existing cropping and managementsystems is in preparation.

Total rainfall for the past year for most of thecommune was one of the highest for the last10 years. It varied from 466 mm in 28 days atTeguegne to 793 mm in 49 days at Torokoro.The average of the year 2001 for the wholecommune is 636 mm in 35 days. The averagefor the previous three decades was around480 mm. Data for a total of 145 water pointswere collected throughout the commune. In-cluded in this database are geographical co-

ordinates, type of water source, depth,quality, accessibility, utility, etc.).

Work is proceeding to integrate the iden-tified 145 water points into a GIS sys-tem together with other biophysical andsocio-economic infrastructures of thecommune.

This database, combined with figures onpopulation and spatial distribution of vil-lages in the commune, will help ensurebetter planning and management ofwater resources in the commune.

OBJECTIVE 2Create cartographic and geographic in-formation systems (GIS) for the com-mune of Madiama from remotelysensed data for more refined planningand a geographic representation of natu-ral resources.

Annual AchievementsA final soil map has been produced andwill be published together with the soilsurvey once results from the localknowledge of soils have been integrated.A technical soil survey report has beenproduced. Preliminary land use surveyand mapping has taken place under theleadership of Virginia Tech. The GISsupport integrating soils, land uses andsocio-economic infrastructures is beingconstructed. The thematic maps fromthis GIS work together with the simula-tion outputs will facilitate discussionswith stakeholders. A planned GIS train-ing of nationals from Mali is imminent.This training is related to the recently

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awarded NASA grant to assess carbon sequestrationand land use management technologies. The thematicmaps from this GIS work together with the simulationoutputs will facilitate discussions with stakeholders.

OBJECTIVE 3Development of biophysical modeling techniques tomonitor and evaluate the biophysical performance ofexisting and alternative natural resource managementtechnologies and practices.

Annual AchievementsAnalysis of rainfall records and predictive informationcombined with GIS and biophysical modeling of soilwater balance and crop production functions allowedus to assess the growth potential of some crops andmanagement systems in Madiama commune. Crop waterstress, crop yields as well as overall stress indices inreference to yield potential permitted by different soilsunder low and optimum nitrogen input levels have beensimulated and mapped to illustrate how this approachcould improve advisors and managers' decision makingin the study area. Simulation work is also underway toevaluate the sustainability and suitability of main cropsand technologies to the environment in Madiama.

OBJECTIVE 4Development of tools to monitor and evaluate the so-cial and economic viability of current and alternativesoil and pasture management practices.

Annual AchievementsAdditional market data from the commune was col-lected and the SAM methodology was refined further(with additional work on multiplier decomposition byDaniel Kabore). The initial results from compiling aSocial Accounting Matrix (SAM) were reported earlierand these clearly demonstrated that transhumants arethe least favored of the occupational groups, so thatany development interventions should address this groupseparately. For the new analysis, the SAM was disag-gregated further and decomposed multipliers computed.Three groups of decomposed multipliers are computed- direct effect, open loop and closed loop multipliers.The process of decomposition separates the impact ofinteractions among production activities from that dueto interactions among socio-economic groups. Theselatter interdependencies are important to understand ina commune where rivalry among groups for resourcesis strong.

An analysis of production and sales activity demon-strated the relatively closed nature of the commune i.e.the tradable sector is relatively small compared to thenon-tradable sector. Impacts from exogenous changesin demand for the commune's agricultural and livestockproduction, as measured by multipliers, will be shareddifferentially among socioeconomic groups with the tran-shumant group always benefiting least. This reinforcesearlier conclusions that interventions need to specifi-cally target this group. Decomposing multipliers pro-vides decision makers with additional information onthe potential impact of measures taken to stimulate eco-nomic growth. Direct effect, open loop, and closed loopmultipliers enable the tracing of impact informationthroughout the entire economy. The analysis has dem-onstrated the importance of stimulating the tradablesectors within both agriculture and livestock. Interven-tions stimulating growth in the livestock sector are es-pecially important. Such growth will directly provide thelargest impact for all socioeconomic groups, especiallythe diversified agropastoralist and sedentary pastoralistgroups. Growth strategies directed solely towardmicroenterprise development are possibly misguided:there appears to be little potential to stimulate broadergrowth within the commune since most microenterpriseactivities are non-tradable.

OBJECTIVE 5Transfer evaluation tools including models, methods andskills to IER and other regional partners.

Annual AchievementsTraining of field agents in data collection and field areameasurement and monitoring has taken place. Trainingin the construction and implementation of CropSystmodel planned for the current period has not taken placeand has been rescheduled for the next period. Integra-tion of database, modeling outputs, maps and GIS isunderway and will be used as training and transfer ma-terials for the biophysical work. Hands-on training ofthe agro-economist at IER in development and use ofSAM models for community policy analysis has takenplace through informal sessions between VT and WSU(Washington State University) economists and the eco-nomics personnel at IER/Mopti. Data is being collectedby IER/Mopti for continuous updating of the SAMmodel, thereby ensuring sustainability of economics ef-forts in this realm.

In June 2002, meetings were held with IER personnel(the Director-General and Scientific director) to dis-cuss the results of the SAM analysis. Similar meetings

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were held with IER researchers and the SAM method-ology and implications of the results discussed. Afterthis, researchers (VT/WSU/IER) met with the NRMAdvisory Committee in Madiama to talk about the find-ings of the study and the implications for communityeconomic development.

Advancesin Research - Knowledge of weather characteristics,soils, crops and cropping systems of the study regionhas been improved as a consequence of the biophysicaldatabase and modeling and survey work. Field mea-surement, modeling and mapping allowed the analysisof soil potential and erosion rates products and increasedthe people awareness about the limitations and poten-tial of their natural resources. Collaborative Researchapproaches and outputs fostered the capacity of localresearch partners to generate information from dataand facilitated discussions with community members.GIS is being developed and colored maps produced tofacilitate discussions and linkage with farmers. TheSAM analysis demonstrated the importance of stimu-lating growth in the tradable sectors within both agri-culture and livestock. Growth strategies directed solelytoward microenterprise development are possibly mis-guided: there appears to be little potential to stimulatebroader growth within the commune since most mi-croenterprise activities are non-tradable. The processof multiplier decomposition permits an understanding ofinteractions among production activities and amongsocio-economic groups. These latter interdependenciesare important to understand in a commune such as whererivalry among groups for resources is strong.

in Capacity Buildup - IER researchers have a fullerunderstanding and ability to use economic modeling toolssuch as the SAM through our collaborative efforts. Com-munity members through the NRMAC, have an in-creased understanding of the economic interactionsbetween various occupational groups, and how incomechanges can trickle through the entire community andaffect all members beneficially, in addition to those re-ceiving direct benefits.

in Scaling Up - Meetings were held with IER research-ers and national level administrators on the use of andimplications of results of the Social Accounting Matri-ces developed for Madiama.

in Policy Impact - The SAM results suggest direc-tions for future research and policy interventions. Forexample, research efforts may need to be targeted spe-

cifically towards transhumants for them to achieve thepotential benefits of other groups.

Other Major Outputs this Period

Annual Report

Badini O., P. Wyeth, M. Toure, D. Lassana and M.Bertelsen. 2001. Pps 86-90 in Innovative Researchfor Sustainable Agriculture and NaturalResources. SANREM CRSP 2000-2001 AnnualReport. Development of Methods and Tools forEvaluation and Decision Making.

Badini O., C. Brewster, P. Wyeth, M. Toure and M.Bertelsen. 2002. Pps. 104-107 in On the PathTowards Sustainability SANREM CRSP AnnualReport 2001-2002. Development of Methods andTools for Evaluation and Decision Making.

Briefs

Badini, O. 2002. Rainfall Risk and "ResponseFarming": Using Rainfall Analysis, SimulationModeling and GIS to Improve AgriculturalDecisions in Mali. SANREM CRSP Research BriefNo. 12.


Badini, O. and L. Dioni. 2001. Application ofRainfall Analysis, Biophysical Modeling and GISto Agroclimatic Decision Support in MadiamaCommune, Mali. SANREM Scientific Conference.Athens, GA. November 28-30.

Brewster, C,, D, Kabore, M. Bertelsen, and P.Wyeth. 2001. Economic Interdependence AmongSocio-Economic Groups in Madiama Commune ofthe Niger Delta of Mali. SANREM CRSP,University of Georgia, Athens, GA. November 28-30.

Heatwole C., M. Bertelsen, K. Moore, and O.Badini. 2001. Multi-temporal classification of landcover using Landsat7 imagery in Madiama, Mali.Proc. Research Synthesis Conference, SANREMCRSP, Athens, GA. November 28-30.

Rupp, R., B. Frazier, O. Badini and L. Dioni. 2001.Landsat 7 Imagery for Community-Based SoilMapping in Madiama Commune, MALI. SoilScience Society Meeting in Charlotte, NC. October21-25.

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Research Reports

Badini, O. and L. Dioni. 2001. Etude Morpho-Pedologique et Cartographie de la Commune deMadiama, Cercle de Djenne, Mali. Working PaperNo.01-04. Office of International Research andDevelopment, Virginia Tech, Blacksburg, VA.

Brewster, C., D. Kabore, M. Bertelsen, and P.Wyeth. 2001. Economic Interdependence AmongSocio-Economic Groups in Madiama Commune ofthe Niger Delta of Mali. SANREM CRSP,University of Georgia, Athens, GA.

Working Paper

Badini, O. 2001. Agro-Climatic Assessment(Description and Analysis) of Madiama Communein Mopti Region, Mali (West Africa).

Badini, O. 2001. Biophysical Research Highlightsand Preliminary Simulation Modeling Runs inMadiama Commune. In Contribution to theEvaluation and Planning Meeting of SANREM WestAfrica - February 2001. Mopti, Mali (West Africa).

Badini, O. and L. Dioni. 2001. Etude Morpho-Pedologique et cartographie de la Commune deMadiama, Cercle de Djenne, Mali. Working PaperNo.01-04. Office of Internatioanl Research andDevelopment. Virginia Tech, Blacksburg, VA.

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Farmers' Decision Making Aides for Improved Soil FertilityManagement

PrincipalInvestigatorBoureima Traore

Co-PrincipalInvestigatorOumarou Badini

OBJECTIVE 1Document the state of the art concerning ex-isting and newly introduced cultural practices

Annual AchievementsThe bibliographic synthesis of the state of theart of soil and water conservation technolo-gies documented for Mali and the Sahel hasbeen completed.

OBJECTIVE 2Development of improved technologies for im-provement in soil fertility.

Annual AchievementsResults of the farmer field tests (on millet andsorghum) for improved soil fertility manage-ment demonstrated that stabling of livestock isa potential holistic solution to increasing soilfertility. Optimum benefits can be achieved atabout five tons/hectare. Use of inorganic fer-tilizers (rock phosphate (PNT) and microdosesof 15/15/15) and crop rotations to increase landproductivity were also significant and a goodsubstitute for livestock stabling. The tests withmicrodoses and the PNT will be continued overthree years for a larger number of farmerswith the application of the DAP.

OBJECTIVE 3Reinforce local capacity to apply the HolisticManagement model in the monitoring andevaluation of soil fertility improving technolo-gies.

Annual AchievementsInitial discussions on Holistic Managementmonitoring and evaluation of soil fertility wereconductd with NRMAC members before the

growing season began and a number ofevaluation criteria identified. When the fieldtrials were established, farmer collaboratorsparticipated in a two-day training programon the various soil fertility enhancing tech-niques. At the outset of the on-farm trials,farmers and researchers discussed each fieldtest and demonstration so that farmers wouldunderstand what the experiment was sup-posed to demonstrate and how progress ismeasured (development of indicators). Asthe season progressed, farmers and techni-cians monitored both crop and demonstra-tion developments in anticipation of a reviewand evaluation of each experiment at the endof the season. At the end of the season,farmers, researchers and NRMAC mem-bers evaluated the experiments and decidedon a plan for next year.

Advances

in Research - Use of inorganic fertilizers(rock phosphate (PNT) and microdoses of15/15/15) and crop rotations to increase landproductivity were also significant and a goodsubstitute for livestock stabling. The testswith microdoses and the PNT will be con-tinued over three years for a larger numberof farmers with the application of the DAP.

in Capacity Buildup - Farmers are becom-ing familiar with fertilizer application alter-natives (including PNT, micro-dosing, or-ganic fertilizer interactions) and, based ontheir monitoring of the on-farm trials, havecontributed to the design of the coming yearson-farm trials.

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in Scaling Up - Another year or two of data will needto be collected before the NRMAC will push the ex-pansion of a particular soil fertility technology.

in Improved Environment and Natural ResourceManagement - These on-farm trials are providing arange of alternatives to farmers to improve the fertilityof their soil.


Annual ReportBadini, O., B. Traore and O. Samake 2001.Farmers' Decision Making Aides for ImprovedSoil Fertilty Management. Innovative Research forSustainable Agriculture and Natural Resources.SANREM CRSP 2000 Annual Report.

Briefs

Crane, T. 2002. Ethnopedology in the MalianSahel: Soil Classifications and Conceptions ofFertility. SANREM CRSP Research Brief No. 11.


Traore, B., O. Samake, and O. Badini. 2001.Combining Regional Experience and HolisticManagement to Search for Alternatives forImproving Soil Fertility in the Commune ofMadiama. In Proc. Research Synthesis Conference,SANREM CRSP, Athens, GA. November 28-30.

Research Reports

Traore, B. 2002. Amelioration des rendements milet sorgho avec reduction de la quantite d' engraismineraux dans le commune rurale de madiama(microdose).

Traore, B. 2002. Parcage de petits ruminants auchamp et amendements des sols dans le Delta dufleuve Niger au Mali.

Traore, B. 2002. Parcage de bovins au champ etamendements des sols dans le Delta du fleuveNiger au Mali.

Traore, B. 2002. Amendements des sols sableuxpar le fumier de parc et le phosphate naturel(PNT) de Tilemsi dans la Commune Rurale deMadiama.

Traore, B. 2002. Conditionnement des sols sableuxpar la fumure organique sur la culture de mildans la Commune Rurale de Madiama.

Traore, B. 2002. Contribution des Niebe et duphosphate naturel de Tilemsi dans les systemes derotation avec le mil sur les sols sableux du deltacentral du fleuve Niger au Mali.

Traore, B. 2002. Le Niebe dans les systemes derotation et d'association des cultures a base de mildans la commune rurale de Madiama en zoneSahelienne au Mali.

Traore, B. 2002. Techniques de conservation etd'amelioration de la fertilite des terres cultiveesen zone sahelienne au Mali.

Technical Guides

Samake, O. 2002. Technique de lutte contre lestriga hermonthica par l'association des culturemil/sorgho avec le niebe.

Working Paper

Traore, B. 2002. Techniques de conservation etd'amelioration de la fertilite des terres cultiveesen zone sahelienne au Mali.

Training Non DegreeWorkshop

Monitoring was attended by 19 person(s) and lasted 1day day(s).

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Community Decision Making Aides for Improved Pasture Lands

PrincipalInvestigatorOzzie Abaye

Co-PrincipalInvestigatorAmadou Kodio

OBJECTIVE 1Determine the quantity and quality of forage re-sources in the Commune of Madiama

Annual AchievementsIn 2001, botanical composition, forage biomassand ground cover were evaluated at two loca-tions (within the fenced and non fenced areas)within the Madiama commune. The area outsideof fence was grazed both by local and transhu-mant animals. Generally, this preliminary studyshowed fewer legume components comparedwith grasses and other weedy forbs. In the fencedarea, the percentage of grasses was 72%, with adominance of Panicum laetum and Schoenfeldiagracilis, while legumes accounted for 27%. Inthe non-fenced areas, the percentage of grasseswas slightly higher than the fenced areas, whilepercentage of legumes was lower (18%). Thissuggests that there is a high probability thatthrough controlled grazing the relative abundanceof legumes can be improved. In 2002 and 2003,these preliminary findings will be further evalu-ated by both the local researchers and their USAcollaborators.

Additional ground truthing data have been col-lected and areal photographs from EROS (EarthResources Observation Systems) Data Centerare being used as a basis for satellite image clas-sification. This is yielding a rich database. Moreground truthing is needed to classify the nine pri-mary pockets of pastureland in the commune withrespect to distinguishing between recoverable andunrecoverable barren lands.

OBJECTIVE 2Describe and analyze the socioeconomic char-acteristics of pastoral and agro-pastoral sys-tems of the commune.

Annual Achievements

The preliminary studies in the Madiama com-mune showed that livestock management playsan important role in both forage species diver-sity and biomass, which in turn affects live-stock production. The survival of the local popu-lation, during the various transitional periods ofagricultural practices (row cropping, pasturing,transhumance. . .), is a function of the avail-ability of feed resources for the livestock. Thisis especially crucial during row crop establish-ment, which is roughly in June/July dependingon the arrival of the first rainfall, and the be-ginning of the crop harvest, sometime the endof October/early November. The conflictsamong the villagers within the commune aremainly due to lack of forages (the carryingcapacity of the pastures is only 0.3 AU/ha/an),as well as land and institutional problems in theuse of shared natural resources. Our initial dataindicated that only a fraction of the livestock(bovine, sheep and goats) are kept all year inthe Madiama commune. The majority of theherd travels (transhumance) a few to severalhundred kilometers away from the commune.The primary purpose of the animal movementbeing the opportunistic optimization of pasture/forage resources over the course the year indryland pasture systems. The practice of tran-shumance is a solution as it offers a rationalmanagement of both herd and forage resources.

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OBJECTIVE 3Develop mechanisms for community-based manage-ment of Madiama's pastoral resources using the Holis-tic Management model.

Annual AchievementsNegotiations between stakeholders at two bourgou re-generation sites and training programs in the proper tech-niques for bourgou regeneration and management wereconducted. As a consequence, bourgoutiere conserva-tion and use agreements have been established by localcommittees for two sites. Bourgou establishment hasnot progressed as hoped for this year due to heavy earlyrains drowning the seed. A potential need for more ho-listic modification of the bourgou management sites torecreate the conditions for sustainable production is en-visioned for the coming year.

Four NRMAC members and two IER researchers vis-ited the World Bank-supported West African PastoralPilot Project (PPPOA) in Chad where they learnedfrom project agents and community members how theyhad managed to improve their pasture grazing resourcesthrough Holistic Management practices. The tour par-ticipants held meetings with the full NRMAC, the May-ors Office, and other interested members of the Com-mune of Madiama after their return to describe whatthey had learned. They have identified and parceledoff two village open-range sites to replicate rotationalgrazing in their own territories. Local monitors havebeen trained and this experiment in community-basedpasture management will begin this year.

Preparations have also been made for the establish-ment of a dryland controlled grazing experiment at twolocations within Madiama commune during the sum-mer of 2002. The pasture sites were identified by vil-lagers, IER Mopti researchers and U.S. cooperatorsafter consultation with the NRMAC.

Advancesin Research - The working paper on the quantity andquality of forage resources and herd management prac-tices was presented at the SANREM Conference (No-vember 2001). The land use map is still being refined.More ground truthing is needed to properly distinguishfallow from currently cropped land and recoverable fromunrecoverable barren lands.

in Capacity Buildup - Capacity of the NRMAC andvillagers to sustainably manage their bourgou resources

has advanced with the negotiation and establishment ofbourgoutiere management agreements. Furthermore, thecommittee has lined up stakeholder support throughoutthe commune for an open-range rotational grazing pro-gram which is being tested.

in Scaling Up - Bougoutiere establishment did not oc-cur this past year, so there is no basis at this time forscaling up. Re-establishment of the bourgou is on theagenda for this year.

in Policy Impact - No progress, see above

in Improved Environment and Natural ResourceManagement - The institutional components to sup-port improved environment and NRM are being estab-lished. We are now awaiting biophysical successes todemonstrate the utility of the NRMAC.



Kodio, A. 2002. Gestion des bourgoutieres dans laDelta Centrale du Niger. Gestion des ressources etamenagement du fleuve Niger: Des connaissancesscientifiques pour la decisions publiques. IRD, Paris.

Conference PresentationsKodio, A. and S. Traore. 2002. Communalite etinter-communalite dans l'identification et lagestion des parcours du bÈtail dans le Delta.

Kodio, A., A. Ballo, M. Elhadj, and O. Abaye 2001.Analysis of Livestock Management and PastoralResources of the Rural Commune of Madiama.Research Synthesis Conference, SANREM CRSP,University of Georgia, Athens, GA. November 28-30.

Kodio, A., A. Ballo, M. Elhadj and O. Abaye. 2001.Analyse des mode díelÈvage et des resourcespastorales dans la commune rurale de Madiama.

Research Reports

Ballo, A. and A. Ouattara. 2002. Enquetes sur lesmouvements des troupeaux bovins, ovins etcaprins dans la commune rurale de Madiama,2001-2002.

Kodio, A. 2001. La gestion integree des resourcesagricoles, pastorales et halieutiques dans la Delta

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Central du Niger: les aspects socio-economiquesde la agro-pastoralisme dans la commune ruralede Madiama.

Technical Guides

Kodio, A. and M. Keita. 2002. Techniques degestion des bourgoutieres regenerees.

Kodio, A. and M. Keita. 2002. Techniques deregeneration des bourgoutieres degrades parEchinochloa stagmina.

Training Degree

Name, Level, Start Date-Completion DateMeriem El Hadj, Ph.D. 08/2001-

Training Non Degree

WorkshopHolistic Management of Pasture Lands was attendedby 6 person(s) and lasted 10 days day(s).

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1. Introduction

This section of the report provides a description of themost important products of the Decision Support SystemProject. The section is divided into two major parts.The first deals with methodological accomplishments.The second deals with the applications of these methodsto a series of specific issues and questions that wereidentified by senior decision makers and researchcollaborators in the host countries where we worked.In this report, some of the accomplishments are listedby title only; a description of them may be found in themore complete report which is found at http://cnrit.tamu.edu. In this longer report, there are alsoappendices which further describe the dissemination andtechnology transfer that have occurred in this project.


2a. Protocol for the integrated decision supportsystem methodology:

The integrated and interactive suite of models and relateddatabases embodied in the DSS methodology requiredthat special attention be devoted to the initial design ofthe protocol to have a fully functional final product. Theprotocol was instrumental in the development of theintegrated suite of models. The approach has allowedus to extend the use of GIS methods coupled with avariety of analytical methods and has increased theutility of resulting models in conducting assessment ofpolicy and technology options. We include the details ofthe protocol as an attachment to this report, because ofits length. However, we have used the basic buildingblocks in the protocol as the organizational frameworkfor the part of this report dealing with methodology asit appears to provide a logical framework and flow.

2b. Impact Assessment Definition:

* Methods for acquisition of primary and secondarydata to support biophysical and economic analysis

* Databases acquired, developed, and/or modified asnational and regional resources

One of the most important products being delivered asa result of this project is the set of calibrated, current,and organized information and data needed to use theDSS or to apply to many other analytic methods. Thewide array of model runs and associated support datacreated during the analysis of cropping systems in theINSORMIL CRSP, PEANUT CRSP, small holder dairytechnology, Sikasso intensification/extensification, andRift Valley agricultural intensification technologies hasallowed delivery of a comprehensive set of analyticaltools and data. These are organized in a manner thatallows analysis to be pursued by analysts interested inassessing the impact of agricultural and natural resourcetechnologies and policies in the future. Data were alsorepackaged in spreadsheets interfaces where the largenumber of model runs were condensed intomathematical metamodels which were linked to pre-parameterized agricultural sector model (ASM) andfarm level analysis model (FLAM) for Mali and Kenyareflecting the analysis for the intensification studies inSikasso and Rift Valley, respectively.

2c. Spatial Characterization of Landscapes andLifescapes (Livelihoods):* The Almanac Characterization Tool (ACT):Capturing spatial and tabular data for non-GIS users

The SANREM CRSP contributed to the continued de-velopment and deployment of the Almanac Character-

SANREM Decision Support SystemSANREM Decision Support SystemSANREM Decision Support SystemSANREM Decision Support SystemSANREM Decision Support SystemProject OverviewProject OverviewProject OverviewProject OverviewProject Overview

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ization Tool (ACT) in partnership with USAID Officeof Foreign Disaster Assistance, CIMMYT and the Glo-bal Livestock CRSP. This collaboration resulted in acomprehensive suite of GIS shapefiles of spatial andtabular data used in the impact analyses for Mali andthe surrounding West Africa Sahelian countries as wellas Kenya, Tanzania and Uganda and other countries inthe Greater Horn of Africa. The software, data andtraining were provided to our partners in each countrywhere impact analysis was conducted to allow them toexplore the wide array of spatial relationships betweenbiophysical and socio-economic data provided in eachcountry's ACT. Design plans were implemented todetermine how best to integrate the spatial nature ofACT with the model analytical capacity via the Com-mon Modeling Environment.

* Geo-corrected weather data for systems analysis

* Methods for establishing the spatial framework forintegrated analysis of impact

A spatially coherent sampling frame is needed in theDSS to allow for a representative sampling of villagesand/or farms across a region, and to allow scaling tothe appropriate levels. Sampling frames were developedthat emphasized biophysical traits of the region such assoils, climate, and human population density rather thanarbitrary political boundaries. This insured that therange of spatial differences that might influence farmyields and natural resource management across theseregions was captured for both the economic andenvironmental components of the impact assessment.The primary steps in developing the spatial samplingframes are as follows:

1) Unique zones of similar climate and soils aredefined for biophysical model simulations (simulationzones)

2) Simulation zones are weighted according to humanpopulation density with those having the highestpopulation density receiving the greater weights.

3) Representative farms or villages are selected basedon the proportional weights of population within thesimulation zones.

4) Surveys and data gathering occur at each of theselected villages and/or farms.

5) Climate, soils, crop and livestock management dataare catalogued and entered into the biophysical modelsfor simulations

Simulation zones are developed using interpolated cli-mate surface layer for the region of interest and theavailable soil data layer. A cluster analysis is performedon the climate grid to determine areas of similar climate(climatic clusters). A spatial cross-tabulation of the cli-matic cluster layer and the soil layer allows the identifi-cation of spatially explicit zones of similar soils and cli-matology (simulation zones).

Simulation zones can then be spatially cross-tabulatedwith population densities for the region to assist inselection of representative farms. This insures thatselection is weighted more to areas having greaterpopulation density. Other spatial layers such as distanceto primary roads, infrastructure, and land use also canbe added into the cross-tabulation to refine farmselection. For example, in the impact assessmentconducted in the Sikasso region of Mali, 56 simulationzones were identified. This spatial layer was thenmerged with the 1990 population density grid for theregion (Figure 1). This allowed the delineation of 10unique (or "best") simulation zones that represented 76%of the total land area and 80% of the population in theSikasso region (Figure 1). These 10 simulations zonesthen served as the primary areas for selection of villagesand farms to collect data for economic and biophysicalmodeling. Other spatial information was then introducedinto the GIS to aid in village/farm selection to insurethat villages selected were representative of ruralagriculture villages. Characteristics such asinfrastructure (schools, hospitals, markets) distance toroads, and distance to primary markets were includedin the analysis. Villages having characteristics of arural agriculture village were clustered, and two villagesfor each of the 10 simulation zones were randomlyselected from the subset. These villages served as theareas where rapid appraisal surveys were conducted

This method provides an integrated and spatiallyreferenced approach for a spatial framework to analyzenew technology introductions and other agriculturalpolicies. It spans multiple dimensions of natural resourcemanagement including watersheds, soils, andrangelands. It also has a varied scope that ranges fromfirm level analyses (farms) to higher levels such as thewatershed, national, and global levels.

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2d. Surveys and Data Gathering:

* Rapid Appraisal and Intensive Surveys

As part of the impact assessments conducted in bothMali and Kenya, a series of rapid appraisals and farmsurveys were conducted to gather data for the DSS.Data obtained from these surveys provided baselineinformation for use in the subsequent case studies andprovided the basis for further development andintegration of the suite of models in the DSS. Rapidappraisal surveys were used to gather data from a largeenough sample size to determine farm characteristicsand modality (or representativeness). For example, inboth the Sikasso region of Mali and the central RiftValley in Kenya, approximately 100 farms weresurveyed.

After rapid appraisal surveys are completed, a clusteranalysis is conducted on a set of summarized variablesto define farm types and locations of representativefarms. For example, in the Sikasso region of Mali,cropland hectares, cotton hectares, cereal grainhectares, and number of bullocks were used in thecluster analysis. This resulted in the delineation of fourfarm types (clusters) (Figure 2). Within each farm type,farms having variables closest to the cluster mean wereselected for intensive surveys.

Intensive surveys are conducted at representative farmsto collect information on crop management, livestockmanagement and economic information. Thisinformation is then used in parameterization ofbiophysical and farm-level economic models, as wellas for budget information to supplement the agriculturesector analysis.

* Methods for Modeling Missing Data to ProvideInputs for Further Analysis

Modern analytic methods and models often havesubstantial data requirements to run. In many instances,data for biophysical models from secondary sources iseither incomplete or missing. They may be eitherunavailable or prohibitively expensive to acquire.Methods were developed to produce credible estimatesfor these missing data. In the case of incomplete ormissing weather data, the WXGEN weather generatorprogram was used. WXGEN can be used to fillincomplete weather data sets and can also be used togenerate weather based on statistics of a weatherstation. For the majority of impact assessment studies,the weather generator is used for the latter.

Soil is another example of data that many times hasmissing parameters or incomplete data sets. Soilparameter estimators are used to fill in these gaps.Since soil texture is usually collected on a regular basis,the soil hydraulic properties calculator (http://www.bsyse.wsu.edu/saxton/soilwater/) is particularlyuseful. The EPIC model also has built in algorithms forestimating several soil properties.

2e. Biophysical Analysis of Croplands, Rangelandsand Livestock:

* Estimating yields as a function of simulation zones inregional analysis

The simulation zones are used as the basic unit fordetermining yields within the spatial sampling frame.Information on soil properties within each zone arecatalogued and input into the biophysical models.Information on various crop mixes, rangeland plantcommunities, and future crop and rangeland technologyoptions are gathered from rapid appraisal surveys,intensive farm surveys, secondary data sources, andexpert opinion. This information is entered into thebiophysical models to reflect specific scenarios to bemodeled. Crop and rangeland management information(e.g., planting dates, fertilization methods, livestockmovement) are gathered during surveys and interviewsor from secondary data sources so that biophysicalmodels reflect the farmer's decision-making process.

Once specific biophysical modeling scenarios aredetermined, the biophysical models are run for a seriesof weather conditions. The weather can be historicaldata or generated data. In the case of the studiesconducted in the Sikasso region of Mali and the centralRift Valley of Kenya, generated weather data was usedin order to capture more robust states of nature. Oncemodel runs are completed, yield information issummarized into formats for use in both farm level andsector level economic analysis. Yield informationtransferred to farm level economic models (FLAM,FLIPSIM - Farm Level Income and Policy SimulationModel)) is generally simulation zone specific. However,sector level economic models (ASM) generally requirethat yield information be area weighted to a political oradministrative boundary (Figure 3).

Area weighting methods provide a framework forscaling yield, runoff, erosions estimates and otherbiophysical model output to watershed, regional orsector level analyses. Because the simulation zone is

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the basic aggregation unit, differences in the biophysicalmodel output at each of the varying soil types, climates,and land uses can be properly accounted for in theaggregate yields for the region of interest

Another technique that has been used to assess yieldsover large landscapes is to use cokriging to createsurface maps. Cokriging is a geostatistical interpolationtechnique that takes advantage of the cross-correlationbetween a spatially sparse and a spatially rich dataset.In the DSS, biophysical model simulations can be donefor a minimal number of points, and then, if a correlationexists between the output and NDVI satellite imagery(a spatially rich greenness index), a surface map offorage production can be created for a region (Figure4). These surface maps can then be used in any typeof analysis that requires spatially explicit vegetationproduction for a region.

* Linkages between individual elements of the deci-sion support system ñ biophysical, environmental andwatershed models

2f. Farm Level Economic Analysis:

* Farm Level Analysis Model (FLAM)

The farm level analysis model (FLAM) went throughseveral stages of evolution during the five-yearresearch period. In addition to modeling the impact oftechnology and policy options at the farm level, anoverarching objective of the DSS development was toprovide the ability to scale up or scale down the resultsof these options and to link their economic andbiophysical-environmental consequences. Toaccommodate the spatial aspect and the linkages toARCVIEW, a new version of FLAM was developedto accept input directly from ARCVIEW. This wasachieved through the use of spatially explicit analysiswhich, in turn, drove several innovations to theeconomic models. This creates consistency betweenFLAM and the spatial framework, as it allows FLAMto tap into the biophysical and spatial databases createdduring analysis and housed in GIS. To estimateenvironmental impacts of alternative farmingtechniques, the structure of FLAM was generalized toinclude the time varying aspects of changes in soilphysical and chemical properties. This requiredintegration with the biophysical models PHYGROW(Phytomass Growth Simulator) and SWAN (Soil,Water, Air, and Nutrition System), as well as integrationwith the environmental model SWAT (Soil Water

Assessment Tool). In both cases, the integration wasachieved through meta-functions, which createanalytical representations of the complex andcomputationally exhaustive biophysical andenvironmental simulations. Since scaling has been acentral theme in the DSS methodology, a version ofFLAM was developed that allows it be directlyembedded into the ASM. This provides the utmostconsistency between farm level decision making andnational level market outcomes since ASM prices aredirectly incorporated in the embedded FLAM model.

2g. National/Regional Level Economic Analysis:

* The Agriculture Sector Model

The Agriculture Sector Model (ASM) is an economicmodel that simulates the behavior of consumers,producers, and traders involved in, respectively,consumption, production, and trading of agriculturalcommodities. The model has regional and national levelspatial characterization of the agriculture sector. Atregional level, it considers production and consumptionof the major agricultural crop and livestockcommodities, while at national level it considers importsand exports of these commodities. The model is usedto assess the impact of various policy or technologyalternatives on prices, production, consumption, inter-regional transportation, and trade of agriculturalproducts. The impacts are also assessed in terms ofrelative economic benefits to producers and consumers.The impact results are computed at the regional levelwith a reflection on the overall national level impact.Inter alia, the model has been used for the climatechange impact, the impact of carbon sequestrationprogram, and food security analysis. The utility of themodel was substantially extended in these studies bythe addition of stochastic elements that can be relatedto risk assessment and aversion. Recently a newfeature was added to ASM to further augment itscapabilities for food security analysis focusing theAfrican countries. The model was extended to includethe FAO methodology for quantifying food security interms of an index called 'Prevalence of Hunger' or 'Riskof Hunger.'

* Linking food security analysis with economic sectoranalysis

A prime objective of agricultural polices in thedeveloping countries is to achieve food security, yetthe concept has different connotations in the community

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of development researchers. Hunger, malnutrition,caloric deficit, insufficient access to food, low body massindex (BMI), stunting, and wasting are some of the termsused in describing the state of food insecurity. Use ofthese terms in the food policy literature is replete,however, without much substantive policy relevance.An extensive review was made on approaches forquantitatively measuring food security with a focus ontheir relevance to policy. The extensive review showedthat the FAO approach of computing risk of hunger notonly quantifies food insecurity, but also had strong policyrelevance.

Accordingly, an extension of the sector level economicmodels was done to include the FAO methodology inthe Mali Agriculture Sector Model (MASM). The modelwas used in a study on the impact of population, resourcedegradation, and new technologies on food security inMali by year 2015. The results show that even with thewider adoption of existing improved technologies in Mali,the risk of hunger in Mali may not decrease by year2015 from its current level of 32 percent. Hence,achieving the World Food Summit objective of reducingthe world hunger by half by year 2015 would requiresubstantially more efforts. These efforts may include amore concentrated effort on developing new cultivars,improved natural resource management, and anextension of cropland area.

The incorporation of the FAO methodology in the DSShas added a new dimension to DSS's capability for foodsecurity analysis. Also, in the process of integrating theFAO methodology with the DSS, the utility of themethodology was also enhanced by transforming it froma merely accounting procedure to the one tied to abehavioral and decision making framework.

* Methods for scaling economic and biophysicalproducts from farm to national levels

The key to scaling outputs of models, either economicor biophysical, is to establish a spatial sampling framethat provides a mechanism to capture the diversity ofproduction environments across a region and then scalethose responses proportionally within recognizedgeographical areas. Several methods were devised thatallowed area weighting of biophysical responses andhave been described in the section on spatial analysis.Scaling up or scaling down biophysical andenvironmental variables has been done in a geographicframework. Levels range from farm to simulation zoneto watersheds to national levels. At the current level of

our research, scaling these parts of the DSS has beenmore achievable than scaling economic dimensions.

It has been important, as noted elsewhere, to providelinkages between farm and sector level economicmodels since the outputs of each of these models isinfluenced by inputs from the other. However, thevariability in economic preferences among farmers andconsumers is quite immense and many of thecomplexities that dictate market (and non-market)outcomes are not completely contained within currentDSS modeling parameters. As this research continues,these important factors will be captured through entropytechniques allowing aggregation to varying scales ofinterest to better reflect economic consequences oftechnology and policy.

2h. Environmental Impact Analysis:

* Coupling crop mix projections and population drivenspatial models to assess water yield and soil erosion inthe Sondu River basin

The Sondu River, a major drainage area of Lake Victoria,was chosen to explore the environmental impact of landuse change and associated evolution of small holderdairy technology from 1978 to 1997. The basinpossesses a diversity of environmental types constitutingfour of the seven agro-ecological zones identified fordairy production in Kenya. These characteristics wereidentified when the watershed Capacity Building andInstitutionalization in Collaborating Institutions

* Application of modern communications technologyand innovations for distance education

In year 5 of the DSS project, the ability to employmodern distance education methods for use capacitybuilding in Mali and Kenya are being actively explored.Texas A&M is a recognized leader in the application oftechnology for real-time internet linked two-way videoand related capacity in managing other teaching anddata materials. Feasibility of its use in the targetcountries is paced by regulations, licensing, andavailability of what is expected to be relatively low costequipment. If this capability is not achieved underSANREM II, it may be developed in follow-on capacitybuilding projects with CILSS (Comite PermanentInterstats de Lutte Contre la Secheresse Dabs leSaheland) and LEWS.

* User-friendly access to the DSS through the use ofspreadsheet interfaces or meta models

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DSS has aimed at building models that are not onlysimple to use but also have a greater relevance to realworld issues. However, the sheer nature of the spatialand economic diversity that underlies the types ofprocesses that the DSS was tasked to replicate resultedin the construction of some fairly complex models. Forinstance, the Agriculture Sector Model (ASM) wastasked to simulate how a host of agriculturalcommodities are produced, consumed, and traded invarious regions of a country. The model's use requiressuch programming skills that are not often readilyavailable in the developing countries. To overcome thislimitation, the DSS was focused on developing a userfriendly approach for easing access to DSS tools. As afirst attempt, a spreadsheet based interface wasdeveloped for ASM.

This ASM spreadsheet interface does not requirespecialized programming skills beyond navigatingthrough an EXCEL spreadsheet, resulting in minimaltraining costs for host country institutions. The user canprovide input through spreadsheet on items such as cropyields, available cropland, and adoption rates forimproved cultivars. The output items include regionaland national level production and prices, and producer/consumer surplus. The interface works in four simplesteps. The user enters input in spreadsheet, the interfacesends this information to ASM code, runs the model,and brings results back into spreadsheet without havingthe user to ever see or change GAMS (GlobalAgricultural Sector Model) code. The first applicationof ASM interface is made for Mali ASM. Similarspreadsheet approaches will be developed for othermodels in the DSS during year 5.

2i. Application of Methodology Assessing Policyand Technology Options:

* Impact of small holder dairy technology - example ofUSAID research by an IARC (International Agricul-ture Research Centers)

* Economic and Environmental Impacts of Sorghum-Millet and Peanut technology - example of AID researchby U.S. universities (CRSP) - Impact of risk aversionon economic well being and food security of consum-ers and producers

* The impact of future population projections on fooddemand and technology requirements to maintain or en-hance food availability

* Alternative crop production strategies for avertingthe effects of and managing drought among smallholdersin West Africa

* Economic and environmental consequences of inten-sification and extensification of agricultural productionto meet future food demands

* Economic and environmental consequences crop andlivestock interactions in mixed farming systems

* Influence of climate change and alternative produc-tion systems on future risk of hunger

* Assessment of factors affecting adoption of technol-ogy in the Sikasso Region of Mali

* Global Decision Support System ñ incorporation ofnational and subregional data and models into the FAO-WAICENT (Food and Agriculture Organizations - WorldAgriculture Information Center) system

* Application of the Decision System for assessmentof the impact of the FAO Special Programme on FoodSecurity in Mali

* Cross cutting assessment of the application of theDSS in East and West Africa ñ geographic, socio-cul-tural, and economic comparisons and contrasts

3. Impacts

In summary, a highly innovative integrated set of mod-els and related databases has been developed and itsutility and usability demonstrated for application in Maliand Kenya. With additional support, the ability to usethese methods will be extended to other countries inSSA. Specific applications of the method have beenmade for highest priority policy issues identified by se-nior decision makers in these countries. Results of theseanalyses have direct and meaningful relevance to thedecision making process in these countries. The resultsobtained make direct contributions to the decision pro-cesses related to development of an improved standardof living, enhanced food security, improved health, naturalresource conservation, institutional and human capacitybuilding, and improved policy environment. Cadres ofanalysts and scientists in both Mali and Kenya are be-ing trained to use and apply the DSS in government andnational research institutes. All models and databaseseither have been or will be delivered in usable form bythe end of the fifth year.

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This project involved 12 specific applications of the DSSto quantitatively evaluate the impact of policy and tech-nology options identified by decision makers. Thesestudies were done to provide operational scenarios inwhich to develop the models. They also provided cred-ible demonstration of utility to decision makers. Theyhave direct implications on contemporary strategic is-sues for Mali and Kenya with direct application to de-cisions about food security, poverty reduction, and sus-tainable use of natural resources. The DSS methodol-ogy has been used to specifically evaluate both ex anteand ex poste impacts of technology and policy optionsand shown the quantitative impact of these alternativeson food security, poverty, and NRM. In addition, fur-ther studies have been conducted by collaborators out-side the SANREM project (see Training and Institu-tional Strengthening).

Absent support to continue these studies as proposedin SANREM III, Texas A&M is actively seeking alter-native funding to continue the process of capacity build-ing and mentoring for the use of the methods in bothEast and West Africa. For a more complete report onimpact, please see the full report at our web site formore detail. - http://cnrit.tamu.edu.

4. DisseminationThe process of dissemination or technology transferwas a fundamental part of the strategy and planning ofthis project. The priority of the commitment of the hostcountries to the World Food Summit and Convention toCombat Desertification and the linkages of thesecommitments to the activities in FAO provided an entreto key national decision makers to discuss methods toassess progress toward meeting their obligations assignatories to these and related internationalagreements. The Comite Permanent Interstats de LutteContre la Secheresse Dans le Sahel (CILSS) throughthe Institut du Sahel (INSAH) sought the developmentof the DSS for regional applications before SANREMII was initiated. Senior officials of the governments ofMali and Kenya were engaged to define their needsfor this kind of analytic tool. They were involved indeveloping the strategy, participating in the ongoingworkshops where methods and results were presented,in defining and evaluating the priority case studies doneto demonstrate the utility of the model, the commitmentof national resources to the collaboration and thesubsequent actions toward capacity building andinstitutionalization of the methodology.

The dissemination of results to "wider user communities"is intrinsic to this project and is described in detail inother parts of the report. Methods for scaling botheconomic and biophysical results are covered in detail.Methods for applying technology or policy optionsoutside the immediate environs where they aredeveloped are also described in detail elsewhere in thereport. We believe the effective linkage from farm tonational and multinational levels of scale is a majorcontribution to the goals of SANREM II that were statedby the sponsor. As a result of these efforts, we willhave in place by the end of year 5 the capacity andknow how to use the DSS at these multiple levels ofscale by a variety of different operators. Please seethe full report at our website for additional detail. For amore complete report on dissemination, please see thefull report at our web site for more detail. - http://cnrit.tamu.edu.


There have been three major workshops in Mali andthree in Kenya that have provided opportunity forexposure to the DSS for both national and regionalparticipants. Approximately 30-45 participants havebeen involved in each of the workshops. Regionalparticipants have included scientists and analysts fromadjacent countries as well as active participation bythe INSAH and AGRHYMET (West Africa RegionalCenter for Training and Application in Agriculture,Meteorology and Hydrology (a CILSS Organization)as part of the CILSS organization. The CILSS NRMpole has been provided briefings on the DSS as part ofthe awareness program that has led to the decision toapply the DSS more broadly in West Africa. Theseworkshops have also involved several NGO's that havebeen involved both as collaborators and as workshopparticipants. Consideration has been given to genderbalance in the workshop participants with an averageof 5-7 females actively participating in 30 personmeetings.

One Kenyan scientist and two Malian scientists havereceived intensive short term training at Texas A&Min the use of the models. These are among our mostinvolved collaborators. They are now actively engagedin planning and conducting capacity building programsin both Kenya and Mali that will last over a period ofabout six months during year five of the project. Thesenational level programs will provide training forinterdisciplinary teams comprised of economists,biologists, and GIS-natural resource scientists who will

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train together and later work together in the applicationof the DSS in both government and research institutions.We will train four teams of three persons in Mali duringthe period July 2002 to February 2003 with primarilyin-country programs and active use of internet-basedinstructional materials. We will train a team of 4 Kenyanscientists and analysts with an intensive one-monthprogram conducted at Texas A&M in the fall of 2002.

The DSS project has been engaged at the regional levelin West Africa for more than five years through theComite Permanent Interstats de Lutte Contre laSecheresse Dans le Sahel (CILSS), and its Institute duSahel (INSAH) and, to a lesser degree thus far, theRegional Centre de Agrometeorologie, et Hydrologie(AGRHYMET). Following a series of meetings withthe CILSS Secretariat over the last year, the methodswere presented to representatives of the CILSS nationsthat are involved in planning the implementation of theCILSS strategy at regional and national levels. Thismeeting, held in Dakar, Senegal in June 2002, ledparticipants to enthusiastically support use of the DSSin planning and evaluating the options involved inaddressing the key food security, poverty, and NRMuse issues at national and regional levels that areembodied in this strategy. They recognized the needfor substantial capacity building at both national andregional levels to enable the use of the DSS. A proposalhas been prepared for CILSS to request support toinitiate a comprehensive training program on the use ofthe DSS. This program will build on the experience indeveloping and using the DSS in Mali, which has servedas a pilot study for the broader regional application.Scientists from IER and their regional collaborators willbe trainers in the program, along with a continuing activeinvolvement of Texas A&M scientists that have beenpreviously involved in SANREM II.

Ph.D. degrees have been awarded to 5 internationalscientists who did their thesis work on the developmentof the decision support system. Three Master's levelpersons did their research on the DSS. A number ofother students are working on the DSS as they workon advanced degrees. Three of the Ph.D. students havereturned to their home country, one is now in apostdoctoral program and the third is a faculty memberat Iowa State University where he has recentlypublished an article in Science on Carbon Sequestration.


6a. Scientists and Collaborators:

The Texas A&M Center for Natural ResourceInformation Technology (CNRIT) is the institutionalhome for the Impact Assessment Group. This is thenexus of faculty, staff, and students that are involved inthe DSS from the U.S. side. Over the duration of theproject, an average of 7 senior faculty have beeninvolved in the project. Most of these have beenengaged in the ongoing work of the project, others havesupervised graduate students and research associatesthat have been more directly involved. An average ofabout 6 graduate student research associates have beeninvolved part time in the project over the five years.There has been a substantial turnover in both facultyand students during the project. CNRIT providesconnections to the broader resources of the TAMUS,many of whom have contributed to the project. Thenumber of host country scientists involved in the projecthas varied with time. A core group of 2 to 4 scientistswere involved part time in Mali and the same numberin Kenya on a more or less continuous. These colleagueswere augmented with other collaborators from both thegovernment and national research institutes as fieldstudies and related analysis were performed. Theseamount to between 6 and 8 colleagues. The IAG(Impact Assessment Group) and the core host countrycollaborators were involved in all aspects of the project.The colleagues who participated in specific parts ofthe project were involved in planning, conducting, andanalyzing results from these studies. All have beeninvolved in the relevant workshops. Overall resourceallocation has been mainly done by the IAG members.Host country collaborators were actively involved inplanning and using the resources allocated for in-country research. There has been active collaborationwith the Malian based participants in the INTSORMILand Peanut CRSP's in conducting the case studies ofthe impact of their research in the early part of thisproject.

6b. National Governments:

National governments from the Offices of the President,through the Permanent Secretaries of the relevantMinistries, to the directors and staff involved in analysisand line functions in the Ministries have been activelyinvolved in planning and evaluation of the project

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methods and applications. Analysts and line officerswithin the action agencies have participated inexperimental design, conduct of research, evaluationof results and communication with senior officials onoutcomes.

6c. Non-Governmental Organizations:

NGO's in Mali, such as the World Food Programmeand the Sasakawa Global 2000 project were activelyinvolved in the ongoing workshops and offered usefuladvice on approaches for methods and scope ofapplication studies. The Kenya Institute for PublicPolicy Research and Analysis (KIPPRA) is a para-governmental organization that is related to the Ministryof Finance and Planning. Engagement with this groupis providing a mechanism for institutionalizing the DSSin a stable environment for the future.

6d. International Agricultural Research Centers:

The International Livestock Research Institute was anactive collaborator in an early application of the DSSto evaluate the impact of smallholder dairy technologyin Kenya. An informal collaboration continues withILRI (International Livestock Research Institute) andthey provide substantial logistical support for theactivities of this group. ICRISAT has an activeinvolvement with the Mali IER in the area of spatialanalysis and GIS research. This project hascollaborated with ICRISAT at the Sotuba location onthe development of the models and acquisition of severalimportant databases for the DSS.

6e. U.S. Based Public and Private Sector Partners:

The general area of research embodied in the DSSproject is supported substantially by federal and statefunds in the U.S. These are noted under the section ofthis report on leveraging. There has not been directinvolvement with private sector partners from the U.S.

6f. Host Country Private and Public Sector Partners:

The Malian CMDT, a para-governmental organizationthat functions as a cooperative for cotton farmers inthe Sikasso region has been an active collaborator inthe Sikasso study, providing village and farm level dataon production yields, costs and prices and expert opinionof factors affecting adoption. They anticipate usingthe DSS methods in their business.

7. Leveraged Funding External to USAID*

Texas Agricultural Experiment Station $200,000

WSSD $48,000

Rockefeller Foundation $67,000

USDA NRCS $200,000

Total (2 years) $515,000

*Years 4 and 5 only

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Figure 1. Creation a of simulation zones for the spatial sampling frame in the Sikasso Region of Mali.

Climate Soils Population

Ten ì Bestî Simulation Zones

Climate Soils PopulationClimate Soils Population

Ten ì Bestî Simulation Zones

Farm

Data Entry and Summary

Farm

Data Entry and Summary Cluster

Analysis

With 4 Variables:Bullocks,Cropland,Cotton ha,Cereal ha

SubsistenceFarms

SmallFarms

Medium Farms

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ClusterAnalysis


ClusterAnalysis


SubsistenceFarms

SmallFarms

Medium Farms

LargeFarms

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Farm

Data Entry and Summary Cluster

Analysis


SubsistenceFarms

SmallFarms

Medium Farms

LargeFarms

ClusterAnalysis


ClusterAnalysis


SubsistenceFarms

SmallFarms

Medium Farms

LargeFarms

Survey Dataset

Figure 2. General framework for determining farm typology using a cluster analysis of the farm survey data collected during the rapid appraisal survey in the Sikasso region of Mali.

Ten 'Best' Simulation Zones

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Figure 3. A representation of how the simulation zones are used for aggregating biophysical model yields for the sector model.

Weather simulation

Simulation Zone 47:Climate Cluster = 37Soil/Veg TC5 =45%Soil/Veg PL9 =20%Soil/Veg TC4 =15%Soil/Veg PL11 =10%Cropland = 50 haRangeland = 209 ha

BiophysicalModel Runs

FarmManagement

Profile

Yields by Soil/Vegetation Type

Yield Aggregated up to Polygon Level

Yield Aggregated up to Sector Level

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Weather simulation

Simulation Zone 47:Climate Cluster = 37Soil/Veg TC5 =45%Soil/Veg PL9 =20%Soil/Veg TC4 =15%Soil/Veg PL11 =10%Cropland = 50 haRangeland = 209 ha

BiophysicalModel Runs

FarmManagement

Profile

Yields by Soil/Vegetation Type

Yield Aggregated up to Polygon Level

Yield Aggregated up to Sector Level

Simulation Zone Polygons

Figure 4. Conceptual framework for using satellite climate data to drive biophysical models whose output is then used to produce regional maps of forage production.

Climate Imagery

PHYGROWModel Servers

GeostatisticalAnalysis

NDVI Imagery

Regional ForageMaps

MinTemperature

Max Temperature

Rainfall

Climate Imagery

PHYGROWModel Servers

GeostatisticalAnalysis

NDVI Imagery

Regional ForageMaps

MinTemperature

Max Temperature

Rainfall

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Figure 5. Distribution of site characterization points used to classify land cover types by agro-ecological zone within the Sondu River Basin to support SWAT model analysis of water yield and erosion loading.

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Collaborative Research Support Program Annual ReportFunded by the U.S. Agency for International Development (USAID) DSS-20

Project Management PrincipalInvestigatorNeville Clarke

OBJECTIVE 1Provide a central focal point for scientific andadministrative functions of the project.

Annual AchievementsSince this project was not selected for continu-ation in SANREM III, even greater efforts thanoriginally planned are being made to ensure thatusable products are delivered. We are commit-ted to delivering these products, but we will nothave the opportunity to continue the engage-ment with national partners that would beneeded to more fully ensure the long term in-corporation of the DSS methodology into local,national and regional level decision-making. Weare continuing to seek other funds to help bridgethis gap. There are no known managementproblems requiring attention of the ManagementEntity.

The CILSS has agreed to employ the DSS inthe development and evaluation of implemen-tation plans for their new five-year strategy atregional and national levels. Representatives ofmember nations of CILSS participated in aworkshop in June 2002 to gain consensus andcommitment on the use of the DSS and begincapacity building in the use of the system. CILSShas agreed to take the lead on submitting a jointproposal for funding of a three year capacitybuilding effort for member nations.

Applications of the integrated suite of modelsto user-driven case studies have been com-pleted in Mali and are underway in Kenya.Details of these achievements are provided inthe following activity reports. Significantprogress has been made in linking economic,environmental, and biophysical models; these

results are also fiven in more detail in thefollowing activity reports.

Plans for incorporating the DSS databasesand models in the FAO-WAICENT (WorldAgriculture Information Center) websitewere finalized. Although our specific obli-gations will be met by the end of year 5,the longer term goal of extending the workof our group in East and West Africa to aglobal system will not be fully achieved.Other Major Outputs in this Period

Advances

in Research - The models comprising theDSS have been linked together andmetamodels have been used to facilitateand simplify these linkages. Relevantlegacy databases for these studies arebeing organized for access through theSANREM and CNRIT websites.Progress has been good on developingspreadsheet portals for less experiencedusers to access and use the DSS. Thecross cutting lessons learned synthesisawaits the completion of the Rift Valleystudies in December 2002. It is expectedthat the contrast between East and WestAfrica will reveal show the interplaybetween ecological, social, and economicfactors affecting the adoption and use oftechnology and policy in meeting futureneeds for sustainable methods to meetfood security goals. The comparison ofdevelopment and application of methodsthat can be seen from preliminary analysispoints toward a final DSS product that willhave broad geographic and politicalapplications at multiple levels of scale.

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Other Major Outputs in thisPeriod

Conference PresentationsClarke, N. P. 2001. Relationships Between theGlobal Decision Support System and RegionalProjects: SANREM II - A Conceptual Framework.Research Synthesis Conference, SANREM, Athens,GA. November 28-30.

Workshops

Clarke, N. and J. Stuth. 2002. Introduction,Overview and Experimental Design. DecisionSupport Systems for West Africa: An Examination ofIssues, Policies, and Alternatives for Food Securityand Natural Resource Management.

Stuth, J. 2002. Introduction to the DecisionSupport System. Decision Support Systems for WestAfrica: Methodology for Issues, Policies andAlternatives for Food Security and Natural ResourceManagement.


Kristen Zander, Ph.D. 2000-

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Global Level Analysis Principal InvestigatorBruce McCarl

Co-PrincipalInvestigatorJerry Stuth

OBJECTIVE 1Expand and apply Global Agricultural SectorModel (GASM) to development of nationaland regional impact assessment methods link-ing economic and natural resource manage-ment goals.

Annual AchievementsMajor forces such as trade, population, cli-mate change and greenhouse gas mitigationare likely to affect both domestic and globalmarkets. This activity integrates the trends inglobal and domestic food markets. GASM,covering world markets for 8 different foodcrops, feeds price information to nationalASM's and allows analysis of the implicationsof environmental based policies both domes-tically and internationally. Recently, GASM hasbeen used for impact assessment studies con-ducted in US. Global Climate Change, El NinoSouthern Oscillation events, and cost and foodsecurity implications of net greenhouse gasemission mitigation among other areas of im-pact assessment. The overall GASM projectis partially funded by SANREM but is lever-aged with USDA, EPA, and DOE funds. Inthe year 2001-2002, a number of studies werecompleted that have direct or indirect rel-evance to the SANREM objective. Highlightsof the studies completed this year are:

1. A study on economic and food security im-plications of climate change in Mali was com-pleted this year. The economic losses may bein the range of 1 to 3 percent of Mali's na-tional income (GDP), while the risk of hungermay fall in the range of 42 to 49 percent ofthe Malian population as compared to 32 per-cent presently (for details see Objective 1 ofDSS-21). In this study, GASM was used to

provide cost of food imports for Mali in theevent of climate change.

2. Work was concluded on the effect ofclimate change on pesticide expenditureswhere future climate projections werefound to cause significant increases in ex-penditures.

3. Work was carried out on the portfolio ofagricultural greenhouse gas mitigation al-ternatives with soils, biofuels and affores-tation being the most important strategies.An article in Science is forthcoming.

OBJECTIVE 2Use DSS methods to expand the ability tointerpret satellite imagery for decision-mak-ing at national, regional and global levels.

Annual AchievementsPredicting Forage Availability UsingSatellite Imagery:

The Normalized Difference VegetationIndex (NDVI), which is derived from sat-ellite imagery, and rainfall estimates wasused to determine the extent to which sat-ellite derived information could be used toproject PHYGROW simulated forage pro-duction during specific intervals of varyingrainfall. A statistical method called co-kriging was used for this analysis. It in-volves using the weighted linear averageof the sampled or simulated points alongwith spatially rich satellite data to estimateforage production in unsampled areas. Forthis to work efficiently, the satellite datasample points. (NDVI or gridded rainfalldata) has to be correlated with the forageproduction at the sample points.

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The PHYGROW simulation model was used to derivethe total forage available for cattle at each of 30 simu-lation points in Kenya. Rainfall data used in the simula-tions was extracted from the NOAA daily rainfall esti-mate archive fttp://ftp.ncep.noaa.gov/pub/cpc/fews/archive_daily_est/ for each simulation point. The NOAArainfall estimates are derived daily for a large portion ofAfrica using an algorithm that combines METEOSAT7 cold cloud duration data, weather station data, rela-tive humidity and wind data (Herman et al. 1998). Thetotal forage available output was then co-kriged withNDVI data to generate an interpolated surface map offorage production. The resulting interpolated surfacedid a good job of predicting total forage available forthe simulation points. The cross-validation regressionshowed a very reasonable correspondence betweenestimated total forage available and the simulated totalforage available for the household points (r2=0.87, SEprediction=249 kg/ha). Co-kriging using NDVI showspromise in creating mapped surfaces of available for-age for regions where limited numbers of points can besimulated due to economic and computing constraints.A time series of these maps clearly shows areas thatmay be susceptible to low forage conditions due todrought and spatially defines states of nature relative tograzing land capacity. For the study area in Kenya, thedrought of 2000 entered the zone in May 2000 and pro-gressed from the northwest, pushing southward andeastward through the zone. There was little evidenceof pockets of drought other than in the extreme west-ern portion of the zone. These maps tracked what wasobserved in the region.

Linkages with EROS Data Center:

Ccommunications have continued with EROS on usingland use and land cover data to help develop virtuallandscape modeling environments based on NDVI andLANDSAT (satellite used to acquire images of theEarth) 7 data. To date, our principle efforts have beenon linking point-based models of forage production anddiet quality from fecal samples to extrapolate responsesacross regions. We have also made linkages with keypersonnel at the NOAA Climate Prediction Center tocreate our FEWS NET weather data server.

Ghana NDVI and NIRS Fecal Profiling:

For the past 11 months, a Ph.D. student has been col-lecting geo-referenced fecal samples from a stratifiedset of pastoral and agro-pastoral households through-out the rangeland regions of the northern two-thirds of

Ghana in a zone similar to the Sikasso region in Mali. Acompleted East and West Africa calibration set has beendeveloped. Testing of co-kriging NDVI and geo-refer-enced fecal samples is currently underway to deter-mine if regional level diet quality values can be derivedspatially to better serve the sector analysis conductedin West Africa.

Acquisition of Global Database on Climate Surfaces:

The ACT team, in collaboration with CIMMYT (Inter-national Maize and Wheat Improvement Center), re-cently acquired a global database of monthly climatesurfaces. These surfaces, produced by the Climate Re-search Unit of Norwich University (UK) under con-tract from IWMI (International Water Management In-stitute), offer a low-resolution look at the entire globe.The climate surface models can be exercised over thewhole of these global databases providing the IAG afirst look at global extrapolation zones. Two global soilsdatabases have also been recently acquired. These da-tabases will provide a representative soil pedon for allterrestrial areas on the planet. These foundation data-bases will be available and useful for all subsequentmodel development efforts.

OBJECTIVE 3Expand and apply impact assessment methods for im-proving the capability of international organizations tomonitor the status and progress toward achieving thegoals of conventions and treaties dealing with food, ag-riculture, and natural resources.

Annual AchievementsIn the early planning of this project, FAO projected theestablishment of explicit national level efforts to assessthe status of food insecurity and vulnerability and todevelop strategies of intervention needed to achieve theWFS goal of reducing hunger by 50% in the year 2015.A food insecurity and vulnerability information mappingsystem (FIVIMS) was envisioned, beginning at nationallevels and being aggregated to the global level. One ofthe targets of application of the DSS is to support theFIVIMS efforts in Mali and Kenya. While the detailsof the FAO initiative have not fully emerged in Mali andKenya, the general goals of nations that are signatoriesto the WFS are in place. The DSS is achieving its goalof providing methods to national and regional decisionmakers for assessing the impact of alternative policiesand technology applications for achieving the goals ofthe WFS, inter alia. In addition, this project has pro-vided a number of user-driven case studies which ap-

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ply the DSS methodology to high priority contemporaryissues in Mali and Kenya. The DSS and its illustrativecase studies are being provided to FAO-FIVIMS forfuture use.

UNCCD:

The climate change investigations reported on underthe first objective above are relevant to efforts underthe United Nations Framework Convention on ClimateChange. GASM has been used in this and associatedprojects to project the impact of climate change, ELNino Southern Oscillation events and climate changemitigation on food availability and cost in the U.S. andother parts of the world. Other efforts were also pur-sued in the climate change arena examiningsustainability issues with respect to climate change andpests, variability and environmental protection and inanalyzing economic consequences of climate changemitigation strategies

Because potential users have different levels of experi-ence with models in the DSS, it is necessary to pre-package the more complex models and provide differ-ent access mechanisms for various stakeholders. Re-search was completed on development of the conceptof a common modeling environment that allows inte-gration of pre-parameterized models in a web-basedenvironment without modifying the models. This is basedon "middleware" concept that links those stabilized mod-els to a "console" that allows access to them. The con-cept has been successfully tested using the PHYGROWmodel. Graphics tools have been improved and newfunctionality has been added to the middleware lan-guage. Tests of several public source middleware toolcreated with PHYTHON has allowed us to demon-strate that this powerful web-based language can beused to deliver active models and access databases di-rectly over the internet with relative ease. Working withthe NGO's RANET and Arid Lands Information Net-work, we were able to establish the ability to transferinformation via the African Learning Channel usingWorldspace Satellite Radios linked with inexpensivepersonal computers and a serial adaptor. These sys-tems can move up to 20 mb files in less than 15 minutesat pre-scheduled times. The same information as con-tained at the web site can be delivered via these "con-tainers". Research continues on developing simple toolssuch as embedded metamodels and spreadsheet link-ages between user input and the complex models usingthe metamodeling approach. The metamodels can takecomplex model output and create empirical formulas of

the relationship of crop type, germplasm, fallowing pe-riod, soil type, plant available N, soil carbon level andmanagement practices. This allows users to select com-binations and predict crop yield. These simple modelswill be delivered on the web and over the WorldSpaceSatellite Radios.

PublicationsJournal Articles

Chen, C. and B. McCarl. 2001. Pesticide Usage asInfluenced by Climate: A Statistical InvestigationClimatic Change, 50: 475-487

Irland, L., D. Adams, R. Alig, C. Betz, C. Chen, M.Hutchins, B. McCarl, K. Skog and B. Sohngen. 2001.Assessing socioeconomic impacts of climatechange on U.S. forests, wood-product marketsand forest recreation. BioScience.

Marland, G., B. McCarl and U. Schneider. 2001. SoilCarbon: Policy and Economics. Climatic Change.51(1): 101-117.

McCarl B. and U. Schneider 2001. The Cost ofGreenhouse Gas Mitigation in U.S. Agricultureand Forestry. Science.


Angerer, J., J. Stuth, F. Wandera, and R. Kaitho.2001. Use of Satellite-Derived Data to ImproveBiophysical Model Output: An Example fromSouthern Kenya. Research Synthesis Conference,SANREM, Athens, GA. November 28-30.


Tanveer Butt, Ph.D. 2000-Jay Angerer, Ph.D. 2000-

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Development of Economic Models PrincipalInvestigatorBobby Eddleman

Co-PrincipalInvestigatorBruce McCarl

OBJECTIVE 1Adapt, extend, or create economic models tobe linked with biophysical and environmentalmodels in the DSS to provide quantitative es-timates of the impact of alternative policyoptions or technology introductions in the ag-riculture of developing countries

Annual AchievementsYear four research in this project has re-sponded to EEP recommendations throughproviding increased connectivity between theeconomic and biophysical models. At the farmlevel, an environmental component was addedto the FLAM farm model. This captures theconsequences of farmers' land use decisionswhen "non-green friendly" practices areadopted in lieu of new technology in terms oflong-term changes in both crop and forageproduction. Yield estimates for the host offarming practices utilized in the analysis werederived from biophysical models EPIC andPHYGROW through the use of meta-func-tions. Model results were used as part of twoSikasso case studies, and were presented atthe SANREM Research Conference and ata DSS workshop in Bamako. The analysisconfirmed the observed propensity for landclearing that exists in the Sikasso region, andprovides our research with a more completetreatment of the factors that affect the adop-tion of new technology. The climate changeimpact study was completed for Mali. Theimpact of climate change was serious both interms of lost economic welfare and increasesin the risk of hunger. The economic lossesmay be in the range of 1 to 3 percent of Mali'snational income (GDP), while the risk of hun-ger may fall in the range of 42 to 49 percentof the Malian population as compared to 32

percent presently. The study also consid-ered a set of economic and technologicaladaptations to climate change. The resultsshowed that changes in regional croppingpattern, changes in trade, and developingheat resistant varieties were among theeffective adaptations to climate change.Farm level adaptation would be less effec-tive in mitigating the adverse impact of cli-mate change. The study integrated the IAGbiophysical and economic models (local andglobal). The models used in this researchwere Mali Agriculture Sector Model(MASM), Global ASM, PHYGROW,NUTBAL (Nutritional Balance AnalyzerProgram), and SWAN (Soil, Water, Air, andNutrition System). In terms of methodologi-cal development, MASM was extended toinclude the FAO methodology for estimat-ing risk of hunger (ROH) in a country. Inthis process, the utility of the FAO approachwas also enhanced as ROH methodologywas integrated in a policy analysis frame-work enabling an ex-ante analysis of foodsecurity, contrast to its ex-post use by theFAO. Also, the ROH estimates are avail-able at sub-national levels compared to na-tional level estimates provided by the FAO.The Malian and Kenyan ASM models havebeen updated to provide a more recentbaseline data, shifting the reference yearforward in time from 1996 to 1999.

OBJECTIVE 2Develop linkages between economic mod-els at varying levels of scale to improve theability to forecast impact of technology in-troductions in the agriculture of developingcountries.

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Annual AchievementsThe project has de-emphasized the use of farm simula-tion models (FLIPSIM) in favor of behavior oriented,farm programming models (FLAM). The FLAM ap-proach was found, by TAMU (Texas A&M Univer-sity) and its' Malian counterparts, more appropriate forthe developing country context (see Objective 4 below)since it increased the kinds of questions that were ad-dressed in the case studies, and gave model users aclearer view of happenings within a typical farming unit.A co-benefit of this shift in emphasis has been the in-creased connectivity between the farm level (FLAM)and national level analyses (ASM). The software ver-sions of FLAM and ASM share the same computerlanguage (GAMS), and analytically both FLAM andASM contain common equations and variables. For thisproject, the most relevant intersection between themodels is market prices. In year four, ASM has pro-vided FLAM with information on future food and com-modity prices that include the response to populationchange, new technology introduction, and land extensi-fication. Additional data from ASM were also used asFLAM input, including labor costs, organic fertilizerprices, and natural resource availability. The ASM priceestimates were then used in the farm models to esti-mate the impacts of the policy and technology scenarioson farm households. The impacts included changes infarm income, household food security, caloric intake,implicit resource costs, and labor usage (see the SikassoCase studies). Another area in which improved link-ages are being forged between farm and national levelanalyses is in factors that affect technology adoption.Field surveys were conducted to collect data on factorsconsidered to be associated with farmer's adoption ofnew technology. Logit and Tobit models have been con-structed to test hypotheses on which factors are signifi-cant determinants of new technology adoption. ASMhas been modified to accept the results of the adoptionsurvey, improving upon earlier studies that relied uponexpert opinion regarding adoption rates.

OBJECTIVE 3Continue to add the risk dimension to economic modelsat varying levels of scale to assist decision-makers inthe evaluation of policy and technology options.

Annual AchievementsThe rapid and intensive field studies of farm house-holds in Sikasso were used to characterize the types ofrisk confronting farmers of various types within the study

zone, to determine the different levels of risk exposureamong different farm types, and to assess the range ofoptions that farmers have at their disposal to mitigaterisk. The farm budgets collected in the surveys quanti-fied the production, or yield, type of risk that farmersface. The studies confirmed a second source of riskrelated to food security. Both forms of risk have beenintroduced to the models at various levels of scale. Atthe farm level, the yield and food security risk compo-nents have been added to FLAM. A major revision ofrisk was made to the component in the Mali AgricultureSector Model (MASM) in order to lend a greater policyrelevance to the climate change impact study (see Ob-jective 1) and the year 2015 study (see Objective 5).The earlier risk component of MASM was based on acomplex mix of mean and variance of rainfall over theperiod 1922-1993, and was based on research workdone at Purdue University (Coulibaly). The evidencefrom historical weather data shows that rainfall vari-ability has considerably changed in Mali since the earlysixties, hence the pre-1960 period loses its reference tothe current rainfall variability in Mali. Under the newrisk component, the last 12 years of weather, in theform of past 12 years yield history, were included. Theincorporation of yearly yield rather than state of naturedependent yields to model weather related risk has atleast two other advantages. First, it can be argued thatfarmers' perception of an array of expected weatherevents may be influenced more by what they observedin recent past rather than by a complex mix of meanand variance of rainfall observed over an extended pe-riod of time (1922-93) as previously modeled. Hence,farmers' area allocation decisions may be better simu-lated by modeling weather history in the recent past.Second, communicating the model results to the deci-sion-makers requires a substantial context building whenrisk outcomes are formed on the basis of a complexmix of mean and variance of rainfall. Such context build-ing often leads to decision-makers' disregard to modelresults. In contrast, the yearly yield history agrees withthe decision-maker's own perception of weather relatedrisk. For example, under the new structure, the modelcan address decision-makers questions like "what if 1987weather is repeated"? This component of risk modelingwill guide the future IAG risk modeling pursuits.

OBJECTIVE 4Evaluate trade-offs between sophistication and qualityof output versus simplicity and ease of use of economicmodels in the developing world.

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Annual AchievementsExperiences with the FLAM model over the past yearhave served an important role in the model evaluationprocess. Since both TAMU and its Malian counterpartsfound FLAM to be simpler to use, more realistic in termsof its output, and less computationally demanding, thereresulted a move away from the previous simulation ori-ented model (FLIPSIM) and to the behavior orientedmodel FLAM. TAMU's Malian counterparts have spenttime evaluating a spreadsheet version of ASM. Althoughnot as flexible as the source code version of ASM, theMalian counterparts found an acceptable degree oftrade-off between increased accessibility and reducedflexibility. The spreadsheet version was also well re-ceived at the February 2002 Bamako workshop wherenumerous workshop participants expressed interest inobtaining copies of the ASM spreadsheet

OBJECTIVE 5Use economic models as part of the GDSS (GlobalDecision Support System) suite in implementing the Maliand Kenya Pilot FIVIMS - GTOS (Food Insecurity andVulnerability Mapping Information System - Global Ter-restrial Observing System) Studies by evaluating sce-narios deemed relevant by national decision-makers.

Annual AchievementsThis section deals with the economic component of theoverall assessments or case studies reported in DSS-25. These were conducted under joint sponsorship bythe Africa Bureau and SANREM. In Mali, the threeSikasso case studies were completed: 1) Impact of In-tensification of Cropping Systems; 2) Development ofa Decision Matrix for Managing Drought; and 3) Eco-nomic and Environmental Consequences of Options forLand and Livestock Management Strategies. The casestudies were presented at the February 2002 BamakoWorkshop. In Kenya, the databases for the case stud-ies have been completed, and model updates have beencompleted. Current evaluations are being made on howthe DSS can be employed to address the marketing is-sues of concern in both East and West Africa. The FoodInsecurity and Vulnerability Mapping Information Sys-tem (FIVIMS), a product of the World Food Summit(WFS), is intended to monitor progress towards reduc-ing hunger by 50 percent in the year 2015. Both theMali ASM and Kenya ASM were used to examine ge-neric technology and policy interventions to attain foodaffordability and availability in 2015 under the FIVIMSpilot study in each country. An extensive review wasmade of the available approaches towards quantifying

the extent of food insecurity in a country. The reviewsuggested that the FAO methodology of estimate riskof hunger (ROH), the percentage of population that isundernourished, as an approach that not only can bequantitatively estimated with secondary data, but alsohas a strong policy relevance as it is based on the avail-ability of food supplies in a country. The methodologyof estimating was incorporated in to the economic model.The first application of DSS use for measuring theprogress towards the 2015 objective was made in theMalian context by taking a holistic view of the issue offood insecurity using an integrated assessment approach.The IAG economic and biophysical models were used.The biophysical models were used to project the bio-physical environment in the crop and livestock sectorsby 2015. The economic models were used to determineeconomic and food security implications of changes inthe biophysical environment, the adoption of new tech-nologies, and population growth. The results show thatwithout the improved technologies the risk of hunger inMali may increase from its present level of 32 percentto 36 percent by 2015 with a considerably higher de-pendence on food imports. With new technologies, notonly the risk of hunger stays close to the current levelbut also the dependence on imports is lower. The re-sults show that achieving the 2015 objective for Malimay not be realized unless technologies in addition tothose considered in this study are developed and madeavailable to farmers. The models used in this researchwere Mali Agriculture Sector Model (MASM), PHY-GROW, NUTBAL, and SWAN.


Angerer, J. and J. Vitale. 2002. Farm LevelEconomic Model (FLAM). Decision SupportSystems for West Africa: Methodology for Issues,Policies, and Alternatives for Food Security andNatural Resource Management in the Sikasso Regionof Mali.

Angerer, J. and J. Vitale. 2002. Farm Surveys in theSikasso Region. Decision Support Systems for WestAfrica: An Examination of Issues, Policies andAlternatives for Food Security and Natural ResourceManagement in the Sikasso Region of Mali.

Butt, T., C. Chen, B. Eddleman, A. Kergna, B.McCarl, and J.Vitale. 2001. Risk Consideration inSectoral Analysis of the Adoption of ImprovedTechnology: A case study involving Sorghum and

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Pearl Millet in Mali. Research SynthesisConference,SANREM, Athens, GA. November 28-30.

Eddleman, B., A. Kergna, J. Vitale, B. McCarl, C.Chen, and P. Dyke. 2001. Economic andEnvironmental Impact of Improved Sorghum andMillet Technology in Mali. Research SynthesisConference, SANREM, Athens, GA. November 28-30.

Kaitho, R., B. Eddleman, C. Chen, B. McCarl, J.Angerer, and J. Stuth 2001. Policy And TechnologyOptions For Dairy Systems In East Africa:Economic And Environmental Assessment.Research Synthesis Conference, SANREM, Athens,GA. November 28-30.

Vitale, J. and R. Woodward. 2001. Promoting MoreSustainable Land Use in the Semi-Arid TropicsThrough Improved Market Infrastructure: AMalian Case Study. Research SynthesisConference, SANREM, Athens, GA. November 28-30.

Vitale, J., J. Stuth, P. Dyke, and J. Angerer. 2002.Integration of Farm Level Crop and LivestockModels. Decision Support Systems for West Africa:Methodology for Issues, Policies, and Alternatives forFood Security and Natural Resource Management.

Workshops

Butt, T. 2002. Mali Agricultural Sector Model.Decision Support Systems for West Africa: AnExamination Of Issues, Policies, and Alternatives forFood Security and Natural Resource Management inthe Sikasso Region of Mali.

Vitale, J. 2002. Impact of Risk at the Farm Level -Alternative Drought Management Strategies in theSemi-Arid Areas (Segou). Decision Support Systemsfor West Africa: An Examination Of Issues, Policies,and Alternatives for Food Security and NaturalResource Management in the Sikasso Region ofMali.

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Principal InvestigatorJerry Stuth

Co-Principal InvestigatorJay Angerer

Development of Biophysical and EnvironmentalModels

OBJECTIVE 1Develop and demonstrate the utility of bio-physical models to estimate performance ofcrop and livestock species under developingcountry conditions.

Annual AchievementsThe research on intensification andextensification of agricultural technologieswas completed in the Sikasso Region of Maliand is in progress for the Rift Valley regionof Kenya. Methods to improve the utility andusability of the forage and crop models weredeveloped including the creation of produc-tion and environmental metamodels that canbe directly embedded in the economic mod-els using the GAMS scripting language. Theresponse variables used in the metamodelsallowed the characterization of soils and veg-etation conditions associated with the deg-radation of cropland and grazing land. Theability to allow feedback on environmentalresponse from economic analysis greatly en-hanced the responsiveness of the models toboth economic and natural resource pro-cesses.

We have started the process of organizingtabular and spatial databases used in the ar-ray of simulation models in a manner thatcan be accessed externally via the internetby such organizations as the FAO-WAICENT Network and our many in-coun-try partners and regional organizations, suchas AGRHYMET in West Africa. A methodfor using the WxGEN weather generatordriven by coefficients that were statisticallyderived from long-term WMO weather sta-tion data was developed. This allowed us tocreate a geo-corrected weather data set to

build a robust array of simulations, thus pro-viding the basis for creating metamodels forestimating production and environmental re-sponses across agroecological zones in Westand East Africa. These spatially coherentweather data sets were used to develop cropand rangeland yield responses for a wide va-riety of crops, management inputs, and landtypes in both Mali and Kenya.

A suite of technologies identified in stake-holder workshops held in Bamako was pa-rameterized in the SWAN model with anarray of planting dates, germplasm, fertilizerlevels, fallowing periods and managementinputs by major slope position (soil type) forthe entire Sikasso region. A matrix of yieldestimates derived from 50-year generatedweather profiles were integrated into theGAMS modeling environment for both thefarm level analysis model (FLAM) and theagricultural sector model (ASM) used in theDSS-22 section.

Animal production systems in each of theprovinces of Mali were profiled in NUTBALPRO and resulting protein and energy re-quirements, milk production, and dry matterintake were inserted into the FLAM andASM models. An updated LANDEMANDprogram was adapted to Malian conditionsallowing calibration of ASM's livestock popu-lations and projections of supporting grazinglands in each province. Three levels of range-land degradation were defined for each ofthe major soils found throughout the Sikassoregion and 20-year historical weather pro-files were run for each complex plant com-munity. These communities represent thevarying levels of loss in major trees to fuelwood harvesting and perennial bunchgrass

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loss due to overgrazing. Mid- and max-degradation rep-resentation of the communities were expressed in termsof increasing unpalatable shrubs and annual grasses.

Mid-degradation resulted in approximately a 1200 kg/ha reduction (12%) in forage for cattle, sheep and goatswhile maximum degradation resulted in approximately4200 kg/ha reduction (40%) in capacity. Crop yieldanalysis indicates that nitrogen management issues aremasking the yield potential of crops in years where thereis more than 900 mm per year of rainfall. When rainfallexceeds 1100 mm per year, yields are suppressed with-out added fertilizer levels. Carbon loss was substantial.The SWAN modeling is providing a new perspective oncarbon: nitrogen dynamics of the Sikasso region.

OBJECTIVE 2Further develop and apply watershed models to assess-ment of environmental and economic impact of alter-native policies and technologies.

Annual AchievementsImpending dam construction on the Sondu river makesthis a questionable site for further study at this time. Inyear 4 the intent was to investigate alternative basins ina pilot study that would possibly carry over intoSANREM III. Given that TAMU will not be involvedin SANREM III, we elected not to pursue this furtherin the present effort. We are directing our efforts toother directly related activities in the Rift Valley and didnot pursue the analysis of another watershed in year 4.

OBJECTIVE 3Develop and use improved indicators of land and waterdegradation as a function of agricultural practices in-volving intensification and extensification of production

Annual AchievementsThe case studies selected for detailed analysis in theSikasso region of Mali and the Rift Valley in Kenyainclude assessment of the consequences of both inten-sification of production practices on existing highly pro-ductive land and the breaking out of new (often mar-ginal) lands for crops in these areas. In Mali, communallands offer substantial diversity in choice of practices.The case studies to model these approaches were care-fully defined with stakeholder workshops. With a com-bination of the 1:250,000 PIRT soils of Sikasso, a cli-matic cluster analysis of weather patterns of the regionand the EROS NDVI (Earth Resources ObservationSystem - Normalized Difference Vegetation Index)based crop use intensity analysis, we were able to

stratify the entire Sikasso region into virtual landscapeswithin simulation zones (climate-soil combinations) toinvestigate area weighted responses of crop and for-age production and environmental processes such aserosion, carbon loss, runoff and deep drainage of theregion.

Publications

Book Chapters

Roberts, C, J. Stuth, P. Flinn. 2002. (in press).Analysis of forage and feedstuff. NIRSApplications in Agriculture, AAAS Press.

Stuth, J, J. Angerer, R. Kaitho, A. Jama, R.Marambii. 2002. Strategies for monitoring forageproduction as an indicator of agriculturaldrought. In: Agricultural Drought MonitoringStrategies in the World. Kluwer Academic Press.

Journal Articles

Lee, A. J. Conner, J. Mjelde, J. Stuth. 2002. (inpress). Use of Seasonal Climate Forecasts inRangeland-Based Livestock Operations in WestTexas. Journal of Applied Meteorology.

Lee, A., J. Conner, J. Stuth, and J. Mjelde. 2002.Economic impacts of brush control cost share onrange-based ranches. Journal of Agriculture &Resource Economics.

Lemberg, B., J. Mjelde, J. Conner, R. Griffin, W.Rosenthal and J. Stuth. 2001. (in press). IntegratingEcological, Hydrologic, and Economic Modelsfor Water Valuation in South Texas. Journal ofAmerican Water Resources Association.

Schumann, K., J. Conner, J. Richardson, J. Stuth, W.Hamilton, and D. Drawe. 2002. (in press). The useof biophysical and expected payoff probabilitysimulation in the economic assessment of brushmanagement alternatives. Journal of Agriculture &Applied Economics. 33.

Souza N., Jose de, J. Conner and J. Stuth. 2001.Biophysical and economic models for assessingimpacts of change on grazingland ecosystems.Revista Brasileira de Engenharia Agricola eAmbiental, No. 1. 5:135-137.

Stuth, J., Hamilton, W. and Conner, R. 2002. Insightsin Development and Deployment of the GLA and

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NUTBAL Decision Support Systems forGrazinglands. Journal of Agriculture Systems.

Tolleson, D., T. Wilson, R. Randel, D. Neuendorff, A.Lewis, and J. Stuth. 2001. Near infraredreflectance spectroscopy of feces did not reliablypredict serum progesterone (P4) in cows. Journalof Animal Science. 79:21 (Suppl. I).



Butt, T., J. Stuth, J. Vitale, P. Dyke, and J. Angerer.2002. Implications of Extensification andIntensification for Food Security in 2015:Agriculture Sector Level Analysis. DecisionSupport Systems for West Africa: An Examination OfIssues, Policies, and Alternatives for Food Securityand Natural Resource Management in the SikassoRegion of Mali.

Stuth, J., D. Schmitt, K. Zander, C. Heath, J.Angerer, J. D. Vitale 2001. Common ModelingEnvironment (CME): A Framework for IntegratedDecision Support Systems. Research SynthesisConference, SANREM, Athens, GA. November 28-30.

Vitale, J., J. Stuth, P. Dyke, and J. Angerer. 2002.Integration of Farm Level Crop and LivestockModels. Decision Support Systems for West Africa:Methodology for Issues Policies, and Alternatives forFood Security and Natural Resource Management.

Vitale, J., J. Stuth, T. Butt, P. Dyke, and J. Angerer.2002. Implications of Extensification andIntensification for Food Security in 2015: FarmLevel Analysis. Decision Support Systems for WestAfrica: An Examination Of Issues, Policies, andAlternatives for Food Security and Natural ResourceManagement in the Sikasso Region of Mali.

Research Reports

Stuth, J., W. Rosenthal, B. Lemberg, A. Lee, and R.Conner. 2002. Comparison of Brush ControlInduced Water Yeild Estimates for ThreeWatersheds Using an Integrated PHYGROW-SWAT adn SWAT only Simulation Models. TexasState Soil and Water Conservation Board. 21 pp.

Workshops

Stuth, J., P. Dyke, and J. Angerer. 2002. BiophysicalModels (EPIC and PHYGROW). Decision SupportSystems for West Africa: Methodology for IssuesPolicies, and Alternatives for Food Security andNatural Resource Management.

Vitale, J. 2002. Impact of Risk at the Farm Level -Alternative Drought Management Strategies in theSemi-Arid Areas (Segou) Decision Support Systemsfor West Africa: An Examination Of Issues, Policies,and Alternatives for Food Security and NaturalResource Management in the Sikasso Region ofMali.

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Spatially Explicit Analysis Principal InvestigatorJerry Stuth

Co-Principal InvestigatorRaghaven Srinivasan

OBJECTIVE 1Develop and demonstrate the utility of a geo-referenced framework for models, informa-tion systems, and analytic procedures. Thesetools will be expanded to a multi-regional and(ultimately) global scale to make projectionsof the utility of research products to othergeographically similar areas

Annual AchievementsThe 3.0 version of the Almanac Character-ization Tool was completed and delivered topartners at the Malian Institute of RuralEconomy. This version has improved graph-ics and database handling capabilities. Com-prehensive spatial characterizations of theSikasso study area in Mali have been com-pleted. The spatial analysis of the Rift Valleystudy has been completed with the completerestructuring of Agro-Ecological SimulationZones for the country in close coordinationwith the Kenya Agricultural Research Insti-tute. Simulation zones were defined acrossthe study areas as sampling frames for thedefinition of rapid farm surveys, (see DSS-21), selection of the intensive survey farms,and ultimately restructuring of the Kenya ASMto allow aggregation of biophysical responsesacross the country for crop, grazing land andlivestock responses. All surveys have beencompleted and biophysical data derived fromthe analysis of the vegetation, crops, soils andweather data in the Rift Valley. These serveas inputs to the SWAN and PHYGROWmodels (DSS-22). Each of the simulationzones were defined based on precipitation andtemperature, soils type, and rural populationdensity. Delineation of sub-area boundarieswas determined by similarity in production sys-tems, farm type composition and climatic con-ditions using the characteristics of the rapid

farm survey and the biophysical spatialcharacterization of the region overlayingthe district boundaries. All farm data andbiophysical attribute data are available inACCESS databases and are being linkedto the ACT 3.0 viewing tool for the Maliand Kenya Almanac. All SAS analysisof all the weather stations in Sikasso andthe Rift Valley has been completed toprovide the coefficients for the WxGENweather generator. Currently, kriging ofeach WxGEN coefficient is being con-ducted with the planned product of a mapthat can be clicked (5x5 km grid), andthe necessary coefficients are "drilled"and ready to generate weather data forthe selected area. This will be the firsttime that weather generator coefficientshave been presented this way to analysts.As stated earlier in DSS-21, a compre-hensive analysis of food security vulner-ability mapping is underway usingLANDSAT 5 imagery to identify areaswith long term moisture availability (bas-fon) and a series of data layers reflect-ing crop yield potential, rangeland yields,primary/secondary roads, villages/towns/cities, and markets. Using a series ofbuffering and classification rules, a pre-liminary map has been developed that pro-vides a view of areas in Sikasso with lowto high food security vulnerability. Therules will be refined based on the farmlevel analysis (FLAM) that is currentlyunder way. Partnering with CIMMYTand the USAID Office of Foreign Di-saster Assistance Almanac Characteriza-tion Tool (ACT) produced Country Al-manacs for 13 countries in Africa. Theyinclude: Mali, Kenya, Botswana,Mozambique, Uganda, Zimbabwe, Ethio-

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pia, Malawi, Tanzania, Zambia, Angola, Liberia, andSierra Leone. In addition country ACT's and continen-tal wide data for Africa is maintained and available onthe Characterization Assessment and Application Group(CAAG) web site at www.brc.tamus.edu/char/. Thisweb site is accessed through secured passwords be-fore data can be downloaded. To date we have issued230 passwords to scientist and GIS specialists from 45countries.

Other Major Outputs in this PeriodWorkshops

Angerer, J. and J. Vitale. 2002. Spatial andSampling Framework Methods. Decision SupportSystems for West Africa: Methodology for IssuesPolicies, and Alternatives for Food Security andNatural Resource Management.

Angerer, J. and J. Vitale. 2002. Setting the SpatialFramework, Scaling, Integration andAggregation. Decision Support Systems for WestAfrica: An Examination Of Issues, Policies, andAlternatives for Food Security and Natural ResourceManagement.

Stuth, J. 2002. Integration of Models, Synthesis,Common Modeling Environment. Decision SupportSystems for West Africa: Methodology for IssuesPolicies, and Alternatives for Food Security andNatural Resource Management.

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National and Regional Applications of DecisionSupport Systems

PrincipalInvestigatorNeville Clarke

Co-PrincipalInvestigatorJerry Stuth

OBJECTIVE 1Extend and expand the integrated packageof decision support tools through coopera-tion with partners by using specific case stud-ies at varying levels of government as plat-forms or real-world scenarios for develop-ment of methods

Annual AchievementsApplications of the DSS to specific case stud-ies in the Sikasso region of Mali were com-pleted. These studies were defined by gov-ernment decision-makers and research col-leagues. In February 2002, the results werepresented and discussed with collaboratorsand subsequently presented to decision-mak-ers from the Office of the President and theseveral ministries of the Government of Malithat are users of the DSS products. Lettersof intent were provided by senior governmentofficials regarding the future use of the DSS.There were also presentations of the DSSmethodology, which is described in other ac-tivity reports. The case studies which wereconducted from the Sikasso region were pre-sented at this workshop. The presentationsincluded the following: 1) methods used toset the spatial framework for the studies; 2)methods used for integration and aggrega-tion of the output of models at varying levelsof scale; 3) results and implications of farmsurveys conducted in the Sikasso region; 4)results of the assessment of the impact ofnew technologies to meet food security de-mands in 2015 and their impact on naturalresource management; 5) comparison of theuse of intensification and extensification offarming practices to achieve sustainable foodsecurity goals for 2015; 6) interactions of crop

and livestock components in mixed farming sys-tems relative to the use of natural resources;and 7) the impact of alternative drought man-agement strategies on food security and pov-erty reduction. In these studies, the suite ofmodels was used to link economic, biophysi-cal, and environmental consequences of theoptions considered. The results were based onmodels at the farm, sub-national, and nationallevels. Abstracts and slides in French and En-glish used in these presentations may be foundat http://CNRIT.tamu.edu. Drafts of the fullpapers and an accompanying compendium ofthe description of the methodologies developedand employed in the DSS are in final editing.Linkages with the CMDT in Sikasso are moredeveloped than with other NGO's. A similarset of studies is underway for the Rift Valleyarea of Kenya, with field data collection com-pleted and analysis well underway. These stud-ies involve active participation by analysts fromthe Office of the President and several rel-evant ministries in the Government of Kenya.A workshop to present and discuss these re-sults is planned for September 2002 in Nairobi.A cross-cutting analysis of the studies in Eastand West Africa will compare and contrast thedevelopment and use of the DSS methods inthese substantially different settings with theobjective of defining the broader utility of themethods for global applications. The ComitePermanent Interstats du Lutte Contre laSecheresse dans la Sahal (CILSS) committedto the use of the DSS to plan and evaluate theresults of national and regional implementa-tion as part of their new regional strategy inSSA (August 2001). Background documentsused in formulating the CILSS strategy havebeen jointly developed. The first in a series of

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regional workshops for West Africa was held in Febru-ary 2002 in Bamako to accelerate this process. In ameeting of representatives of the CILSS nations inDakar in June 2002, the DSS models were presented inthe context of the major goals of the new CILSS strat-egy. As a result, there was strong consensus amongnational representatives for using the system as planned.This means they plan to engage in capacity building atboth regional and national levels among their membernations to learn about and apply the DSS to strategicplanning and the future evaluation of related results.The CILSS Secretariat, AGRHYMET, and INSAH areall involved in the collaboration at the regional level.They have committed to the preparation of joint pro-posals for external funding to enable this process. TexasA&M will collaborate with CILSS as the lead institu-tion in this effort. These proposals will be submitted topotential sponsors in the summer of 2002. In East Af-rica, a second stakeholder workshop was held at Nakuruin Kenya in August 2001 to further define user needsfor the DSS among the various ministries of govern-ment. This led to refinement of the subsequent study inthe Rift Valley and its regional application. Specific casestudies, defined by relevant stakeholders, are under-way with most of the field data collected and activeongoing analysis. Progress has continued on theWAICENT collaboration, with further development ofthe Common Modeling Environment software and be-ginning applications of this to FAO projects under theSpecial Project on Food Security (Mali) and the Pro-duction Systems Development Activity under the FAOAgriculture Department (Kenya). Plans are underwayto provide the database and models from these studiesto the FAO-WAICENT website for future global appli-cations.

OBJECTIVE 2Participate with SANREM and other partners in devel-oping deliverables, conducting or participating in work-shops and providing training in using the SANREMGDSS methodologies.

We will continue to implement the plan for collabora-tion with the West Africa Project. This involves linkingcommune level activities of the WAF project with themodel outputs and databases of the DSS. The elementsof the plan, which were reviewed in February 2001 bythe EEP, are shown below in the 2001-02 plan.

In addition, we will continue to participate withSANREM and other partners in developing deliverables,

conducting or participating in workshops and providingtraining in using the SANREM DSS methodologies.

Annual AchievementsThe plan of action for the collaboration with the WestAfrica Project was developed in detail at the SANREMResearch Conference in November 2001. Relativelylittle progress has been made on this collaboration inthe remainder of year 4, despite considerable effort onour part. The Texas A&M group will make the nationaland regional databases and models developed in Maliavailable to the WAP and continue to pursue the col-laboration in year 5. Plans for initiating engagement withthe SEA project in year five, as a prelude to SANREMIII, were terminated when this work was not selectedfor continuation.


Angerer, J. and J. Vitale. 2002. Farm Surveys in theSikasso Region. Decision Support Systems for WestAfrica: An Examination Of Issues, Policies, andAlternatives for Food Security and Natural ResourceManagement in the Sikasso Region of Mali.

Butt, T., J. Stuth, J. Vitale, P. Dyke, and J. Angerer.2002. Implications of Extensification andIntensification for Food Security in 2015:Agriculture Sector Level Analysis. DecisionSupport Systems for West Africa: An Examination OfIssues, Policies, and Alternatives for Food Securityand Natural Resource Management in the SikassoRegion of Mali.

Vitale, J., J. Stuth, T. Butt, P. Dyke, and J. Angerer.2002. Implications of Extensification andIntensification for Food Security in 2015: FarmLevel Analysis. Decision Support Systems for WestAfrica: An Examination Of Issues, Policies, andAlternatives for Food Security and Natural ResourceManagement in the Sikasso Region of Mali.

Workshops

Clarke, N. and J. Stuth. 2002. Synthesis of CaseStudies. Decision Support Systems for West Africa:

An Examination Of Issues, Policies, and Alternativesfor Food Security and Natural ResourceManagement in the Sikasso Region of Mali.

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Vitale, J. 2002. Impact of Risk at the Farm Level -Alternative Drought Management Strategies in theSemi-Arid Areas (Segou). Decision Support Systemsfor West Africa: An Examination Of Issues, Policies,and Alternatives for Food Security and NaturalResource Management in the Sikasso Region ofMali.

Vitale, J., J. Stuth, J. Angerer, and P. Dyke 2002.Mixed Crop-Livestock Systems: How Much CanThese Systems Enhance AgriculturalSustainability?. Decision Support Systems for WestAfrica: An Examination Of Issues, Policies, andAlternatives for Food Security and Natural ResourceManagement in the Sikasso Region of Mali.


Harvey Hill, Ph.D. 1999-

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Delivery Systems and Capacity Building Principal InvestigatorNeville Clarke

Co-PrincipalInvestigatorJeffrey Vitale

OBJECTIVE 1Prepare and deliver products from the DSSthat are in usable form and format for na-tional and regional partners

Annual AchievementsFurther development of the common model-ing environment software continued in col-laboration with FAO as noted under DSS-23.This is part of the total system of packagingmodels developed so that users with varyingskill levels in modeling can apply them. Workcontinues on developing a very simple Excelinterface to the Agricultural Sector Modelsfor East and West Africa. Meta models havebeen developed to provide much simplifiedinputs from biophysical models to the farmand sector level economic models. The NUT-BAL PRO animal production model was re-designed to accommodate multiple languagesand the French language has been added tothe system. IER collaborators assisted withscreen and help file translations to French andare in possession of the software. The Alma-nac Characterization Tool for Mali, Kenya andseveral other East African countries has beencompleted. The Mali ACT is available in bothFrench and English. Follow on developmentsare underway that include, but move past, de-velopment of this kind of spatial database andinto use of such databases for analysis in sev-eral of the DSS models. Practical experiencein regional applications of the DSS models(DSS 01-25) is providing very useful capac-ity building through experience by our nationaland regional partners. Thus far, new fundingto expand the FAO relationship has not beenfound, but efforts to do so continue. The out-look for funding of the CILSS capacity build-ing effort is much brighter. We hope to have

at least the start up phase of this under-way within the current calendar year. Ifsuccessful, this will continue on past thecompletion of SANREM II in a separate,but related, effort to apply the DSS in WestAfrica.

OBJECTIVE 2Participate with national and regional part-ners in information, training and evalua-tion workshops on the products of the DSS

Annual AchievementsA second workshop with stakeholders inKenya was held in August 2001 to reviewplans for case studies in the Rift Valleyregion and to build capacity with users inthe Government of Kenya. Meetings werealso held in June 2002 with key collabora-tors in the Government of Kenya and inKARI to plan for a major capacity build-ing workshop in September 2002 and fol-low up on intensive training of four Kenyananalysts and scientists for a month at TexasA&M in year five. A regional workshopin Bamako was held in February 2002 tofurther expose Malian scientists and de-cision-makers to the DSS. Forty-two per-sons were in attendance during this four-day workshop. Representatives fromCILSS were also in attendance, and agree-ments were made to write a joint proposalto expand the capacity building programthat is currently limited to Mali, to includeother CILLS nations. The February work-shop was followed up by a more inten-sive, training workshop in June 2002. Thisworkshop involved the fourteen scientiststhat were selected, by TAMU and its'Malian counterparts, for the capacity build-ing program that will last until February

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2003. The Malian colleagues given long-term trainingat Texas A&M were active in the February and Juneworkshops and have begun to train others in the use ofthe DSS. This effort will provide a cadre of individualsthat are able to use the DSS with the simplified inter-face to the full suite of models.

OBJECTIVE 3Provide long-term training of national analysts in bothresearch and operational parts of the government

Annual AchievementsTwo Malian scientists from IER spent three months onthe campus of Texas A&M - completing their trainingon the use of DSS models in mid-July 2001. Dr. RobertKaitho from the Kenyan Agricultural Research Insti-tute and International Livestock Research Institute par-ticipated in the SANREM Research Conference andsubsequently in continued planning for future researchand capacity building while visiting the campus of TexasA&M. In meetings held with Kenyan colleagues in June2002, it was agreed that intensive training for one monthat TAMU will be provided for four Kenyan scientistsand analysts in year 5.

OBJECTIVE 4Engage with national and regional partners in ongoingtraining and mentoring on the use of the DSS and itscomponent parts in impact assessment

Annual AchievementsThe workshop held in Bamako in February 2002 helpedidentify the participants in the capacity building effortto be conducted in year five. Another three day work-shop was held in June 2002 to initiate the training pro-cess. Fourteen participants are involved in an ongoingset of seminars and workshops that involve active par-ticipation by Texas A&M players both through in-coun-try training sessions and internet or web-based interac-tive instruction. Initiated in June, these sessions will becompleted in February 2003. In Kenya, our nationalpartner has applied the DSS suite to several in-countrystudies and serves as a mentor to five Kenyan gradu-ate students who are being trained in the use of theDSS. As noted in DSS-25, a workshop was held inDakar in June 2002 with CILSS country representa-tives to develop consensus based plans for the use ofthe DSS in planning and implementing the new CILSSstrategy. This resulted in the commitment to seek fundsfor regional capacity building with a cadre of nationalspecialists based in the Malian IER.


Training Non DegreeWorkshop

Exposing Malian scientists and decison-makers toDSS was attended by 42 person(s) and lasted 4 day(s).

Capacity building program was attended by 14person(s) and lasted 3 day(s).

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SANREM Global Impacts andSANREM Global Impacts andSANREM Global Impacts andSANREM Global Impacts andSANREM Global Impacts andInformation ExchangeInformation ExchangeInformation ExchangeInformation ExchangeInformation Exchange

Project OverviewProject OverviewProject OverviewProject OverviewProject Overview1. Introduction

Global Impact and Information Exchange(GIIE) consists of two separate initiatives whichblend to mutually support the SANREM programand regional project themes. Coordinated andadministrated by the Management Entity (ME) ofSANREM, the major priorities of the GIIE projectare research, information exchange, and assessmentof decision support priorities and opportunities.

The GIIE Project has two key activities; these arecategorized under the headings of:

1. Assessing Decision Maker Priorities

2. Information Exchange

The initiative on Assessing Decision MakerPriorities (GLO-31) aims to ensure thatSANREM's global decision support activities areresponsive to real demands of decision-makers. Thisactivity emphasizes the understanding of the processof decision making at various levels and theidentification of the specific needs of differentgroups of decision-makers. Identification ofappropriate types of decision support (e.g., data andinformation, tools and methods, and capacitybuilding) for various decision makers is also animportant component. The exploration ofappropriate technologies and decision supportmechanisms has expanded beyond SANREM

research to include the larger arena of natural resourcemanagement and sustainable agriculture activities byother organizations.

The Information Exchange (GLO-11) initiativefacilitates exchange among and between researchersand decision-makers through various media and fora.Exchange among researchers emphasizes collaborativedevelopment of methodologies for identifyingappropriate technologies, practices, and policies withwide applicability. Exchange among decision-makersemphasizes collaborative development and sharing ofdecision-support tools and methods. Exchange betweenresearchers and decision-makers emphasizes thecomparison between the needs of decision-makers(demands) and the characteristics of the decision-support products provided by the researchers (supply)as well as lessons learned along the way. The projectsupports traditional face-to-face meetings (workshops,symposia, etc.), electronic conferences, andpublications. The project also provides ever-changing,innovative ways to encourage collaboration andcommunication for decision makers.

The two projects under the Global Impacts andInformation Exchange complement each other wellbecause they integrate the desire to better understandand improve decision-making by natural resourcemanagers and development practitioners (GLO -31) withthe wide scale dissemination of the knowledge gainedto both SANREM and non-SANREM audiences(GLO-11) via the internet and printed materials.

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The major objectives of the two projects housed underthe GLOBAL Impacts and Information Exchangeheading are:

* Facilitation of communications and informationexchange among regional and global projects, decisionmakers, and agencies and institutions involved in similarwork.

* The identification of critical and recurring agricultureand natural resource management decisions and issuesthrough an assessment of decision-making processes.

These two together contribute to the third objective,which is to:

* Improve the capability to make informed decisionsand to assess the impact of decisions related toconsequences of adopting specific agricultural andnatural resources management technology, practices,and policy at landscape, provincial, national, regionaland global levels


2a. Information Exchange (GLO-11):

One of the greatest functions of the InformationExchange project is to ensure that information generatedby the SANREM projects is documented, and sharedfor use by a number of groups, including: civil societygroups, development practitioners, local governmentunits, policy makers and researchers. The ultimate goalof the information dissemination is to support improvedsustainable agriculture and natural resourcemanagement. Additionally, this activity serves to supportinstitutionalization efforts in the program.

This activity involves communications and informationexchange within SANREM, but it is also designed forinformation exchange among a broader network ofinstitutions that may use the program outputs. Mucheffort is made to utilize the variety of means forinformation communication and exchange. Currently,the vehicles used for communication and informationexchange include research reports, policy briefs, casestudies, newsletters, videos, electronic conferences,workshops, and tools. All of these methods are availablevia SANREM's Web site.

Website - When Phase II started, the ME was taskedto set up a Website for SANREM as a whole. At thesame time, the regional program (Andes, South EastAsia and West Africa) set their own websites to highlightthe regional activities. In the last two years, the overallSANREM website has been improved to provide up-to-date and enlightening information on SANREMactivities. An open architecture was adopted which islinked to a database with documents and imagesprovided by SANREM researchers. The websitecurrently includes information on SANREM but alsomakes timely reference to documents, conferences,funding opportunities and other types of informationrelated to sustainable agriculture and natural resourcemanagement. The website is also being used to highlightthe partnerships that SANREM has established overthe years, and especially joint activities. Among the latter,we include collaborative activities with FAO in supportof the World Summit for Sustainable Development(2002) and the on-going project entitled "Carbon fromCommunities", funded by NASA and implemented jointlyin Mali by SANREM and the Soils CRSP. TheSANREM website has more than 1200 hits a month.

By improving and expanding the SANREM web site,SANREM research and activities were made morevisible to others that are similarly addressing sustainableagriculture and natural resources management issues.A concerted effort was made to synthesize researchresults and disseminate the information to the public inan accessible format. These took the form of researchbriefs, book releases, field news reports, and researchimpact statements, all of which are featured on the website.

News from the Field: Another new feature is called"News from the Field". These are short, descriptivearticles contributed by SANREM researchers tohighlight what their field work is like and provideadditional information about the location of theirresearch by including country information, web linksfor country specific web sites, and photographs.

Research Briefs: Twelve separate manuscripts weresynthesized into research briefs. The briefs capture thebasic themes and concepts of the larger documents.The briefs are accessible to a larger audience becauseof their condensed length, and fewer technical detailsin exchange for summaries of major researchconclusions and observations. The briefs are available

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online for downloading and distribution.s are availableonline for downloading and distribution.

Book releases: Three promotional flyers announcednew items published and edited by SANREM scientists.These flyers place the work in the context of SANREMresearch and themes. The releases will also increasethe visibility of SANREM scientists and publicationsworldwide.

Research impact statement: The first of severalresearch impact articles was produced. The first ofwhich looks at the policy implications of the watermonitoring in Lantapan, Philippines.

The SANREM Web site has been integral in theexchange and dissemination of information. It wasfurther developed to provide an integratedcommunications environment for internal and externalcommunications, in accordance with recommendationsat the SANREM annual meeting in 2001. Manymodifications were made to the Web site to increasethe number of repeat visitors by making it more invitingto explore. In addition, steps have been taken towardsgenerating a greater awareness of national andinternational NRM events of interest to web site visitors.Two recent examples were the inclusion of informationregarding the International Year of the Mountain andlinks to the World Summit on Sustainable Development.Other goals for the web site were to increase thelikelihood of public interaction and feedback, whileproviding researchers and others with access toknowledge and tools developed by the SANREMprogram.

Access to publications and resources has beenconsolidated and organized under the heading ofresources with a detailed list of options, both SANREMand non-SANREM have been made available on line.Much has been done towards the completion of an onlinebibliography of SANREM documents. SANREMdocuments including reprints, research abstracts,manuals, white papers, case studies, models, technicalreports, and proceedings were added to the onlinecollection as part of the ongoing effort to make all ofour information available online. So far, all items storedin the SANREM library have been entered into thebibliography database. This database indicates the typeof document, its availability (online or in house), andincludes abstracts and keywords. Several documents

are linked to online texts that are available fordownloading. With the exception of copyrightedmaterials, all documents will soon be available online.

The addition of an online reporting system proved to bea very effective means of collecting relevant documentsfrom regional project groups. The database hasincreased ease of online submission of reports fromthe SANREM. Online reporting was also used forcompilation of information collected for the ResearchConference (November 28-30, 2001) including bio-dataof and papers presented by the conference participants.

Electronic submission has been well received bySANREM researchers who have found it an easytransition. In addition, electronic submission has, in manycases, decreased the amount of time required to makedocuments and information available online to bothSANREM and external audiences.

Recently, emphasis has been placed on makingSANREM research accessible to lay audiences.Regularly updated news stories are posted on the homepage, keeping visitors appraised of SANREMhappenings. Electronic announcements were sent atvarious times to alert researchers and others to websiteupdates, especially in the way of news announcements.News features covered a range of items that were

Example of one of twelve research briefs

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selected as being of interest to both SANREM viewersand the general public viewing audience.

The web site has been updated and modified to be moreuser-friendly and inviting to explore. A feedback optionhas been provided for web audiences to comment onthe SANREM web site. All comments received havebeen considered and changes made where appropriate.

Presentations on SANREM have been given in a numberof venues, most recently at Florida Agricultural andMechanical University.

2b. Assessing Decision Maker Priorities (GLO-31):

The assessment of decision maker priorities has beenan ongoing, multi-step process. This research activityaims at better understanding how natural resourcemanagement decisions are actually made; the needs,priorities and values involved in natural resourcedecision-making; the methods, data and informationsources that decision-makers use; and the processeswhereby decisions are made, reinforced and/or changedover time. The research encompasses natural resourcemanagement decision-makers at multiple scales and invarious sectors (local and national government, privatesector, NGO's).

Over the course of the project, it has approximated itsgoal of providing information to enhance the relevanceof sustainable agriculture and natural resource decisionsupport methods and approaches developed bySANREM researchers. The assessment results willinform the design of specific methods and approachesto respond to the decision-makers' most pressing needs,priorities, constraints and opportunities. The researchresults have provided insights into the methods and/orapproaches that currently are not fully or completelydeveloped by SANREM or that need retooling in orderto meet the specifications of the final users. Theresearch will therefore contribute to shortening the timefor decision-making methods' R&D, as well as tosharpening the potential for massive user adoption ofthe methods and approaches developed.

The focus of efforts this year were on understandingthe current issues and divergent views associated withcivil society organizations, governments private sector,the assessment methodology, and a decision supporttools inventory and database.

2c. Assessment of Decision Maker Priorities:

SANREM has been involved in the design and mod-eration of FAO E-Conferences on Multifunctional Char-acter of Agriculture; Integrating Food Security in theNARS Agenda (with resulting SANREM, FAO andGFAR (Global Forum on Agriculture Research) book);Multi-stakeholder Dialogues (includes Farmers, Indig-enous Peoples, Business and Industry, Agricultural andTrade Workers, Women, Youth, Local Authorities, andNGO's) for Chapters 10, 12, and 14 of Agenda 21 forRio+10, and design assistance on E-Conferences onUpstream Downstream Relationships (Resulting BookFeaturing SANREM Case Study) and Good Agricul-tural Practices.

Through the involvement with multi-stakeholderdialogues associated with the Commission onSustainable Development (since CSD-8), preparatorycommittee meetings for the World Summit onSustainable Development, the Committee onAgriculture's 16th Session at the Food and AgricultureOrganization and Electronic Fora managed andmoderated by SANREM, stakeholder perspectivesfrom representatives of nine Major Group (Farmers,Indigenous People, Trade and Agriculture Workers,Women, Youth, Non-governmental Organizations, LocalAuthorities, Business and Industry, and Science andTechnology were analyzed to assess the priority issuesrelated to Sustainable Agriculture and RuralDevelopment. The results of the assessment arereported in the paper entitled, "Priorities of StakeholderDecision Makers" Constance Neely, presented at theSANREM CRSP Research Scientific SynthesisConference, November 28-30, 2001, Athens, GA.

2d. Decision support tools inventory and database:

The culmination of many steps towards understandingdecision-making tools and needs was the creation ofan inventory and subsequent database of decision sup-port tools. The creation of the database structure iscompleted, however the inventory is ever expandingand will be continuously updated. The survey high-lights SANREM's tools in addition to decision-makingtools from a variety of other groups and organizations.The inventory is currently available to decision makersin developing countries via the web and other media.

Prior to this, a methodological protocol had been devel-oped to assess the priorities and needs of local-to-pro-vincial level agricultural and natural resource decision

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makers and its testing and application were documentedin from field tests in Mali, the Philippines, Ecuador, andthe SE United States.

This year, further steps toward improving theidentification and understanding of decision-makingpriorities and constraints were made. These includedthe development of a matrix for understanding thecategories of tools and issues of different stakeholdergroups ñ with particular emphasis on tools that arecurrently in use and a library and web search (literaturereview) to inventory the practical decision support toolsavailable in both developed and developing countries.Through these efforts key tools were identified servingas examples of tools most readily available to largesectors of users. For each tool added to the database,information was gathered regarding how it was used, ifit is currently used, and who, specifically, is using it.For presentation on the web, the tools have beenorganized into major categories. This categorization hasallowed for perception of realms of decision-makingthat have a great number of tools available to NGO'sand Natural Resource Management practitioners. Inaddition, it highlighted the areas which are lacking toolsor that have tools that have not been widelydisseminated or advertised. This tool database will bemade available online and will be enhanced by theaddition of new tools and the discovery of existing tools.This tool database also includes tools specificallydesigned and used by SANREM researchers.

In addition, in an effort to more clearly represent thedemand for tools, we have created an online surveydirected towards NGO's and others working in NaturalResource Management and Sustainable Agriculture. Theinformation gained from the online survey will illuminatethe types of tools people working at the local levels areusing or have knowledge of. The questions ask forinformation regarding the tools their organization iscurrently using and the reasons behind their decision touse or not use the particular tool. A letter announcingthe survey was sent to several organizations andindividuals involved in local decision-making issues. Theresults of the survey are being compiled and will beplaced online shortly.

2e. Additional support:

Both database and web site support have been providedto projects. The Andes website was completelyrefurbished, and assistance was provided to the

development of a database for water quality/quantitymonitoring for SANREM activities in the Philippines(SEA-25) and Ecuador (AND-24) but also in other partsof the world, including the US.

An E-discussion among SANREM PI's and colleaguesoutside SANREM was facilitated allowing for theidentification of various strategic issues, thrusts as wellas lessons learned that have been essential to planningSANREM's Phase III.

3. Impacts

By clearly stating SANREM's work in the realm ofNRM and sustainable agriculture, we have providedinformation on line that will aid others working in thesame areas. Positive response from web site visitorson the utility of a number of our products (i.e. briefs,the tools database, the links/bookmarks section) indicatethe impact of both the information exchange as well asthe assessment of decision maker priorities because ofthe response they have generated.

4. Dissemination

SANREM research findings have been made widelyavailable on the web site through a new series ofpublications such as Research Briefs, "News from theField" articles, and descriptive book announcements.In addition, the creation of the "Bookmarks" section ofour website has also generated greater access to awealth of online resources and information forenvironmental and natural resource management.


The Assessment of Decision Maker Priorities protocolpaper is being finalized to be used by a wider range ofaudiences. The previous version of the protocol wasrequested by and shared with researchers from ILRIand IFPRI who found it very relevant for their work.SANREM assisted FAO in developing a participatoryplanning process on Good Farming Practices to engagemultiple stakeholder groups in identifying principles orcodes of good farming practice.

The SANREM CRSP continues to lend support to theFAO's Task Manager for Chapter 14 of Agenda 21 onSustainable Agriculture and Rural Developmentincluding identifying emerging issues, success storiesand capacity building needs for SARD within the

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context of Access to Resources (Land and Genetic),Good Practices for SARD, and Fair Employment forAgricultural Workers. SANREM is supporting theorganization of the World Summit for SustainableDevelopment (August-September 2002) through thefacilitation of face-to-face and electronic dialoguesamong multiple stakeholders on these themes,consultation on a SARD initiative, and promotingsustainable agriculture for both the WSSDimplementation document and political declaration.Constance Neely has been seconded to FAO from Mayto September to support this process.

Additionally Constance Neely has served US Delegationas Sustainable Agriculture Scientific Advisor for theCommission on Sustainable Development's Eighth Session(2000) on Land and Agriculture and the PreparatoryCommittee II for the World Summit on SustainableDevelopment (2002). She served on the official FAOdelegation at Preparatory Committee III in May 2002.

Finally, Constance Neely and Cornelia Flora have beensupporting efforts for the International Farming SystemsAssociation and its upcoming 17th Symposium in termsof awareness raising, resource mobilization and journalpublication.

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Collaborative Research Support Program Annual ReportFunded by the U.S. Agency for International Development (USAID) GLO-11

Communications and Information Exchange Principal InvestigatorConstance Neely

Co-PrincipalInvestigatorRobert PharesJulie March

OBJECTIVE 1Collect and facilitate access to knowledgegenerated by SANREM regional and glo-bal projects.

Annual AchievementsThe focus of Year 4 activities was on thefurther development of an information sys-tem and communication of research resultsto a variety of audiences. During this time,the SANREM Web site was further devel-oped to provide an integrated communica-tions environment for internal and externalcommunications, in accordance with recom-mendations at the SANREM annual meet-ing in 2001. Many modifications were madeto the Web site to increase the number ofrepeat visitors by making it more inviting toexplore. Other goals for the web site wereto increase the likelihood of public interac-tion and feedback, while providing research-ers and others with access to knowledgeand tools developed by the SANREM pro-gram. SANREM documents including re-prints, research abstracts, manuals, whitepapers, case studies, models, technical re-ports, and proceedings were added to theonline collection as part of the ongoing ef-fort to make all of our information availableonline. We found that during Year 3, theonline reporting system was very effectiveas a means of collecting relevant documentstwice annually from PM's and PI's, i.e. thesemiannual and annual reports. Due to thesystem's positive response and the fact thatit did not put an undo burden on research-ers, we continued to use this reportingmethod during Year 4 to obtain informationfrom the projects. The database has in-creased ease of online submission of reports

from the SANREM. Online reporting wasalso used for compilation of informationcollected for the Research Conference(November 28-30, 2001) including bio-data of and papers presented by the con-ference participants. Electronic submis-sion has been well received by SANREMresearchers who have found it an easytransition. In year 4, more emphasis wasplaced on making SANREM researchaccessible to lay audiences. News sto-ries were regularly posted on the Website with a concomitant electronic news-letter to inform subscribers about changeson the SANREM Web site. The web sitehas been updated and modified to bemore user-friendly and inviting to explore.A feedback option has been provided forweb audiences to comment on theSANREM web site. All comments re-ceived have been considered andchanges made where appropriate. Easeof access to SANREM documents hasincreased greatly through our new onlineavailability of various documents. Accessto publications and resources has beenconsolidated and organized under theheading of resources with a detailed listof options, both SANREM and non-SANREM. Much has been done to-wards the completion of an online bibli-ography of SANREM documents. So far,all items stored in the SANREM libraryhave been entered into the bibliographydatabase. This database indicates thetype of document, its availability (bothonline or in house), and includes abstractsand keywords. Several documents arelinked to online texts that are availablefor downloading. All documents will beavailable online soon unless they are

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copyrighted. Electronic announcements were sent fourtimes to alert researchers and others to website up-dates, especially in the way of news announcements.News features covered a range of items that were se-lected as being of interest to both SANREM viewersand the general public viewing audience.

OBJECTIVE 2Generate awareness of SANREM research and ac-tivities and promote understanding of sustainable agri-culture and natural resources management issues, inparticular as undertaken by SANREM.

Annual AchievementsAn effort was made to synthesize research results anddisseminate the information to the public in an acces-sible format. These took the form of research briefs,book releases and research impact statements, all ofwhich are featured on the web site.

Research briefs:

Twelve separate documents were synthesized into re-search briefs. The briefs capture the basic themes andconcepts of the larger documents. The briefs are ac-cessible to a larger audience because of their condensedlength, and fewer technical details in exchange for sum-maries of major research conclusions and observations.The briefs are available online for downloading and dis-tribution.

Book releases:

Three promotional flyers announced new items pub-lished and edited by SANREM scientists. These flyersplace the work in the context of SANREM researchand themes. The releases will also increase the visibil-ity of SANREM scientists and publications worldwide.

Research impact statement:

We produced the first of several research impact ar-ticles. This document looks at the policy implications ofthe water monitoring in Lantapan, Philippines. The SAN-REM CRSP continues to lend support to the FAO'sTask Manager for Chapter 14 of Agenda 21 on Sus-tainable Agriculture and Rural Development includingidentifying emerging themes of consensus among ma-jor groups as well as development of an approach onGood Farming Practice for proceeding to the WSSD.Constance Neely and Cornelia Flora have been sup-porting efforts for the Farming Systems meeting in termsof awareness raising, resource mobilization and journal

publication. We have taken a step towards generating agreater awareness of national and international eventsof interest to web site viewers. For example, the inclu-sion of information regarding the International Year ofthe Mountain and the World Summit on Sustainable De-velopment. In the future, we hope to use those types ofvenues to generate awareness about our ongoing re-search. We have made much progress in disseminatingSANREM information and making SANREM a recog-nizable name. Several features were added to our website to encourage repeat visitors. One of these was theannouncement and publicity for both SANREM andNon-SANREM conferences and meetings. Some ofthese included the Year of the Mountain CONDESANE-conference, and the upcoming International FarmingSystems Conference. Another new feature was a cre-ation of a section called "News from the Field". Theseare short, descriptive articles contributed by SANREMresearchers to highlight what their field work is like andgive some additional information about the location oftheir research by including country information, weblinks for country specific web sites, and photographs.

OBJECTIVE 3Facilitate exchange of information and data generatedby SANREM research among and between SANREMpartners and others interested in sustainable agricultureand natural resource management.

Annual AchievementsBoth database and web site support were provided dur-ing this period. The Andes website was completely re-furbished, and assistance was provided to the develop-ment of a database for water quality/quantity monitor-ing for SANREM activities in the Philippines (SEA-25)and Ecuador (AND-24) but also in other parts of theworld, including the US.

An E-discussion was facilitated which allowed for thecompilation of various issues and items which are im-portant to planning the next phase. The E-discussionallowed for a multi-site dialogue between researcherson common SANREM themes.

Finally, the exchange of data and information was greatlyenhanced through posting of research papers from theResearch conference, on line. The papers are availablein pdf and word formats and are accessible to all whohave web access. In addition, power point presenta-tions from the Research meeting are posted. It wassuggested during the conference that these would beuseful tools for dissemination of information from the

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conference to students, researchers and communitymembers alike.

The web news section also focused on SANREM ac-tivities including announcements for international con-ferences, and calls for papers etc.

Advancesin Research - The greater availability of research find-ings on the web site and through publications such asresearch briefs, "News from the Field" articles, and de-scriptive book announcements has made the efforts bythe various SANREM sites clearer to both SANREMresearchers and the general public.

in Improved Environment and Natural ResourceManagement - By clearly stating SANREM's workin the realm of NRM and sustainable agriculture, wehave provided information on line that will aid othersworking in the same areas. In addition, the creation ofthe "Bookmarks" section of our website has also gen-erated greater access to a wealth of online resourcesand information for environmental and natural resourcemanagement.

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Development of Decision-Maker Priorities and DecisionSupport Opportunities

Principal InvestigatorConstance Neely

Co-PrincipalInvestigatorCarlos PerezJulie March


Collaborative Research Support Program Annual ReportFunded by the U.S. Agency for International Development (USAID) GLO-31

OBJECTIVE 1To fine tune the methodology for ID and un-derstanding or natural resource decision-making priorities and constraints.

Annual AchievementsMany steps were taken to improve the iden-tification and understanding of decision-mak-ing priorities and constraints. To begin theprocess, a matrix was developed to enableus to better understand the categories of toolsand issues of different stakeholder groups ñwith particular emphasis on tools that arecurrently in use. A library and web searchwas undertaken to begin to inventory the toolsavailable in both developed and developingcountries. Key tools were identified througha review of available decision-making tools.Initially, this search has been primarily a webbased "literature" review, as the examples thatsurfaced appeared to be the tools most readilyavailable to large sectors of users. In addi-tion, a more intensive, traditional literature re-view will follow to complement the informa-tion already gathered from the decision mak-ing tools literature. For each tool added tothe database, information was gathered re-garding how it was used, if it is currently used,and who, specifically, is using it. For presen-tation on the web, the tools have been orga-nized into major categories. This categoriza-tion has allowed for perception of realms ofdecision-making that have a great number oftools available to NGO's and Natural Re-source Management practitioners. In addi-tion, it highlighted the areas which are lack-ing tools or that have tools that have not beenwidely disseminated or advertised. This tooldatabase will be made available online and

will continuously be enhanced by the addi-tion of new tools and the discovery of exist-ing tools which were not represented. Thistool database also includes tools specificallydesigned and used by SANREM research-ers.

OBJECTIVE 2To synthesize and prioritize decision-makerconcerns to help focus decision support re-search activities of SANREM, its collabo-rating partners, and other interested parties.

Annual AchievementsA paper was written and presented to ana-lyze key issues of major groups (scientists,NGO's, Trade and Agricultural Workers,Business and Industry, and IndigenousPeoples) related to sustainable agriculture.The paper was presented at SANREM'sresearch conference on November 28,2001.

The Assessment of Decision Maker Priori-ties protocol paper is being drafted to beused by a wider range of audiences. Thedraft was requested by and shared with re-searchers from ILRI and IFPRI who foundit very relevant for their work.

SANREM assisted FAO in developing aparticipatory planning process on GoodFarming Practices to engage multiple stake-holder groups in identifying principles orcodes of good farming practice.

OBJECTIVE 3To compare and validate the demand fortools, information, and capacity building sup-port to improve natural resource manage-ment decisions in the regions and globally.

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Annual AchievementsOne of our goals is to better understand the character-istics that make NRM decision support tools most help-ful to users. To begin to do so, we compiled an inven-tory of decision support tools. We began with a surveyof available tools through a literature review. Ultimately,this inventory will allow us to provide a compilation ofthe tools and their uses online for Natural ResourceManagement practitioners and groups worldwide. Ourtool compilation thus far is largely comprised of webbased resources and SANREM examples. We areaware of the existence of vast numbers of additionaltools in the decision-making literature but opted to be-gin with easily accessible examples. In addition, in aneffort to more clearly represent the demand for tools,we have created an online survey directed towardsNGO's and others working in Natural Resource Man-agement and Sustainable Agriculture. The informationgained from the online survey will illuminate the typesof tools people working at the local levels are using orhave knowledge of. The questions ask for informationregarding the tools their organization is currently usingand the reasons behind their decision to use or not usethe particular tool. There was also a letter announcingthe survey sent to several organizations and individualsinvolved in local decision making issues. The results ofthe survey are being compiled and will be placed onlineshortly.

OBJECTIVE 4To integrate findings into a participatory monitoring andevaluation framework to assess how research activi-ties are progressing towards addressing decision-makerpriorities

Annual AchievementsAll of the multi-stakeholder dialogues were analyzed tobegin to better address the priority issues of NGO's,Farmers, Business and Industry, Trade and AgriculturalWorkers, Indigenous Peoples and Science and Tech-nology. These assessments also dealt with youth, localauthorities (LGU), and women. This assessment hasgiven us greater contact with stakeholder and decisionmaker priorities. A result of the assessment was thesubmission of the paper, "Priorities of Stakeholder De-cision Makers" Constance Neely, presented at theSANREM CRSP Research Scientific Synthesis Con-ference, November 28-30, 2001, Athens, GA.


Neely, C. 2001. Priorities of Stakeholder DecisionMakers. In Proc. Research Synthesis Conference,SANREM CRSP, Athens, Georgia. http://www.sanrem.uga.edu/sanrem/conferences/nov2801/Neely.htm

sanrem crsp annual report 2001- 2002...crsp (2003-2008). power point presentations and pa-pers...

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