Chapter 16 - Guidelines, recommendations and observations

Introduction
Ecosystem structure and function
Conflict identification
Colonization: Pressures and problems
Directed occupation and authorized uses of the humid tropics
Land use capability
Agriculture
Forestry
Livestock management
Prior inhabitants and uses
Spontaneous migration
Monitoring
International development assistance agencies
Observations on political will
Bibliography

Introduction

The development planning process designs strategies and activities to use, enhance or conserve both natural and economic goods and services. In big modern cities, economic goods and services almost completely replace the natural ones. On the other hand, in frontier areas like the Central Selva, natural goods and services play a relatively greater role. Shifts towards economic goods and services are the result of increased human activity designed to improve human quality of life. For example, development activities in "new areas" of the humid tropics are aimed at establishing farms and forest industries; building homes for greater numbers of people; growing food for expanding urban populations; promoting national defense and territorial sovereignty; and utilizing idle resources. Meeting these goals requires more economic goods and services.

In a simplified model of the process by which a nation seeks to fulfill these objectives, it first identifies "empty" territory within its humid tropics that has underutilized resources. It wishes to develop these resources to contribute to the socioeconomic well-being of the people who live in the area as well as those who will migrate there, and to benefit the nation as a whole. The government of that country then formulates national policies that guide migration, expenditure of funds and the use of technology. These policies may be adjusted by the support or opposition of international development assistance agencies (World Bank 1986).

Unfortunately, development efforts frequently fail due to such obstacles as inadequate support by centralized agencies and local institutions, poorly defined land tenure systems, lack of coordination among development sectors, and scarce information on the structure and function of social and natural systems. As the previous chapters often suggest, these same conditions are involved in creating the conflicts that have come to be known as "negative environmental impacts."

A more comprehensive model of the process identifies additional conditions and events that must be considered in the design and execution of development projects and programs. Chief among these are that, though sparsely settled, the humid tropics are seldom "empty"; that justifiable development activities allow uncontrolled access by farming and grazing practices not entirely appropriate over extensive areas; that the "richness" of tropical forests is one of the characteristics making tropical forest management so difficult; that any development activity will change ecosystem structure and function; and, that the appropriation of goods and services for the good of a society will create conflict within that same society. This chapter will make extensive comments on this model in the form of observations, guidelines, and recommendations that will help development planners in the humid tropics to overcome these and other problems.

Ecosystem structure and function

Chapter 2 of this report described the process by which competition for the goods and services of an ecosystem can lead to conflict. This first set of guidelines attempts to show how to resolve many of these conflicts in the planning process, before they threaten the project's success.

1. Develop a regional conceptual model. Despite the scarcity of data about the humid tropics, an awareness of ecosystem structure and function during planning is possible. Seeing the region as an integrated whole is vitally important, and this requires a team who understands systems in general, who thinks in terms of relationships, and who can synthesize information from different disciplines (Moiling, 1978). Conceptual modeling of a region is a useful method in that it forces integrated thinking, and the process itself is as important as the final product. Using the method presented in Appendix A, a Preliminary National System Model of Peru (Figure 16-1) and a Regional System Model of the Central Selva (Figure 16-2) were developed so that anyone fully participating in the process can understand in some detail the major components and interactions.

2. Inventory goods and services. Classical natural resource inventory methods will continue to be used in development planning. In addition to these, there are additional methods that are more specific in the evaluation of what human beings may take and use from ecosystems. Table 16-1 is an extensive list of the goods and services that can be provided by the natural structure and function of ecosystems. Each planning effort must develop its own list, however, based on interviews with the people who live in, use, or have an interest in the ecosystem(s) under study. Planners should also recognize that exploitation of any good or service, however small or seemingly insignificant, proves that something there is of value to someone, to be used, enhanced, or protected. Tables 16-2 and 16-3 indicate the goods and services of humid tropical ecosystems which may need protection in order to be used.

3. Inventory natural hazards. The same characteristics of ecosystem structure and function which give rise to water, food, minerals and energy also create earthquakes, high winds, intense rain, flooding, erosion, and poisonous plants and animals (Table 16-4). Since hazardous natural phenomena restrict the development of human activity, the planning team must identify and describe them, and predict how they might threaten the project at hand.

FIGURE 16-1 - PRELIMINARY NATIONAL SYSTEMS MODEL OF PERU

FIGURE 16-2 - PRELIMINARY CENTRAL SELVA REGIONAL SYSTEMS MODEL

Table 16-1
NATURAL GOODS (RESOURCES) AND SERVICES

Conflicts arise during the development process either from open competition for goods and services or as a result of human activities which change the quality and quantity mix of available goods and services. There are several ways that such potential conflicts can be identified during planning.

1. Use an environmental management advisor. The environmental management advisor undertakes studies and evaluations that help coordinate the planning process, and which help identify significant interrelations within the region being planned.

2. Coordinate to reduce potential conflicts. If formulation of sectoral projects is well coordinated with other sectors, many potential conflicts will never occur. Coordination will, of course, require that all planners and other team members work together to allow an exchange of ideas and to insure that consultants are aware that the work of sectors other than their own may be relevant to the success of the project.

3. Review the conceptual model. Since conflicts arise between two or more sectors only if development activities are somehow related, review of the conceptual model described above is helpful. If done with the help of all relevant sectors, lines of complicated interactions will emerge. The exercise enables representatives of the many disciplines and sectors to understand where their work fits in the overall scheme; it enables team members to identify information gaps and promising areas of study; it enables team members to foresee the ramifications of each activity and, because of this, to identify potential conflicts early in the planning process.

4. Analyze natural and economic goods and services. A third method is to list the goods and services in the subsystems of the region being studied (Table 16-1) so that each of the goods and services can then be assigned to individual sectors.¹ Since any component of a system is linked to others in that system, use, enhancement, or conservation of the component will influence the availability and/or quality of other goods and services. Once sectors that are interested in the same good or service from the same or linked subsystems are identified, potential conflicts are also known.

^1. For more information on this method see Case Study number IV of "Integrated Regional Development Planning: Guidelines and Case Studies from An OAS Experience". 1984. General Secretariat of the Organization of American States. Washington, D.C.

A general example can be seen from Table 16-5 where ecosystem "a" has land for locating industry, agriculture, and livestock production, as well as for wildlife habitat. It would be difficult, if not impossible, to undertake activities which would meet all four of these objectives on the same piece of land at the same time. Consequently any project using "land" would be in conflict with the other projects. Likewise, subsystem "b" has groundwater that can be used for irrigation and domestic consumption. In this case, both uses are possible depending on the quantity of groundwater actually available and the demand of each sector. Subsystem "b" has also land for industry. However, since both land and groundwater are in the same subsystem, the groundwater may be contaminated by industrial wastes, and made unfit for domestic use. On the other hand, use of groundwater for domestic purposes will require either that the industry be sited somewhere else or, that it incorporate additional technology to avoid groundwater contamination. Here conflicts have been identified and a decision in favor of either side will negatively affect the other party.

Table 16-3
NATURAL SERVICES PRODUCED BY PROTECTED AREAS IN THE AMERICAN HUMID TROPICS^a

Table 16-4
NATURAL HAZARDOUS PHENOMENA

The matrix is shown on Table 16-6 where the cells are numbered to indicate the conflicts discussed below. The conflicts that can be identified on the basis of this matrix are between:

(1) Rice culture and rice culture. The expansion of irrigated rice area will create additional competition for available irrigation water; rice growing will bring with it the problems of any monoculture; and long-term rice culture on the same land can compact soils - especially if heavy machinery is used.

(2) Rice culture and vegetable culture. The aerial spraying of pesticides in rice production may contaminate vegetable crops or reduce vegetable production if the wrong herbicides are used.

(3) Rice culture and livestock production. Competition for the same land.

(4) Rice culture and forestry. Competition for the same land. Land clearing by fire may burn nearby forests.

(5) Vegetable culture and rice culture. If vegetables are not to be killed or contaminated by the pesticides used in rice culture, changes in the timing of spraying, method of spraying, kind of pesticide, etc. would have to be instituted.

(6) Horticulture and forestry. See number 4.

(7) Livestock production and rice culture. Competition for the same land. If grazing does occur on rice fields, compaction of soils may occur and canal borders and dikes may be broken down.

(8) Livestock production and forestry. See number 4.

(9) Forestry and rice culture. Competition for the same land. Forests serve as refuge areas for noxious fauna.

(10) Forestry and horticulture. See number 9.

(11) Forestry and livestock production. See number 9.

(12) Forestry and forestry. Forest exploitation without management destroys the possibilities of sustained yield forestry. The creation of access allows migrants to enter and utilize the forest ecosystem in ways that are not compatible with sustained yield forestry.

Table 16-6
INTERSECTORAL MATRIX IDENTIFYING POTENTIAL CONFLICTS BETWEEN SECTORAL ACTIVITIES

Figure 16-3 - PRINCIPAL CONFLICTS BETWEEN ACTIVITIES OF THE FISHERIES SECTOR AND THE ACTIVITIES OF OTHER SECTORS

Figure 16-4 - PRINCIPAL CONFLICTS BETWEEN WILDLIFE AND ACTIVITIES TO USE OTHER RESOURCES

6. Distinguish between real and apparent conflicts. Some "conflicts" arise because objectives and methods are not clear to one or both of the parties. Their resolution is easiest if information is shared and if issues are clarified. Other conflicts easily resolved are those where the parties encounter a common problem as they attempt to reach different compatible objectives, as illustrated in Figure 16-5. A third kind of conflict is "conflict of interest" where the objectives and the means to meet them are opposed. Here the techniques of third party arbitration are the most valuable.

And, to show that not all relationships are conflictive, Figure 16-6 identifies relationships between aquatic life and aquaculture on one hand and other development activities on the other, which are supportive, rather than conflictive.

Colonization: Pressures and problems

The mere existence of sparsely occupied territories in humid tropical areas of a country is not sufficient to create pressures for their further development: Suriname's small population is concentrated almost totally along the coast for example, and is not in need of more space. Rather pressures to "develop and modernize" arise in countries with high unemployment, large economically marginal populations, unbalanced land tenure, and failing agriculture programs, combined with a need to secure national borders. Guidelines which respond to these pressures are required if progress is to be made.

Figure 16-5 - EXAMPLE OF A "COMMON PROBLEM" CONFLICT

Several things can be done to insure successful colonization.

1. Review and adjust policies at the national level to assure that colonists represent cohesive groups who want to migrate. Pressures that make life difficult in new colonies are great enough without having to deal with confrontations resulting from dissimilar beliefs, different economic status within the groups, and the need to search for, and approve of, new leadership.

2. Recruit and select migrants from areas having climatic, edaphic, and topographic conditions similar to those of their final destination. New efforts at development in the humid tropics often run into problems with colonization. The ingredients for a successful colonization project include a group of people who form a tightly knit social unit, who are experienced in living and working in ecosystems similar to those of the new colony, and who have a strong desire to relocate. Data also suggest that the most successful colonies consist of people who have no options: they can neither return to where they came from nor move on to another area (Nelson, 1973; Bridger, 1980).

3. Institutionalize policies that give the sectoral agencies most closely allied to the colonization effort the resources they need to carry through the new plans. Continue this technical and political support until the colony can manage on its own.

There are two major advantages to this model. Overall coordination is assured as long as an institution exists that remains in control; and which can provide financial and technical resources without continually competing for scarce funding and personnel through the normal budget process. Disadvantages are, clearly, that any changes in overall national priorities can nullify advances if support is withdrawn before the colonies are consolidated.

4. Undertake regional equalization. Regionalization looks toward allocation of development resources and efforts throughout the nation which will reduce pressures to migrate as well as to properly guide development in areas targeted for colonization.

5. Establish regional development authorities (such as the TVA in the United States and the CVC in Colombia) to defend local interests in national budgeting decisions, to assure that their share of social services and development projects are forthcoming and to undertake development activities on their own. However, the creation of regional authorities is not easy; pressures for more centralization are great and competition between development sectors and between the various political units operating in a region are always a threat.

Directed occupation and authorized uses of the humid tropics

"Directed occupation" is defined as the consolidation of human settlements through planning and project execution by public agencies or private organizations. "Spontaneous" colonization is included if it results from the creation of access routes where colonization was anticipated but not funded. "Authorized uses" refers to the open or implied permission of a government to allow appropriation of the goods and services available from an area.

Figure 16-6 - PRINCIPAL RELATIONSHIPS OF SUPPORT AND BENEFIT BETWEEN THE ACTIVITIES OF OTHER SECTORS AND THE ACTIVITIES OF AQUACULTURE AND FISHING

If the decisions as to where and how colonization is to take place are poorly made, development activities based on those decisions have little chance of success. To make the number of colonists, the activities of development and the exploitation of systems goods and service compatible with what the system offers requires formulation of policy, financing, and available appropriate technology. Policy guidelines for a large variety of development activities in the humid tropics include land use capability studies and the application of appropriate agriculture, forestry, and livestock management practices.

Land use capability

Much of spatial development planning is based on an analysis of "land use capability" - the suitability of an area for any use that will not damage the resource being used. Land use capability studies place land in a number of classes dependent on a survey of the soils and related features of the area with subsequent interpretation of this information according to its future use and management.

1. Include cost and availability of technology in decisions on land use capability. Table 16-8 presents the results of three different land use capability studies by three different groups in the same area of the Central Selva. Despite the fact that land use capability studies have long been used, they are strongly influenced by the opinion of the technician, and serious errors can be made if all the assumptions that went into the classification are not known. In the case of Table 16-8, the differences are apparently the result of different ideas on what land use is best under three dissimilar scenarios of available technology. Here study "B" appears to be production oriented, requiring heavy use of fertilizer and other inputs. Study "C" looks toward conservation, in the belief that although the technology anticipated in study "A" exists, its use in this area of the Peruvian Selva will be limited by funding and logistical constraints. Land use capability is dependent on both the inherent characteristics of the landscape and a certain level of technology. The figures in Table 16-8 can only be understood if the technology being considered is described. And, information on land use capability can only be used for development purposes if the anticipated technology is supplied. For example settlement schemes based on either study "A" or on study "B" will require much more credit, extension services, and other inputs than will a scheme based on study "C." On the other hand, "forest protection" also requires that a certain level of technology (guards, patrol vehicles, sensitization of incoming population with reference to the values of forest protection) be present if the project is to be successfully implemented. It is interesting to note that adherence to any of the three strategies in Table 16-8 will cause the destruction of the humid tropical ecosystems in question if the technology on which the alternatives are based is not forthcoming.

Table 16-8
THREE MAJOR LAND USE CAPABILITY CLASSIFICATIONS OF THE SAME PROJECT IN THE PALCAZU VALLEY OF THE CENTRAL SELVA

2. Base land use decisions on realistic evaluations of the potential benefits and risks of proposed development, as well as on actual land use, land tenancy, and migration patterns. Development controversies in the humid tropics are focused on the availability of long-term sustained production; the appropriate level and kind of technology for managing tropical agroecosystems; and the suitability of the humid tropics for specific economic activities such as extensive livestock or oil palm production. Planners need to exercise extreme caution in using available data since much of it can be misinterpreted or interpreted in conflicting ways.

For example, the U.S. Soil Conservation Service land capability classification was developed for temperate regions but it has often been applied to tropical regions without sufficient consideration of the region's potential for soil erosion and nutrient leaching. As a result, developers in the humid tropics have designed agricultural production systems based on overly optimistic potential land use and agricultural credit and project funding encourages inefficient land use, increased clearing of forest lands and minimal use of natural goods and services. Appropriate land classification systems that are designed for use in the humid tropics include the soil fertility capability classification (Boul et al, 1975) and the Life Zone System (Holdridge, 1967), which Peru has now adopted as the official land classification system.

Agriculture

The problems and promise of movement of the agriculture frontier into the humid tropics are well known (Chapter 4 and 7). Large areas of the humid tropics now have access to rudimentary transportation, infrastructure and markets. However, many of these lands have been so over exploited that they have been abandoned, making both infrastructure and market access useless.

1. Develop sustained yield management for humid tropic ecosystems. Such lands are becoming accessible and new markets are becoming available. Planners should design projects that include the following:

a. Plantings representative of home gardens where 10-40 different varieties of fruits are grown. Size of planting area can be adjusted to fit physical and economic characteristics of the available space;

b. selected seeds and propagation nurseries;

c. cultural practices already in use, i.e., weeding; little or no use of fertilizer, pesticides or fungicides; pruning; and intercropping;

d. continuous income based on the use of species that do not require plant harvest; and

e. continuous harvest based on marketing and processing that are integrated with planting schedules and varietal selection.

2. Evaluate and include native fruits as a component of socio-economic development in the humid tropics. The native fruits of the Amazon represent a natural, rational, balanced, and renewable use of natural resources where the nutrition potential, especially vitamins, is proportionately higher than the other fruits (Table 16-9).

3. Encourage systems of sustained agriculture production. See Tables 16-10, and 16-11 for examples. Advantages of annual cropping and permanent or mixed cropping (agroforestry) are compared in Table 16-12. Different crops and neglected economic plants such as native tropical fruits and palms can be used (Table 16-13). Raising soil fertility levels, especially on acid infertile soils, can sometimes be cost effective. Management practices should strive to keep the ground covered by using mixed or sequential cropping when annual crop production is necessary. Often tree crops and/or pastures can be incorporated into the system after 1-2 years of continuous cropping of annuals, producing a tree canopy that replaces a crop canopy, provides soil protection and reduces loss of nutrients on a long-term basis.

4. Use forest clearing techniques for agriculture that avoid soil compaction and that maintain water percolation and topsoil conservation, such as manual felling and burning rather than clearing by heavy machinery. The following guidelines should be followed when forests are to be cleared:

a. Maintain interspersed stands of natural forest on cleared lands to form an agriculture-forest mosaic.

b. Use intensively managed annual crops on fertile alluvial soils that are in little danger of flooding or, if floodable, adjust the cropping cycle to the flood cycle. Although fertilizers will be required in such areas, the level of use will be minimal.

5. Examine the feasibility of rural development based on the management capabilities of colonists and native communities; institutional constraints of production and marketing; and, the maximum debt load a farmer can withstand. The success of producing annual crops depends on fluctuating markets and unpredictable growing conditions. Consequently, colonists, as well as native communities with capital, establish permanent crops soon after forest clearing. Permanent crops require relatively little maintenance, provide a long-term steady income, and increase land values. On the other hand, annual crops are less expensive to establish and can provide quick returns. However, if yields are low or the crops destroyed, especially in the initial stages of colonization, there is little reserve capital available for land clearing, seed, and labor expenses for the next cycle. If the entire farm income is continuously dependent on annual crops, it is quite easy to fall into a cycle of financial debt that limits further investment in permanent production systems.

Table 16-9
NATIVE FRUITS EXCEPTIONALLY HIGH IN NUTRITION^a

Table 16-10
ACTUAL AND POTENTIAL AGRICULTURAL PRODUCTION SYSTEMS IN THE AMAZON BASIN