5 Ecological dimension: natural resources in marginal

environmental conditions

A Theoretical background: ecological issues to consider in

development design

5.1 Ecological aims in relation to other objectives

Ecological issues are of essential relevance in the rural regional development

context, but need to be considered wherever natural resources are used for
people’s survival. The relationship between people and natural resources is a
complex one:

- Improving the management of natural resources is the task of any

development intervention which aims for sustainability.

- At project purpose level one aim is the successful practice of

ecologically viable production methods by people; this gains
importance
• in a region where natural resources represent the decisive
bottleneck;
• if these resources are mainly utilised by typical regional rural
target groupss (rural small-scale producers).

- Here, as in other dimensions of development, the most important point

of orientation is the person (= the sustainable improvement or
stabilisation of living conditions for the majority of the rural population
{poverty- and people-orientation}). However, in resource management
or resource protection projects the most important point of orientation
is the long-term maintenance of the natural basis of life. In the short
term this leads to a conflict of objectives: income increase versus
ecology.

- However, if the long-term (sustainable) improvement/stabilisation of

people’s living conditions is borne in mind, then the goals of
development and of resource management projects can become
mutually dependent:
Ÿ Without long-term maintenance of the natural basis of human
life no sustainable contribution to the combating of poverty can
be made
Ÿ and without socially broad-based impact, that is, without
reaching the mass of society (including the poor), no significant
contribution to the maintenance of the natural basis of life can
be expected.

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- The specific problem focus in regions which are seriously degraded or
endangered, is on natural resources; this leads to different priorities
being set but not to different kinds of approach.

Relationships of objectives between development and resource

management projects

Sustainable stabilisation/ Long-term

improvement of living maintenance of
conditions (especially those natural resources
of poor groups)

Broad-based application of ecologically viable

methods of resource utilisation

If resource management is primarily in the hands of the local population, not

only poverty (i.e. mass) orientation but also other principles of development
are important for the long-term maintenance of natural resources:

Target-group orientation:
The different resources available, or accessible, to different population
groups must be borne in mind if suitable planning of measures is to be
achieved.

Participation:
The self-responsibility of people necessary for long-term resource
maintenance cannot be expected without participation in the identification of
appropriate resource management procedures.

Institutional sustainability:
Even well adjusted measures to stabilise the resource basis generally
necessitate long term access to the service system. This holds true even
when the focus is not on increase of market production with external inputs,
but on yield-stabilising low external input methods. In the long term, access to
information is an important institutional precondition.

Economic sustainability:
Measures to improve resource management must also be economically
viable, or otherwise safeguarded by permanent subsides.

Multisectorality:
How far resource management projects must be multisectoral depends on the
diversity of resources and the forms of their utilisation. The combination of
resource protection investment and immediately needs-oriented measures
(which has often proved worthwhile), also suggests a multisectoral planning
approach for projects in the field of resource management.

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Regional orientation:
This can become important when the maintenance of natural resources in
degraded sub-regions only seems possible by reducing their exploitation.
Only a cross-sectoral, system-oriented programme which initiates grass-roots
oriented, broad-based and sustainable development can lead to a slow-down
in processes of degradation.

When using logical frameworks (e.g. ZOPP) planning methods, the different
priority shows in the formulation of the goal:

"The population of region X is in a position to maintain its natural

basis of life durably and comprehensively"

The corresponding project purpose is identical with the typical development

project purpose:

"The population...successfully practices ecologically, economically

and socially viable procedures in resource utilisation and has
access to the information, service and markets necessary for this".

Background reading on environment and development:

The development dictionary: a guide to knowledge as power. 1992. Edited by

Wolfgang Sachs. London: Zed Books. ISBN 1-85649-044-0 (section on
“Environment”).

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5.2 Problems experienced and typical reactions of projects

5.2.1 Problem scenario

- Regions where natural resources have become a constraint differ

widely as regards their type and their problem scenarios.
Ÿ in tropical rain forest regions the ecological balance can be
destroyed even by relatively low population density and
utilisation intensity
Ÿ overpopulated tropical mountain regions often are areas with
high but overutilised resource potential.
Ÿ semi-arid zones have a variety of different ecological problems

- One factor that ecological problem regions have in common is the

intensification of natural resource utilisation to a degree which,
together with prevailing forms of utilisation, has led to an accelerated
degradation of the ecological basis.

- Typical elements of such problem constellations are:

• At the present population density, the resources potential is

insufficient, even with improved forms of utilisation, to guarantee
the population's self-sufficiency solely on the basis of local
resources. There is a need for resources from outside (subsidies,
transfer income) or a move of the population into branches of
trade not dependent on local resources or into different regions.

• Resource protection, resource rehabilitation and improved

resource management (e.g. terracing for soil erosion) depend on
investment. Even where this investment is economically profitable,
in view of a population which can just manage to achieve a
subsistence level with its labour, the question of investment
capacity, i.e. the capacity to restrict present consumption, must be
posed.

• The prerequisites of land law or land utilisation rights for people’s

investment in the land and in nature are often not fulfilled.

• Who is responsible for maintaining the environment is to a large

degree unclear. Traditional local systems and arrangements for
resource maintenance have often been broken up by the state,
which took on responsibility pro forma without being able to fulfil it.
This often created a feeling among the population of not being
responsible.

• Continuing strong population growth in ecologically marginal or

endangered regions often counters efforts to recreate ecological
balance.

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5.2.2 Typical reactions by projects which intend to improve the ecology

Where there is a discrepancy between the fast growth of problems and a

slow pace in solving them, typical reactions are:

• artificial, isolated solutions.

- tests and experiments which do not sufficiently consider
transferability and are not placed in the context of the search
for a problem solution at regional level (i.e. are not assessed
for their economic and social sustainability) (e.g. isolated,
internally integrated farming systems).
- institutional preconditions for broad-based implementation are
ignored and costs of supervision and/or consultation too high.

• not explicitly taking into account the constraint of required

investment, during the identification of problem solutions
- hidden subsidies are used with no clarity as to who is
responsible for such subsidies in the long term and
throughout the problem area (e.g. in the case of subsidised
electrified irrigation schemes).

• state executing agencies responsible for subsequent

dissemination of measures are not involved sufficiently in the
identification of problem-solving measures.

• local and primarily technical starting point of projects is often too

limited to be able also to exert influence over legal conditions and
population policy measures, or to be able to integrate their
measures into an overall regional concept for overcoming the
degradation of resources.

Typically, a concept for the broad-based and sustainable implementation of

problem-solving approaches is lacking.

• this applies firstly to the question of transferability (that is social,

economic viability) of the technical solutions; and

• secondly to the question of the dissemination strategy (that is the

creation of institutional preconditions)

• projects exclusively directed at resource management lack

integration into a more comprehensive strategy which aims for the
stabilisation of the whole regional ecological system by including
measures to relieve pressure on the ecosystem

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5.3 Strategy elements to ensure ecological sustainability

Projects focusing on resource management with developmental objectives of

mass impact and sustainibility, are advised of the following strategic
approaches:

• All research and testing activities are to be based on the principle

of transferability
- to be carried out under realistic, representative conditions,
taking account of the social, economic and institutional
situation (e.g. farm size, labour capacity) in the region
- broad-based implementation to be financially feasible
- project activities to be planned in a way which builds up the
willingness of implementing agencies and those politically
responsible, to implement solutions on a wider scale.
Instead of non-transferable, isolated solutions, model solutions
should be presented which are consciously designed to be
transferable. (Note: the technical problem-solving packages
appropriate to each region can only be discussed in detail on
an area specific basis and are thus omitted here).

• Projects in the field of resource management are to be integral

elements of a multisectoral system-oriented framework planning.
- resource management must be integrated in the wider
context (e.g. complementary measures in the field of trade
promotion, population policy) if it is to avoid the danger that
all efforts are counteracted by unfavourable frame conditions

• Complementary activities at national level (e.g. policy dialogues)

are important where environmental policy decisions or questions
of the agricultural constitution (land law) are concerned.
• The identification of models for the redelegation of decision-
making powers and responsibility over local resources back to the
local population is one important contribution which a project can
make to a sustainable problem solution.

• The combination of resource management investments and

measures which immediately increase yields or create income is a
tried and tested strategy for overcoming barriers to investment.
The promotion of local savings and credit associations, too, can
be a useful complementary measure in this respect.

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• In subsidising activities in the field of resource protection and
resource management, the following rules should be observed:

1. Specific subsidies by projects (as innovation agencies) are

only permissible if they serve to cover risks in experiments
the outcomes of which are unsure; here too, however, other
forms of risk protection (e.g. guarantees in case of loss)
should be given preference. A distinction must be made here
between an experimental phase with few participants and
relatively high risk, and a testing phase with many
participants and low risk, where above all the social and
economic viability under real conditions is being tested and
therefore may under no circumstances be subsidised.

2. Subsidies in resource management and resource protection

can be a part of problem-solving approaches if

- the rehabilitation of areas is concerned,

- public (communal) areas with communal utilisation (e.g.

community forest-land) are concerned,

- investments in individual production areas are concerned

which have positive external effects (e.g. terraces)

- these are part of the general development and

environmental policy and their funding on a wide scale is
safeguarded.

3. All forms of subsidies must on principle be made transparent

and the explicit object of decisions on the project concept.
Here, proof is needed that the subsidy does not conflict with
the economic sustainability of the subsidised activity.

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5.4 Resource management

5.4.1 Definition

Resource Management = resource utilisation combined with resource

conservation
= sustainable resource utilisation

5.4.2 Context

Generally, socio-economic development aims at a sustainable improvement

of living conditions. This overall goal requires a combined approach of
- poverty alleviation and
- maintaining the natural basis of human life in the long run
(ecological sustainability)

Note:
- without ecological sustainability no lasting poverty alleviation is possible,
and
- without solving the socio-economic problems of the poor there is no
chance of effecting ecologically sustainable resource management practices.

Furthermore, resource management is an integral part of a multi-sectoral and

regional development approach:

Resource management is first of all a technical task, involving resource

utilisation techniques which can help to make most effective and efficient use
of scarce resources (e.g. soil and water conservation technology, mining
technologies). The technical task is to make maximum use of the existing
regenerative potentials of an eco-system instead of just extracting the outputs
of eco-systems.

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But resource management is much more than only a technical task. It
requires a comprehensive, multi-sectoral, regional, participatory, target group
and gender-specific approach:

(1) Multi-sectorality is important

- in order to link resource management with satisfaction of
immediate short-term needs,
- in order to allow for measures which can help to reduce the
pressure on strained resources (e.g. non-resource based
income opportunities, family planning etc.).

(2) A regional approach is important in order to

- take into consideration the ecological interrelations between
different ecological zones (e.g. in case of watershed
management, where up-hill resource management-measures
may benefit low-land populations)
- relieve endangered, over-utilised sub-regions by providing
opportunities in other sub-regions.

(3) People’s participation in the process of planning resource

management measures is crucial in order to
- arrive at realistic, locally adjusted resource management-
systems
- strengthen people’s responsibility for their own resources.

(4) A target-group and gender-specific approach is necessary

- as people’s access to and control of certain resources may
differ widely,
- as people’s potential with regard to implementation of certain
resource management-measures may differ widely.

Only by applying a regional, multi-sectoral, participatory and target group

oriented approach toward resource management one can expect that
improved resource management-techniques can be replicable and
sustainable.

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B Design and planning methodology: ecological analysis
and appraisal

5.5 Method 1: Land use planning

5.5.1 Definition:

Land use Planning (LUP) is a process to arrive at decisions on sustainable

types of land utilisation and on entitled users.

5.5.2 Context:

In the context of (regional) development planning, LUP should not be

considered as one planning step, but rather as one specific field of planning
which is related to land use issues. Thus, LUP becomes usually relevant if
- the problem analysis has identified land use related constraints
(problem-causing factors)
- the potentiality analysis has identified under-utilised land-related
potentials.

In that case alternative options for improved land use systems have to be
identified and assessed within the frame of the alternative analysis.

5.5.3 Cases for Land use planning:

(1) Avoiding or overcoming environmental degradation

i.e. to solve problems of non-sustainable land use practices.

(2) Solving or avoiding land use conflicts

i.e. to solve problems related to competing interests of different parties
(e.g. land reform issues).

(3) Opening up new areas for utilisation

i.e. to avoid uncoordinated and unadjusted utilisation by strangers who
are not familiar with the eco-system of the settlement area.

(4) Co-ordinating public facility zones and private investment locations

i.e. avoiding problems of under-servicing with public facilities due to
lack of space.

In general: the more land and natural resources become a scarce factor, the
more relevant land use planning is.

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5.5.4 Levels of LUP:

(1) National:
Determined by land use legislation forming the frame conditions for LUP.
Delineates and specifies protected areas of national importance and their
use.

(2) Regional:
Used:
- in the case of management of larger eco-systems
(e.g. watershed management, irrigation systems)
- In the case of land use issues between different types of communities
(e.g. land reform related issues)

(3) Local:
Used:
- to delineate land use between different community groups (e.g. use of
cropping and pasture areas within a community by livestock owners
and agriculturists)
- to decide on housing areas and the location of public facilities within a
community.

5.5.5 Implementation instruments of land use plans:

(1) Action plans of communities based on agreement of all users, (in case of
local-level LUP) without outside regulation

(2) Recommendations / extension advice to resource users and to

responsible organisations

(3) Legal restrictions plus law enforcement

- agreements, contracts
- laws

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5.5.6 Planning methodology:

The sequence of planning steps from problems via problem-solving strategies

to budget planning is the same as in general development planning.
Additional specific methods are required for land assessment (i.e.
assessment of natural resources potentials):

(1) Land assessment by specialists:

- mapping
- remote sensing (aerial photographs)
- satellite images
- Geographical Information System GIS)

(2) Land assessment by users:

- village maps
- landscape models
- transsect walk
- soil diagnosis based on indigenous soil classification
terms etc.

For community-level LUP both approaches can be combined.

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5.6 Method 2: Environmental Impact Assessment (EIA)

5.6.1 Definition:

Environmental Impact Assessment (EIA) is a systematic method to identify

the impact of actual or envisaged intervention measures (alternatives) on
relevant elements of an ecological system. EIA is used here as a tool to
assess the impact of identified development interventions; it is also used to
assess the impact of industrial or commercial installations. Both apply in the
rural and urban contexts.

5.6.2 Context:

Environmental impact assessment , in the context of development design, is a

step to be conducted after problem-solving intervention alternatives have
been identified and before it comes to the comparative assessment of these
alternatives. Like the result of the economic appraisal, the results of the EIA
have to be considered within the alternative analysis. EIA can help avoid
promotion of ecologically dangerous activities.

Sometimes the method of Environmental Impact Assessment is extended to

analysis of impacts on the “social environment“, known as “social impact
assessment” or “social soundness analysis” (the latter is a USAid term). In
this approach social and cultural aspects will be dealt with separately under
Target Group and Gender Analysis.

5.6.3 Method: steps in an Environmental Impact Assessment:

All relevant intervention measures (alternatives) identified are checked for

their impact on all crucial or critical elements of the eco-system.

Step(1): Determine the “ecological relevance“ of the envisaged

intervention measures.

Ecological relevance is applicable

- if the measure is related to utilisation of local resources
- if the measure results in any pollution
- if the measure is related to the promotion of activities which are
referred to in the environmental legislation of a country.

NOTE: Most production-related activities (e.g. in agriculture, industry, mining)

are ecologically relevant. The service and infrastructure sectors are also to
be considered (e.g. regarding tourism, construction). Only institutional
measures (e.g. labour relations or strengthening of local government
structures) can safely be assumed to have no direct relevance.

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Methods of determining ecological relevance should make the most of
available specialist, technical information and people’s information
(“indigenous knowledge”).
(1) Specialists may use
- mapping
- remote sensing (aerial photographs)
- satellite images
- Geographical Information Systems (GIS)
to gather, organise and present information
(2) People may be assisted to use:
- village maps
- landscape models
- transsect walks
to gather, organise and present information.

Step (2): Preliminary assessment (“Scanning“)

Scanning provides a quick overview of envisaged environmental impact of

identified interventions, and of possible options which could reduce adverse
impact.

Scanning can be done with help of a matrix which relates environmentally

relevant activities (e.g. new varieties, fertiliser, pesticides, ploughing) to the
major stress factors of the eco-system in the region (e.g. groundwater, soil
fertility, soil structure. bio-diversity, poison-content in produced food items),
namely the biotic and abiotic areas which could be affected.

Consequently one has to

- identify environmentally relevant (sub-) activities promotion intended
by the intervention
- identify critical elements (involving stress components) of the eco-
systems of a region (or if relevant, of the global eco-system)
- interlink activities and eco-system elements by symbols for positive,
neutral,
slightly adverse, medium adverse and highly adverse impact.

Example: EIA matrix

Eco-System Soils Water Bio Human Health

Elements
Ferti- Acidi- Salti- Struc- River Ground Ground Bio- Wild- Workers Con-
lity ty fication ture Water water water diver- life Health sumers
availa- level pollution sity Health
Activities bility
New hybrid variety 0 0 0 0 0 0 0 -- ? 0 -
Tractor ploughing -- 0 0 - 0 0 - - - 0 0
Fertiliser application + -- 0 0 0 0 - 0 0 - 0
Pesticides 0 o 0 0 0 0 --- - -- - --
Irrigation 0 o --- ? - --- 0 0 0 0 0

Legend: + = positive; 0 = neutral; - = slightly adverse; -- = medium adverse; --- = strongly adverse; ? = not known

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On the basis of such preliminary assessment one can
- draw conclusions for ecologically better adjusted measures
- summarise the environmental impact (total future environmental burden)
- decide whether the programme can go ahead (in which case
recommendations for ecologically adapted approaches can be made),
whether it has to be rejected or whether more detailed studies are
needed to come to a decision (step 3).

Step (3): Detailed studies

In cases where the available knowledge on environmental impact is not

sufficient with regard to relevant aspects, detailed studies to be done by
subject matter specialists should be initiated. Such detailed studies are often
multi-disciplinary (e.g. often including a social impact assessment component
as well) and are conducted in accordance with EIA guidelines (sometimes
legislation) of the country concerned.

Such studies should include:

- assessments of impacts of alternative options (including zero option)
with regard to the ecosystem’s present status and future dynamics;
- proposals for ecologically adjusted means of utilisation, and project
design and measures;
- identification of standards, thresholds, corresponding indicators and
monitoring requirements (existing and recommended) for controlling
the impact of identified interventions.

Step (4): Environmental measure form

The environmental measure is a tool to draw conclusions from EIA in a

systematic and transparent manner. It is based on the results of the
environmental impact matrix. The form lists
- adversely affected elements of the eco-system
- activities which result in such adverse impact
- measures to overcome or avoid the adverse impact

Example: environmental measure form

Eco-system elements Critical activities Key issues (kind of impact) Measures

The results of the EIA will enter the alternative analysis and influence the
decision making process (in addition to other social, economic and
institutional criteria).

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5.7 Additional effects of ecological analysis and appraisal

1. Increased environmental awareness of people and specialists

through dialogicalprocess.

2. Increased local problem-solving capacities with a focus on land

issues (e.g. traditional ecologically suitable land use regulation
mechanisms which did not survive the introduction of
modernisation practices could be revived, revalued and re-
instituted at local level)

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